diff --git "a/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_openparsecpu.json" "b/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_openparsecpu.json" new file mode 100644--- /dev/null +++ "b/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_openparsecpu.json" @@ -0,0 +1,22210 @@ +[ + { + "top_k": 10, + "mrr": 0.4268240740740741, + "recall": 0.6533333333333333, + "count_empty_strings": 2 + }, + [ + { + "references": { + "source_file": "uksi_20200438_en.pdf", + "query": "What does \"new account\" mean according to the international tax compliance from 2020 ?", + "target_page": 2, + "target_passage": "“new account” means a financial account maintained by a reporting financial institution opened on or after 13th May 2020", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "(a) “new account” means a financial account maintained by a reporting financial \n\ninstitution(**a**) opened on or after 13th May 2020; \n\n(b) “pre-existing account” means— \n\n(i) a financial account maintained by a reporting financial institution as of 12th \n\nMay 2020, or \n\n(ii) a financial account within Section VIII(C)(9)(b) of Annex 1 of the DAC(**b**), \nbut in the application of that provision the references to “subparagraph \nC(9)(a)” are to be read as references to paragraph (i) of this sub-paragraph. \n\n(4) The accounts are— \n\n(a) non-registered pension arrangements where the annual contributions are limited to \n£50,000 and funds contributed cannot be accessed before the age of 55 except in \ncircumstances of serious ill health; \n\n(b) Premium Bonds issued by the UK National Savings and Investments; \n\n(c) Fixed Interest Savings Certificates issued by the UK National Savings and \n\nInvestments; and \n\n(d) Index Linked Savings Certificates issued by the UK National Savings and \nInvestments.”. \n\n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9. \n\n**Transitional provision**\n\n**3.**—(1) For the purposes of the International Tax Compliance Regulations 2015, in relation to an \naccount that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 \nis treated as beginning on 13th May 2020 and ending on 31st December 2020. \n\n(2) Where in consequence of paragraph (1) it is necessary to apportion an amount for the \ncalendar year 2020 to the period ending immediately before 13th May 2020 and the period \nbeginning with that date, it is to be apportioned— \n\n(a) on a time basis according to the respective length of the periods, or \n(b) if that method would produce a result that is unjust or unreasonable, on a just and \n\nreasonable basis. \n\n*David Rutley*\n*Maggie Throup*\nTwo of the Lords Commissioners of Her Majesty’s Treasury 20th April 2020 \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThe Regulations amend the International Tax Compliance Regulations 2015 (“the principal \nRegulations”) which give effect to agreements and arrangements reached between the United \nKingdom and other jurisdictions to improve international tax compliance. \n\nRegulation 2(2) extends the application of the principal Regulations to arrangements entered into \nby the United Kingdom for the exchange of financial account information with other jurisdictions \nup to 19th April 2020, the date before the Regulations are made. \n\nRegulation 2(5) omits various accounts from the category of excluded accounts. Regulation \n2(4)(b) amends the definitions of “new account” and “pre-existing account” in relation to those \n\n(**a**) “Financial account” and “reporting financial institution” are defined in the table in regulation 24(2) of the principal \nRegulations. \n(**b**) “The DAC” is defined in regulation 1(3)(a) of the principal Regulations.", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *20th April 2020*\n\n*Laid before the House of Commons* *21st April 2020*\n\n*Coming into force -* *-* *13th May 2020*\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013(**a**): \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the International Tax Compliance (Amendment) \n\nRegulations 2020 and come into force on 13th May 2020. \n\n**Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” substitute “19th April 2020”(**c**). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n\n(a) in the table in paragraph (2), in the column headed “the CRS”— \n\n(i) at the beginning of the entry for “new account” insert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing account” insert “subject to regulation \n\n3(4A)(a) and paragraph (3)”, and \n\n(b) after paragraph (2) insert— \n\n“(3) In respect of the accounts listed in paragraph (4)— \n\n(**a**) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not \nrelevant to these Regulations. \n(**b**) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending instruments are S.I. \n\n2017/598, 2018/490 and 2019/881. \nIn accordance with the common reporting standard for automatic exchange of financial account information developed by \nthe Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom \nexchanges information received from financial institutions under the principal Regulations with a territory which is a \n“Reportable Jurisdiction” under the CRS and with which the United Kingdom has entered into international exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrc- \ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU. \n\n(**c**)", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be \nexcluded accounts. Regulation 2(3) and (4)(a) make consequential amendments. \n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts \nwhich were previously excluded accounts. \n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 \nwas published on 18th March 2015 and \nthe HMRC website at \nhttps://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- \nuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the \nimpacts that apply to this instrument. \n\nis available on \n\n© Crown copyright 2020 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "(o) New Accounting Standards \nA new Japanese accounting standard “Impairment of Fixed Assets” \nwas issued in August 2002 that is effective for fiscal years beginning \non or after April 1, 2005. The new standard requires that tangible and \nintangible fixed assets be carried at cost less depreciation, and be \nreviewed \nin \ncircumstances indicate that the carrying amount of an asset may not \nbe recoverable. Companies would be required to recognize an \nimpairment loss in their income statement if certain indicators of \nasset impairment exist and the book value of an asset exceeds the \nundiscounted sum of future cash flows of the asset. The Company is \ncurrently assessing the impact of this new accounting standard on its \nfinancial position and operating results. (m) Derivative financial instruments \nThe Company and certain consolidated subsidiaries have entered into \nvarious derivative transactions in order to manage certain risks arising \nfrom adverse fluctuations in foreign currency exchange rates, interest \nrates, and stock and commodity prices. Derivative \nfinancial \ninstruments are carried at fair value with changes in unrealized gain \nor loss charged or credited to operations, except for those which \nmeet the criteria for deferral hedge accounting under which \nunrealized gain or loss is deferred as an asset or a liability. \nReceivables and payables hedged by qualified forward foreign \nexchange contracts are translated at the corresponding foreign \nexchange contract rates. \n\nfor impairment whenever events or changes \n\n2. ACCOUNTING CHANGES \n\n(a) Until the year ended March 31, 2003, finished goods, work in \nprocess and purchased parts included in raw materials were stated at \nthe lower of average cost or market, and raw materials except for \npurchased parts and supplies were stated at the lower of cost or \nmarket, cost being determined by the last-in, first-out method. \nEffective April 1, 2003, the Company and certain consolidated \nsubsidiaries began to value all inventories at the lower of cost or \nmarket, cost being determined by the first-in, first-out method. This \nchange was made in order to establish a sound financial position by \nreflecting the changes in the purchase prices in the valuation of \ninventories considering the fact that there has been progress in \nachieving a reduction in purchasing costs and that this trend is \nanticipated to continue. This change is also intended to achieve a \nbetter matching of revenue and expenses and more appropriate cost \nmanagement by applying an inventory valuation method which \nreflects the actual inventory movements. The effect of this change \nwas immaterial for the year ended March 31, 2004.", + "page_start": 78, + "page_end": 78, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Year ended 31 December**\n\n**Parent Entity**\n**Assets**\nCurrent assets \nInvestment in subsidiaries \nDeferred tax assets \nRelated party note receivable \nTotal assets \n**Liabilities**\nCurrent liabilities \nTotal Liabilities \nTotal net assets \n**Equity**\nIssued capital \nShare options reserve \nForeign currency translation \nRetained earnings (loss) \nTotal equity \n**Financial Performance**\nProfit/(loss) for the year \nOther comprehensive income \n**Total profit or loss and other comprehensive income**\n\n**2014**\n**US$’000** **2013**\n**US$’000**\n\n 9,108 \n 159,606 \n3,998 \n 112,481 \n 285,193 1,962 \n 173,633 \n2,303 \n 40,537 \n 218,435 \n\n 34 \n 34 \n 285,159 425 \n 425 \n 218,010 \n\n306,853 \n386 \n(30,539) \n 8,459 \n 285,159 237,008 \n386 \n(20,509) \n 1,125 \n 218,010 \n\n 7,334 \n (10,030) \n (2,696) 275 \n (31,307) \n (31,032)", + "page_start": 103, + "page_end": 103, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Exchange gains and losses which arise on \nbalances between Group entities are taken to \nthe foreign currency translation reserve where \nthe intra-group balances are in substance part of \nthe Group’s net investment. Where as a result of \na change in circumstances, a previously desig- \nnated intra-group balance is intended to be \nsettled in the foreseeable future, the intra-group \nbalance is no longer regarded as part of net \ninvestment. The exchange differences for such \nbalance previously taken directly to the foreign \ncurrency translation reserves are recognised in \nthe profit or loss. \n\nCurrent tax assets or liabilities and deferred tax \nassets arising from unused tax losses assumed \nby the head entity from the subsidiaries in the \ntax-consolidation group, are recognised as \namounts receivable or payable to other entities \nin the tax-consolidation group in conjunction \nwith any tax funding agreement amounts. \n\n(ii) Foreign operations \n\nThe results and financial position of all the \nGroup entities (none of which has the currency \nof a hyperinflationary economy) that have a \nfunctional currency different from the presenta- \ntion currency are translated into the presenta- \ntion currency as follows: \n〉〉 〉〉 \n\ntemporary differences on the initial recogni- \ntion of assets or liabilities in a transaction \nthat is not a business combination and that \naffects neither accounting nor taxable profit \nor loss; \nthe assets and liabilities of the foreign opera- \ntions, including goodwill and fair value \nadjustments arising on acquisition, are \ntranslated at the year-end exchange rate; \n\n〉〉 \n\nthe income and expenses of foreign opera- \ntions are translated at average exchange \nrates (unless this is not a reasonable approxi- \nmation of the cumulative effect of the rate \nprevailing on the transaction dates, in which \ncase income and expenses are translated at \nthe dates of the transactions); and \n\n〉〉 \n\ntemporary differences related to invest- \nments in subsidiaries where the Company is \nable to control the timing of the reversal of \nthe temporary differences and it is probable \nthat they will not reverse in the foreseeable \nfuture; and \n\nThe Company recognises deferred tax assets \narising from unused tax losses of the tax-consoli- \ndation group to the extent that it is probable \nthat future taxable profits of the tax-consolida- \ntion group will be available against which the \nasset can be utilised. \n\nA deferred tax asset is recognised for unused tax \nlosses, tax credits and deductible temporary \ndifferences, to the extent that it is probable that \nfuture taxable profits will be available against \nwhich they can be utilised. Deferred tax assets \nare reviewed at each reporting date and are \nreduced to the extent that it is no longer prob- \nable that the related tax benefit will be realised. \nTax funding and sharing agreements \n\nThe members of the tax-consolidation group \nhave entered into a funding agreement that sets \nout the funding obligations of members of the \ntax-consolidation group in respect of tax \namounts. The tax funding arrangements require \npayments to or from the head entity equal to \nthe current tax liability or asset assumed by the \nhead entity and any deferred tax asset assumed \nby the head entity, resulting in the head entity \nrecognising an intra-group receivable or payable \nin the separate financial statements of the \nmembers of the tax-consolidation group equal in \namount to the tax liability or asset assumed. The \nintra-group receivables or payables are at call. \n\nDeferred tax is not recognised for:", + "page_start": 69, + "page_end": 69, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n**u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards \nand Interpretations applicable to its operations which became mandatory. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n\n**AASB 2011-4 -*Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel***\n***Disclosure***\nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n\n**Amendments to IAS 32 -*Offsetting Financial Assets and Financial Liabilities***\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set-off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \n\n**Recently issued accounting standards to be applied in future reporting periods:**\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these new standards, amendments to standards, and \ninterpretations is set out below. \n\n**AASB 9/IFRS 9 –*Financial Instruments***\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. The effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements.", + "page_start": 72, + "page_end": 72, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "**4. Future Accounting Policy Changes**\n\nIFRS 9 ‑ Financial Instruments (“IFRS 9”) \n\nIFRS 9, as issued in 2010, reflects the first phase of the IASB’s work on the replacement of IAS 39 and applies to classification and \nmeasurement of financial assets and financial liabilities as defined in IAS 39. The standard was initially effective for annual periods beginning \non or after January 1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, \ncontaining the effective date and transition provisions was amended to remove the mandatory effective date of IFRS 9. This was intended \nto provide sufficient time for preparers to make the transition to the new requirements. The Company may still choose to apply IFRS \nimmediately, but is not required to do so. In subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the \nfirst phase of IFRS will have an effect on the classification and measurement of the Company’s financial assets, but will not have an impact \non the classification measurements of financial liabilities. The Company is in the process of assessing the impact IFRS 9 may have on future \nfinancial statements. \n\nIFRIC Interpretation 21 ‑ Levies (“IFRIC 21”) \n\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant \nlegislation, occurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing \nthe impact IFRIC 21 may have on future financial statements.", + "page_start": 76, + "page_end": 76, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\n**Deferred tax assets**\n**and liabilities**\nDeferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis \nof assets and liabilities under the “balance sheet” approach which will result in the recognition of additional \ndeferred tax assets and liabilities. \n\n**Defined benefit**\n**superannuation surplus**\n**and deficits**\nDefined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position \nand the changes in these values each period will be recognised either directly in the statement of financial \nperformance, progressively using a “corridor” approach or directly in retained earnings. The effective date of this \nstandard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. \n\n**Restoration liabilities**\n\nRestoration liabilities will be discounted to present value and capitalised as a component part of capitalised \nexploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised \nover the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the \nliability unwinds. \n\n**Functional currency**\n\nThe majority of the controlled entities within the Santos Group that have petroleum operations in foreign \njurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in \nthe net assets of those foreign controlled entities to be translated from their US dollar functional currency to \nAustralian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this \naccounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. \n\n**Equity-based payments**\n\nUnder A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including \nshares and options) will be measured based on the fair value of those instruments and amortised to the profit and \nloss over the vesting period. \n\n**Exploration and**\n**evaluation expenditure**\n\nThere is no International Financial Reporting Standard (“IFRS”) which comprehensively deals with the accounting \nand reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies \noperating in the extractive industries will be required to determine their own accounting policy for accounting for \nexploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework \ndefinition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed \nunless they lead to a successful discovery of economic value. \n\nPending the completion of a comprehensive project on accounting for extractive industries, AASB 6 “Expenditure for \nand Evaluation of Mineral Resources” was issued in December 2004 to facilitate the introduction of A-IFRS in \nrespect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to \nIFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in \neach area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an \nasset so long as the following conditions are satisfied: \n\n(a) the rights to tenure of the area of interest are current; and \n\n(b) at least one of the following conditions is also met: \n\n(i) the exploration and evaluation expenditures are expected to be recouped through successful development \nand exploitation of the area of interest, or alternatively, by its sale; or", + "page_start": 88, + "page_end": 88, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Future Accounting Policy Changes**\n\nIFRS 9 ‑ Financial Instruments (“IFRS 9”) \n\nIFRS 9, as issued in 2010, reflects the first phase of the IASB’s work on the replacement of IAS 39 and applies to classification and measurement \nof financial assets and financial liabilities as defined in IAS 39. The standard was initially effective for annual periods beginning on or after January \n1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, containing the effective date \nand transition provisions, was amended to remove the mandatory effective date of IFRS 9. This was intended to provide sufficient time for \npreparers to make the transition to the new requirements. The Company may still choose to apply IFRS immediately, but is not required to do so. \n\nIn subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the first phase of IFRS will have an effect on the \nclassification and measurement of the Company’s financial assets, but will not have an impact on the classification measurements of financial \nliabilities. The Company is in the process of assessing the impact IFRS 9 may have on future financial statements. \n\nIFRIC Interpretation 21 ‑ Levies (“IFRIC 21”) \n\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant legislation, \noccurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing the impact IFRIC \n21 may have on future financial statements. \n\n**Disclosure Controls and Procedures and Internal Controls**\n\nThe Company’s management, including the Chief Executive Officer and the Chief Financial Officer, does not expect that the Company’s Disclosure \nControls and Procedures and Internal Controls will prevent or detect all error and all fraud. Because of the inherent limitations in all control \nsystems, an evaluation of controls can provide only reasonable, not absolute, assurance that all control issues and instances of fraud or error, if \nany, within the company have been detected. \n\n*Disclosure Controls and Procedures*\nAs of December 31, 2013, the Company’s management evaluated the effectiveness of the operation of its disclosure controls and procedures \n(“Disclosure Controls”), as defined under rules adopted by the Canadian Securities Administrators. This evaluation was performed under the \nsupervision of, and with the participation of, the Chief Executive Officer and the Chief Financial Officer. \n\nDisclosure controls and procedures are designed to ensure that information required to be disclosed in documents filed with securities \nregulatory authorities is recorded, processed, summarized and reported on a timely basis, and is accumulated and communicated to the \nCompany’s management, including the Chief Executive Officer and the Chief Financial Officer, as appropriate, to allow timely decisions regarding \nrequired disclosure. \n\nBased on the evaluation of Disclosure Controls, the Chief Executive Officer and the Chief Financial Officer have concluded that, subject to the \ninherent limitations noted above, the Company’s Disclosure Controls are effective in ensuring that material information relating to the Company \nand its consolidated subsidiaries is made known to the Company’s management on a timely basis by others within those entities, and is included \nas appropriate in this mD&a. \n\n*Internal Controls over Financial Reportin*g \nInternal controls over financial reporting (“ICFR”) are designed to provide reasonable assurance regarding the reliability of the Company’s \nfinancial reporting and its preparation of financial statements for external purposes in accordance with IFRS. Management’s documentation and \nassessment of the effectiveness of the Company’s ICFR continues as of the date of this MD&A with the focus on processes and controls in areas \nidentified as being “key risks”.", + "page_start": 62, + "page_end": 62, + "source_file": "TSX_KMP_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20200438_en.pdf", + "query": "Under which conditions can the funds of a non-registered pension arrengements be obtained before the age of 55 ?", + "target_page": 2, + "target_passage": "non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "**Pension Obligations**\nOur retiree pension plans had a funding deficit of approximately $172 \nmillion at December 31, 2013. We have been making special minimum \nmonthly payments in addition to our regular contributions to eliminate \nthe pension liability. During 2013, our funding deficit was reduced by \n$162 million. \n\naccrued obligations in the future. See*Critical accounting estimates*for \nmore information. \n\n*Purchase of Annuities*\nFrom time to time we have made additional lump-sum contributions to \nour pension plans, and the pension plans have purchased annuities \nfrom insurance companies to fund the pension benefit obligations for \ncertain groups of \nretired employees in the plans. Purchasing the \nannuities relieves us of our primary responsibility for that portion of \nthe accrued benefit obligations for the retired employees and eliminates \nthe significant risk associated with the obligations. \nThe special payments, including contributions associated with benefits \npaid from the plans, were approximately $7 million in 2013. We expect \nour total estimated funding requirements to be $96 million in 2014 and \nto be adjusted annually thereafter, based on various market factors \nsuch as interest rates and expected returns and staffing assumptions. \n\nWe did not make any additional lump-sum contributions to our pension \nplans in 2013 or 2012, and the pension plans did not purchase \nadditional annuities. \nChanges in factors such as the discount rate, increase in compensation \nand the expected return on plan assets can affect the accrued benefit \nobligation, pension expense and the deficiency of plan assets over \n\nFINANCIAL RISK MANAGEMENT \nWe normally use three categories of derivative instruments to manage risks related to our business activities: \n\nCategories The risk it manages Types of derivative instruments \n\nDebt Derivatives \n\n(cid:129) Impact of fluctuations in foreign exchange rates on \nprincipal and interest payments for US denominated \nlong-term debt \n(cid:129) Cross-currency interest rate exchange agreements \n(cid:129) Forward foreign exchange agreements (from time \nto time, as applicable) \n\nExpenditure Derivatives \n(cid:129) Impact of fluctuations in foreign exchange rates on \nforecasted US dollar denominated expenditures \n(cid:129) Forward foreign exchange agreements \n\nEquity Derivatives (cid:129) Impact of fluctuations in share price on stock-based (cid:129) Total return swap agreements \ncompensation expense \n\n*New Debt Derivatives to Hedge Senior Notes Issued In 2013*\n\nUS$ Hedging effect \n\nUS$ Principal/ \nnotional amount \n(millions) \nFixed \nhedged Cdn.$ \nCdn$ \nequivalent \n(millions) Maturity \ndate Coupon \nrate Effective date interest rate 1 \nMarch 7, 2013 US$ 500 2023 3.00% 3.60% $ 515 \nMarch 7, 2013 US$ 500 2043 4.50% 4.60% $ 515 \n\nWe also manage our exposure to fluctuating interest rates and we have \nfixed the interest rate on 95.3% of our debt including short-term \nborrowings at December 31, 2013 (2012 – 100%). \nAll of our Debt Derivatives currently outstanding have been designated \nas effective hedges against \nforeign exchange risk for accounting \npurposes as described below and in note 20 to the consolidated \nfinancial statements. \n\n**Debt Derivatives**\nWe use cross currency interest exchange agreements (Debt Derivatives), \nto hedge the foreign exchange risk on all of the principal and interest \nobligations of our US dollar denominated senior notes and debentures. \nAt December 31, 2013 we used Debt Derivatives to hedge the foreign \nexchange risk on 100% of the principal and interest obligations on all \nour US dollar denominated debt. We use Debt Derivatives for risk \nmanagement purposes only. \nSubtotal US$ 1,000 $ 1,030 \n\nDuring 2013, we completed Debt Derivatives transactions as follows: \n(cid:129) entered into new Debt Derivatives to hedge senior notes issued in \nUS$ 850 2023 4.10% 4.59% $ 877 \nOctober 2, 2013 US$ 650 2043 5.45% 5.61% $ 671 \n\nUS$ 1,500 $ 1,548", + "page_start": 65, + "page_end": 65, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "(a) \n\nin the case of benefits for which any person may be eligible in respect of the \nservice in the public service of a person who, immediately before he or she \nceased to be a public officer, was subject to the disciplinary control of the \nJudicial Service Commission or that have been granted in respect of such \nservice, the Judicial Service Commission; \nin any other case, the Public Service Commission. (b) \n\n(5) In this section \"pensions benefits\" means any pensions, compensation, \ngratuities or other like allowances for persons in respect of their service as public officers \n(including service as public officers of the former Protectorate of Bechuanaland) or for \nthe widows, children, dependants or personal representatives of such persons in respect \nof such service. \n\n**CHAPTER VIII**\n**Finance (ss 117-124)**\n\n**117. Consolidated Fund**\n\nAll revenues or other moneys raised or received for the purposes of the \nGovernment of Botswana (not being revenues or other moneys that are payable by or \nunder any law into some other fund established for a specific purpose or that may by or \nunder any law be retained by the department of Government that received them for the \npurposes of defraying the expenses of that department) shall be paid into and form one \nConsolidated Fund. \n**118. Withdrawals from Consolidated Fund or other public funds**\n\n(1) No moneys shall be withdrawn from the Consolidated Fund except- \n\n(a) \n\nto meet expenditure that is charged upon the Fund by this Constitution or by \nany Act of Parliament; \n\n(b) where the issue of those moneys has been authorized by an Appropriation Act, \nby a supplementary estimate approved by resolution of the National Assembly \nor by a law enacted in pursuance of section 120 of this Constitution. \n\n(2) No moneys shall be withdrawn from any public fund of Botswana other than \n\nthe Consolidated Fund unless the issue of those moneys has been authorized by or \nunder a law. \n\n(3) No moneys shall be withdrawn from the Consolidated Fund except in the \n\nmanner prescribed by Parliament.", + "page_start": 50, + "page_end": 50, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "Available- \nfor-sale \nfinancial \nassets \nreserve \n\nClass A \nVoting shares \n\nClass B \nNon-Voting shares \nNumber \nof shares Total \nshareholders’ \nequity Number \nof shares Share \npremium Retained \nearnings Hedging \nreserve Amount Amount \n\n(000s) (000s) \n\n$ 72 112,462 \n– $ 397 402,788 \n– $ – $ 3,046 \n1,669 $ 243 $ \n– 10 \n– $ 3,768 \n1,669 – – – \n\n– \n– \n– – \n– \n– – \n– \n– – \n– \n– – \n– \n– 98 \n– \n– – \n158 \n– – \n– \n(111) 98 \n158 \n(111) \n\n– – – – – 98 158 (111) 145 \n\n– – – – – 1,767 158 (111) 1,814 \n\nYear ended December 31, 2013 \n\nBalances, January 1, 2013 \nNet income for the year \nOther comprehensive income (loss): \n\nDefined benefit pension plans, net of tax \nAvailable-for-sale investments, net of tax \nDerivative instruments, net of tax \n\nTotal other comprehensive income (loss) \n\nComprehensive income for the year \nTransactions with shareholders, recorded directly in \nequity: \nRepurchase/cancellation of Class B Non-Voting \n\nshares (note 23) \nDividends declared \nShares issued on exercise of stock options \n\nTotal transactions with shareholders \n\nBalances, December 31, 2013 \n\n– \n– \n– – \n– \n– (1) \n– \n5 (591) \n– \n84 – \n– \n– (21) \n(896) \n– \n\n– – 4 (507) – (917) \n\n$ 72 112,462 $ 401 402,281 $ – $ 3,896 $ 401 $ (101) \n\nAvailable- \nfor-sale \nfinancial \nassets \nreserve \n\nClass A \nVoting shares \n\nTotal \nshareholders’ \nequity Number \nof shares Number \nof shares Share \npremium Retained \nearnings Hedging \nreserve Amount Amount \n\n(000s) (000s) \n\n$ 72 112,462 \n– $ 406 412,395 \n– $ 243 $ 2,443 \n1,693 $ 433 \n– $ (25) \n– $ 3,572 \n1,693 – – – \n\n– \n– \n– – \n– \n– – \n– \n– – \n– \n– – \n– \n– (173) \n– \n– – \n(190) \n– – \n– \n35 (173) \n(190) \n35 \n\n– – – – – (173) (190) 35 (328) \n\n– – – – – 1,520 (190) 35 1,365 \n\n– \n– \n– – \n– \n– (10) \n– \n1 (9,637) \n– \n30 (243) \n– \n– (97) \n(820) \n– \n\n– – (9) (9,607) (243) (917) \n\n$ 72 112,462 $ 397 402,788 $ – $ 3,046 $ 243 $ 10 \n\nYear ended December 31, 2012 \n\nBalances, January 1, 2012 \nNet income for the year \nOther comprehensive income (loss): \n\nDefined benefit pension plans, net of tax \nAvailable-for-sale investments, net of tax \nDerivative instruments, net of tax \n\nTotal other comprehensive income (loss) \n\nComprehensive income for the year \nTransactions with shareholders, recorded directly in \nequity: \nRepurchase of Class B Non-Voting shares \n(note 23) \n\nDividends declared \nShares issued on exercise of stock options \n\nTotal transactions with shareholders \n\nBalances, December 31, 2012 \n\nThe accompanying notes are an integral part of the consolidated financial statements.", + "page_start": 95, + "page_end": 95, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Gifts of cash and other assets are reported as contributions with donor restrictions if they are received \nwith donor stipulations that limit the use of the donated assets or are restricted as to time. When a \ndonor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is \naccomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions \nand reported in the consolidated statement of activities as net assets released from restrictions. \n\n***(l) Contributions of Nonfinancial Assets and Services***\n\nContributions of nonfinancial assets and services include contributed services, as described below. \n\nContributed services are reported at fair value in the consolidated financial statements for voluntary \ndonations of services when those services (1) create or enhance nonfinancial assets, (2) require \nspecialized skills provided by individuals possessing those skills and are services that would be \ntypically purchased if not provided by the donation, and (3) are professional in nature, and have been \nexplicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial \nassets and services revenue and in-kind service expenses in the consolidated statements of activities. \nFair value is estimated based on current local rates for similar services. \n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the \nFoundation’s projects. The value of this contributed time is not reflected in the accompanying \nconsolidated financial statements, as the criteria above are not met. \n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist \nof contributed legal services, engineering services, subscription services, and internet hosting services \nand bandwidth. The amounts of specialized contributed legal services as revenue and expenses are \n$82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of \nspecialized engineering services as revenue and expenses are $0 and $498,800 for the years ended \nJune 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and \nexpenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The \namounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and \n2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated \nhosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, \n(4) LibertyGlobal, (5) Init7, and (6) Arelion. \n\n***(m) Revenue Recognition – Contracts With Customers***\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under \nAccounting Standards Codification Topic 606, Revenue from Contracts with Customers, which \nestablishes a principle that revenue is recognized upon transfer of control of promised products and \nservices to customers in an amount that reflects the consideration the Foundation expects to receive in \nexchange for those products or services. \n\nThe Foundation determines the amount of revenue to be recognized through the application of the \nfollowing 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification \nof the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of \nthe transaction price to the performance obligations in the contract; and 5) recognition of revenue when \nor as the Foundation satisfies the performance obligations.", + "page_start": 10, + "page_end": 10, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "(a) “new account” means a financial account maintained by a reporting financial \n\ninstitution(**a**) opened on or after 13th May 2020; \n\n(b) “pre-existing account” means— \n\n(i) a financial account maintained by a reporting financial institution as of 12th \n\nMay 2020, or \n\n(ii) a financial account within Section VIII(C)(9)(b) of Annex 1 of the DAC(**b**), \nbut in the application of that provision the references to “subparagraph \nC(9)(a)” are to be read as references to paragraph (i) of this sub-paragraph. \n\n(4) The accounts are— \n\n(a) non-registered pension arrangements where the annual contributions are limited to \n£50,000 and funds contributed cannot be accessed before the age of 55 except in \ncircumstances of serious ill health; \n\n(b) Premium Bonds issued by the UK National Savings and Investments; \n\n(c) Fixed Interest Savings Certificates issued by the UK National Savings and \n\nInvestments; and \n\n(d) Index Linked Savings Certificates issued by the UK National Savings and \nInvestments.”. \n\n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9. \n\n**Transitional provision**\n\n**3.**—(1) For the purposes of the International Tax Compliance Regulations 2015, in relation to an \naccount that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 \nis treated as beginning on 13th May 2020 and ending on 31st December 2020. \n\n(2) Where in consequence of paragraph (1) it is necessary to apportion an amount for the \ncalendar year 2020 to the period ending immediately before 13th May 2020 and the period \nbeginning with that date, it is to be apportioned— \n\n(a) on a time basis according to the respective length of the periods, or \n(b) if that method would produce a result that is unjust or unreasonable, on a just and \n\nreasonable basis. \n\n*David Rutley*\n*Maggie Throup*\nTwo of the Lords Commissioners of Her Majesty’s Treasury 20th April 2020 \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThe Regulations amend the International Tax Compliance Regulations 2015 (“the principal \nRegulations”) which give effect to agreements and arrangements reached between the United \nKingdom and other jurisdictions to improve international tax compliance. \n\nRegulation 2(2) extends the application of the principal Regulations to arrangements entered into \nby the United Kingdom for the exchange of financial account information with other jurisdictions \nup to 19th April 2020, the date before the Regulations are made. \n\nRegulation 2(5) omits various accounts from the category of excluded accounts. Regulation \n2(4)(b) amends the definitions of “new account” and “pre-existing account” in relation to those \n\n(**a**) “Financial account” and “reporting financial institution” are defined in the table in regulation 24(2) of the principal \nRegulations. \n(**b**) “The DAC” is defined in regulation 1(3)(a) of the principal Regulations.", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "(i) Retirement benefits \nAccrued retirement benefits for employees have been provided \nmainly at an amount calculated based on the retirement benefit \nobligation and the fair value of the pension plan assets as of balance \nsheet date, as adjusted for unrecognized net retirement benefit \nobligation at transition, unrecognized actuarial gain or loss, and \nunrecognized prior service cost. The retirement benefit obligation is \nattributed to each period by the straight-line method over the \nestimated years of service of the eligible employees. The net \nis being amortized \nretirement benefit obligation at \nprincipally over a period of 15 years by the straight-line method. \ntransition \n\nin subsidiaries and affiliates which are not \nconsolidated or accounted for by the equity method are carried at \ncost or less. Where there has been a permanent decline in the value \nof such investments, the Company has written down the investments. \nDifferences between the cost and the underlying net equity at fair \nvalue of investments in consolidated subsidiaries and in companies \nwhich are accounted for by the equity method have been amortized \nby the straight-line method over periods not exceeding 20 years. \n\nInvestments \n\nActuarial gain or loss is amortized in the year following the year in \nwhich the gain or loss is recognized primarily by the straight-line \nmethod over periods (principally 8 years through 18 years) which are \nshorter than the average remaining years of service of the \nemployees. Certain foreign consolidated subsidiaries have adopted \nthe corridor approach for the amortization of actuarial gain and loss. \n\nPrior service cost is being amortized as incurred by the straight-line \nmethod over periods (principally 9 years through 15 years) which are \nshorter than the average remaining years of service of the \nemployees. \n\nSee Note 9 for the method of accounting for the separation of the \nsubstitutional portion of the benefit obligation from the corporate \nportion of the benefit obligation under Welfare Pension Fund Plan. \n\n(c) Foreign currency translation \nThe balance sheet accounts of the foreign consolidated subsidiaries \nare translated into yen at the rates of exchange in effect at the \nbalance sheet date, except for the components of shareholders’ \nequity which are translated at their historical exchange rates. \nRevenue and expense accounts are translated at the average rate of \nexchange in effect during the year. Translation adjustments are \npresented as a component of shareholders’ equity and minority \ninterests in its consolidated financial statements. See Note 2(b) for adoption of a new accounting standard by a \nconsolidated subsidiary in the United Kingdom. \n\n(d) Cash equivalents \nAll highly liquid investments with maturity of three months or less \nwhen purchased are considered cash equivalents. \n\n(j) Income taxes \nDeferred tax assets and liabilities have been recognized in the \nconsolidated financial statements with respect to the differences \nbetween financial reporting and the tax bases of the assets and \nliabilities, and were measured using the enacted tax rates and laws \nwhich will be in effect when the differences are expected to reverse. \n(e) Inventories \nInventories are stated principally at the lower of cost or market, cost \nbeing determined principally by the first-in, first-out method. See Note \n2 (a). \n\n(k) Research and development costs \nResearch and development costs are charged to income when \nincurred. \n\n(n) Appropriation of retained earnings \nUnder the Commercial Code of Japan, the appropriation of retained \nearnings with respect to a given financial year is made by resolution \nof the shareholders at a general meeting held subsequent to the \nclose of such financial year. The accounts for that year do not, \ntherefore, reflect such appropriations. See Note 22. \n(l) Revenue recognition \nRevenue is generally recognized on sales of products at the time of \nshipment.", + "page_start": 78, + "page_end": 78, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "(3) If in any financial year it is found- \n\n(a) \n\nthat the amount appropriated by the Appropriation Act for the purposes included \nin any organisation of expenditure is insufficient or that a need has arisen for \nexpenditure for a purpose for which no amount has been appropriated by the \nAppropriation Act; or \nthat any moneys have been expended on any organisation of expenditure in \nexcess of the amount appropriated for the purposes included in that \norganisation by the Appropriation Act or for a purpose for which no amount has \nbeen appropriated by the Appropriation Act, \n\n(b) \n\na supplementary estimate showing the sums required or spent shall be laid before the \nNational Assembly and the organisations of expenditure shall be included in a \nsupplementary Appropriation Bill, or in a motion or motions approving such expenditure, \nwhich shall be introduced or moved in the Assembly. \n\n(4) Where any supplementary expenditure has been approved in a financial year \nby a resolution of the National Assembly in accordance with the provisions of subsection \n(3) of this section, a supplementary Appropriation Bill shall be introduced in the National \nAssembly, not later than the end of the financial year next following, providing for the \nappropriation of the sums so approved. \n**120. Authorization of expenditure in advance of appropriation**\n\nParliament may make provision under which, if the Appropriation Act in respect \nof any financial year has not come into operation by the beginning of that financial year, \nthe President may authorize the withdrawal of moneys from the Consolidated Fund for \nthe purpose of meeting expenditure necessary to carry on the services of the \nGovernment until the expiration of four months from the beginning of that financial year \nor the coming into operation of the Appropriation Act, whichever is the earlier. \n**121. Contingencies Fund**\n\n(1) Parliament may make provision for the establishment of a Contingencies \n\nFund and for authorizing the President, if satisfied that there has arisen an urgent and \nunforeseen need for expenditure for which no other provision exists, to make advances \nfrom that Fund to meet that need. \n\n(2) Where any advance is made from the Contingencies Fund, a supplementary \nestimate shall be laid before the National Assembly as soon as possible for the purpose \nof replacing the amount so advanced. \n\n(1) There shall be charged on the Consolidated Fund all debt charges for which \n\nBotswana is liable. \n\n(2) For the purposes of this section debt charges include interest, sinking fund \ncharges, the repayment or amortization of debt, and all expenditure in connection with \nthe raising of loans on the security of the revenues or the Consolidated Fund of the \nformer Protectorate of Bechuanaland or Botswana, and the service and redemption of \ndebt thereby created. \n**124. Auditor-General**\n\n(1) There shall be an Auditor-General, whose office shall be a public office. \n(2) The public accounts of Botswana and of all officers, courts and authorities of \n\nthe Government of Botswana shall be audited and reported on by the Auditor-General \nand for that purpose the Auditor-General or any person authorized by him or her in that \nbehalf shall have access to all books, records, reports and other documents relating to \nthose accounts: \n\nProvided that, if it is so provided by Parliament in the case of any body corporate \n\ndirectly established by law, the accounts of that body corporate shall be audited and \nreported on by such person as may be specified by or under that law. \n\n(3) The Auditor-General shall submit his or her reports to the Minister responsible", + "page_start": 51, + "page_end": 51, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "The Company maintains a nonqualified deferred retirement plan for certain key \nemployees. The plan allows participants to defer, on a pre-tax basis, a portion of their \nsalary and bonus and accumulate tax deferred earnings, plus investment earnings on \nthe deferred balances, as a retirement fund. Participants receive a Company match of \nup to 4% of salary, net of any Company match received under the Company’s 401(k) \nplan. All employee deferrals vest immediately. The Company matching contributions \nvest ratably over a three-year period. The Company recorded charges for matching \ncontributions of $1 million in 2004, $2 million in 2003 and $1 million in 2002.", + "page_start": 72, + "page_end": 72, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "(cid:129) using asset allocation and diversification strategies, and \n(cid:129) purchasing annuities from time to time. \nAccrued benefit obligations, December 31 **$ 1,209** $ 1,167 \n\nThe table below shows the effect of the asset ceiling for the years \nended December 31, 2013 and 2012. \n**2013** 2012 \n\n**$**\n**–**\n**–**\n$ \n– \n– \n\nThe funded pension plans are registered with the Office of \nthe \nSuperintendent of Financial Institutions and are subject to the Federal \nPension Benefits Standards Act. The plans are also registered with the \nCanada Revenue Agency and are subject to the Canada Income Tax \nAct. The benefits provided under the plans and the contributions to the \nplans are funded and administered in accordance with all applicable \nlegislation and regulations. \nAsset ceiling, January 1 \nInterest income \nRemeasurements, change in asset ceiling (excluding interest \nincome) recognized in comprehensive income and equity \nEffect of changes in foreign exchange rates \n\nSignificant estimates are involved in determining pension related \nbalances. Actuarial estimates are based on projections of employees’ \ncompensation levels at the time of retirement. Maximum retirement \nbenefits are primarily based on career average earnings, subject to \ncertain adjustments. The most \nrecent actuarial valuations were \ncompleted as at January 1, 2013. \n\nAsset ceiling, December 31 \n\n**(9)**\n**–** – \n– \n\n**$ (9)** $ – \n\nPlan assets are comprised mainly of pooled funds that invest in common \nstocks and bonds that are traded in an active market. The table below \nshows the fair value of the total pension plan assets by major category \nfor the years ended December 31, 2013 and 2012. \n**2013** 2012 \n\nEquity securities \nDebt securities \nOther – cash \n\n**$**\n\n**631**\n**403**\n**3** $ 480 \n348 \n5 \n\nTotal fair value of plan assets **$ 1,037** $ 833", + "page_start": 121, + "page_end": 121, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "The Plan provides for grants of fully paid ordinary shares in the capital of the Company up to a value determined by the Board which, to date, \nhas been $1,000 per annum per eligible employee. A trustee is funded by the Santos Group to acquire shares directly from the Company or on \nmarket. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan. \n\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier \nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee. \nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues \nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.", + "page_start": 63, + "page_end": 63, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2538.pdf", + "query": "What metrics are good indicators of the coverage of gas molecules on carbon nanotubes ?", + "target_page": 1, + "target_passage": "the bind- ing energy and scattering resistance of the molecules", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes \n\nJ. M. Garc´ıa-Lastra1,2,∗ D. J. Mowbray1,2, K. S. Thygesen2, A. Rubio1,3, and K. W. Jacobsen2 \n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, \nDpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, \nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain \n2Center for Atomic-scale Materials Design, Department of Physics, \nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark \n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany \n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan- \notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components \nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal \natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis- \ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites \nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function \nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to \nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions. \n\n0 \n1 \n0 \n2 \nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw \n\nn \na \nJ \n\nThe ability to detect small concentrations of specific chem- \nical species is fundamental for a variety of industrial and sci- \nentific processes as well as for medical applications and en- \nvironmental monitoring [1]. In general, nanostructured mate- \nrials should be well suited for sensor applications because of \ntheir large surface to volume ratio which makes them sensi- \ntive to molecular adsorption. Specifically, carbon nanotubes \n(CNT) [2] have been shown to work remarkably well as de- \ntectors of small gas molecules. This has been demonstrated \nboth for individual CNTs [3–8] as well as for CNT networks \n[9, 10]. \n\n4 \n1 \n\nWe find that oxidation of the active metal site passivates \nthe sensor in the case of doping by Ti, V, Cr, and Mn un- \nder standard conditions (room temperature and 1 bar of pres- \nsure). Among the remaining metals, we identify Ni as is the \nmost promising candidate for CO detection. For this system \nthe change in resistance per active site is generally significant \n(>1 Ω) for small changes in CO concentration in the relevant \nrange of around 0.1–10 ppm. Our approach is quite general \nand is directly applicable to other nanostructures than CNTs, \nother functionalizations than metal doping, and other back- \ngrounds than atmospheric air. \n\n] \nl \nl \na \nh \n- \ns \ne \nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nPristine CNTs are known to be chemically inert – a prop- \nerty closely related to their high stability. As a consequence, \nonly radicals bind strong enough to the CNT to notably affect \nits electrical properties [2, 5, 11–13]. To make CNTs attrac- \ntive for sensor applications thus requires some kind of func- \ntionalization, e.g. \nthrough doping or decoration of the CNT \nsidewall [13–21]. Ideally, this type of functionalization could \nbe used to control not only the reactivity of the CNT but also \nthe selectivity towards specific chemical species.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "All total energy calculations and structure optimizations \nhave been performed with the real-space density functional \ntheory (DFT) code GPAW [22] which is based on the projector \naugmented wave method. We use a grid spacing of 0.2 ˚A for \nrepresenting the density and wave functions and the PBE ex- \nchange correlation functional [23]. Transport calculations for \nthe optimized structures have been performed using the non- \nequilibrium Green’s function method [24] with an electronic \nHamiltonian obtained from the SIESTA code [25] in a dou- \nble zeta polarized (DZP) basis set. Spin polarization has been \ntaken into account in all calculations. \n\n1 \nv \n8 \n3 \n5 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nIn this work we consider the possibility of using CNTs \ndoped by 3d transition metal atoms for chemical gas sens- \ning. We use computational screening to systematically iden- \ntify the most promising dopant candidates for detection of \nthree different target molecules (CO, NH3, H2S) under typi- \ncal atmospheric conditions. The screening procedure is based \non the calculation of two microscopic descriptors: the bind- \ning energy and scattering resistance of the molecules when \nadsorbed on a doped CNT. These two quantities give a good \nindication of the gas coverage and impact on the resistance. \nFor the most promising candidates we then employ a simple \nthermodynamic model of the CNT sensor. In this model, the \nbinding energies are used to obtain the fractional coverage of \nthe metallic sites as a function of the target molecule concen- \ntration under ambient conditions. Under the assumption of \ntransport in the diffusive rather than localization regime, the \n\nMetallic doping of a (6,6) CNT has been modeled in a su- \npercell containing six repeated minimal unit cells along the \nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size \nof supercell a Γ-point sampling of the Brillouin zone was \nfound to be sufficient. The formation energy for creating a \nvacancy (VC) occupied by a transition metal atom (M) was \ncalculated using the relation \n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1) \n\nwhere E[M@VC] is the total energy of a transition metal \natom occupying a vacancy in the nanotube, n is the number \nof carbon atoms removed to form the vacancy, E[C] is the en- \nergy per carbon atom in a pristine nanotube, and E[M@NT]", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \n\n“Adsorption \nof small gas molecules onto Pt-doped single-walled carbon \nJ. Phys. Chem. C 112(19), 7401 (Apr. 2008), \nnanotubes”, \ndoi:10.1021/jp0753981. \n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999). \n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport \nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May \n2007), doi:10.1103/RevModPhys.79.677. [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \n\n“Structures, in- \nteractions, and ferromagnetism of Fe-carbon nanotube sys- \nJ. Phys. Chem. C 112(22), 400 (May 2008), \ntems”, \ndoi:10.1021/jp0761968. \n\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, \n“Nanotube molecular wires as \nScience 287(5453), 622 (Jan. 2000), \nK. Cho, and H. Dai, \nchemical sensors”, \ndoi:10.1126/science.287.5453.622. \n\n[20] J. A. F¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “Ab \ninitio study of spin-dependent transport in carbon nanotubes \nwith iron and vanadium adatoms”, Phys. Rev. B 78(19), 195405 \n(Nov. 2008), doi:10.1103/PhysRevB.78.195405. \n\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \n\n“Ex- \ntreme oxygen sensitivity of electronic properties of car- \nScience 287(5459), 1801 (Mar. 2000), \nbon nanotubes”, \ndoi:10.1126/science.287.5459.1801. \n\n[21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, \nP. Pyykk¨o, and R. M. Nieminen, \n“Embedding transition- \nmetal atoms in graphene: Structure, bonding, and mag- \nPhys. Rev. Lett. 102(12), 126807 (Mar. 2009), \nnetism”, \ndoi:10.1103/PhysRevLett.102.126807. \n\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, \nIntegration and Applications (Wiley-VCH, Weinheim, 2008). \n[6] F. Villalpando-P´aez, A. H. Romero, E. Mu˜noz-Sandoval, \nL. M. Mart´ınez, H. Terrones, and M. Terrones, \n“Fabrica- \ntion of vapor and gas sensors using films of aligned CNx \nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), \ndoi:10.1016/j.cplett.2004.01.052. \n\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \n“Real-space grid implementation of the projector augmented \nPhys. Rev. B 71(3), 035109 (Jan. 2005), \nwave method”, \ndoi:10.1103/PhysRevB.71.035109. [7] A. R. Rocha, M. Rossi, A. Fazzio, \n\nJ. R. \n“Designing real nanotube-based gas \nsen- \nPhys. Rev. Lett. 100(17), 176803 (May 2008), \n\nand A. \n\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi- \nent approximation made simple”, Phys. Rev. Lett. 77(18), 3865 \n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865. da Silva, \nsors”, \ndoi:10.1103/PhysRevLett.100.176803.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring \nJ. Appl. Phys. \ngas sensing properties of carbon nanotubes”, \n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395. \n[9] C. Morgan, Z. Alemipour, and M. Baxendale, \n\n“Variable \nrange hopping in oxygen-exposed single-wall carbon nanotube \nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008), \ndoi:10.1002/pssa.200778113. \n\nTo our knowledge, controlled doping of CNTs with transi- \ntion metal atoms has so far not been achieved. It has, how- \never, been found that metal atoms incorporated into the CNT \nlattice during catalytic growth are afterwards very difficult to \nremove [30]. Furthermore, it has been shown that CNT vacan- \ncies, which are needed for the metallic doping, may be formed \nin a controlled way by irradiation by Ar ions [31]. This sug- \ngests that metallic doping of CNTs should be possible. \n\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \n\n“In- \nfluence of O2 and N2 on the conductivity of carbon nan- \notube networks”, Phys. Rev. B 79(19), 195431 (May 2009), \ndoi:10.1103/PhysRevB.79.195431. \n\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, \nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of \ndefects on the gas sensing properties of carbon nanotubes thin \nfilms: experiment and theory”, Chem. Phys. Lett. 387(4-6), 356 \n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038. \n\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for \nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct. \n2009), doi:10.1103/PhysRevB.80.155447. \n\n[13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and \n´Angel Rubio, \n“Conductance of sidewall-functionalized \ncarbon nanotubes: Universal dependence on adsorption \nPhys. Rev. Lett. 101(23), 236806 (Dec. 2008), \nsites”, \ndoi:10.1103/PhysRevLett.101.236806. \n\nIn summary, we have presented a general model of nanos- \ntructured chemical sensors which takes the adsorption en- \nergies of the relevant chemical species and their individual \nscattering resistances as the only input. On the basis of this \nmodel we have performed a computational screening of tran- \nsition metal doped CNTs, and found that Ni-doped CNTs are \npromising candidates for detecting CO in a background of air. \nThe model may be applied straightforwardly to other nanos- \ntructures than CNTs, other functionalizations than metal dop- \ning and other gas compositions than air. \n\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “Ab \ninitio study of an iron atom interacting with single-wall car- \nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003), \ndoi:10.1103/PhysRevB.67.205414. \n\n[15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, \nand Y. Kawazoe, “Stable geometries and magnetic properties of \nsingle-walled carbon nanotubes doped with 3d transition met- \nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb \n2004), doi:10.1103/PhysRevB.69.075414. \n\nThe authors acknowledge financial support from Span- \nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados \nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF \nproject (Contract Number 211956), “Red Espa˜nola de Super- \ncomputaci´on”, NABIIT and the Danish Center for Scientific \nComputing. The Center for Atomic-scale Materials Design \n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L \nacknowledges funding from Spanish MICINN through Juan \nde la Cierva and Jos´e Castillejo programs. \n\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and \nJ. K. Kang, “Interaction of a transition metal atom with intrinsic \ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B \n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q. \n\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles \nstudy of metal adatom adsorption on graphene”, Phys. Rev. B \n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430. \n\n∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang,", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "To estimate the effect of adsorbates on the electrical con- \nductance of doped CNTs, we first consider the change in con- \nductance when a single molecule is adsorbed on a metal site of \nan otherwise pristine CNT. In Fig. 2(b) we show the calculated \nchange in conductance relative to the metal site with no ad- \nsorbate. In contrast to the binding energies, there are no clear \ntrends in the conductances. The sensitivity of the conductance \nis perhaps most clearly demonstrated by the absence of cor- \nrelation between different types of vacancies, i.e. between the \nthree panels in Fig. 2(b). Close to the Fermi level, the conduc- \ntance of a perfect armchair CNT equals 2G0. The presence \nof the metal dopant leads to several dips in the transmission \nfunction known as Fano antiresonances [20]. The position \nand shape of these dips depend on the d-levels of the transi- \ntion metal atom, the character of its bonding to the CNT, and \nis further affected by the presence of the adsorbate molecule. \nThe coupling of all these factors is very complex and makes \nit difficult to estimate or rationalize the value of the conduc- \ntance. For the spin polarized cases, we use the spin-averaged \n\nWe now return to the discussion of the validity of Eq. (7). \nAs mentioned, the series coupling of individual scatterers \nshould be valid when lφ < d. However, even for lφ > d \nand assuming that the Anderson localization length, lloc in \nthe system exceeds lφ, Eq. (7) remains valid if one replaces \nthe actual resistance R by the sample averaged resistance (cid:104)R(cid:105) \n[29]. At room temperature under ambient conditions, interac- \ntions with external degrees of freedom such as internal CNT \nphonons and vibrational modes of the adsorbed molecules \nwould rapidly randomize the phase of the electrons. There- \nfore Eq. (7) should certainly be valid in the limit of low dop- \ning concentrations. On the other hand, the total number of \ndopants, N , should be large enough for the statistical treat- \nment of the coverage to hold. Finally, we stress that Eq. (7) \nrepresents a conservative estimate of the change in resistance. \nIn fact, in the regime where lφ > lloc, i.e. in the Anderson \nlocalization regime, the resistance would be highly sensitive \nto changes in the fractional coverage of active sites. Calcula- \ntion of the actual resistance of the CNT in this regime would, \nhowever, involve a full transport calculation in the presence of", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2538.pdf" + }, + { + "text": "[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja- \ncobsen, “Benchmark density functional theory calculations for \nnanoscale conductance”, J. Chem. Phys. 128(11), 114714 (Mar. \n2008), doi:10.1063/1.2839275. \n\ning theory put into practice: First-principles modeling of trans- \nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803 \n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803. \n\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, \nW.-J. Chun, Y. Koike, and K. Asakura, “X-ray absorption fine \nstructure (XAFS) analyses of Ni species trapped in graphene \nsheet of carbon nanofibers”, Phys. Rev. B 73(14), 144103 (Apr. \n2006), doi:10.1103/PhysRevB.73.144103. \n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or- \ndej´on, and D. S´anchez-Portal, “The SIESTA method for ab ini- \ntio order-n materials simulation”, J. Phys.: Condens. Matter \n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302. \n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge \n\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, \nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con- \nductance of single-walled carbon nanotubes by ion irradiation \nin the Anderson localization regime”, Nature Materials 4, 534 \n(Jun. 2005), doi:10.1038/nmat1414. \n\nUniversity Press, London, 1961). \n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford \nUniversity Press, London, 2006). \n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC- \nPress, 2006–2007). \n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2538.pdf" + }, + { + "text": "3 \n\nconductances, i.e. G = (G↑ + G↓)/2. \n\nNext, we estimate the resistance of a CNT containing sev- \neral impurities (a specific metal dopant with different molecu- \nlar adsorbates). Under the assumption that the electron phase- \ncoherence length, lφ, is smaller than the average distance be- \ntween the dopants, d, we may neglect quantum interference \nand obtain the total resistance by adding the scattering resis- \ntances due to each impurity separately. The scattering resis- \ntance due to a single impurity is given by \n\nRs(X) = 1/G(X) − 1/(2G0), (6) \n\n| (a) Mo | novacancy\nO\n2 |\n|---|---|\n| (a) Mo | novacancy O 2 |\n| (b) Di Clean O 2 | vacancy I CO |\n| (c) Div Clean | acancy II CO |\n| O 2 | |\n\n\n| 100\n(a) Mo\n10-1 Vacancies\n10-2\n10-3\nOccupied\n100\n(b) Di\n10-1\nNi\n10-2 Clean of\nΘ\n10-3 O Coverage\n2\n100\n(c) Div\n10-1\nClean Fractional\n10-2\n10-3\nO\n2\n10-4\n0.1 1\nCO Conce | novacancy (d)\nO\n2\nvacancy I\nCO\nacancy II\nCO\n10 100 0.1\nntration [ppm] CO Con | 103\nChange\nin\n102 Resistance\nMonovacancy ∆R\nDivacancy I 101\n[Ω\nDivacancy II\n/\nNi\nOccupied\n0\nVacancy]\n-101\n1 10 100\ncentration [ppm] |\n|---|---|---|\n| 100 (a) Mo 10-1 Vacancies 10-2 10-3 Occupied 100 (b) Di 10-1 Ni 10-2 Clean of Θ 10-3 O Coverage 2 100 (c) Div 10-1 Clean Fractional 10-2 10-3 O 2 10-4 0.1 1 CO Conce | novacancy (d) O 2 vacancy I CO acancy II CO 10 100 0.1 ntration [ppm] CO Con | 103 Change in 102 Resistance Monovacancy ∆R Divacancy I 101 [Ω Divacancy II / Ni Occupied 0 Vacancy] -101 1 10 100 centration [ppm] |\n\n\nwhere G(X) is the Landauer conductance of the pristine CNT \nwith a single metal dopant occupied by molecule X and \n1/(2G0) is the contact resistance of a (6,6) CNT. \n\nWe may now obtain the total resistance per dopant site rel- \native to the reference background signal as a function of the \ntarget molecule concentration \n\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) \nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in \nresistance ∆R per dopant site as a function of CO concentration in \na background of air at room temperature and 1 bar of pressure. The \nreference concentration of CO is taken to be C0 =0.1 ppm. Note the \nchange from linear to log scale on the y-axis at ∆R =10 Ω. \n\n(7) \n\nwhere N is the number of dopants, Θ[X, C] is the fractional \ncoverage of species X at concentration C of the target and C0 \nis the reference concentration. Notice that the contact resis- \ntance drops out as we evaluate a change in resistance. \n\nFor a given background composition we may thus estimate \nthe fractional coverages for each available adsorbate for a \ngiven type of doping. As an example, Fig. 3(a)-(c) shows the \nfractional coverage of a Ni atom occupying a monovacancy, \ndivacancy I, and divacancy II, versus CO concentration in a \nbackground of air at room temperature and 1 bar of pressure. \nDue to the relatively small binding energy of N2 and H2O as \ncompared to O2 and CO, all Ni sites will be either empty or \noccupied by O2 or CO. In particular, Ni in a monovacancy \n(top panel of Fig. 3) will be completely oxidized for all rel- \nevant CO concentrations. For the Ni occupied divacancy II \nstructures we find the coverage of CO changes significantly \naround toxic concentrations (∼10 ppm). \nIn Fig. 3(d) we show the change in resistance calculated \nfrom Eq. (7) as a function of CO concentration for Ni occu- \npying the three types of vacancies. The background reference \nconcentration of CO is taken to be C0 = 0.1 ppm. For the \nmonovacancy there is very little change in resistivity. This is \nbecause most active sites are blocked by O2 at relevant CO \nconcentrations, as shown in the upper panel of Fig. 3. For Ni \nin the divacancies there is, however, a change in resistance on \nthe order of 1Ω per site. For concentrations above ∼1 ppm, \nthe CO coverage of Ni in the divacancy II increases dramati- \ncally and this leads to a significant increase in resistance.", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2538.pdf" + }, + { + "text": "From the adsorption energies plotted in Fig. 2(a), we see \nthat the earlier transition metals tend to bind the adsorbates \nstronger than the late transition metals. The latest metals in \nthe series (Cu and Zn) bind adsorbates rather weakly in the \ndivacancy structures. We also note that O2 binds significantly \nstronger than any of the three target molecules on Ti, V, Cr, \nand Mn (except for Cr in divacancy I where H2S is found to \ndissociate). Active sites containing these metals are therefore \nexpected to be completely passivated if oxygen is present in \nthe background. Further, we find H2O is rather weakly bound \nto most of the active sites. This ensures that these types of \nsensors are robust against changes in humidity. \n\nThe calculated formation energies for the 3d transition met- \nals are shown in Fig. 1. From the horizontal lines we see that \nboth divacancies are more stable than the monovacancy. This \nmay be attributed to the presence of a two-fold coordinated C \natom in the monovacancy, while all C atoms remain three-fold \ncoordinated in the divacancies. When a transition metal atom \noccupies a vacancy, the strongest bonding to the C atoms is \nthrough its d orbitals [26]. For this reason, Cu and Zn, which \nboth have filled d-bands, are rather unstable in the CNT. For \nthe remaining metals, adsorption in the monovacancies leads \nto quite stable structures. This is because the three-fold coor- \ndination of the C atoms and the CNT’s hexagonal structure are \nrecovered when the metal atom is inserted. On the other hand, \nmetal adsorption in divacancies is slightly less stable because \nof the resulting pentagon defects, see upper panel in Fig. 1. A \nsimilar behaviour has been reported by Krasheninnikov et al. \nfor transition metal atoms in graphene [21]. \n\nIn thermodynamic equilibrium [27], the coverage of the ac- \ntive sites follows from \n\nK[X]C[X] \nΘ[X] = , (4) \n1 + (cid:80) \nY K[Y ]C[Y ] \n\nwhere K = k+/k− is the ratio of forward and backward rate \nconstants for the adsorption reaction, \n\n(cid:20) (cid:21) \n\nEads[X] + T S[X] \nkBT \n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and \nH2S on the metallic site of the doped (6,6) CNTs are shown in \nFig. 2(a). The adsorption energy of a molecule X is defined \nby \n\nK[X] = exp − . (5) \n\nIn these expressions C[X] is the concentration of species X, \nS[X] is its gas phase entropy and T is the temperature. Ex- \nperimental values for the gas phase entropies have been taken \nfrom Ref. [28]. Eads[X@M@VC] = E[X@M@VC] − E[X] − E[M@VC], \n(3)", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2538.pdf" + }, + { + "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle \n\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of \n\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright \n\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four \n\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, \n\n(iii) slow motion after depinning, and (iv) final evaporation from the center. \n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating \n\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of \n\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and \n\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics \n\non the mesoscale has been described as well as more microscopic models for the dynamics in the \n\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic \n\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film \n\nmodel. \n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to \n\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures \n\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic \n\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-", + "page_start": 22, + "page_end": 22, + "source_file": "1001.2669.pdf" + }, + { + "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to \n\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the \n\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to \n\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term \n\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal \n\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three- \n\ndimensional models are also discussed in the literature [76, 77]. \n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related \n\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. \n\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid, \n\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to \n\ndistinguish between the influence of the short- and the long-range parts of the interactions with the \n\nsubstrate, as all such interactions are absorbed into the effective chemical potential. \n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model \n\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit \n\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to \n\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes \n\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities \n\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied \n\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond \n\nto number densities as we use the lattice spacing σ = 1 as our unit of length. \n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ρl, ρn], and \n\nsecondly, devise dynamical equations for both density fields that account for the conserved and the \n\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. \n\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) \n\napproximation for the free energy of the system [78, 84] which contains an entropic contribution \n\nand contributions from the interactions between the different species (nanoparticles and liquid). \n\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is \n\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", + "page_start": 13, + "page_end": 13, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2648.pdf", + "query": "What is the source of inaccuracy of the MSA3 model at high ionic concentrations ?", + "target_page": 3, + "target_passage": "At high concentration (about 1 mol l−1), the MSA3 overestimates the free energy", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "4 \n\nof the BIMSA3 appears to be negligible compared to the \n1. The \nreference term for concentrations less than 1 mol l− \nperturbation can then be omitted to obtain a fully ana- \nlytical theory, determined by the hard sphere diameters \nand the pair fraction given by LPT; with the free energy \nand the RDF given in terms of the BIMSA and MSA so- \nlutions, as described above. While the procedure we have \nfollowed uses two different approximations for the refer- \nence and perturbation terms (MSA vs BIMSA), these are \nknown to be accurate for the systems under consideration \nand do not appear to be inconsistent with each other. \n\nTo conclude, we have combined MD simulations with \nLPT to construct simple models of electrolyte solutions \nwhich account for the molecular nature of the solvent. \nThe final result is fully analytical and it yields the ther- \nmodynamic and structural properties of the solution, in \nagreement with the original molecular description. The \nmethodology can in principle be adapted to any molecu- \nlar description of the system (MD simulations involving \ninteraction potentials accounting for polarization effects \nor Car-Parrinello MD simulations for example) as long \nas the ion-ion RDF are known. It can also be generalized \nto study interfaces. The method appears to be a promis- \ning approach toward the description of the specific effects \nof ions, especially for complex systems whose modeling \nrequires an analytic solution. \n\n8 \n\nFIG. 5: (Color online) RDF obtained from MC simulations \n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) \nat two concentrations. \n\nThe RDF obtained within BIMSA3 are compared with \nthe MC and MSA-fit results in Fig. 5. Our BIMSA3 \nmodel accounts for the strong molecular peak of the CIP \nand provides the correct distances of minimal approach; \nwhereas the naive MSA-fit procedure ignores the former \nand gives poor estimates for the latter. At larger sep- \narations, the BIMSA3 results do not reproduce the os- \ncillations observed in the MC simulations, but the cor- \nresponding energy oscillations in the effective potentials \nIn addition, the perturbation term \nare less than kBT . \n\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 \n276 (1945). (2007). \n\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical \nChemistry of Electrolyte Solutions (Springer, 1998). \n[3] L. Blum, in Theoretical Chemistry: Advances and Per- \nspectives, edited by H. Eyring and D. Henderson (Aca- \ndemic Press, 1980), vol. 5, pp. 1–66. \n\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. \nLett. 100, 258105 (2008). \n\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009). \n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq- \n\nuids (Academic Press, 1986). \n\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995). \n[5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005). \n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 \n\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. \nSoc. London, Ser. A 359, 1545 (2001). \n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, \n(2006). 041202 (2002). \n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. \nColloid Interface Sci. 9, 1 (2004). \n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. \n96, 147801 (2006). \n\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo- \ndynamic and Transport Properties, vol. I-II (Coimbra Ed- \nitora, Lisbon, Portugal, 1984). \n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, \n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 333 (1984). \n(2009). [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. \n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, Phys. 101, 1741 (2003). \n10878 (2006) [21] The average contact distance between a symmetric \n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, dumbbell and an infinite plane at β = 0. \n3730 (1995).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2648.pdf" + }, + { + "text": "1.3 8 \n\n| (a) MC\nMSA2\nDHLL\nExp | |\n|---|---|\n| (a) MC MSA2 DHLL Exp | |\n| (b) σ(MSA-fit) 1 σ(MSA-fit) | |\n| | σ(MSA-fit) 1 σ(MSA-fit) |\n| | 2 σ(MSA2) 1 σ(MSA2) 2 |\n| | |\n\n\n1.2 \n6 MC \ng12 \n(r) \n1.1 \n4 \nΦ MD \ng12 \n(r) \n1 \n2 \n0.9 \n\n5 \n) \nÅ \n4 \n( \nσ \n3 \n\n0 1 0.5 1.5 \n1/2 -1 \n1/2 \n) c (mol.L \n\nFIG. 1: Effective McMillan-Mayer short-range pair potentials \nextracted from explicit solvent simulations using the HNC \nclosure. (a) Cation anion, (b) cation cation, (c) anion anion, \n(d) cation anion RDF obtained from explicit solvent MD and \nimplicit solvent MC simulations. \nFIG. 2: \n(Color online) (a) Osmotic coefficient Φ in the \nMcMillan-Mayer frame of reference. (diamond) MC simula- \ntions, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law \n(DHLL), (cross) experiments (Ref. [18] with the McMillan- \nMayer to Lewis Randall conversion). (b) Minimization diam- \neters. (dot dashed) MSA2 and (diamond) MSA-fit. \n\npute all ion thermodynamic properties through implicit \nsolvent MC simulations. \n\nThe second stage of our coarse-graining procedure con- \nsists in applying LPT, in order to deduce the best ana- \nlytical model of electrolyte solutions which reproduces \nthis molecular description. The principle of LPT is to \ndescribe the properties of a given system in terms of \nthose of a well known reference system, with the differ- \nence between them treated as a perturbation in the ref- \nerence potential. Assuming pairwise additive potentials, \nVij = V (0) \nij + ∆Vij , a first-order truncated expression for \nthe free energy density of the system βfv is obtained, \n\n1 \n2 \ndr g(0) \nij (r)∆Vij (r) \n(1) \nXi,j \n\nWe first used LPT for a two-component system (Na+ \nand Cl− free ions) within the MSA (model MSA2), for \n1. The mini- \nconcentrations ranging from 0.1 to 2.0 mol l− \nmization leads to almost constant diameters on the whole \nrange of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. \nAs shown in Fig. 2, these parameters yield osmotic co- \nefficients close to MC calculations only at very low con- \n1 (experimental values are \ncentration, i.e., c ≤ 0.1 mol l− \ngiven for indicative purposes only, since a perfect model \nwill exactly match the MC results). For molar solutions, \nthe LPT results differ considerably from MC calculations. \nThis discrepancy can easily be understood by comparing \nthe diameters found within the MSA2 calculation with \nthe effective potentials given in Fig. 1. The anion/cation \ncontact distance obtained within the MSA2 calculation \nis 4.2 ˚A, which is in the region of the second minimum of \nthe effective potential and corresponds to the situation \nwhere there is a single layer of water molecules between \nthe ions. The first minimum of the potential, which cor- \nresponds to the contact ion pair (CIP) is thus completely \nignored by the MSA2 calculation. If the MSA diameters \nare directly fitted to reproduce the MC osmotic pres- \nsure, much smaller values are obtained. These MSA-fit \nhydrated diameters, which are compared to the MSA2 \ndiameters in the bottom part of Fig. 2, are averages of \nthe CIP and the solvent-separated ion pair. \n\nwhich depends only on the free-energy density f (0) \nand \nv \nRDF g(0) of the reference fluid, with β = (kBT )− \n1 and \nρi the concentration of species i. The Gibbs-Bogoliubov \ninequality [15] ensures that the right-hand side of Eq. (1) \nis actually a strict upper bound. Once a reference system \nhas been chosen, the expression on the right-hand side of \nEq. (1) must be minimized with respect to the parameters \ndefining the reference. This procedure yields the best \nfirst-order approximation to the free energy of the system \nunder consideration.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "Models of electrolyte solutions from molecular descriptions: The example of NaCl \nsolutions \n\nJohn Jairo Molina1,2,3,∗ Jean-Fran¸cois Dufrˆeche1,2,3,† Mathieu \nSalanne1,2, Olivier Bernard1,2, Marie Jardat1,2, and Pierre Turq1,2 \n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France \n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France \n3 Institut de Chimie S´eparative de Marcoule (ICSM), \nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule, \nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France \n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom \ndescriptions; providing analytical expressions of the thermodynamic and structural properties of \nthe ions consistent with the underlying explicit solvent representation. Effective potentials between \nions in solution are calculated to perform perturbation theory calculations, in order to derive the \nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions \nyields excellent agreement with the all-atom model, provided ion association is taken into account. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\nSince the pioneering works of Debye, H¨uckel, and \nOnsager, electrolyte solutions have been commonly \ndescribed by continuous solvent models, \nfor which \nthe McMillan-Mayer theory [1] provides a rigorous \nstatistical-mechanical foundation. Within that level of \ndescription, simple phenomenological models such as the \nprimitive model (PM), for which the ions are assimi- \nlated to charged hard spheres [2], can lead to explicit \nformulas for the thermodynamic and structural proper- \nties (e.g., with the help of the mean spherical approxima- \ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These \nmodels are the most practical to use [5], since they allow \nfor a direct link between the experimental measurements \nand the microscopic parameters of the system. Never- \ntheless, they ignore the molecular structure of the sol- \nvent. Consequently, they cannot properly account for \nthe complex specific effects of the ions, which appear in \nnumerous biological, chemical, and physical interfacial \nphenomena [6, 7], without further developments. \n\nmolecular dynamics (MD) results. Different approxima- \ntions of the PM are employed for the case of NaCl elec- \ntrolyte solutions: a two component model (MSA2), that \nonly takes free ions into account, and two different three \ncomponent models (MSA3 and BIMSA3), which include \na third species (the contact ion pair). As we proceed \nto show, LPT allows us to select the best simple model \nwhich accurately accounts for the thermodynamics and \nthe physical-chemistry of the system. \n\nThe first stage consists in calculating the McMillan- \nMayer effective ion-ion interaction potentials V eff \nij (r), by \ninverting the radial distribution functions (RDF) gij(r) \nobtained by MD. The simulations were carried out on \na box of 2000 water molecules and 48 NaCl pairs us- \ning the same interaction potentials as in reference [16]. \n1. \nThis setup corresponds to a concentration of 0.64 mol l− \nNPT ensemble sampling at standard pressure and tem- \nperature was enforced, with a time step of 1 fs and a \npressure bath coupling constant of 1 ps. An equilibration \nrun of 0.25 ns was followed by a production run of 0.6 ns \nfor five different initial configurations. The averages of \nthe resulting RDF were then used for the potential inver- \nsion via the HNC closure [15]. These effective potentials \nare assumed to be concentration independent and will be \nused for simulations at all concentrations. \n\n] \nh \np \n- \nm \ne \nh \nc \n. \ns \nc \ni \ns \ny \nh \np \n[ \n\n1 \nv \n8 \n4 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2648.pdf" + }, + { + "text": "-0.5 \n) \n1 \n- \nPair Fraction \nL \n\n. \nl \no \nm \n-1 \n( \n0.2 \nx \ne \nv \nf \nβ \n0.1 \n\n-1.5 \n0 1 0.5 \n\n| (a)\nβV~SR(r)\n12\nβVSR(r)\n12 | (d)\nβV~SR(r)\n33 |\n|---|---|\n| (a) βV~SR(r) 12 βVSR(r) 12 | (d) βV~SR(r) 33 |\n| (b) βV~SR(r) 13 | (c) βV~SR(r) 23 |\n\n\n3 \n\n2 \n\n1 \n\n0 \n\n3 \n\n2 \n\n1 \n\n0 \n\n4 8 4 8 6 10 6 10 \nr (Å) \n\nFIG. 3: Effective pair potentials derived for MSA3 and \nBIMSA3. (a) Cation anion (dashed line: without taking the \npair into account), (b) pair cation, (c) pair anion, and (d) pair \npair. The internal potential of the pair β eVint(r) is set equal \nto βV eff ij (r) for distances less than 4 ˚A. \n\n0 0.5 \n1/2 \nc \n\n(Color online) Excess free-energy density βf ex \nv \n\nFIG. 4: \nas \na function of the square root of the concentration √c. (dia- \nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, \n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The \ninset gives the fraction of pairs (MSA3, BIMSA3) as a func- \ntion of √c. \n\ntrapolating the original potential at the barrier separat- \ning pairs from free ions (as shown in Fig. 3). We assume \nthat the interaction potential is averaged over the rota- \ntional degrees of freedom of the CIP and thus pairwise \nadditive. Hereafter, the quantities referring to such a \nthree-component model are written with a tilda symbol. \nThe short-range potentials involving the pair can be de- \nrived, in the infinite dilution limit, from an average of \nthe contributing ion interactions. In Fourier space, \n\n3i (k) = \nV SR \n33 (k) = \nV SR \ne \ne \nwhere \n\n(k), \nw(k/2) \n1i + V SR \nV SR \n2i \n(cid:3) \n(cid:2) \nw(k/2)2 \n22 + 2V SR \n11 + V SR \nV SR \ne \n12 \n(cid:2) \ni = 1, 2 \n(k) \n\n(2a) \n\n(2b) \n(cid:3) \ne \nw(r) is the pair probability distribution \n\ne \nw(r) = K − \nβ eVint(r) \n1 \n0 e− \n(2c) \n\ne \n\nVint(r) is the internal part of the pair potential (see \nFig. 3), and K0 is the association constant, defined as: \ne \n\nwe have no additional information, we consider only sym- \nmetric dumbbells. Furthermore, since analytic expres- \nsions for the RDF within BIMSA are not known, we ap- \nproximate the dumbbell as a hard sphere when comput- \ning the perturbation term (this is not necessary for the \nreference term, since an expression for the free energy \nis available). Let \nσc be the diameter of the cation (an- \nion) within the dumbbell, the diameter of the hard sphere \ne \nσc[21]. \nrepresenting this dumbbell is taken to be \nthree- \ne \ncomponent MSA3 and BIMSA3, we obtain results in \nmuch better agreement with the MC simulations, as \nshown in Fig. 4. The diameters obtained for species 1, \n2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, \n4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are \nsimilar for MSA2, MSA3, and BIMSA3. The pair diam- \neter is smaller when modeled as a hard sphere (MSA3) \nthan when modeled as a dumbbell (BIMSA3). At high \n1), the MSA3 overestimates \nconcentration (about 1 mol l− \nthe free energy, because the excluded volume repulsion \nbecomes too important for the pairs to be represented as \nhard spheres. The BIMSA3 model is the closest to the \nMC simulation results. It is worth noting that even at \nthe lowest concentration considered, the fraction of pairs \n(shown in the insert of Fig. 4), although less then 5%, \nhas a non-negligible effect on the thermodynamics of the \nsystem. \n\nσ3 = 4√2 \nπ \nthe Using these two reference \nsystems, \ne \n\nw(k) (1 − δij ) + \nρ3 \nw(k/2) \ng3j \nρj \ng3i + \nρi \nρ3 \ne \ne \ne \ne \n(cid:2) \nw(k/2)]2 \ng33(k) \nρ 2 \n3 [ \ne \ne \ne \ne \ne \ngij(k) \n(k) \ne \n(cid:3) \n\nρi ρj \n\ne \n\nβ eVint(r) = 0.43 L.mol− \n∞ \n1 \ndr 4πr2e− K0 = (3) \nZ \n0 \n\nThe excess free-energy density of the original system \nf ex \nv plus a \nβf ex \nv \ncorrection term \nis that of the three component mixture β \n\ne \n\nThis procedure also provides an accurate description of \nthe structure over the whole range of concentrations. A \ndevelopment similar to the one that leads to Eq. (2) de- \nrives the average unpaired RDF from the corresponding \npaired quantities: \n\nβf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "] \nh \np \n- \nm \ne \nh \nc \n. \ns \nc \ni \ns \ny \nh \np \n[ \n\n1 \nv \n8 \n4 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nAn alternative procedure consists in carrying out \nmolecular simulations, where both the solvent and solute \nare treated explicitly. After a rigorous averaging over \nthe solvent configurations, a coarse-grained description \nof the ions, which still includes the effect of the solvent \nstructure, can be obtained [8–11]. However, this set of \nmethods is purely numeric; they do not provide any an- \nalytical expression for thermodynamic quantities. They \nare therefore restricted to simple geometries [12, 13] (bulk \nsolutions or planar interfaces). The description of com- \nplex systems, such as porous or electrochemical materi- \nals, is still based on continuous solvent models [14]. \n\nIn this letter we present a method aimed at bridging \nthe gap between analytical and numerical approaches. It \nis based on the application of liquid perturbation theory \n(LPT) [15] to effective ion-ion potentials extracted from \n\nSubtracting \nlong-range Coulombic potential \nV LR \nij (r) (which depends on the dielectric constant of the \nsolvent) from V eff \nij (r), we obtain the short-range contri- \nbution V SR \nij (r) to the effective potentials. These are given \nin Fig. 1 (species 1 and 2 refer to Na+ and Cl− free ions, \nrespectively). All the short-range potentials exhibit os- \ncillations corresponding to the solvent layering between \nthe ions, but this effect is particularly important for the \ncation-anion interaction: a considerable potential barrier \n(& 2kBT ) separates the first two attractive wells. To \nserve as a reference, Monte Carlo (MC) simulations were \nperformed with these effective potentials; a comparison \nbetween MD and MC RDF is also provided in Fig. 1. The \nexcellent agreement between both sets of RDF validates \nthe HNC inversion procedure [17], and allows us to com- \n\nthe", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2648.pdf" + }, + { + "text": "For a system of charged particles in solution, the nat- \nural reference is the PM, defined in terms of the charge \nand diameter (σi) of each species. In this case, the per- \nturbing potentials are just the short-range effective po- \ntentials computed above (∆Vij = V SR \nij ). We use the \nMSA [3] solution to the PM, since it provides analyti- \ncal expressions for both the free energy and the RDF. \nThe perturbation term is evaluated using an exponential \napproximation to the RDF obtained within the MSA, \ng(r) = exp [gMSA(r) − 1], which removes any unphysical \nnegative regions and improves the comparison with HNC \ncalculations. \n\nTo overcome this difficulty, we have explicitly intro- \nduced the CIP in our model (species 3). Straightforward \ncalculations, based on a characteristic-function formal- \nism, allow us to define an equivalent model in which \nthe free ions and the CIP are explicitly taken into ac- \ncount [19, 20]. We apply this formalism by defining a \npair as an anion and a cation at a distance less than \n4 ˚A, which corresponds to the position of the effective \npotential maximum. The interaction between free, like \ncharges in this new system remains unchanged, and the \ncation-anion interactions are easily approximated by ex-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "βf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne \n\nwhich is due to the change in standard chemical potential \nbetween the two component and three component mod- \nels. It should be noted that the fraction of pairs is now an \nadditional parameter in the minimization scheme, which \nserves to ensure chemical equilibrium. Within this rep- \nresentation, the pair can be modeled as a hard sphere \n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since \n\ne e e", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How- \n\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains \n\nthe free energy functional for a continuous system \n\n(cid:90) \n(cid:104) \ndr \n(cid:105) \n\nεll \n2 εnn \n2 \n(∇ρl)2 + (∇ρn)2 + εnl(∇ρn) · (∇ρl) − µρl F [ρl, ρn] = f (ρl, ρn) + \n, (4) \n\nwhere \n\nf (ρl, ρn) = kT [ρl ln ρl + (1 − ρl) ln(1 − ρl)] \n\n+ kT [ρn ln ρn + (1 − ρn) ln(1 − ρn)] \n\n− 2εllρ2 \nl − 2εnnρ2 n − 4εnlρnρl. \n(5) \n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) \n\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from \n\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a \n\ngradient expansion of the free energy functional of a continuous system [84]. However, here we \n\nhave made the mapping from the free energy of the lattice KMC system. \n\nThe chemical potential for the nanoparticles may be determined from the functional derivative \n\nµn = δF [ρn, ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary \n\nspatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the \n\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current \n\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of \n\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the \n\nfollowing evolution equation for the nanoparticle density profile \n\n(cid:20) \nMnρn∇ \n\n(cid:21) \n\n∂ρn \n∂t \nδF [ρn, ρl] \nδρn \n= ∇ · . (6) \n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have \n\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − \n\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value \n\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that \n\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a \n\nmobility coefficient α when ρl is high (wet substrate). \n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate \n\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may \n\n15", + "page_start": 14, + "page_end": 14, + "source_file": "1001.2669.pdf" + }, + { + "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to \n\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the \n\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to \n\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term \n\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal \n\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three- \n\ndimensional models are also discussed in the literature [76, 77]. \n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related \n\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. \n\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid, \n\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to \n\ndistinguish between the influence of the short- and the long-range parts of the interactions with the \n\nsubstrate, as all such interactions are absorbed into the effective chemical potential. \n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model \n\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit \n\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to \n\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes \n\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities \n\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied \n\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond \n\nto number densities as we use the lattice spacing σ = 1 as our unit of length. \n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ρl, ρn], and \n\nsecondly, devise dynamical equations for both density fields that account for the conserved and the \n\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. \n\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) \n\napproximation for the free energy of the system [78, 84] which contains an entropic contribution \n\nand contributions from the interactions between the different species (nanoparticles and liquid). \n\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is \n\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", + "page_start": 13, + "page_end": 13, + "source_file": "1001.2669.pdf" + }, + { + "text": "175 \n0 \n20 \nΓ in meV \n40 \n\nFIG. 13: Behavior of WK with Γ for the original MFLI model \nat very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe \nthe inconsistency with WK in the BCSI model in Fig 4. \n\n0.4 \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \n0 \nc \nω \n( \n\nC \nS \nW \n\n−0.4 \n0.2 0.4 \n0.6 \n in eV \n0.8 \nω \nc \n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other pa- \nrameters the same as in Fig. 10. These parameters are chosen \nto illustrate that two sign changes (indicated by arrows in the \nfigure) are also possible within the original MFLI model. \n\n1 \n) \n\n∞ \nW \n( \n\n0.6 \n/ \n) \nc \n\nω \nW \n( \n\n0.2 \n\n0 \n0.5 \nω \n in eV \nc \n\nFIG. 11: The evolution of the optical integral in the NS (top) \nand the SCS (bottom) in the original MFLI model. Parame- \nters are the same as above. Note that only \n80% of the \nspectral weight is recovered up to 1eV . \n75 \n∼ − \n\nNS and SCS ∆W (Original MFLI) \n\nwith lattice \nwithout lattice \n\n) \nc \n20 \nω \n( \n\nS \nN \nW \n− \n) \n10 \n\nnot not a generic one. There exists a range of parame- \nters α and Γ where ∆WK is still positive, but ∆W (ωc) \nchanges the sign twice and is negative at intermediate \nfrequencies. We show an example of such behavior in \nFig14. Still, for most of the parameters, the behavior of \n∆W (ωc) is the same as in Fig. 12. \n\nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.6 \n0.4 \nω \n in eV \nc \n\nFIG. 12: Evolution of the difference of the optical integrals in \nthe SCS and the NS with the upper cut-off ωc. Parameters are \nthe same as before. Observe that the optical sum in the SCS \nis larger than in the NS and that ∆W has not yet reached \n∆WK up to the bandwidth. The dashed line is the FGT \nresult. \n\nOn more careful looking we found the problem with the \noriginal MFLI model. We recall that in this model the \nself-energy in the SCS state was obtained by just cutting \nthe NS self energy at ω1 (see Eq.18). We argue that \nthis phenomenological formalism is not fully consistent, \nat least for small α. Indeed, for α = 0, the MFLI model \nreduces to BCSI model for which the behavior of the self- \nenergy is given by Eq. (12). This self-energy evolves with \nhas a square-root singularity at ω = ∆ + ωo \nω and Σ \nin the original MFLI model \n(with ωo = 0). Meanwhile Σ \nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and \nthis happens for all values of α including α = 0 where the \nMFLI and BCSI model should merge. This inconsistency \nis reflected in Fig 13, where we plot the near-BCS limit \nof MFLI model by taking a very small α = 0.05. We \nsee that the optical integral WK in the SCS still remains \nlarger than in the NS over a wide range of Γ, in clear \ndifference with the exactly known behavior in the BCSI \n\n′′ \n\nThis clearly affects nk because it is expressed via the full \nGreen’s function and competes with the conventional ef- \nfect of the gap opening. The distribution function from \nthis model, which we show in Fig.2b brings this point \nout by showing that in a MFLI model, at ǫ < 0, nk in a \nsuperconductor is larger than nk in the normal state, in \nclear difference with the BCSI case. \n\nWe analyzed the original MFLI model for various pa- \nrameters and found that the behavior presented in Fig. \n12, where ∆W (ωc) > 0 for all frequencies, is typical but", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210582_en.pdf", + "query": "In the health regulation regarding coronavirus, what is considered a \"device\" ?", + "target_page": 3, + "target_passage": "means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**). \n\nPART 1 \n\nIntroductory \n\n**Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International \n\nTravel and Operator Liability) (England) Regulations 2021. \n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \n\n**Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations— \n\n“category 1 arrival” means person who has arrived in England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n\n“category 1 country or territory” means a country or territory, or part of a country or territory, \nspecified in Schedule 1(**b**); \n\n“category 2 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 2(**c**); \n\n“category 3 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 3(**d**); \n\n“child” means a person under the age of 18; \n\n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(**e**); \n\n“coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n\n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n\n“designated port” means a port designated for the purposes of Schedule 11; \n\n“device” means an in vitro diagnostic medical device within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(**f**); \n\n“disability” has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule \n1 to, that Act); \n\n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**); \n\n“managed self-isolation package” has the meaning given in paragraph 8 of Schedule 11; \n\n“operator” except in regulation 18, means an operator of a relevant service; \n\n(**a**) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14). \n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” countries and territories. \n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” countries and territories. \n(**d**) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” countries and territories. \n(**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the common travel area”. \n\n(**f**) S.I. 2002/618. \n(**g**) 2010 c. 15. \n(**h**) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. \n1993/1813.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where the person who is the \noperator of the laboratory complies with the requirements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n\n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \n\n**Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \n\nwhere— \n\n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n\n(i) in respect of— \n\n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n\n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n\n(2) A test complies with this sub-paragraph where— \n\n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n\n(b) it is, in relation to a Schedule 11 passenger— \n\n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n\n(c) the manufacturer of any device used for the purposes of the test states that the device— \n\n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided \nconfidence interval entirely above 90%), and \n\n(iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per \n\nmillilitre; and \n\n(d) any device used for the purposes of the test— \n\n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n\n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before the test is administered or \n\nprovided to P. \n\n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \n\ngiven by paragraph 2(2) of Schedule 10. \n\n**Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \n\nparagraph where— \n\n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting; \n\n(c) they have provided the Department of Health and Social Care with a list of all \norganisations that they work with (whether by sub-contract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n\n(d) in relation to a test which requires laboratory processing— \n\n(i) the person responsible for the taking of samples meets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the \ntaking of samples, and \n\n(ii) the laboratory used by the test provider for the processing of samples meets the \nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n\n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n\n(f)", + "page_start": 62, + "page_end": 62, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \n\n**Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n**2015**\n\n**18.**The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are \n\namended as follows. \n\n**19.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**20.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(1) and (4) (needs assessments which are not completed); \n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan); \n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans); \n\n(d) regulation 19 (requirement to consider mediation); \n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \n\npursue mediation); \n\n(f) regulation 21 (mediation); \n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n\n(h) regulation 27(3) (steps to be taken by a home authority); \n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and \n\n(j) regulation 30(3) and (6) (unopposed appeals).”. \n\n**21.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**22.**In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs \n\nassessment)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“, or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n(**a**) S.I. 2015/62.", + "page_start": 3, + "page_end": 3, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "(iii) a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre, \nand \n\n(iv) uses an established molecular detection method; \n\n(c) any device used for the purposes of the test— \n\n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n\n2002, other than solely by virtue of regulation 39(2) of those Regulations, \n\n(ii) has been validated no more than 18 months before the test is administered or \nprovided to P; \n\n(d) it is not a test provided or administered under the National Health Service Act 2006, the \nNational Health Service (Wales) Act 2006(**a**), the National Health Service (Scotland) Act \n1978(**b**), or the Health and Personal Social Services (Northern Ireland) Order 1972(**c**); \nand \n\n(e) the test provider complies with paragraph 3. \n\n(2) For the purposes of sub-paragraph (1), “validated”, in relation to a device, means confirmed \nas having the required sensitivity and specificity using at least 150 positive clinical samples and \n250 negative clinical samples against a laboratory-based RT-PCR test that is itself within the \nperformance specification of the target product profile published by the Medicines and Healthcare \nProducts Regulatory Agency for laboratory based SARS-CoV-2 PCR tests, by— \n\n(a) the Secretary of State; \n(b) a laboratory which is accredited to ISO standard 15189 or ISO/IEC standard 17025(**d**) \n\nby— \n(i) the United Kingdom Accreditation Service(**e**) (“UKAS”), or \n(ii) an accreditation body that is a signatory to the International Laboratory Accreditation \nCooperation (“ILAC”) Mutual Recognition Arrangement(**f**) or the European co- \noperation for Accreditation (“EA”) Multilateral Agreement(**g**), \n\nother than a laboratory which processes tests provided by the test provider for the \npurposes of this Schedule or is owned by the test provider or the device manufacturer. \n(**h**); or \n\n(c) a laboratory which is accredited by UKAS to ISO standard 15189 or ISO/IEC standard \n17025(**i**), other than a laboratory which processes tests provided by the test provider for \nthe purposes of this Schedule or is owned by the test provider or the device manufacturer. \n\n(**a**) 2006 c. 42. \n(**b**) 1978 c. 29. \n(**c**) S.I. 1972/1265 (N.I. 14). \n(**d**) ISO standards are published in Geneva by the International Organisation for Standardisation, and are available on their \nwebsite (www.iso.org) or at ISO Central Secretariat, International Organization for Standardization (ISO), 1 rue de \nVarembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of \ntesting and calibration laboratories was published in November 2017. \n(**e**) The United Kingdom Accreditation Service is a company limited by guarantee incorporated in England and Wales under \n\nnumber 3076190. \nILAC is an international organisation which coordinates the work of its signatory national accreditation bodies which are \nthemselves involved in the accreditation of conformity assessment bodies, testing laboratories, and medical testing \nlaboratories. \n\n(**f**) \n\n(**g**) EA is a regional organisation which coordinates the work of its signatory national accreditation bodies. EA is recognised by \nand works closely with ILAC. \n\n(**h**) A body corporate established under section 232 of the Health and Social Care Act 2012 (c. 7). \n(**i**) \n\nISO standards are published in Geneva by the International Organisation for Standardisation, and are available on their \nwebsite (www.iso.org) or at ISO Central Secretariat, International Organization for Standardization (ISO), 1 rue de \nVarembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of \ntesting and calibration laboratories was published in November 2017. ISO 15189 Medical Laboratories requirements for \nquality and competence was published in November 2012.", + "page_start": 68, + "page_end": 68, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) In regulation 4ZA— \n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator \nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability \nRegulations”)”; \n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations \n2020(**a**) are amended as follows. \n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n\n(3) In regulation 6(1)— \n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and Operator Liability) (England) \nRegulations 2021”. \n\nSCHEDULE 16 Regulation 26(3) \n\nTransitional provision \n\n**1.**Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n\n**2.**Confirmation given by the Foreign, Commonwealth and Development Office that a person is \nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that \nthe person is not required to comply with regulation 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n\n**3.**A designation by the Secretary of State of a person as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n\n**4.**Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021.", + "page_start": 88, + "page_end": 88, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**23.**In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the \n\nend of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**24.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**25.**In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n\n**26.**In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n\n(a) after paragraph (6) insert— \n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d) \napply.”. \n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”. \n\n**27.**In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \n\n**Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n**Recommendations Power) Regulations 2017**\n\n**28.**The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \n\nRegulations 2017(**a**) are amended as follows. \n\n**29.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**30.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and \n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.", + "page_start": 4, + "page_end": 4, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**18.**Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus, \nPublic Health Information for International Passengers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) \n(Amendment) Regulations 2021. \n\nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavirus or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 90, + "page_end": 90, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n\n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school \n\nor other institution); \n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person \n\ndoes not attend a school or other institution); \n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess \n\neducational, health care and social care provision); \n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n\n(g) regulation 33 (requirement to consider mediation); \n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails \n\nto pursue mediation); \n\n(i) regulation 35(2), (3) and (4) (mediation – health care issues); \n\n(j) regulation 36(2) (mediation - no health care issues); \n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier \n\nTribunal); \n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals); \n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and \n\n(p) regulation 56(3) (publication of comments on the local offer).”. \n\n**6.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**7.**In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**8.**In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**9.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "you have been traced as a contact of someone who tested positive \n\nFor advice on when you might need \nto do, go \nwww.nhs.uk/conditions/coronavirus-covid-19 and read ‘Self-isolation and treating symptoms’. \n\nto self-isolate and what to \n\n**Form B: positive test result**\n\nYour coronavirus test result is positive. You had the virus when the test was done. \n\nEven if you have not had symptoms of coronavirus, you must self-isolate for 10 days from the day \nafter your test date. Your test sample may be genome sequenced to check whether you have a \nvirus variant of concern or variant under investigation. \n\nPeople you live with or have travelled with should also self-isolate for 10 days from the day after \nyou took a test. \n\nIf you received a positive test result for the test taken you do not need to take any further tests. \nPeople you are travelling with must still take a day 8 test if they have travelled from an amber list \ncountry. \n\nYou may be contacted for contact tracing and to check that you, and those who you live or are \ntravelling with, are self-isolating. \n\nYou must not travel, including to leave the UK, during self-isolation. \n\nContact 111 if you need medical help. In an emergency dial 999. \n\n**Form C: unclear test result**\n\nYour coronavirus test result is unclear. It is not possible to say if you had the virus when the test \nwas done. \n\nYou must take another test or self-isolate for 10 days from the day after your test date. \n\nYou may be contacted to check that you are self-isolating. \n\n(4) Where— \n\n(a) regulation 4 or 4A of the Health Protection (Notification) Regulations 2010 applies in \n\nrelation to the test provider; or \n\n(b) if the test provider arranges with another person (“X”) for X to carry out any element of \nthe single end-to-end testing service on their behalf, either of those regulations applies to \nX in the carrying out of that element, \n\nthe regulation applies as if it required the information described in sub-paragraph (5) to be \nincluded in the notification to Public Health England. \n\n(5) The information mentioned in sub-paragraph (4) is— \n\n(a) the date on which P last departed from or transited through a category 2 country or \nterritory; \n\n(b) P’s coach number, flight number or vessel name (as appropriate); \n(c) the country or territory P was travelling from when P arrived in England, and any country \n\nor territory they transited through as part of that journey; \n\n(d) the date on which P undertook the appropriate test; \n(e) whether the test is— \n\n(i) a day 2 test for a category 1 arrival, \n(ii) a day 2 test for a person who is not a category 1 arrival, or \n(iii) a day 8 test.", + "page_start": 65, + "page_end": 65, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *28th April 2020*\n\n*Laid before Parliament* *30th April 2020*\n\n*Coming into force -* *-* *1st May 2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the \nEducation Act 1996(**b**). \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the Special Educational Needs and Disability \n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \n\n**Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the \nperiod for which they have effect. \n\n(2) These Regulations cease to have effect on 25th September 2020. \n\n**Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.**The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows. \n\n**4.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**5.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \n\n(**a**) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(**b**) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(**c**) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200471_en.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210582_en.pdf", + "query": "Regarding the regulation of Enforcement of requirement to self-isolate concerning travel and coronavirus, who are considered an \"authorised persons\" ?", + "target_page": 19, + "target_passage": "For the purposes of this regulation, “authorised person” means— (a) a constable; (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or (c) a person designated by the Secretary of State for the purposes of this regulation.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**18.**Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus, \nPublic Health Information for International Passengers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) \n(Amendment) Regulations 2021. \n\nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavirus or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 90, + "page_end": 90, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) In regulation 4ZA— \n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator \nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability \nRegulations”)”; \n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations \n2020(**a**) are amended as follows. \n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n\n(3) In regulation 6(1)— \n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and Operator Liability) (England) \nRegulations 2021”. \n\nSCHEDULE 16 Regulation 26(3) \n\nTransitional provision \n\n**1.**Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n\n**2.**Confirmation given by the Foreign, Commonwealth and Development Office that a person is \nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that \nthe person is not required to comply with regulation 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n\n**3.**A designation by the Secretary of State of a person as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n\n**4.**Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021.", + "page_start": 88, + "page_end": 88, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \n\n**Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n**2015**\n\n**18.**The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are \n\namended as follows. \n\n**19.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**20.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(1) and (4) (needs assessments which are not completed); \n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan); \n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans); \n\n(d) regulation 19 (requirement to consider mediation); \n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \n\npursue mediation); \n\n(f) regulation 21 (mediation); \n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n\n(h) regulation 27(3) (steps to be taken by a home authority); \n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and \n\n(j) regulation 30(3) and (6) (unopposed appeals).”. \n\n**21.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**22.**In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs \n\nassessment)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“, or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n(**a**) S.I. 2015/62.", + "page_start": 3, + "page_end": 3, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "If you have not had symptoms of coronavirus, you must self-isolate for 10 days from the day after \nyour test date. If you have symptoms of coronavirus, you must self-isolate for 10 days from the \nday your symptoms started, if earlier than when you took your test. \n\nYou must, by law, continue self-isolating for the remainder of your self-isolation period as an \ninternational arrival travelling to the UK from an amber-list country, territory or region. You may \nbe contacted to check that you are self-isolating. \n\nIf you want to shorten your self-isolation period you will need to take another test for international \narrivals from amber list countries, territories or regions. For more information, go to \nhttps://www.gov.uk/guidance/coronavirus-covid-19-test-to-release-for-international-travel. \n\n(4) The test provider must, on request, provide a constable or any other person employed in or \nfor the purposes of any police force, with— \n\n(a) P’s passport number, or travel document reference number (as appropriate); \n(b) P’s test result; \n(c) the date on which P undertook the test; \n(d) the date on which the test result was notified or made available to P or X in accordance \n\nwith sub-paragraphs (2) and (3). \n\n(5) Where— \n\n(a) regulation 4 or 4A of the Health Protection (Notification) Regulations 2010(**a**) applies in \nrelation to the test provider; or \n\n(b) if the test provider arranges with another person (“X”) for X to carry out any element of \nthe single end-to-end testing service on their behalf, either of those regulations applies to \nX in the carrying out of that element, \n\n(**a**) S.I. 2010/659; regulation 4 was amended by S.I. 2013/235, 2020/1175, 2020/764, 2021/150 and regulation 4A was inserted \nby S.I. 2020/1175.", + "page_start": 72, + "page_end": 72, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "United Kingdom and, if so— \n(i) the location at which they will depart from in the United Kingdom, \n(ii) their final destination country or territory, \n(iii) the operator they are travelling with or through which their booking was made for \n\ntheir onward journey, \n\n(iv) the seat number for their onward journey, \n(v) the flight number or vessel name for their onward journey, \n(vi) the coach number for their onward journey. \n\n**3.**Where the passenger is travelling with a child for whom they have responsibility— \n\n(a) the full name and date of birth of that child; \n(b) the relationship of the passenger to that child. \n\n**4.**Where the passenger is a person required by regulation 9(2) to self-isolate, and intends to \n\nundertake a test in accordance with Schedule 10 (optional tests)— \n\n(a) the name of the test provider; \n(b) the test reference number provided to them by the test provider in accordance with \nparagraph 4(d) of that Schedule. \n\n**5.**Where regulation 6 (requirement to book and undertake tests) requires a testing package— \n\n(a) the name of the test provider; \n(b) the test reference number provided to them by the test provider in accordance with \nparagraph 10(5) of Schedule 8. \n\nSCHEDULE 7 Regulation 4 \n\nTesting before arrival in England \n\n**Compliant tests**\n\n**1.**A test complies with this paragraph if— \n\n(a) it is a test for the detection of coronavirus undertaken using a device which the \n\nmanufacturer states has—", + "page_start": 55, + "page_end": 55, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "you have been traced as a contact of someone who tested positive \n\nFor advice on when you might need \nto do, go \nwww.nhs.uk/conditions/coronavirus-covid-19 and read ‘Self-isolation and treating symptoms’. \n\nto self-isolate and what to \n\n**Form B: positive test result**\n\nYour coronavirus test result is positive. You had the virus when the test was done. \n\nEven if you have not had symptoms of coronavirus, you must self-isolate for 10 days from the day \nafter your test date. Your test sample may be genome sequenced to check whether you have a \nvirus variant of concern or variant under investigation. \n\nPeople you live with or have travelled with should also self-isolate for 10 days from the day after \nyou took a test. \n\nIf you received a positive test result for the test taken you do not need to take any further tests. \nPeople you are travelling with must still take a day 8 test if they have travelled from an amber list \ncountry. \n\nYou may be contacted for contact tracing and to check that you, and those who you live or are \ntravelling with, are self-isolating. \n\nYou must not travel, including to leave the UK, during self-isolation. \n\nContact 111 if you need medical help. In an emergency dial 999. \n\n**Form C: unclear test result**\n\nYour coronavirus test result is unclear. It is not possible to say if you had the virus when the test \nwas done. \n\nYou must take another test or self-isolate for 10 days from the day after your test date. \n\nYou may be contacted to check that you are self-isolating. \n\n(4) Where— \n\n(a) regulation 4 or 4A of the Health Protection (Notification) Regulations 2010 applies in \n\nrelation to the test provider; or \n\n(b) if the test provider arranges with another person (“X”) for X to carry out any element of \nthe single end-to-end testing service on their behalf, either of those regulations applies to \nX in the carrying out of that element, \n\nthe regulation applies as if it required the information described in sub-paragraph (5) to be \nincluded in the notification to Public Health England. \n\n(5) The information mentioned in sub-paragraph (4) is— \n\n(a) the date on which P last departed from or transited through a category 2 country or \nterritory; \n\n(b) P’s coach number, flight number or vessel name (as appropriate); \n(c) the country or territory P was travelling from when P arrived in England, and any country \n\nor territory they transited through as part of that journey; \n\n(d) the date on which P undertook the appropriate test; \n(e) whether the test is— \n\n(i) a day 2 test for a category 1 arrival, \n(ii) a day 2 test for a person who is not a category 1 arrival, or \n(iii) a day 8 test.", + "page_start": 65, + "page_end": 65, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**23.**In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the \n\nend of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**24.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**25.**In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n\n**26.**In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n\n(a) after paragraph (6) insert— \n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d) \napply.”. \n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”. \n\n**27.**In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \n\n**Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n**Recommendations Power) Regulations 2017**\n\n**28.**The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \n\nRegulations 2017(**a**) are amended as follows. \n\n**29.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**30.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and \n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.", + "page_start": 4, + "page_end": 4, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where the person who is the \noperator of the laboratory complies with the requirements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n\n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \n\n**Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \n\nwhere— \n\n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n\n(i) in respect of— \n\n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n\n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n\n(2) A test complies with this sub-paragraph where— \n\n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n\n(b) it is, in relation to a Schedule 11 passenger— \n\n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n\n(c) the manufacturer of any device used for the purposes of the test states that the device— \n\n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided \nconfidence interval entirely above 90%), and \n\n(iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per \n\nmillilitre; and \n\n(d) any device used for the purposes of the test— \n\n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n\n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before the test is administered or \n\nprovided to P. \n\n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \n\ngiven by paragraph 2(2) of Schedule 10. \n\n**Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \n\nparagraph where— \n\n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting; \n\n(c) they have provided the Department of Health and Social Care with a list of all \norganisations that they work with (whether by sub-contract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n\n(d) in relation to a test which requires laboratory processing— \n\n(i) the person responsible for the taking of samples meets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the \ntaking of samples, and \n\n(ii) the laboratory used by the test provider for the processing of samples meets the \nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n\n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n\n(f)", + "page_start": 62, + "page_end": 62, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**Requirement to ensure passengers possess notification of negative test result**\n\n**17.**—(1) An operator must ensure that a passenger— \n\n(a) who presents at immigration control at the Channel Tunnel shuttle terminal area in \nFrance, with the intention of boarding a shuttle service destined for the United Kingdom, \nis in possession of a required notification, on so presenting; \n\n(b) who arrives at a port in England on a relevant service is in possession of a required \n\nnotification. \n\n(2) Paragraph (1) does not apply in relation to a passenger— \n\n(a) whom the operator, or a person acting on behalf of the operator, reasonably believes is \nnot required to comply with the requirement to possess notification of a negative test \nresult under regulation 4(1) or has a reasonable excuse for failing to comply with that \nrequirement; \n\n(b) who is a child, travelling without an individual who has responsibility for them; or \n(c) who is a transit passenger who does not have the right to enter the country or territory \n\nfrom which the relevant service departs. \n\n(3) In this regulation— \n\n“required notification” means notification of the result of a test for the detection of \ncoronavirus which includes, in English, French or Spanish, the following information— \n(a) the name of the person from whom the test sample was taken, \n(b) that person’s date of birth or age, \n(c) the negative result of that test, \n(d) the date the test sample was collected or received by the test provider, \n(e) the name of the test provider and information sufficient to contact that provider, \n(f) a statement— \n\n(i) that the test was a polymerase chain reaction test, or \n(ii) of the name of the device that was used for the test; \n\n“transit passenger” means a person who has arrived in the country or territory from which the \nrelevant service departs with the intention of passing through to England without entering that \ncountry or territory. \n\n**Requirement to ensure that certain passengers arrive only at designated ports**\n\n**18.**—(1) An operator must take all reasonable steps to ensure that no Schedule 11 passenger \n\narrives on a relevant transport service at a port in England which is not a designated port. \n\n(2) Paragraph (1) does not apply where, in the case of an aircraft— \n\n(a) it is necessary for the pilot in command of the aircraft by means of which the transport \nservice is provided to land the aircraft at a place in England other than a designated port \nto secure— \n(i) the safety or security of the aircraft, or \n(ii) the safety of any person aboard the aircraft; \n\n(b) the aircraft is an air ambulance and it is landing otherwise than at a designated port for the \n\npurposes of transporting a person for medical treatment; \n\n(c) the pilot in command of the aircraft is instructed by an authorised person to land the \naircraft at a place in England which is not a designated port. \n\n(3) Schedule 13 makes further provision regarding the arrival of aircraft and vessels into \n\nEngland.", + "page_start": 21, + "page_end": 21, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk \n\nhttps://www.gov.uk/uk-border-control \n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice \n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \n\nhttps://gov.wales/arriving-wales-overseas \n\nSCHEDULE 13 Regulation 18(3) \n\nProhibition on the arrival of aircraft and vessels into England \n\n**Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule— \n\n“controller” means— \n(a) in relation to a commercially operated aircraft or vessel, the person who has management \ncontrol over the aircraft or vessel when it arrives in England, \n\n(b) in relation to any other aircraft or vessel, the person who has physical control over the \n\naircraft or vessel when it arrives in England; \n\n“passenger” means a person carried in or on an aircraft or vessel other than a member of the \naircraft or vessel’s crew; \n“port” has the same meaning as in the Merchant Shipping Act 1995(**a**). \n(2) In the definition of “controller” in sub-paragraph (1) “arrives” means— \n\n(a) in relation to an aircraft, lands; \n(b) in relation to a vessel, moors at a port. \n\n**Prohibition on arrival of aircraft into England**\n\n**2.**—(1) A controller must not cause or permit an aircraft whose last point of departure was in a \n\ncountry or territory listed in paragraph 4 to land in England unless— \n\n(a) landing in England is reasonably necessary to secure the safety of the aircraft or the \n\nhealth and safety of any person aboard it; \n\n(b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no \npassengers are permitted to board, or disembark from, the aircraft; or \n\n(c) the aircraft is an air ambulance and landing for the purpose of transporting a person for \n\nmedical treatment. \n\n(2) This paragraph does not apply in relation to— \n\n(a) a commercially operated aircraft carrying no passengers; \n(b) an aircraft operated by or in support of Her Majesty’s Government in the United \nKingdom; \n\n(c) an aircraft operated by or in support of a foreign country or territory where, prior to its \narrival in England, a United Kingdom Government Department has provided written \nconfirmation to the operator that the aircraft is carrying passengers who are travelling to \nconduct official business with the United Kingdom.", + "page_start": 83, + "page_end": 83, + "source_file": "uksi_20210582_en.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210582_en.pdf", + "query": "What is the expiracy date of the regulation regarding travel during the coronavirus pandemic made in 2021 ?", + "target_page": 31, + "target_passage": "These Regulations expire at the end of 16th May 2022.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**18.**Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus, \nPublic Health Information for International Passengers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) \n(Amendment) Regulations 2021. \n\nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavirus or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 90, + "page_end": 90, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "PART 6 \n\nFinal provisions \n\n**Review of need for requirements**\n\n**24.**The Secretary of State must review the need for the requirements imposed by these \n\nRegulations by 14th June 2021 and at least once every 28 days thereafter. \n\n**Expiry of Regulations**\n\n**25.**These Regulations expire at the end of 16th May 2022. \n\n**Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked— \n\n(a) the Health Protection (Coronavirus, Public Health Information for International \n\nPassengers) (England) Regulations 2020(**a**); \n\n(b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 \n\n(“the International Travel Regulations”)(**b**); and \n\n(c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) \n(England) (Amendment) Regulations 2021(**c**). \n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that \n\nSchedule. \n\n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person).", + "page_start": 30, + "page_end": 30, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) In regulation 4ZA— \n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator \nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability \nRegulations”)”; \n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations \n2020(**a**) are amended as follows. \n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n\n(3) In regulation 6(1)— \n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and Operator Liability) (England) \nRegulations 2021”. \n\nSCHEDULE 16 Regulation 26(3) \n\nTransitional provision \n\n**1.**Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n\n**2.**Confirmation given by the Foreign, Commonwealth and Development Office that a person is \nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that \nthe person is not required to comply with regulation 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n\n**3.**A designation by the Secretary of State of a person as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n\n**4.**Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021.", + "page_start": 88, + "page_end": 88, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**). \n\nPART 1 \n\nIntroductory \n\n**Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International \n\nTravel and Operator Liability) (England) Regulations 2021. \n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \n\n**Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations— \n\n“category 1 arrival” means person who has arrived in England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n\n“category 1 country or territory” means a country or territory, or part of a country or territory, \nspecified in Schedule 1(**b**); \n\n“category 2 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 2(**c**); \n\n“category 3 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 3(**d**); \n\n“child” means a person under the age of 18; \n\n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(**e**); \n\n“coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n\n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n\n“designated port” means a port designated for the purposes of Schedule 11; \n\n“device” means an in vitro diagnostic medical device within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(**f**); \n\n“disability” has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule \n1 to, that Act); \n\n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**); \n\n“managed self-isolation package” has the meaning given in paragraph 8 of Schedule 11; \n\n“operator” except in regulation 18, means an operator of a relevant service; \n\n(**a**) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14). \n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” countries and territories. \n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” countries and territories. \n(**d**) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” countries and territories. \n(**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the common travel area”. \n\n(**f**) S.I. 2002/618. \n(**g**) 2010 c. 15. \n(**h**) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. \n1993/1813.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk \n\nhttps://www.gov.uk/uk-border-control \n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice \n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \n\nhttps://gov.wales/arriving-wales-overseas \n\nSCHEDULE 13 Regulation 18(3) \n\nProhibition on the arrival of aircraft and vessels into England \n\n**Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule— \n\n“controller” means— \n(a) in relation to a commercially operated aircraft or vessel, the person who has management \ncontrol over the aircraft or vessel when it arrives in England, \n\n(b) in relation to any other aircraft or vessel, the person who has physical control over the \n\naircraft or vessel when it arrives in England; \n\n“passenger” means a person carried in or on an aircraft or vessel other than a member of the \naircraft or vessel’s crew; \n“port” has the same meaning as in the Merchant Shipping Act 1995(**a**). \n(2) In the definition of “controller” in sub-paragraph (1) “arrives” means— \n\n(a) in relation to an aircraft, lands; \n(b) in relation to a vessel, moors at a port. \n\n**Prohibition on arrival of aircraft into England**\n\n**2.**—(1) A controller must not cause or permit an aircraft whose last point of departure was in a \n\ncountry or territory listed in paragraph 4 to land in England unless— \n\n(a) landing in England is reasonably necessary to secure the safety of the aircraft or the \n\nhealth and safety of any person aboard it; \n\n(b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no \npassengers are permitted to board, or disembark from, the aircraft; or \n\n(c) the aircraft is an air ambulance and landing for the purpose of transporting a person for \n\nmedical treatment. \n\n(2) This paragraph does not apply in relation to— \n\n(a) a commercially operated aircraft carrying no passengers; \n(b) an aircraft operated by or in support of Her Majesty’s Government in the United \nKingdom; \n\n(c) an aircraft operated by or in support of a foreign country or territory where, prior to its \narrival in England, a United Kingdom Government Department has provided written \nconfirmation to the operator that the aircraft is carrying passengers who are travelling to \nconduct official business with the United Kingdom.", + "page_start": 83, + "page_end": 83, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \n\n**Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n**2015**\n\n**18.**The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are \n\namended as follows. \n\n**19.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**20.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(1) and (4) (needs assessments which are not completed); \n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan); \n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans); \n\n(d) regulation 19 (requirement to consider mediation); \n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \n\npursue mediation); \n\n(f) regulation 21 (mediation); \n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n\n(h) regulation 27(3) (steps to be taken by a home authority); \n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and \n\n(j) regulation 30(3) and (6) (unopposed appeals).”. \n\n**21.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**22.**In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs \n\nassessment)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“, or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n(**a**) S.I. 2015/62.", + "page_start": 3, + "page_end": 3, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *28th April 2020*\n\n*Laid before Parliament* *30th April 2020*\n\n*Coming into force -* *-* *1st May 2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the \nEducation Act 1996(**b**). \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the Special Educational Needs and Disability \n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \n\n**Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the \nperiod for which they have effect. \n\n(2) These Regulations cease to have effect on 25th September 2020. \n\n**Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.**The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows. \n\n**4.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**5.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \n\n(**a**) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(**b**) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(**c**) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n\n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school \n\nor other institution); \n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person \n\ndoes not attend a school or other institution); \n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess \n\neducational, health care and social care provision); \n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n\n(g) regulation 33 (requirement to consider mediation); \n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails \n\nto pursue mediation); \n\n(i) regulation 35(2), (3) and (4) (mediation – health care issues); \n\n(j) regulation 36(2) (mediation - no health care issues); \n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier \n\nTribunal); \n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals); \n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and \n\n(p) regulation 56(3) (publication of comments on the local offer).”. \n\n**6.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**7.**In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**8.**In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**9.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "England: https://www.gov.uk/uk-border-control \n\nNorthern Ireland: https://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel- \nadvice \n\nScotland: https://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \n\nWales: https://gov.wales/arriving-wales-overseas \n\nThe symptoms of coronavirus are a new continuous cough, a high temperature or a loss of, or \nchange in, normal sense of taste or smell. If you experience any of these symptoms, however mild, \nyou are advised to make yourself known to the crew. \n\nPART 3 \n\nRelevant websites \n\n**1.**The following are “the relevant websites” for the purposes of regulation 14— \n\nhttps://www.gov.uk/government/publications/coronavirus-covid-19-travellers-exempt-from-uk- \nborder-rules/coronavirus-covid-19-travellers-exempt-from-uk-border-rules \n\nhttps://www.gov.uk/guidance/booking-and-staying-in-a-quarantine-hotel-when-you-arrive-in- \nengland \n\nhttps://www.gov.uk/guidance/coronavirus-covid-19-testing-for-people-travelling-to-england \n\nhttp://www.gov.uk/travel-quarantine-and-testing \n\nhttps://www.gov.uk/guidance/red-amber-and-green-list-rules-for-entering-england", + "page_start": 82, + "page_end": 82, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "If you have not had symptoms of coronavirus, you must self-isolate for 10 days from the day after \nyour test date. If you have symptoms of coronavirus, you must self-isolate for 10 days from the \nday your symptoms started, if earlier than when you took your test. \n\nYou must, by law, continue self-isolating for the remainder of your self-isolation period as an \ninternational arrival travelling to the UK from an amber-list country, territory or region. You may \nbe contacted to check that you are self-isolating. \n\nIf you want to shorten your self-isolation period you will need to take another test for international \narrivals from amber list countries, territories or regions. For more information, go to \nhttps://www.gov.uk/guidance/coronavirus-covid-19-test-to-release-for-international-travel. \n\n(4) The test provider must, on request, provide a constable or any other person employed in or \nfor the purposes of any police force, with— \n\n(a) P’s passport number, or travel document reference number (as appropriate); \n(b) P’s test result; \n(c) the date on which P undertook the test; \n(d) the date on which the test result was notified or made available to P or X in accordance \n\nwith sub-paragraphs (2) and (3). \n\n(5) Where— \n\n(a) regulation 4 or 4A of the Health Protection (Notification) Regulations 2010(**a**) applies in \nrelation to the test provider; or \n\n(b) if the test provider arranges with another person (“X”) for X to carry out any element of \nthe single end-to-end testing service on their behalf, either of those regulations applies to \nX in the carrying out of that element, \n\n(**a**) S.I. 2010/659; regulation 4 was amended by S.I. 2013/235, 2020/1175, 2020/764, 2021/150 and regulation 4A was inserted \nby S.I. 2020/1175.", + "page_start": 72, + "page_end": 72, + "source_file": "uksi_20210582_en.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia2.pdf", + "query": "Who first suggested the notions of \"hard\" and \"easy\" problems regarding consciousness ?", + "target_page": 1, + "target_passage": "The terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Hard problem of consciousness**\n\nIn the philosophy of mind, the**hard problem of consciousness**is to explain why and how humans and \nother organisms have qualia, phenomenal consciousness, or subjective experience.[1][2] It is contrasted \nwith the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the \nability to discriminate, to integrate information, and to perform behavioral functions such as watching, \nlistening, speaking (including generating an utterance that appears to refer to personal behaviour or \nbelief), and so forth.[1] The easy problems are amenable to functional explanation—that is, explanations \nthat are mechanistic or behavioral—since each physical system can be explained (at least in principle) \npurely by reference to the \"structure and dynamics\" that underpin the phenomenon.[1][3] \n\nProponents of the hard problem argue that it is categorically different from the easy problems since no \nmechanistic or behavioral explanation could explain the character of an experience, not even in principle. \nEven after all the relevant functional facts are explicated, they argue, there will still remain a further \nquestion: \"why is the performance of these functions accompanied by experience?\"[1] To bolster their \ncase, proponents of the hard problem frequently turn to various philosophical thought experiments, \ninvolving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed \nineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such \nas the experience of being a bat. \n\n\n\nThe terms \"hard problem\" and \"easy problems\" were \ncoined by the philosopher David Chalmers in a 1994 talk \ngiven at The Science of Consciousness conference held in \nTucson, Arizona.[4] The following year, the main talking \npoints of Chalmers' talk were published in*The Journal of*\n*Consciousness*\ngained \nsignificant attention from consciousness researchers and \nbecame the subject of a special volume of the journal,[5][6] \nwhich was later published into a book.[7] In 1996, \nChalmers published*The Conscious Mind*, a book-length \ntreatment of the hard problem, in which he elaborated on \nhis core arguments and responded to counterarguments. His \nuse of the word*easy*is \"tongue-in-cheek\".[8] As the \ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer. \n\"That is, scientists more or less know what to look for, and with enough brainpower and funding, they \nwould probably crack it in this century.\"[9] \n\n*Studies*.[1] The publication \n\nChalmers on stage for an Alan Turing Year \nevent at De La Salle University, Manila, 27 \nMarch 2012 \n\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as \nJoseph Levine,[10] Colin McGinn,[11] and Ned Block[12] and cognitive neuroscientists such as Francisco \nVarela,[13] Giulio Tononi,[14][15] and Christof Koch.[14][15] On the other hand, its existence is denied by \nother philosophers of mind, such as Daniel Dennett,[16] Massimo Pigliucci,[17] Thomas Metzinger, \nPatricia Churchland,[18] and Keith Frankish,[19] and by cognitive neuroscientists such as Stanislas \nDehaene,[20] Bernard Baars,[21] Anil Seth,[22] and Antonio Damasio.[23] Clinical neurologist and skeptic", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia2.pdf" + }, + { + "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them \nto unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has \nsince been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene.[141] \n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory \nthat only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a \npromising account of how information in the brain could become globally accessible, but argued that \n\"now the question arises in a different form: why should global accessibility give rise to conscious \nexperience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT \non the grounds that it provides, at best, an account of the cognitive*function*of consciousness, and fails to \nexplain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the \n'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so \nand provides important insights into the relation between consciousness and cognition.\"[143] \n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia \nover and above the problem of explaining causal functions, because qualia are entailed by neural activity \nand themselves causal.[21] Dehaene, in his 2014 book*Consciousness and the Brain*, rejected the concept \nof qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20] \nHe further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually \nshifting as understanding evolves:[20] \n\nOnce our intuitions are educated by cognitive neuroscience and computer simulations, \nChalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental \nexperience, detached from any information-processing role, will be viewed as a peculiar idea \nof the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science \nof consciousness will keep eating away at the hard problem of consciousness until it \nvanishes. \n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal \nreports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76] \n\nExplaining its significance, he says:[76] \n\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the \nhard problem. We can reasonably hope that a solution to the meta-problem will shed \nsignificant light on the hard problem. A particularly strong line holds that a solution to the", + "page_start": 16, + "page_end": 16, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a \nmajority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine \nproblem, while 29.72% said that it does not exist.[25] \n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned \nBlock believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different \nphysical and functional neurological systems potentially having phenomenal overlap.[12] Another \npotential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \n\"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular \npersonal identity, as opposed to existing as someone else.[26] \n\n**Overview**\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the \nproblem of consciousness\" (1995)[1] and expanded upon it in*The Conscious Mind*(1996). His works \nprovoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers \nfor his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still \nthink that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a \nmeaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether \nthe same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with \nseveral other philosophers that it may be futile to hope for a solution at all, precisely because it is a \nconceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia \nChurchland, among others, believe that the hard problem is best seen as a collection of easy problems that \nwill be solved through further analysis of the brain and behaviour.[29][30] \n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of \nbeing awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"*the feeling of what*\n*it is like to be something.\"*Consciousness, in this sense, is synonymous with*experience.*[31][27] \n\n**Chalmers' formulation**\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions \nin the vicinity of experience—perceptual discrimination, categorization, internal access, verbal \nreport—there may still remain a further unanswered question:*Why is the performance of these*\n*functions accompanied by experience?*\n\n— David Chalmers, Facing up to the problem of consciousness \n\nThe problems of consciousness, Chalmers argues, are of two kinds: the*easy problems*and the*hard*\n*problem*. \n\n**Easy problems**\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts \nabout the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and \nstructure, or a hurricane being a logical consequence of the structures and functions of certain weather", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Today there is a strong tendency to simply*equate*consciousness with the qualia. Yet there is \nclearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of \npain\" are qualities we are conscious*of*. So philosophy of mind tends to treat consciousness as \nif it consisted simply of the contents of consciousness (the phenomenal qualities), while it \nreally is precisely*consciousness*of contents, the very givenness of whatever is subjectively \ngiven. And therefore the problem of consciousness does not pertain so much to some alleged \n\"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective \nsubject, but rather to the nature of \"seeing\" itself (and in today’s philosophy of mind \nastonishingly little is said about the latter).[129] \n\n**Relationship to scientific frameworks**\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be \nsolved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy \nproblems\", although a significant minority disagrees.[9][130] \n\n**Neural correlates of consciousness**\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof \nKoch have made significant progress toward identifying which neurobiological events occur concurrently \nto the experience of subjective consciousness.[131] These postulated events are referred to as*neural*\n*correlates of consciousness*or NCCs. However, this research arguably addresses the question of*which*\nneurobiological mechanisms are linked to consciousness but not the question of*why*they should give rise \nto consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \n\"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting \nthe principle that something such as what he terms \"global availability\" can be used as an indicator of \nconsciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated \nregarding their relationship to the hard problem of consciousness: \n\nOne can always ask why these processes of availability should give rise to consciousness in \nthe first place. As yet we cannot explain why they do so, and it may well be that full details \nabout the processes of availability will still fail to answer this question. Certainly, nothing in \nthe standard methodology I have outlined answers the question; that methodology assumes a \nrelation between availability and consciousness, and therefore does nothing to explain it. [...] \nSo the hard problem remains. But who knows: Somewhere along the line we may be led to \nthe relevant insights that show why the link is there, and the hard problem may then be \nsolved.[132] \n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard \nproblem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133] \nKandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what \naccounts for the unity of experience—is solved, it will be possible to solve the hard problem \nempirically.[133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is \na distraction from what he calls the \"real problem\": understanding the neurobiology underlying", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia2.pdf" + }, + { + "text": "g%7CHard) \n\n5. JCS vol. 4, pp. 3-46, 1997 \n6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\".*Journal of*\n\n*Consciousness Studies*.**4**(1): 3–46. \n\n7. Shear, Jonathan (1997).*Explaining Consciousness: The Hard Problem*. MIT Press. \n\nISBN 978-0262692212. \n\n8. \"Episode 83, The David Chalmers Interview (Part I - Consciousness)\" (https://thepanpsycas \n\nt.com/panpsycast2/episode83-1).*The Panpsycast Philosophy Podcast*. 19 July 2020. \nRetrieved 2020-09-05. \n\n9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten \nt.time.com/time/magazine/article/0,9171,1580394-1,00.html).*Time*. Retrieved 19 December \n2018. \n\n10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi \new/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17).*The*\n*Oxford Handbook of Philosophy of Mind*: 281–291. \ndoi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9 \n780199262618.003.0017). ISBN 978-0199262618. \n\n11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman. \ncom/ideas/2012/02/consciousness-mind-brain).*New Statesman*. Retrieved 27 March 2012. \n12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO \nTHP).*The Journal of Philosophy*.**99**(8): 391–425. doi:10.2307/3655621 (https://doi.org/10. \n2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621). \nS2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062). \n\n13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard \n\nproblem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718). \n*Journal of Consciousness Studies*.**3**(4): 330–349.", + "page_start": 18, + "page_end": 18, + "source_file": "wikipedia2.pdf" + }, + { + "text": "34. Chalmers, David (2020). \"Is the hard problem of consciousness universal?\" (http://consc.ne \n\nt/papers/universal.pdf) (PDF).*Journal of Consciousness Studies*.**27**(5–6): 227–257. \nRetrieved 22 February 2022. \n\n35. Locke, John (1722).*The works of John Locke: in three volumes*. Vol. 1. London: Printed for \n\nA. Churchill, and A. Manship, and sold by W. Taylor in Pater-noster-Row. p. 293 (https://book \ns.google.com/books?id=0BfmAAAAMAAJ&pg=PA293). \n\n36. Leibniz,*Monadology,*17, as quoted by Aranyosi, Istvan (2004). \"Chalmers's zombie \n\narguments\" (http://www.personal.ceu.hu/students/03/Istvan_Aranyosi/Chapter%20IV.pdf) \n(PDF) (draft ed.). Central European University Personal Pages. \n\n37. Mill, John Stuart.*A System of Logic*(1843), Book V, Chapter V, section 3 \n38. Huxley, Thomas Henry; Youmans, William Jay (1868).*The elements of physiology and*\n*hygiene: a text-book for educational institutions*. New York: D. Appleton and company. \np. 178 (https://books.google.com/books?id=aVUAAAAAYAAJ&pg=PA178). \n\n39. Arnold, Dan (2021). \"Philosophy of Mind's \"Hard Problem\" in Light of Buddhist Idealism\". In \nEmmanuel, Steven M. (ed.).*Philosophy's Big Questions: Comparing Buddhist and Western*\n*Approaches*. New York: Columbia University Press. pp. 97–128. ISBN 978-0231174879. \n40. Bryan Van Norden,*Buddhism Comes to China*(https://www.youtube.com/watch?v=Q1xv3H \n\nmUddY), 17 March 2021, retrieved 2021-12-29 \n\n41. Tiwald, Justin; Van Norden, Bryan W. eds. (2005),*Readings in Later Chinese Philosophy,*p. \n\n101. Hackett Publishing. \n\n42. Levine, J. 1983. “Materialism and qualia: the explanatory gap”.*Pacific Philosophical*\n\n*Quarterly*, 64: 354–361. \n\n43. Weisberg, Josh. \"The Hard Problem of Consciousness\" (https://www.iep.utm.edu/hard-con/). \n\n*Internet Encyclopedia of Philosophy*. \n\n44. Seager, William. \"Are Zombies Logically Possible?\" (https://www.utsc.utoronto.ca/~seager/z", + "page_start": 20, + "page_end": 20, + "source_file": "wikipedia2.pdf" + }, + { + "text": "The philosophers Glenn Carruthers and Elizabeth Schier said in 2012 that the main arguments for the \nexistence of a hard problem—philosophical zombies, Mary's room, and Nagel's bats—are only persuasive \nif one already assumes that \"consciousness must be independent of the structure and function of mental \nstates, i.e. that there is a hard problem.\" Hence, the arguments beg the question. The authors suggest that \n\"instead of letting our conclusions on the thought experiments guide our theories of consciousness, we \nshould let our theories of consciousness guide our conclusions from the thought experiments.\"[64] \n\nThe philosopher Massimo Pigliucci argued in 2013 that the hard problem is misguided, resulting from a \n\"category mistake\".[17] He said: \"Of course an explanation isn't the same as an experience, but that's \nbecause the two are completely independent categories, like colors and triangles. It is obvious that I \ncannot experience what it is like to be you, but I can potentially have a complete explanation of how and \nwhy it is possible to be you.\"[17] \n\nIn 2017, the philosopher Marco Stango, in a paper on John Dewey's approach to the problem of \nconsciousness (which preceded Chalmers' formulation of the hard problem by over half a century), noted \nthat Dewey's approach would see the hard problem as the consequence of an unjustified assumption that \nfeelings and functional behaviors are not the same physical process: \"For the Deweyan philosopher, the \n'hard problem' of consciousness is a 'conceptual fact' only in the sense that it is a*philosophical mistake*: \nthe mistake of failing to see that the physical can be had as an episode of immediate sentiency.\"[65] \n\nThe philosopher Thomas Metzinger likens the hard problem of consciousness to vitalism, a formerly \nwidespread view in biology which was not so much solved as abandoned.[66] Brian Jonathan Garrett has \nalso argued that the hard problem suffers from flaws analogous to those of vitalism.[67] \n\nThe philosopher Peter Hacker argues that the hard problem is misguided in that it asks how consciousness \ncan emerge from matter, whereas in fact sentience emerges from the evolution of living organisms.[68] He \nstates: \"The hard problem isn’t a hard problem at all. The really hard problems are the problems the \nscientists are dealing with. [...] The philosophical problem, like all philosophical problems, is a confusion \nin the conceptual scheme.\"[68] Hacker's critique extends beyond Chalmers and the hard problem, being \ndirected against contemporary philosophy of mind and neuroscience more broadly. Along with the \nneuroscientist Max Bennett, he has argued that most of contemporary neuroscience remains implicitly \ndualistic in its conceptualizations and is predicated on the*mereological fallacy*of ascribing psychological \nconcepts to the brain that can properly be ascribed only to the person as a whole.[69] Hacker further states \nthat \"consciousness studies\", as it exists today, is \"literally a total waste of time\" and that \"the conception \nof consciousness which they have is incoherent\".[68] \n\n**Eliminative materialism / Illusionism**\n\nEliminative materialism or eliminativism is the view that many or all of the mental states used in folk \npsychology (i.e., common-sense ways of discussing the mind) do not, upon scientific examination, \ncorrespond to real brain mechanisms.[59] According the 2020 PhilPapers survey, 4.51% of philosophers \nsurveyed subscribe to eliminativism.[25] \n\nWhile Patricia Churchland and Paul Churchland have famously applied eliminative materialism to \npropositional attitudes, philosophers including Daniel Dennett, Georges Rey, and Keith Frankish have \napplied it to qualia or phenomenal consciousness (i.e., conscious experience).[59] On their view, it is \nmistaken not only to believe there is a hard problem of consciousness, but to believe phenomenal \nconsciousness exists at all.[19][61]", + "page_start": 7, + "page_end": 7, + "source_file": "wikipedia2.pdf" + }, + { + "text": "patterns. A clock, a hurricane, and the easy problems, are all the sum of their parts (as are most \nthings).[27] \n\nThe easy problems relevant to consciousness concern mechanistic analysis of the neural processes that \naccompany behaviour. Examples of these include how sensory systems work, how sensory data is \nprocessed in the brain, how that data influences behaviour or verbal reports, the neural basis of thought \nand emotion, and so on. They are problems that can be analyzed through \"structures and functions\".[27] \n\n**Hard problem**\n\nThe hard problem, in contrast, is the problem of*why*and*how*those processes are accompanied by \nexperience.[1] It may further include the question of why these processes are accompanied by this or that \nparticular experience, rather than some other kind of experience. In other words, the hard problem is the \nproblem of explaining why certain mechanisms are accompanied by conscious experience.[27] For \nexample, why should neural processing in the brain lead to the felt sensations of, say, feelings of hunger? \nAnd why should those neural firings lead to feelings of hunger rather than some other feeling (such as, \nfor example, feelings of thirst)? \n\nChalmers argues that it is conceivable that the relevant behaviours associated with hunger, or any other \nfeeling, could occur even in the absence of that feeling. This suggests that experience is irreducible to \nphysical systems such as the brain. This is the topic of the next section. \n\n**How the easy and hard problems are related**\n\nChalmers believes that the hard problem is irreducible to the easy problems: solving the easy problems \nwill not lead to a solution to the hard problems. This is because the easy problems pertain to the causal \nstructure of the world while the hard problem pertains to consciousness, and facts about consciousness \ninclude facts that go beyond mere causal or structural description.[32] \n\nFor example, suppose someone were to stub their foot and yelp. In this scenario, the easy problems are \nmechanistic explanations that involve the activity of the nervous system and brain and its relation to the \nenvironment (such as the propagation of nerve signals from the toe to the brain, the processing of that \ninformation and how it leads to yelping, and so on). The hard problem is the question of why these \nmechanisms are accompanied by*the feeling of pain*, or why these feelings of pain feel the particular way \nthat they do. Chalmers argues that facts about the neural mechanisms of pain, and pain behaviours, do not \nlead to facts about conscious experience. Facts about conscious experience are, instead, further facts, not \nderivable from facts about the brain.[27][32] \n\nAn explanation for all of the relevant physical facts about neural processing would leave unexplained \nfacts about what it is like to feel pain. This is in part because functions and physical structures of any sort \ncould conceivably exist in the absence of experience. Alternatively, they could exist alongside a different \nset of experiences. For example, it is logically possible for a perfect replica of Chalmers to have no \nexperience at all, or for it to have a different set of experiences (such as an inverted visible spectrum, so \nthat the blue-yellow red-green axes of its visual field are flipped).[32] \n\nThe same cannot be said about clocks, hurricanes, or other physical things. In those cases, a structural or \nfunctional description is a complete description. A perfect replica of a clock is a clock, a perfect replica of \na hurricane is a hurricane, and so on. The difference is that physical things are nothing more than their", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia2.pdf" + }, + { + "text": "In other words, the 'strong line' holds that the solution to the meta-problem would provide an explanation \nof our beliefs about consciousness that is independent of consciousness. That would debunk our beliefs \nabout consciousness, in the same way that explaining beliefs about god in evolutionary terms may \nprovide arguments against theism itself.[144] \n\n**In popular culture**\n\nTom Stoppard's play*The Hard Problem*, first produced in 2015, is named after the hard problem of \nconsciousness, which Stoppard defines as having \"subjective First Person experiences\".[145] \n\nKnowledge by acquaintance \nList of unsolved problems in biology \nMind–body problem \nPhenomenalism \nPhilosophy of self \nPrimary–secondary quality distinction \nProblem of mental causation \nProblem of other minds \nVertiginous question \nVon Neumann–Wigner interpretation \n\n**Notes**\n\n1. \"But, without any delusive representations of images or phantasms, I am most certain that I \nam, and that I know and delight in this. In respect to these truths I am not at all afraid of the \narguments of the Academians, who say, What if you are deceived? For if I am deceived, I \nam. For he who is not, cannot be deceived...\" \n\n2. There has been debate over how best to characterize James' position. The*Stanford*\n*Encyclopedia of Philosophy*states: \"James’s commitment to panpsychism remains \nsomewhat controversial, since he also advanced a cogent set of objections against a \nversion of the view, which he labelled the 'mind dust' theory, in chapter six of The Principles \nof Psychology ([1890] 1981). These objections are the inspiration for the so-called \n'combination problem', around which much of the twenty first century literature on \npanpsychism focuses.\"", + "page_start": 17, + "page_end": 17, + "source_file": "wikipedia2.pdf" + }, + { + "text": "physical constituents. For example, water is nothing \nmore than H2O molecules, and understanding everything \nabout H2O molecules is to understand everything there is \nto know about water. But consciousness is not like this. \nKnowing everything there is to know about the brain, or \nany physical system, is not to know everything there is to \nknow about consciousness. Consciousness, then, must \nnot be purely physical.[27] \n\n\n\n**Implications for physicalism**\n\n\n\nThe hard problem is often illustrated by \nappealing to the logical possibility of inverted \nvisible spectra. If there is no logical \ncontradiction in supposing that one's colour \nvision could be inverted, it follows that \nmechanistic explanations of visual processing \ndo not determine facts about what it is like to \nsee colours. \n\nChalmers's \nidea contradicts physicalism, sometimes \nlabelled materialism. This is the view that everything that \nexists is a physical or material thing, so everything can \nbe reduced to microphysical things. For example, the \nrings of Saturn are a physical thing because they are \nnothing more than a complex arrangement of a large \nnumber of subatomic particles interacting in a certain way. \nAccording to physicalism, everything, including consciousness, \ncan be explained by appeal to its microphysical constituents. \nChalmers's*hard problem*presents a counterexample to this view \nand to other phenomena like swarms of birds, since it suggests that \nconsciousness, like swarms of birds, cannot be reductively \nexplained by appealing to their physical constituents. Thus, if the \nhard problem is a real problem then physicalism must be false, and \nif physicalism is true then the hard problem must not be a real \nproblem. \n\nA swarm of birds showing high \norder structure emerging from \nsimpler physical constituents \n\n**Historical precedents**\n\nThe hard problem of consciousness has scholarly antecedents considerably earlier than Chalmers. \nChalmers himself notes that \"a number of thinkers in the recent and distant past\" have \"recognised the \nparticular difficulties of explaining consciousness.\"[33] He states that all his original 1996 paper \ncontributed to the discussion was \"a catchy name, a minor reformulation of philosophically familiar \npoints\".[33] \n\nAmong others, thinkers who have made arguments similar to Chalmers' formulation of the hard problem \ninclude Isaac Newton,[34] John Locke,[35] Gottfried Wilhelm Leibniz,[36][34] John Stuart Mill,[37] and \nThomas Henry Huxley.[38][34] Likewise, Asian philosophers like Dharmakirti and Guifeng Zongmi \ndiscussed the problem of how consciousness arises from unconscious matter.[34][39][40][41]", + "page_start": 3, + "page_end": 3, + "source_file": "wikipedia2.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia2.pdf", + "query": "What is David Chalmer's definition of \"consciousness\" ?", + "target_page": 2, + "target_passage": "Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what it is like to be something.\"", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "g%7CHard) \n\n5. JCS vol. 4, pp. 3-46, 1997 \n6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\".*Journal of*\n\n*Consciousness Studies*.**4**(1): 3–46. \n\n7. Shear, Jonathan (1997).*Explaining Consciousness: The Hard Problem*. MIT Press. \n\nISBN 978-0262692212. \n\n8. \"Episode 83, The David Chalmers Interview (Part I - Consciousness)\" (https://thepanpsycas \n\nt.com/panpsycast2/episode83-1).*The Panpsycast Philosophy Podcast*. 19 July 2020. \nRetrieved 2020-09-05. \n\n9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten \nt.time.com/time/magazine/article/0,9171,1580394-1,00.html).*Time*. Retrieved 19 December \n2018. \n\n10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi \new/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17).*The*\n*Oxford Handbook of Philosophy of Mind*: 281–291. \ndoi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9 \n780199262618.003.0017). ISBN 978-0199262618. \n\n11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman. \ncom/ideas/2012/02/consciousness-mind-brain).*New Statesman*. Retrieved 27 March 2012. \n12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO \nTHP).*The Journal of Philosophy*.**99**(8): 391–425. doi:10.2307/3655621 (https://doi.org/10. \n2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621). \nS2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062). \n\n13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard \n\nproblem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718). \n*Journal of Consciousness Studies*.**3**(4): 330–349.", + "page_start": 18, + "page_end": 18, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Today there is a strong tendency to simply*equate*consciousness with the qualia. Yet there is \nclearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of \npain\" are qualities we are conscious*of*. So philosophy of mind tends to treat consciousness as \nif it consisted simply of the contents of consciousness (the phenomenal qualities), while it \nreally is precisely*consciousness*of contents, the very givenness of whatever is subjectively \ngiven. And therefore the problem of consciousness does not pertain so much to some alleged \n\"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective \nsubject, but rather to the nature of \"seeing\" itself (and in today’s philosophy of mind \nastonishingly little is said about the latter).[129] \n\n**Relationship to scientific frameworks**\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be \nsolved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy \nproblems\", although a significant minority disagrees.[9][130] \n\n**Neural correlates of consciousness**\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof \nKoch have made significant progress toward identifying which neurobiological events occur concurrently \nto the experience of subjective consciousness.[131] These postulated events are referred to as*neural*\n*correlates of consciousness*or NCCs. However, this research arguably addresses the question of*which*\nneurobiological mechanisms are linked to consciousness but not the question of*why*they should give rise \nto consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \n\"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting \nthe principle that something such as what he terms \"global availability\" can be used as an indicator of \nconsciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated \nregarding their relationship to the hard problem of consciousness: \n\nOne can always ask why these processes of availability should give rise to consciousness in \nthe first place. As yet we cannot explain why they do so, and it may well be that full details \nabout the processes of availability will still fail to answer this question. Certainly, nothing in \nthe standard methodology I have outlined answers the question; that methodology assumes a \nrelation between availability and consciousness, and therefore does nothing to explain it. [...] \nSo the hard problem remains. But who knows: Somewhere along the line we may be led to \nthe relevant insights that show why the link is there, and the hard problem may then be \nsolved.[132] \n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard \nproblem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133] \nKandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what \naccounts for the unity of experience—is solved, it will be possible to solve the hard problem \nempirically.[133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is \na distraction from what he calls the \"real problem\": understanding the neurobiology underlying", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia2.pdf" + }, + { + "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them \nto unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has \nsince been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene.[141] \n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory \nthat only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a \npromising account of how information in the brain could become globally accessible, but argued that \n\"now the question arises in a different form: why should global accessibility give rise to conscious \nexperience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT \non the grounds that it provides, at best, an account of the cognitive*function*of consciousness, and fails to \nexplain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the \n'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so \nand provides important insights into the relation between consciousness and cognition.\"[143] \n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia \nover and above the problem of explaining causal functions, because qualia are entailed by neural activity \nand themselves causal.[21] Dehaene, in his 2014 book*Consciousness and the Brain*, rejected the concept \nof qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20] \nHe further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually \nshifting as understanding evolves:[20] \n\nOnce our intuitions are educated by cognitive neuroscience and computer simulations, \nChalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental \nexperience, detached from any information-processing role, will be viewed as a peculiar idea \nof the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science \nof consciousness will keep eating away at the hard problem of consciousness until it \nvanishes. \n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal \nreports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76] \n\nExplaining its significance, he says:[76] \n\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the \nhard problem. We can reasonably hope that a solution to the meta-problem will shed \nsignificant light on the hard problem. A particularly strong line holds that a solution to the", + "page_start": 16, + "page_end": 16, + "source_file": "wikipedia2.pdf" + }, + { + "text": "consciousness, namely the neural correlates of various conscious processes.[22] This more modest goal is \nthe focus of most scientists working on consciousness.[133] Psychologist Susan Blackmore believes, by \ncontrast, that the search for the neural correlates of consciousness is futile and itself predicated on an \nerroneous belief in the hard problem of consciousness.[134] \n\n**Computational cognition**\n\nA functionalist view in cognitive science holds that the mind is an information processing system, and \nthat cognition and consciousness together are a form of computation. Cognition, distinct from \nconsciousness, is explained by neural computation in the computational theory of cognition. The \ncomputational theory of mind asserts that not only cognition, but also phenomenal consciousness or \nqualia, are computational. While the computation system is realized by neurons rather than electronics, in \ntheory it would be possible for artificial intelligence to be conscious. \n\n**Integrated information theory**\n\nIntegrated information theory (IIT), developed by the neuroscientist and psychiatrist Giulio Tononi in \n2004 and more recently also advocated by Koch, is one of the most discussed models of consciousness in \nneuroscience and elsewhere.[135][136] The theory proposes an identity between consciousness and \nintegrated information, with the latter item (denoted as Φ) defined mathematically and thus in principle \nmeasurable.[136][137] The hard problem of consciousness, write Tononi and Koch, may indeed be \nintractable when working from matter to consciousness.[15] However, because IIT inverts this relationship \nand works from phenomenological axioms to matter, they say it could be able to solve the hard \nproblem.[15] In this vein, proponents have said the theory goes beyond identifying human neural \ncorrelates and can be extrapolated to all physical systems. Tononi wrote (along with two colleagues): \n\nWhile identifying the \"neural correlates of consciousness\" is undoubtedly important, it is \nhard to see how it could ever lead to a satisfactory explanation of what consciousness is and \nhow it comes about. As will be illustrated below, IIT offers a way to analyze systems of \nmechanisms to determine if they are properly structured to give rise to consciousness, how \nmuch of it, and of which kind.[138] \n\nAs part of a broader critique of IIT, Michael Cerullo suggested that the theory's proposed explanation is in \nfact for what he dubs (following Scott Aaronson) the \"Pretty Hard Problem\" of methodically inferring \nwhich physical systems are conscious—but would not solve Chalmers' hard problem.[136] \"Even if IIT is \ncorrect,\" he argues, \"it does not explain why integrated information generates (or is) consciousness.\"[136] \nChalmers agrees that IIT, if correct, would solve the \"Pretty Hard Problem\" rather than the hard \nproblem.[139] \n\n**Global workspace theory**\n\nGlobal workspace theory (GWT) is a cognitive architecture and theory of consciousness proposed by the \ncognitive psychologist Bernard Baars in 1988.[140] Baars explains the theory with the metaphor of a \ntheater, with conscious processes represented by an illuminated stage.[140] This theater integrates inputs", + "page_start": 15, + "page_end": 15, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a \nmajority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine \nproblem, while 29.72% said that it does not exist.[25] \n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned \nBlock believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different \nphysical and functional neurological systems potentially having phenomenal overlap.[12] Another \npotential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \n\"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular \npersonal identity, as opposed to existing as someone else.[26] \n\n**Overview**\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the \nproblem of consciousness\" (1995)[1] and expanded upon it in*The Conscious Mind*(1996). His works \nprovoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers \nfor his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still \nthink that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a \nmeaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether \nthe same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with \nseveral other philosophers that it may be futile to hope for a solution at all, precisely because it is a \nconceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia \nChurchland, among others, believe that the hard problem is best seen as a collection of easy problems that \nwill be solved through further analysis of the brain and behaviour.[29][30] \n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of \nbeing awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"*the feeling of what*\n*it is like to be something.\"*Consciousness, in this sense, is synonymous with*experience.*[31][27] \n\n**Chalmers' formulation**\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions \nin the vicinity of experience—perceptual discrimination, categorization, internal access, verbal \nreport—there may still remain a further unanswered question:*Why is the performance of these*\n*functions accompanied by experience?*\n\n— David Chalmers, Facing up to the problem of consciousness \n\nThe problems of consciousness, Chalmers argues, are of two kinds: the*easy problems*and the*hard*\n*problem*. \n\n**Easy problems**\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts \nabout the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and \nstructure, or a hurricane being a logical consequence of the structures and functions of certain weather", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia2.pdf" + }, + { + "text": "24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog \ny.com/2022/11/19/hard-problem-of-consciousness-2/).*arabpsychology.com*. Retrieved \n2023-10-29. \n\n25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020 \nPhilPapers Survey\" (https://survey2020.philpeople.org).*Philosophers' Imprint*. \n\n26. Roberts, Tim S. (September 2007). \"*The Even Harder Problem of Consciousness*by \n\nRoberts. Tim S.\" (https://www.researchgate.net/publication/228618472)*NeuroQuantology*.**5**\n(2): 214–221. doi:10.14704/nq.2007.5.2.129 (https://doi.org/10.14704%2Fnq.2007.5.2.129). \n\n27. Chalmers, David (1996).*The Conscious Mind*. New York: Oxford University Press. pp. xii– \n\nxiii, 95–106, backcover. \n\n28. Pinker, Steven (2018).*Enlightenment Now*. Viking. p. 481. ISBN 9780525427575. \n29. Dennett, Daniel; commentary on T. Moody, O. Flanagan and T. Polger. \"The Unimagined \nPreposterous of Zombies (https://ase.tufts.edu/cogstud/dennett/papers/unzombie.htm)\", \n*Journal of Consciousness Studies*vol. 2, no. 4, 1995, pp. 322–326. \n\n30. Churchland, Patricia Smith (2005). \"A neurophilosophical slant on consciousness research\". \n\n*Cortical Function: A View from the Thalamus*. Progress in Brain Research. Vol. 149. \npp. 285–293. doi:10.1016/S0079-6123(05)49020-2 (https://doi.org/10.1016%2FS0079-612 \n3%2805%2949020-2). ISBN 9780444516794. PMID 16226591 (https://pubmed.ncbi.nlm.ni \nh.gov/16226591). \n\n31. Nagel, Thomas (October 1974). \"What is it like to be a bat?\".*The Philosophical Review*.**83**\n(4): 435–450. doi:10.2307/2183914 (https://doi.org/10.2307%2F2183914). JSTOR 2183914 \n(https://www.jstor.org/stable/2183914). S2CID 49125889 (https://api.semanticscholar.org/Co \nrpusID:49125889). \n\n32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/). \n\n*Internet Encyclopedia of Philosophy*. Retrieved 2024-10-09. \n\n33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http \n\ns://philpapers.org/rec/CHAMFO).*Journal of Consciousness Studies*.**4**(1): 3–46.", + "page_start": 19, + "page_end": 19, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://www.imprint.co.uk/ \n\nchalmers.html).*Journal of Consciousness Studies*.**2**(3): 200–219. \nCiteSeerX 10.1.1.103.8362 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.103. \n8362). Archived (https://web.archive.org/web/20050308163649/http://www.imprint.co.uk/chal \nmers.html) from the original on 8 March 2005. Retrieved 11 October 2018. \n\nChalla, Subhash; Moreland, Mark R.; Mušicki, Darko; Evans, Robin J. (2011).*Fundamentals of*\n*Object Tracking*. Cambridge University Press. doi:10.1017/CBO9780511975837 (https://doi. \norg/10.1017%2FCBO9780511975837). ISBN 978-0-5218-7628-5. \n\nChristian, Brian (2020).*The Alignment Problem: Machine learning and human values*. W. W. \n\nNorton & Company. ISBN 978-0-3938-6833-3. OCLC 1233266753 (https://search.worldcat.o \nrg/oclc/1233266753). \n\nCiresan, D.; Meier, U.; Schmidhuber, J. (2012). \"Multi-column deep neural networks for image \nclassification\".*2012 IEEE Conference on Computer Vision and Pattern Recognition*. \npp. 3642–3649. arXiv:1202.2745 (https://arxiv.org/abs/1202.2745). \ndoi:10.1109/cvpr.2012.6248110 (https://doi.org/10.1109%2Fcvpr.2012.6248110). ISBN 978- \n1-4673-1228-8. S2CID 2161592 (https://api.semanticscholar.org/CorpusID:2161592). \n\nClark, Jack (2015b). \"Why 2015 Was a Breakthrough Year in Artificial Intelligence\" (https://www. \nbloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artificial-int \nelligence).*Bloomberg.com*. Archived (https://web.archive.org/web/20161123053855/https:// \nwww.bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artific \nial-intelligence) from the original on 23 November 2016. Retrieved 23 November 2016. \n\nCNA (12 January 2019). \"Commentary: Bad news. Artificial intelligence is biased\" (https://www.c \nhannelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loans-key- \nchallenge-11097374).*CNA*. Archived (https://web.archive.org/web/20190112104421/https:// \nwww.channelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loan \ns-key-challenge-11097374) from the original on 12 January 2019. Retrieved 19 June 2020. \n\nCybenko, G. (1988). Continuous valued neural networks with two hidden layers are sufficient \n\n(Report). Department of Computer Science, Tufts University. \n\nDeng, L.; Yu, D. (2014). \"Deep Learning: Methods and Applications\" (http://research.microsoft.c \nom/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF).*Foundations and*\n*Trends in Signal Processing*.**7**(3–4): 197–387. doi:10.1561/2000000039 (https://doi.org/10. \n1561%2F2000000039). Archived (https://web.archive.org/web/20160314152112/http://resea \nrch.microsoft.com/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF) \nfrom the original on 14 March 2016. Retrieved 18 October 2014. \n\nDennett, Daniel (1991).*Consciousness Explained*. The Penguin Press. ISBN 978-0-7139-9037- \n\n9. \n\nDiFeliciantonio, Chase (3 April 2023). \"AI has already changed the world. This report shows \n\nhow\" (https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869 \n558.php).*San Francisco Chronicle*. Archived (https://web.archive.org/web/2023061901530 \n9/https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869558. \nphp) from the original on 19 June 2023. Retrieved 19 June 2023. \n\nDickson, Ben (2 May 2022). \"Machine learning: What is the transformer architecture?\" (https://b \ndtechtalks.com/2022/05/02/what-is-the-transformer).*TechTalks*. Archived (https://web.archiv \ne.org/web/20231122142948/https://bdtechtalks.com/2022/05/02/what-is-the-transformer/) \nfrom the original on 22 November 2023. Retrieved 22 November 2023. \n\nDockrill, Peter (27 June 2022), \"Robots With Flawed AI Make Sexist And Racist Decisions,", + "page_start": 54, + "page_end": 54, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Hard problem of consciousness**\n\nIn the philosophy of mind, the**hard problem of consciousness**is to explain why and how humans and \nother organisms have qualia, phenomenal consciousness, or subjective experience.[1][2] It is contrasted \nwith the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the \nability to discriminate, to integrate information, and to perform behavioral functions such as watching, \nlistening, speaking (including generating an utterance that appears to refer to personal behaviour or \nbelief), and so forth.[1] The easy problems are amenable to functional explanation—that is, explanations \nthat are mechanistic or behavioral—since each physical system can be explained (at least in principle) \npurely by reference to the \"structure and dynamics\" that underpin the phenomenon.[1][3] \n\nProponents of the hard problem argue that it is categorically different from the easy problems since no \nmechanistic or behavioral explanation could explain the character of an experience, not even in principle. \nEven after all the relevant functional facts are explicated, they argue, there will still remain a further \nquestion: \"why is the performance of these functions accompanied by experience?\"[1] To bolster their \ncase, proponents of the hard problem frequently turn to various philosophical thought experiments, \ninvolving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed \nineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such \nas the experience of being a bat. \n\n\n\nThe terms \"hard problem\" and \"easy problems\" were \ncoined by the philosopher David Chalmers in a 1994 talk \ngiven at The Science of Consciousness conference held in \nTucson, Arizona.[4] The following year, the main talking \npoints of Chalmers' talk were published in*The Journal of*\n*Consciousness*\ngained \nsignificant attention from consciousness researchers and \nbecame the subject of a special volume of the journal,[5][6] \nwhich was later published into a book.[7] In 1996, \nChalmers published*The Conscious Mind*, a book-length \ntreatment of the hard problem, in which he elaborated on \nhis core arguments and responded to counterarguments. His \nuse of the word*easy*is \"tongue-in-cheek\".[8] As the \ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer. \n\"That is, scientists more or less know what to look for, and with enough brainpower and funding, they \nwould probably crack it in this century.\"[9] \n\n*Studies*.[1] The publication \n\nChalmers on stage for an Alan Turing Year \nevent at De La Salle University, Manila, 27 \nMarch 2012 \n\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as \nJoseph Levine,[10] Colin McGinn,[11] and Ned Block[12] and cognitive neuroscientists such as Francisco \nVarela,[13] Giulio Tononi,[14][15] and Christof Koch.[14][15] On the other hand, its existence is denied by \nother philosophers of mind, such as Daniel Dennett,[16] Massimo Pigliucci,[17] Thomas Metzinger, \nPatricia Churchland,[18] and Keith Frankish,[19] and by cognitive neuroscientists such as Stanislas \nDehaene,[20] Bernard Baars,[21] Anil Seth,[22] and Antonio Damasio.[23] Clinical neurologist and skeptic", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia2.pdf" + }, + { + "text": "**New mysterianism**\n\nNew mysterianism, most significantly associated with the philosopher Colin McGinn, proposes that the \nhuman mind, in its current form, will not be able to explain consciousness.[128][11] McGinn draws on \nNoam Chomsky's distinction between problems, which are in principle solvable, and mysteries, which \nhuman cognitive faculties are unequipped to ever understand, and places the mind–body problem in the \nlatter category.[128] His position is that a naturalistic explanation does exist but that the human mind is \ncognitively closed to it due to its limited range of intellectual abilities.[128] He cites Jerry Fodor's concept \nof the modularity of mind in support of cognitive closure.[128] \n\nWhile in McGinn's strong form, new mysterianism states that the relationship between consciousness and \nthe material world can*never*be understood by the human mind, there are also weaker forms that argue it \ncannot be understood within existing paradigms but that advances in science or philosophy may open the \nway to other solutions (see above).[43] The ideas of Thomas Nagel and Joseph Levine fall into the second \ncategory.[43] Steven Pinker has also endorsed this weaker version of the view, summarizing it as \nfollows:[9] \n\nAnd then there is the theory put forward by philosopher Colin McGinn that our vertigo when \npondering the Hard Problem is itself a quirk of our brains. The brain is a product of \nevolution, and just as animal brains have their limitations, we have ours. Our brains can't \nhold a hundred numbers in memory, can't visualize seven-dimensional space and perhaps \ncan't intuitively grasp why neural information processing observed from the outside should \ngive rise to subjective experience on the inside. This is where I place my bet, though I admit \nthat the theory could be demolished when an unborn genius—a Darwin or Einstein of \nconsciousness—comes up with a flabbergasting new idea that suddenly makes it all clear to \nus. \n\n**Commentary on the problem's explanatory targets**\n\nPhilosopher Raamy Majeed argued in 2016 that the hard problem is associated with two \"explanatory \ntargets\":[54] \n\n1. [PQ] Physical processing gives rise to experiences with a phenomenal character. \n2. [Q] Our phenomenal qualities are thus-and-so. \n\nThe first fact concerns the relationship between the physical and the phenomenal (i.e., how and why are \nsome physical states felt states), whereas the second concerns the very nature of the phenomenal itself \n(i.e., what does the felt state feel like?). \n\nWolfgang Fasching argues that the hard problem is not about qualia, but about the what-it-is-like-ness of \nexperience in Nagel's sense—about the givenness of phenomenal contents:", + "page_start": 13, + "page_end": 13, + "source_file": "wikipedia2.pdf" + }, + { + "text": "HADAF-2).*Journal of Consciousness Studies*.**27**(5–6): 258–281. \n\n85. Strawson, G. (2018). \"The Consciousness Deniers\" (https://www.nybooks.com/daily/2018/0 \n\n3/13/the-consciousness-deniers/).*The New York Review of Books*. \n\n86. Koch, Christof (2019).*The Feeling of Life Itself: Why Consciousness is Everywhere But*\n\n*Can't be Computed*. MIT Press. p. 2. \n\n87. Koch, Christof (2019).*The Feeling of Life Itself: Why Consciousness is Everywhere But*\n\n*Can't be Computed*. MIT Press. p. 3. \n\n88. Balmer, A. (2020). \"Soft-Wired Illusionism vs. the Meta-Problem of Consciousness\" (https://p \n\nhilpapers.org/rec/BALSIV).*Journal of Consciousness Studies*.**27**(5–6): 26–37. \n\n89. Chalmers, David (2020). \"Is the Hard Problem of Consciousness Universal?\".*Journal of*\n\n*Consciousness Studies*.**27**(5–6): 227–257. \n\n90. Papineau, D. (2019). \"Response to Chalmers' 'The Meta-Problem of Consciousness' \" (http \ns://philpapers.org/rec/PAPRTC-6).*Journal of Consciousness Studies*.**26**(9–10): 173–181. \n\n91. J. Levine, \"Conceivability, Identity, and the Explanatory Gap\" in Stuart R. Hameroff, Alfred \n\nW. Kaszniak and David Chalmers (eds.),*Towards a Science of Consciousness III: The Third*\n*Tucson Discussions and Debates*, The MIT Press, 1999,. pp 3–12. \n\n92. Gennaro, Rocco J. \"Consciousness\" (https://www.iep.utm.edu/consciou).*Internet*\n\n*Encyclopedia of Philosophy*. \n\n93. Block, Ned; Stalnaker, Robert (1999). \"Conceptual Analysis, Dualism, and the Explanatory \nGap\" (http://www.nyu.edu/gsas/dept/philo/faculty/block/papers/ExplanatoryGap.pdf) (PDF). \n*The Philosophical Review*.**108**(1): 1–46. CiteSeerX 10.1.1.693.2421 (https://citeseerx.ist.ps \nu.edu/viewdoc/summary?doi=10.1.1.693.2421). doi:10.2307/2998259 (https://doi.org/10.230 \n7%2F2998259). JSTOR 2998259 (https://www.jstor.org/stable/2998259). \n\n94. Stoljar, Daniel (2005). \"Physicalism and Phenomenal Concepts\".*Mind & Language*.**20**(5): \n469–494. doi:10.1111/j.0268-1064.2005.00296.x (https://doi.org/10.1111%2Fj.0268-1064.2 \n005.00296.x). \n\n95. Chalmers, David (2006). \"Phenomenal Concepts and the Explanatory Gap\" (http://consc.ne \nt/papers/pceg.pdf) (PDF). In Alter, Torin; Walter, Sven (eds.).*Phenomenal Concepts and*\n*Phenomenal Knowledge: New Essays on Consciousness and Physicalism*. Oxford \nUniversity Press. ISBN 9780195171655. Retrieved 27 March 2019. \n\n96. Wierzbicka, A. (2019). \"From 'Consciousness' to 'I Think, I Feel, I Know': A Commentary on \n\nDavid Chalmers\".*Journal of Consciousness Studies*.**26**(9–10): 257–269. \n\n97. Lau, Hakwan; Michel, Matthias (2019). \"A Socio-Historical Take on the Meta-Problem of \n\nConsciousness\".*Journal of Consciousness Studies*.**26**(9–10): 136–147. \n\n98. \"Is the hard problem of consciousness really that hard? | Brian Greene and Pat Churchland \nlock horns\" (https://www.youtube.com/watch?v=hru5d_wsu7g).*YouTube*. 9 July 2022. \n\n99. \"Abiogenesis\" (https://www.allaboutscience.org/abiogenesis.htm). \n\n100.*Ignorance and Imagination: The Epistemic Origin of the Problem of Consciousness.*Daniel \n\nStoljar. Oxford University Press.", + "page_start": 23, + "page_end": 23, + "source_file": "wikipedia2.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia2.pdf", + "query": "What is the role of the PhilPapers organization ?", + "target_page": 6, + "target_passage": " PhilPapers is an organization that archives academic philosophy papers and periodically surveys professional philosophers about their views.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "(3): 298–311. doi:10.1111/rati.12103 (https://doi.org/10.1111%2Frati.12103). \n\n55. Levin, Janet (2008). \"Taking Type-B Materialism Seriously\" (https://philpapers.org/rec/LEVT \nTM).*Mind and Language*.**23**(4): 402–425. doi:10.1111/j.1468-0017.2008.00349.x (https://d \noi.org/10.1111%2Fj.1468-0017.2008.00349.x). \n\n56. Mandik, Pete; Weisberg, Josh (2008). Wrenn, Chase (ed.).*Type-Q Materialism*(https://philp \n\napers.org/rec/MANTM). Peter Lang Publishing Group. \n\n57. Pereira, Roberto Horácio Sá (2016). \"In Defence of Type-A Materialism\" (https://philpapers.o \nrg/rec/PERIDO-3).*Diametros*.**49**(49): 68–83. doi:10.13153/diam.49.2016.921 (https://doi.or \ng/10.13153%2Fdiam.49.2016.921). \n\n58. Yetter-Chappell, Helen (2017). \"Dissolving Type-B Physicalism\" (https://philpapers.org/rec/Y \nETDTP-2).*Philosophical Perspectives*.**31**(1): 469–498. doi:10.1111/phpe.12099 (https://do \ni.org/10.1111%2Fphpe.12099). \n\n59. Ramsey, William (2019). \"Eliminative Materialism\" (https://plato.stanford.edu/entries/material \nism-eliminative/). In Zalta, Edward N. (ed.).*Stanford Encyclopedia of Philosophy*. Retrieved \n1 April 2019. \n\n60. Frankish, K. (2016). \"Illusionism as a theory of consciousness\".*Journal of Consciousness*\n\n*Studies*.**23**(11–12): 11–39. \n\n61. 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Retrieved 18 January 2023.", + "page_start": 35, + "page_end": 35, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Wolf, Robert G. (1978). \"Are Relevant Logics Deviant?\" (https://philpapers.org/rec/WOLAR \nL).*Philosophia*.**7**(2): 327–340. doi:10.1007/BF02378819 (https://doi.org/10.1007%2FBF02 \n378819). S2CID 143697796 (https://api.semanticscholar.org/CorpusID:143697796). \nArchived (https://web.archive.org/web/20211216143955/https://philpapers.org/rec/WOLAR \nL) from the original on 16 December 2021. Retrieved 4 January 2022. \nZegarelli, Mark (2010).*Logic For Dummies*. John Wiley & Sons. p. 30. ISBN 978-1-118- \n05307-2.", + "page_start": 37, + "page_end": 37, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Blair, J. Anthony; Johnson, Ralph H. (2000). \"Informal Logic: An Overview\" (https://philpaper \ns.org/rec/BLAILA-3).*Informal Logic*.**20**(2): 93–107. doi:10.22329/il.v20i2.2262 (https://doi.o \nrg/10.22329%2Fil.v20i2.2262). Archived (https://web.archive.org/web/20211209195317/http \ns://philpapers.org/rec/BLAILA-3) from the original on 9 December 2021. Retrieved \n29 December 2021. \nBlair, J. Anthony (20 October 2011).*Groundwork in the Theory of Argumentation: Selected*\n*Papers of J. Anthony Blair*. Springer Science & Business Media. p. 47. ISBN 978-94-007- \n2363-4. \nBobzien, Susanne (2020). \"Ancient Logic: 2. Aristotle\" (https://plato.stanford.edu/entries/logi \nc-ancient/#Ari).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. Archived (https://web.archive.org/web/20180828102117/https://plato.sta \nnford.edu/entries/logic-ancient/#Ari) from the original on 28 August 2018. Retrieved \n3 January 2022. \nBorchert, Donald, ed. (2006a). \"Computability Theory\".*Macmillan Encyclopedia of*\n*Philosophy Volume 2*(https://philpapers.org/rec/BORMEO) (2nd ed.). Macmillan. pp. 372– \n390. ISBN 978-0-02-865782-0. \nBorchert, Donald (2006b). \"Induction\".*Macmillan Encyclopedia of Philosophy Volume 4*(htt \nps://philpapers.org/rec/BORMEO) (2nd ed.). Macmillan. pp. 635–648. ISBN 978-0-02- \n865784-4. Archived (https://web.archive.org/web/20210112065913/https://philpapers.org/re \nc/BORMEO) from the original on 12 January 2021. Retrieved 4 January 2022. \nBorchert, Donald (2006c). \"Logic, Non-Classical\".*Macmillan Encyclopedia of Philosophy*\n*Volume 5*(https://philpapers.org/rec/BORMEO) (2nd ed.). Macmillan. pp. 485–492. \nISBN 978-0-02-865785-1. Archived (https://web.archive.org/web/20210112065913/https://ph \nilpapers.org/rec/BORMEO) from the original on 12 January 2021. Retrieved 4 January 2022. \nBoris, Kulik; Alexander, Fridman (30 November 2017).*N-ary Relations for Logical Analysis*\n*of Data and Knowledge*. IGI Global. p. 74. ISBN 978-1-5225-2783-1. \nBridges, Douglas; Ishihara, Hajime; Rathjen, Michael; Schwichtenberg, Helmut (30 April \n2023).*Handbook of Constructive Mathematics*. Cambridge University Press. pp. 73–4. \nISBN 978-1-316-51086-5. \nBrody, Boruch A. (2006).*Encyclopedia of Philosophy*. Vol. 5. Donald M. Borchert (2nd ed.). \nThomson Gale/Macmillan Reference US. pp. 535–536. ISBN 978-0-02-865780-6. \nOCLC 61151356 (https://search.worldcat.org/oclc/61151356). \"The two most important \ntypes of logical calculi are propositional (or sentential) calculi and functional (or predicate) \ncalculi. A propositional calculus is a system containing propositional variables and \nconnectives (some also contain propositional constants) but not individual or functional \nvariables or constants. In the extended propositional calculus, quantifiers whose operator \nvariables are propositional variables are added.\" \nBunnin, Nicholas; Yu, Jiyuan (27 January 2009).*The Blackwell Dictionary of Western*\n*Philosophy*. John Wiley & Sons. p. 179. ISBN 978-1-4051-9112-8. \nBurgess, John P. (2009). \"1. Classical logic\".*Philosophical Logic*(https://philpapers.org/rec/ \nBURPL-3). Princeton, NJ: Princeton University Press. pp. 1–12. ISBN 978-0-691-15633-0. \nArchived (https://web.archive.org/web/20211216143954/https://philpapers.org/rec/BURPL- \n3) from the original on 16 December 2021. Retrieved 4 January 2022. \nBäck, Allan T. (2016).*Aristotle's Theory of Predication*. Brill. p. 317. ISBN 978-90-04-32109- \n0. \nCalderbank, Robert; Sloane, Neil J. A. (April 2001). \"Claude Shannon (1916–2001)\" (https:// \ndoi.org/10.1038%2F35071223).*Nature*.**410**(6830): 768. doi:10.1038/35071223 (https://doi. \norg/10.1038%2F35071223). ISSN 1476-4687 (https://search.worldcat.org/issn/1476-4687). \nPMID 11298432 (https://pubmed.ncbi.nlm.nih.gov/11298432). S2CID 4402158 (https://api.s \nemanticscholar.org/CorpusID:4402158). \nCarnielli, Walter; Pizzi, Claudio (2008).*Modalities and Multimodalities*. Springer Science &", + "page_start": 25, + "page_end": 25, + "source_file": "wikipedia1.pdf" + }, + { + "text": "The Foundation has a program of awarding grants to support chapters, affiliates, user groups, and \nindividuals in projects that further the mission of the Foundation. Chapters are independent organizations \nthat share the goals of the Foundation and support the goals within a specified geographical region. In \naddition to this work, which is reflected above in the awards and grants line, an overwhelming majority of \nthe Foundation’s project activities are carried out by an international network of volunteers, whose activity \nis not reflected in the tables above.", + "page_start": 16, + "page_end": 16, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "Iqbal, Mohammad (2013). \"The Spirit of Muslim Culture\".*The Reconstruction of Religious*\n*Thought in Islam*(http://www.allamaiqbal.com/works/prose/english/reconstruction/). Stanford \nUniversity Press. pp. 99–115. ISBN 978-0-8047-8686-7. \nIrvine, Andrew David (2022). \"Bertrand Russell\" (https://plato.stanford.edu/entries/russell/). \n*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. \nRetrieved 29 September 2022. \nJacquette, Dale (2006). \"Introduction: Philosophy of logic today\".*Philosophy of Logic*(http \ns://philpapers.org/rec/JACPOL). North Holland. pp. 1–12. ISBN 978-0-444-51541-4. \nArchived (https://web.archive.org/web/20211207184932/https://philpapers.org/rec/JACPOL) \nfrom the original on 7 December 2021. Retrieved 29 December 2021. \nJago, Mark (2014).*The Impossible: An Essay on Hyperintensionality*. OUP Oxford. p. 41. \nISBN 978-0-19-101915-9. \nJanssen, Theo M. V.; Zimmermann, Thomas Ede (2021). \"Montague Semantics\" (https://plat \no.stanford.edu/entries/montague-semantics/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. pp. 3–4. Retrieved 10 March 2023. \nJohnson, Ralph H. (1999). \"The Relation Between Formal and Informal Logic\" (https://philpa \npers.org/rec/JOHTRB-2).*Argumentation*.**13**(3): 265–274. doi:10.1023/A:1007789101256 \n(https://doi.org/10.1023%2FA%3A1007789101256). S2CID 141283158 (https://api.semantic \nscholar.org/CorpusID:141283158). Archived (https://web.archive.org/web/20211207184706/ \nhttps://philpapers.org/rec/JOHTRB-2) from the original on 7 December 2021. Retrieved \n2 January 2022. \nJohnson, Ralph H. (15 July 2014).*The Rise of Informal Logic: Essays on Argumentation,*\n*Critical Thinking, Reasoning and Politics*. University of Windsor. ISBN 978-0-920233-71-9. \nKetland, Jeffrey (2005). \"Second Order Logic\".*Macmillan Encyclopedia of Philosophy*\n*Volume 8*(https://www.encyclopedia.com/humanities/encyclopedias-almanacs-transcripts-a \nnd-maps/second-order-logic). Macmillan Reference USA. pp. 707–708. ISBN 978-0-02- \n865788-2. Archived (https://web.archive.org/web/20211207184921/https://www.encyclopedi \na.com/humanities/encyclopedias-almanacs-transcripts-and-maps/second-order-logic) from \nthe original on 7 December 2021. Retrieved 4 January 2022. \nKing, Jeffrey C. (2 September 2009). \"Formal Semantics\".*The Oxford Handbook of*\n*Philosophy of Language*. pp. 557–8. doi:10.1093/oxfordhb/9780199552238.003.0023 (http \ns://doi.org/10.1093%2Foxfordhb%2F9780199552238.003.0023). ISBN 978-0-19-955223-8. \nKing, Jeffrey C. (2019). \"Structured Propositions\" (https://plato.stanford.edu/entries/propositi \nons-structured/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. Archived (https://web.archive.org/web/20211025211706/https://plato.sta \nnford.edu/entries/propositions-structured/) from the original on 25 October 2021. Retrieved \n4 December 2021. \nKlement, Kevin C. (1995b). \"Propositional Logic\" (https://iep.utm.edu/prop-log/).*Internet*\n*Encyclopedia of Philosophy*. ISSN 2161-0002 (https://search.worldcat.org/issn/2161-0002). \nRetrieved 23 September 2022. \nKline, Morris (1972).*Mathematical Thought From Ancient to Modern Times*. Oxford \nUniversity Press. ISBN 978-0-19-506135-2. \nKneale, William; Kneale, Martha (1962).*The Development of Logic*. Clarendon Press. \nISBN 978-0-19-824773-9. \nKnuuttila, Simo (1980).*Reforging the Great Chain of Being: Studies of the History of Modal*\n*Theories*. Springer Science & Business Media. p. 71. ISBN 978-90-277-1125-0. \nKorb, Kevin (2004). \"Bayesian Informal Logic and Fallacy\" (https://philpapers.org/rec/KORBI \nL).*Informal Logic*.**24**(1): 41–70. doi:10.22329/il.v24i1.2132 (https://doi.org/10.22329%2Fil. \nv24i1.2132). Archived (https://web.archive.org/web/20211110075255/https://philpapers.org/r \nec/KORBIL) from the original on 10 November 2021. Retrieved 2 January 2022.", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/).*Internet Encyclopedia of*\n*Philosophy*. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla \ncy/) from the original on 29 April 2010. Retrieved 19 March 2021. \nvan Eemeren, Frans H.; Garssen, Bart (2009).*Pondering on Problems of Argumentation:*\n*Twenty Essays on Theoretical Issues*. Springer Science & Business Media. p. 191. \nISBN 978-1-4020-9165-0. \nvan Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. \nFrancisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe \nr.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1).*Handbook of*\n*Argumentation Theory*. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7- \n1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived \n(https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ \n10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved \n2 January 2022. \nvan Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, \nCharles A. (2013).*Fundamentals of Argumentation Theory: A Handbook of Historical*\n*Backgrounds and Contemporary Developments*. Routledge. p. 169. ISBN 978-1-136-68804- \n1. \nEmmanuel, Steven M. (2015).*A Companion to Buddhist Philosophy*. John Wiley & Sons. \npp. 320–2. ISBN 978-1-119-14466-3. \nEnderton, Herbert (2001).*A Mathematical Introduction to Logic*. Elsevier. ISBN 978-0-12- \n238452-3. \nEngel, S. Morris (1982).*With Good Reason an Introduction to Informal Fallacies*(https://phil \npapers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w \neb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original \non 1 March 2022. Retrieved 2 January 2022. \nEvans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.).*The*\n*Cambridge Handbook of Thinking and Reasoning*. Cambridge University Press. p. 169. \nISBN 978-0-521-82417-0. \nEwald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri \nes/logic-firstorder-emergence/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Retrieved 12 March 2023. \nFalguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http \ns://plato.stanford.edu/entries/abstract-objects/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 \n0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 \nJanuary 2021. Retrieved 7 January 2022. \nFalikowski, Anthony; Mills, Susan (2022).*Experiencing Philosophy*(2nd ed.). Broadview \nPress. p. 98. ISBN 978-1-77048-841-0. \nFisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005).*Handbook of Temporal*\n*Reasoning in Artificial Intelligence*. Elsevier. p. 119. ISBN 978-0-08-053336-0. \nFitch, G. W. (18 December 2014).*Saul Kripke*. Routledge. p. 17. ISBN 978-1-317-48917-7. \nFlotyński, Jakub (7 December 2020).*Knowledge-Based Explorable Extended Reality*\n*Environments*. Springer Nature. p. 39. ISBN 978-3-030-59965-2. \nFont, Josep Maria; Jansana, Ramon (2017).*A General Algebraic Semantics for Sentential*\n*Logics*. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1. \nFrede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). \n*Michigan Technological University*. Retrieved 1 November 2022. \nFriend, Michele (2014).*Introducing Philosophy of Mathematics*. Routledge. p. 101. \nISBN 978-1-317-49379-2.", + "page_start": 27, + "page_end": 27, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**3.1.1 How to browse through the Editorial Content of the Portal**\n\nThe editorial content of the Portal is organized into 4 main menu items: \n\n1. What we do \n2. Providing Data \n3. Using Data \n4. Resources", + "page_start": 9, + "page_end": 9, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**Social Contribution**\n**Activities**\n\n\n\n\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated \n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\nbranches at their own initiative. A wide variety \nbranches at their own initiative. A wide variety \n\n**SMFG and**\n**its Group companies**\n**participate in neighborhood**\n**cleanup programs** **Supporting education in**\n**developing countries,**\n**together with our customers**\n**and employees**\n\n**Donations through**\n**“The World Bank**\n**Green Fund”**\n\nof social contribution activities, such as the \nof social contribution activities, such as the \nMitsui Sumitomo VISA Card \ncollection of used stamps and PET bottle \ncollection of used stamps and PET bottle \n\ncaps, were carried out for global causes. \ncaps, were carried out for global causes. \n\nSumitomo Mitsui \nCard staff \nPOINT UP Mall \nSMBC Nikko Securities will continue activi- \nSMBC Nikko Securities will continue activi \n\nties that contribute to society and prioritize \nties that contribute to society and prioritize \n\ncommunication between employees. \ncommunication between employees. \n\nPromoting usage through \nthe point-allocation system \nDonation of used books \n\n| | | |\n|---|---|---|\n| | | |\n| | | |\n| o | f | us |\n| | | |\n\n\nSumitomo Mitsui \nCardholders \n\nBOOKOFF CORP Group \n\nCardholders and employees of Sumitomo \nCardholders and employees of Sumitomo \n\nMitsui Card joined a literary social contribution \nMitsui Card joined a literary social contribution \n\ninitiative by participating in the Books To \ninitiative by participating in the Books To \n\nThe People 2010 project operated by BOOKOFF \nThe People 2010 project operated by BOOKOFF \n\n environ- \nCORP. This project aims to provide environ \nCORP. This project aims to provide \n\nments in which children can read books in \nments in which children can read books in \n\npurpose-built facilities, through donations to \npurpose-built facilities, through donations to \nBuying used books \nRoom to Read, a non-governmental organi- \nRoom to Read, a non-governmental organi \nPurchase price \nzation that supports education in developing \nzation that supports education in developing \n\n| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | Purchase price | | |\n\n\n| | | | |\n|---|---|---|---|\n| | | | |\n| | | Buying used books | |\n\n\ncountries. These NGO donations are pegged \ncountries. These NGO donations are pegged \n\nto total numbers of used books and other \nto total numbers of used books and other \n\nIn the fall of 2010, SMBC Nikko Securities \nIn the fall of 2010, SMBC Nikko Securities \n\nestablished its “Green Week” for strength- \nestablished its “Green Week” for strength \n\nening environmental protection and social \nening environmental protection and social \n\ncontribution activities, with the aim of \ncontribution activities, with the aim of \n\npromoting communication within regional \npromoting communication within regional \n\nsociety and among participating employees \nsociety and among participating employees \n\nand their families, while deepening under- \nand their families, while deepening under \n\nstanding of environmental protection through \nstanding of environmental protection through \n\nEmployees and their families pitch in to clean up \n the bed of the Ara River in Tokyo \nparticipation in social contribution activities. \nparticipation in social contribution activities. \n\nBetween November 13 and December 5, \nBetween November 13 and December 5, \nEnvironmental protection activities \n2010, environmental protection programs \n2010, environmental protection programs \nForestry management volunteering experience in Osaka \n(Izumi no Mori) \nwere rolled out by cross-organizational \nwere rolled out by cross-organizational \n117 participants \n“Green Committees” in four locations in \n“Green Committees” in four locations in", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_SMFG_2011.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0510.pdf", + "query": "What explains mostly the physical behavior that occurs in region iii of thin films ?", + "target_page": 5, + "target_passage": "The observed behaviour in region iii) can be reason- ably attributed to the decreasing relevance of the con- tribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "[110] L. Rockford, Y. Liu, P. Mansky, T. P. Russell, M. Yoon, and S. G. J. Mochrie, “Polymers on nanope- \n\nriodic, heterogeneous surfaces,” Phys. Rev. Lett. 82, 2602–2605 (1999). \n\n[111] A. Sehgal, V. Ferreiro, J. F. Douglas, E. J. Amis, and A. Karim, “Pattern-directed dewetting of \n\nultrathin polymer films,” Langmuir 18, 7041–7048 (2002). \n\n[112] M. Geoghegan and G. Krausch, “Wetting at polymer surfaces and interfaces,” Prog. Polym. Sci. 28, \n\n261–302 (2003). \n\n[113] P. Lenz and R. Lipowsky, “Morphological transitions of wetting layers on structured surfaces,” Phys. \n\nRev. Lett. 80, 1920–1923 (1998). \n\n[114] C. Bauer, S. Dietrich, and A. O. Parry, “Morphological phase transitions of thin fluid films on chem- \n\nically structured substrates,” Europhys. Lett. 47, 474–480 (1999). \n\n[115] R. Konnur, K. Kargupta, and A. Sharma, “Instability and morphology of thin liquid films on chemi- \n\ncally heterogeneous substrates,” Phys. Rev. Lett. 84, 931–934 (2000). \n\n[116] M. Brinkmann and R. Lipowsky, “Wetting morphologies on substrates with striped surface domains,” \n\nJ. Appl. Phys. 92, 4296–4306 (2002). \n\n[117] L. Brusch, H. K¨uhne, U. Thiele, and M. B¨ar, “Dewetting of thin films on heterogeneous substrates: \n\nPinning vs. coarsening,” Phys. Rev. E 66, 011602 (2002). \n\n[118] U. Thiele, L. Brusch, M. Bestehorn, and M. B¨ar, “Modelling thin-film dewetting on structured sub- \n\nstrates and templates: Bifurcation analysis and numerical simulations,” Eur. Phys. J. E 11, 255–271 \n\n(2003). \n\n[119] U. Thiele, “Open questions and promising new fields in dewetting,” Eur. Phys. J. E 12, 409–416 \n\n(2003). \n\n[120] D. M. Anderson, G. B. McFadden, and A. A. Wheeler, “Diffuse-interface methods in fluid mechan- \n\nics,” Ann. Rev. Fluid Mech. 30, 139–165 (1998). \n\n[121] U. Thiele, S. Madruga, and L. Frastia, “Decomposition driven interface evolution for layers of binary \n\nmixtures: I. Model derivation and stratified base states,” Phys. Fluids 19, 122106 (2007). \n\n[122] O. A. Frolovskaya, A. A. Nepomnyashchy, A. Oron, and A. A. Golovin, “Stability of a two-layer \n\nbinary-fluid system with a diffuse interface,” Phys. Fluids 20, 112105 (2008). \n\n[123] S. Madruga and U. Thiele, “Decomposition driven interface evolution for layers of binary mixtures:", + "page_start": 32, + "page_end": 32, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle \n\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of \n\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright \n\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four \n\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, \n\n(iii) slow motion after depinning, and (iv) final evaporation from the center. \n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating \n\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of \n\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and \n\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics \n\non the mesoscale has been described as well as more microscopic models for the dynamics in the \n\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic \n\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film \n\nmodel. \n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to \n\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures \n\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic \n\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-", + "page_start": 22, + "page_end": 22, + "source_file": "1001.2669.pdf" + }, + { + "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the \n\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an \n\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in \n\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen \n\nfrom processes in similar ultrathin ‘postcursor’ films. \n\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on \n\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how- \n\never, that at the moment there exists no explanation for its existence. A possible hypothesis is \n\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension \n\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso- \n\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration \n\nsuspension from the higher concentration suspension on the surface of the substrate. \n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro- \n\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions \n\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface \n\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness \n\nprofile h(x, y, t). In the case of volatile liquids one finds [55–58, 64] \n\n(cid:20) \nQc∇ \n\n(cid:21) \n\nδF \nδh δF \nδh \n− Qe \n, \n\nwith the mobility functions Qc(h) = h3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip \n\nat the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part \n\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory \n\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the \n\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the \n\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and \n\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates. \n\nFocusing on the influence of capillarity and wettability only, the energy functional F [h] is given \n\nby \n(cid:90) (cid:90) \n\n(cid:104) γ \n2 \n(cid:105) \n(∇h)2 + f (h) − µh F [h] = dx dy (2) \n\n7", + "page_start": 6, + "page_end": 6, + "source_file": "1001.2669.pdf" + }, + { + "text": "[20] C. Tomlinson, “On the motion of certain liquids on the surface of water,” Phil. Mag. Ser. 4 39, 32–48 \n\n(1870). \n\n[21] C. G. Marangoni, “Ueber die Ausbreitung der Tropfen einer Fl¨ussigkeit auf der Oberfl¨ache einer \n\nanderen,” Ann. Phys. (Poggendorf) 143, 337–354 (1871). \n\n[22] O. Karthaus, L. Grasj¨o, N. Maruyama, and M. Shimomura, “Formation of ordered mesoscopic poly- \n\nmer arrays by dewetting,” Chaos 9, 308–314 (1999). \n\n[23] X. Gu, D. Raghavan, J. F. Douglas, and A. 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Thiele, “Creation of multi-scale stripe-like patterns in thin polymer blend films,” Europhys. Lett. \n\n73, 35–41 (2006). \n\n[104] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, and O. Gengelman, “Meso- \n\nscopic patterning in evaporated polymer solutions: New experimental data and physical mecha- \n\nnisms,” Langmuir 21, 9604–9609 (2005). \n\n[105] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, V. Z. Gaisin, R. Cohen, and \n\nO. V. Gendelman, “Mesoscopic patterning in thin polymer films formed under the fast dip-coating \n\nprocess,” Macromol. Mater. Eng. 290, 114–121 (2005). \n\n[106] J. B. Gibson, K. Zhang, K. Chen, S. Chynoweth, and C. W. Manke, “Simulation of colloid-polymer \n\nsystems using dissipative particle dynamics,” Mol. Simul. 23, 1–41 (1999). \n\n[107] K. Stratford and I. Pagonabarraga, “Parallel simulation of particle suspensions with the lattice Boltz- \n\nmann method,” Comput. Math. Appl. 55, 1585–1593 (2008). \n\n[108] G. Drazer, B. Khusid, J. Koplik, and A. Acrivos, “Wetting and particle adsorption in nanoflows,” \n\nPhys. Fluids 17, 017102 (2005). \n\n[109] J. Kromkamp, D. van den Ende, D. Kandhai, R. van der Sman, and R. Boom, “Lattice Boltzmann \n\nsimulation of 2d and 3d non-Brownian suspensions in Couette flow,” Chem. Eng. Sci. 61, 858–873 \n\n(2006).", + "page_start": 31, + "page_end": 31, + "source_file": "1001.2669.pdf" + }, + { + "text": "[5] F. Brochard-Wyart and J. Daillant, “Drying of solids wetted by thin liquid films,” Can. J. Phys. 68, \n\n1084–1088 (1989). \n\n[6] P. M¨uller-Buschbaum, “Dewetting and pattern formation in thin polymer films as investigated in real \n\nand reciprocal space,” J. Phys.-Condes. Matter 15, R1549–R1582 (2003). \n\n[7] R. Seemann, S. Herminghaus, C. Neto, S. Schlagowski, D. Podzimek, R. Konrad, H. Mantz, and \n\nK. Jacobs, “Dynamics and structure formation in thin polymer melt films,” J. Phys.-Condes. Matter \n\n17, S267–S290 (2005). \n\n[8] U. Thiele, “Structure formation in thin liquid films,” in S. Kalliadasis and U. Thiele, editors, “Thin \n\nfilms of Soft Matter,” pages 25–93, Springer, Wien (2007). \n\n[9] R. Xie, A. Karim, J. F. Douglas, C. C. Han, and R. A. Weiss, “Spinodal dewetting of thin polymer \n\nfilms,” Phys. Rev. Lett. 81, 1251–1254 (1998). \n\n[10] R. Seemann, S. Herminghaus, and K. Jacobs, “Dewetting patterns and molecular forces: A reconcil- \n\niation,” Phys. Rev. Lett. 86, 5534–5537 (2001). \n\n[11] U. Thiele, M. G. Velarde, and K. Neuffer, “Dewetting: Film rupture by nucleation in the spinodal \n\nregime,” Phys. Rev. Lett. 87, 016104 (2001). \n\n[12] M. Bestehorn and K. Neuffer, “Surface patterns of laterally extended thin liquid films in three di- \n\nmensions,” Phys. Rev. Lett. 87, 046101 (2001). \n\n[13] J. Becker, G. Gr¨un, R. Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, “Complex \n\ndewetting scenarios captured by thin-film models,” Nat. Mater. 2, 59–63 (2003). \n\n[14] C. Redon, F. Brochard-Wyart, and F. Rondelez, “Dynamics of dewetting,” Phys. Rev. Lett. 66, 715– \n\n718 (1991). \n\n[15] R. Seemann, S. Herminghaus, and K. Jacobs, “Shape of a liquid front upon dewetting,” Phys. Rev. \n\nLett. 87, 196101 (2001). \n\n[16] R. Fetzer, K. Jacobs, A. M¨unch, B. Wagner, and T. P. Witelski, “New slip regimes and the shape of \n\ndewetting thin liquid films,” Phys. Rev. Lett. 95, 127801 (2005). \n\n[17] F. Brochard-Wyart and C. Redon, “Dynamics of liquid rim instabilities,” Langmuir 8, 2324–2329 \n\n(1992). \n\n[18] G. Reiter and A. Sharma, “Auto-optimization of dewetting rates by rim instabilities in slipping poly- \n\nmer films,” Phys. Rev. Lett. 87, 166103 (2001).", + "page_start": 25, + "page_end": 25, + "source_file": "1001.2669.pdf" + }, + { + "text": "The patterns formed in dewetting processes have attracted strong interest since Reiter analysed the \n\nprocess quantitatively in the early nineties. In these experiments, that proved to be a paradigm in \n\nour understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is \n\ndeposited on a flat silicon oxide substrate is brought above the glass transition temperature. The \n\nfilm ruptures in several places, forming holes which subsequently grow, competing for space. As a \n\nresult, a random polygonal network of liquid rims emerges. The rims may further decay into lines \n\nof small drops due to a Rayleigh-type instability [1–3]. The related problems of retracting contact \n\nlines on partially wetting substrates and the opening of single holes in rather thick films have also \n\nbeen studied [4, 5]. \n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple \n\nnon-volatile liquids and polymers (for reviews see Refs. [6–8]). All stages of the dewetting of a \n\nfilm are studied: the initial film rupture via nucleation or a surface instability (called spinodal \n\ndewetting) [1, 9–13], the growth process of individual holes [14–16], the evolution of the resulting \n\nhole pattern [3, 13], and the stability of the individual dewetting fronts [17–19]. We note in \n\npassing, that descriptions of dewetting patterns may also be found in historic papers, particularly \n\nfor the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] \n\nconsidered turpentine on water and Marangoni [21, p. 352f] oil on water. \n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. How- \n\never, these systems have not yet been investigated in any great depth. Such systems are compli- \n\ncated because their behaviour is determined by the interplay between the various solute (or colloid) \n\nand solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one \n\nhas to distinguish between ‘normal’ convective dewetting and evaporative dewetting. A number \n\nof experiments have been performed employing (colloidal) solutions of polymers [22–25], macro- \n\nmolecules like collagen and DNA [26–31] and nanoparticles [32–40]. The latter are sometimes \n\nreferred to as ‘nanofluids’. The initial focus of much of the research in the field has been on \n\ninvestigating the structures that are formed which are similar to the ones observed in the ‘classi- \n\ncal’ dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from \n\nspinodal dewetting and heterogeneous nucleation and growth, respectively. They are ‘decorated’ \n\nwith the solute and therefore conserve the transient dewetting pattern as a dried-in structure when \n\nall the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2669.pdf" + }, + { + "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle \n\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can \n\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid \n\non the substrate where the nanoparticles are. \n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. \n\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be \n\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 \n\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger \n\nnumber remains constant, although new branches are continuously created and old branches join \n\neach other. In general, the results on fingering agree well with results obtained using the KMC \n\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor \n\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion \n\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the \n\nKMC for investigations of the early instability stages: they are more easy to discern without the \n\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of \n\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations \n\n(in analogy to the approach used in Refs. [19, 86, 87]). \n\nThe previous two sections focused on two approaches to describe the experimentally observed \n\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet- \n\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional \n\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to \n\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the \n\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach \n\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do \n\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface- \n\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of \n\nspreading particle solutions incorporating a structural disjoining pressure has also been considered \n\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91]. \n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", + "page_start": 17, + "page_end": 17, + "source_file": "1001.2669.pdf" + }, + { + "text": "where γ is the liquid-gas surface tension and f (h) is a local free energy term that describes the \n\nwettability of the surface. Since µ corresponds to a chemical potential, the term µh may either bias \n\nthe system towards the liquid or towards the gas state. The variation of F w.r.t. h gives the pressure. \n\nIt contains the curvature (Laplace) pressure −γ∆h and the disjoining pressure Π(h) = −∂hf (h). \n\nMany different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]). \n\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanopar- \n\nticles are not taken into account. However, under certain conditions one can augment equation (1) \n\nfor the evolution of the film thickness by coupling it to an equation for the evolution of the mean \n\nparticle concentration. The resulting model is able to describe the behaviour of an evaporating so- \n\nlution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C. \n\nWe should expect such a model to describe the mesoscopic dewetting front discussed above. How- \n\never, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor \n\nfilm. \n\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a dis- \n\ncrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on \n\nevaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The va- \n\nlidity of this strong assumption regarding the relevant transport processes can be confirmed from \n\nan estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The \n\nconvective mobility is proportional to h3, i.e., it is large for thick films but decreases strongly with \n\nreduced film thickness. The evaporative mobility, however, is a constant, implying that evapora- \n\ntion will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57] \n\nand a small contact angle (≈ 0.01), the cross-over thickness is in the range of 1-5 nanometers. \n\nThis estimate justifies the neglect of convective transport in a description of the postcursor film \n\nand may explain why one has such good agreement between the experimentally observed patterns \n\nand the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model \n\n[35]. We introduce the KMC model below in Section III A. \n\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its po- \n\ntential applications. For instance, the thermodynamic chemical potential as well as any wetting \n\ninteraction of the solvent with the substrate are collected in a single parameter – an effective chem- \n\nical potential. This implies that any influence of a disjoining pressure is ‘smeared out’ over the \n\nwhole system and that no distinction between the short- and the long-range parts of the disjoining \n\npressure is possible. It is furthermore based on the assumption that evaporation/condensation is", + "page_start": 7, + "page_end": 7, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0510.pdf", + "query": "Where are located the magnetic ions in the lattice of the studied layers ?", + "target_page": 2, + "target_passage": "the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "30 \n\n25 \n\n) \n. \ng \ne \nd \n( \n\n20 \n\n15 \n*x*\n*a*\n*m*\n*,*\n*z*\n10 \n*Q*\n\n5 \n\n0 \n0 40 \n*T*(K) \n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), \nvs. temperature for thickness n = 8. Inset: magnetic vector \n(mx \nl ) profile for some temperatures for L = 64. Colors \nand symbols as in Fig. 2. FIG. 7: (color online) ∆ϕl(T ) vs. temperature for the surface \nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), \nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed \nlines and open symbols: n = 16. \nl , my \n\nfilm leads to an effective 2d-like trend. Region ii) looks \nhowever more intriguing, and requires a more accurate \ndiscussion, which can benefit from a careful comparison \nof the behaviour of a given quantity in regions i) and ii). \n\n0 \n7 0 1 2 3 4 \n\n6 \n*l*\n\n8 9 10 11 12 5 \n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six \ncoupling constants set employed in Ref. 14,15 (see text) is \nused. The temperature range has been chosen around TC(n) \n(error bars lye within point size). \n\nFor this purpose, we look at the temperature depen- \ndence of the rotation angle of the magnetization between \nNN planes. \nIn Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 \n(continuous and dashed lines, respectively), is plotted for \nthe outermost planes, l = 1 . . . 4. For both thicknesses, a \nmonotonic trend is observed for all l, but at variance with \nwhat happens for the highest thickness, for n = 8 we see, \nstarting from a temperature T . TN (8), an abrupt drop \nof ∆ϕ3 and ∆ϕ4, which rapidly reach an almost con- \nstant value, only slightly larger than ∆ϕ1. In the tem- \nperature range TN (8) . T < TC(8) we thus substantially \nobserve the same small magnetic phase shifts between all \nNN layers, testifying an energetically stable quasi-FM \nconfiguration giving no contribution to the helical order \nparameters. The latter point can be made clearer by \nlooking at the the peak position Qz,max of the structure \nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is \nreported, again for n = 8 and for different lateral dimen- \nsions L26. As expected from the previous argument, we \nsee that Qz,max = 0 for TN (8) < T < TC(8), while it be- \ngins to shift to higher values as soon as the temperature \ndecreases below TN (8), making apparent a progressive \nfan stabilization with Qz,max 6= 0 and reaching a value \nof about 21◦ for T = 10 K. \n\nIn a previous study, where the magnetic properties of \nHo thin films were investigated by MC simulations of a \nHeisenberg model with easy-plane single-ion anisotropy \nand six out-of-plane coupling constants (as obtained by \nexperimental neutron scattering measurements16) on a \nHCP lattice14,15, it was found that for thicknesses compa- \nrable with the helical pitch the phase diagram landscape \nis quite different from what we find here. \nIndeed, for \nn = 9 − 16, three different magnetic phases could be sin- \n\ngled out, with the high-temperature, paramagnetic phase \nseparated from the low-temperature, long-range ordered \none, by an intermediate-temperature block phase where \nouter ordered 4-layers blocks coexist with some inner dis- \nordered ones. Moreover, it was observed that the phase \ntransition of such inner layers turns out to have the sig- \nnatures of a Kosterlitz-Thouless one. \n\nThe absence of the block phase in the J1 − J2 model \nhere investigated has to be attributed to the different \nrange of interactions, rather than to the different lattice \nstructure. We came to this conclusion by doing some \nsimulations using the same set of interaction constants \nemployed in Refs. 14,15, but using a BCT lattice: the \nresults we obtained for ∆ϕl with n = 12 are reported in \nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 \nand clearly displays the footmarks of the block phase (see \ndown-triangle), with two external blocks of ordered layers \n( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦, sep- \narated by a block of disordered layers, and with almost", + "page_start": 5, + "page_end": 5, + "source_file": "1001.0510.pdf" + }, + { + "text": "samples15, the projected Mn 3d magnetic moments are \nobtained as −1.4 µB and +0.8 µB per ion at remanence \nand 1000 Oe, respectively. \n\nmonolayers, assuming a uniform distribution of Mn ions \nand magnetic moments throughout the (Ga,Mn)As film. \nThis is around a factor of three thinner than in Ref.7, \nwhich could be due to the lower Mn concentration or the \ndifferent preparation method of the present samples. \n\nThe difference between these values can be understood \nas being due to an interface layer which is strongly anti- \nferromagnetically coupled to the Fe layer. At zero field, \nboth the interfacial and bulk Mn are aligned antiparallel \nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As \nlayer away from the interface is re-oriented into the exter- \nnal field direction. However, the interfacial Mn remains \nantiparallel to the Fe layer and thus partially compen- \nsates the XMCD signal from the bulk of the (Ga,Mn)As. \nFrom the size of the remanent and 1000 Oe magnetic \nmoments, it can be estimated that around 25-30% of the \nTEY XMCD signal can be ascribed to the interfacial Mn \nwhich is strongly coupled to the Fe moments. \n\nThe interfacial Mn moments are ascribed to the prox- \nimity polarization of the (Ga,Mn)As interface by the Fe \nlayer, such as was shown previously by XMCD as well as \nab initio theory7. Evidence for this can be observed from \nmeasurement of the Mn L2,3 XMCD signal at tempera- \ntures above the (Ga,Mn)As TC . Similar to the previous \nstudy7, we observe a small but not negligible signal at \nroom temperature (Fig. 3), with opposite sign to the Fe \nL2,3 XMCD. Its spectral shape is characteristic of a local- \nized electronic configuration close to d5, similar to bulk \n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic \n7 or MnAs16. A slight \nenvironments such as MnxFe1−x \nbroadening is observed on the low energy side of the Mn \nL3 peak, which may be due to the different screening in- \nduced by proximity to the Fe layer. Since the measured \nintensity is attenuated with distance z from the surface \nas I = I0 exp(−z/λT EY ), the thickness of the strongly \ncoupled interface layer is estimated to be ∼0.7 nm or 2-3 \n\nIn summary, we have demonstrated antiferromagnetic \ncoupling between Fe and (Ga,Mn)As layers in bilayer \nstructures. A markedly different coupling is observed for \nthe bulk of the (Ga,Mn)As layer and for Mn moments \nin the near-interface region. A thickness-dependent ex- \nchange bias field is observed to affect the whole of the \nbulk (Ga,Mn)As layer, which aligns antiparallel to the \nFe layer at low fields, and switches to parallel when the \nexternal field is large enough to overcome the bias field \nand the magnetocrystalline anisotropy fields. In contrast, \nthe interfacial Mn moments remain aligned antiparallel \nto the Fe layer even at 20 kOe, the largest field studied, \nand are polarized at temperatures well above the TC of \nthe bulk (Ga,Mn)As layer. The latter observation con- \nfirms the recently reported result of Ref. 7, in which \nthe Fe/(Ga,Mn)As bilayers were produced by a different \nmethod but showed qualitatively similar behavior of the \ninterfacial moments. Our results shed new light on the \nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which \nare of potential interest for room temperature spintron- \nics, and also offer a means of controlling the spin orien- \ntation in a FM semiconductor. \nfrom EU grants \nacknowledge \nand \nSemiSpinNet-215368 \nSTFC studentship grant CMPC07100. The Advanced \nLight Source is supported by the U.S. Department of \nEnergy under Contract No. \nDE-AC02-05CH11231. \nWe thank Leigh Shelford for help during the Diamond \nbeamtime. \n\nWe \n\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac- \nDonald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and \nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. \nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. \nB 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. \nRev. B 79, 214430 (2009).", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2449.pdf" + }, + { + "text": "The paper is organized as follows: In Sec. II the model \nHamiltonian will be defined, and the MC techniques, and \nall the thermodynamic quantities relevant for this study, \nwill be introduced. In Sec. III the results obtained for \ndifferent thicknesses will be presented, both in the matter \nof the critical properties of the model and of the magnetic \nordered structures observed. Finally, in Sec. IV we shall \ndiscuss such results, drawing also some conclusions. \n\nIn the following we will denote with n the film thick- \nness, i.e. the number of spin layers along the z direction, \nand with L×L the number of spins in each layer (i.e., L \nis the lattice size along both the x and y directions). In \nour simulations thickness values from 1 to 24 were con- \nsidered, while the range of lateral size L was from 8 to \n64. Periodic boundary conditions were applied along x \nand y, while free boundaries were obviously taken along \nthe film growth direction z. \n\nThermal equilibrium was attained by the usual \nMetropolis algorithm19, \nsupplemented by the over- \nrelaxed technique20 in order to speed-up the sampling \nof the spin configuration space: a typical “Monte Carlo \nstep” was composed by four Metropolis and four-five \nover-relaxed moves per particle. Such judicious mix of \nmoves is able both to get faster the thermal equilibrium \nand to minimize the correlation “time” between succes- \nsive samples, i.e. the undesired effects due to lack of in-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "| | |\n|---|---|\n| | |\n| J 1 | |\n\n\n*J*\n*2*\n*z*\n\n*y*\n*J*\n*0*\n\n*x*\n\nFIG. 1: (colors online) (a): body-centered tetragonal (BCT) \nlattice with J0 in-plane coupling constant, and out-of-plane \nJ1, and J2 competing interactions. \n\n~Si are classical planar unit vectors representing the di- \nrection of the total angular momentum of the magnetic \nions, whose magnitude \nj(j + 1) (j = 8 for Holmium \nions) is already encompassed within the definition of the \ninteraction constants J0,1,2. As sketched in Fig. 1, the \nmagnetic ions are located on the sites of a body-centered \ntetragonal (BCT) lattice; the first sum appearing in the \nHamiltonian describes the in-plane (xy) nearest neigh- \nbor (NN) interaction, which is taken ferromagnetic (FM), \nwith exchange strength J0 > 0; the second sum rep- \nresents the coupling, of exchange strength J1, between \nspins belonging to nearest neighbor (NN) planes along \nthe z-direction (which we will assume to coincide with \nthe film growth direction); finally, the third sum takes \ninto account the interaction, of exchange strength J2, be- \ntween spins lying on next-nearest neighbor (NNN) planes \nalong z. In order to have frustration, giving rise to non- \ncollinear order along z in the bulk, NN interaction J1 \ncan be taken both ferro- or antiferromagnetic, but NNN \ncoupling J2 has necessarily to be antiferromagnetic, and \nthe condition |J2| > |J1|/4 must be fulfilled. Such simpli- \nfied Hamiltonian was already employed to simulate he- \nlical ordering in bulk systems by Diep1,17 and Loison18. \nIn the bulk limit, the state of minimal energy of a sys- \ntem described by Eq.(1) corresponds to a helical arrange- \nment of spins. The ground state energy per spin is equal \nto eg(Qz) = [−4J0 − 2J1 (4 cos (Qzc′) + δ cos (2Qzc′))] \nis the distance between NN layers, δ = J2 \nwhere c′ \nJ1 , \nand Qzc′ = arccos \nis the angle between spins ly- \ning on adjacent planes along the z-direction. The ob- \nserved helical arrangement in bulk holmium corresponds \nto Qzc′ ≃ 30.5◦10: \nsuch value can be obtained from \nthe formula above with the set of coupling constants \nJ0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have \nemployed in our simulations. The given values for the ex- \nchange constants are the same already used by Weschke \net al. \nin Ref. 13 to interpret experimental data on \nHolmium films on the basis of a J1 − J2 model, after \na proper scaling by the numbers of NN and NNN on \nneighboring layers of a BCT lattice. \n\np \n\nbe achieved with different number of interacting layers: \nnotably, nearest and next-nearest layers competitive in- \nteractions are enough to get a helical structure with a \nwhatever pitch wavevector. Such observation gives us a \npossible way to solve the conundrum previously emerged, \nas we have the possibility of varying the range of inter- \nactions without modifying the helical pitch, thus decou- \npling the two relevant length scales along the film growth \ndirection, and making accessible a range of n of the or- \nder of, or smaller than, the helical pitch, but still large \nenough that a substantial number of layers can behave \nas “bulk” layers. Therefore, while in the previous papers \nwe have studied the properties of ultrathin magnetic films \nof Ho assuming a model with six interlayer exchange in- \nteractions, here we investigate by MC simulations the \nproperties of the same system by making use of the sim- \nplest model Hamiltonian able to describe the onset of a \nhelical magnetic order in Holmium, i.e. we consider only \ntwo inter-layer coupling constants, as previously done in \nRef. 11.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "L2,3 absorption edges in order to determine the magnetic \nresponse of the individual elements. In L2,3 XMCD, elec- \ntrons are excited from a 2p core level to the unoccupied \n3d valence states of the element of interest by circularly \npolarized x-rays at the resonance energies of the transi- \ntions. The difference in absorption for opposite polariza- \ntions gives a direct and element-specific measurement of \nthe projection of the 3d magnetic moment along the x- \nray polarization vector. The absorption cross-section is \nconventionally obtained by measuring the decay products \n– either fluorescent x-rays or electrons – of the photoex- \ncited core hole. The type of decay product measured \ndetermines the probing depth of the technique. For Mn \nL2,3 absorption, the probing depths for FY and TEY de- \ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. \nIn the \ncurrent experiment, the Mn XMCD measured using FY \nand TEY are thus sensitive to the bulk of the (Ga,Mn)As \nfilm and the near-interface layers, respectively. \n\nmeasurements were performed on beamline I06 at the \nDiamond Light Source, and on beamline 4.0.2 at the Ad- \nvanced Light Source. Total-electron yield (TEY) and \nfluorescence yield (FY) were monitored simultaneously \nusing the sample drain current and the photocurrent of a \ndiode mounted at 90◦ to the incident beam, respectively. \nwere \nmagnetometry \nand \ncontrol Fe/GaAs(001) \nfirst \non \nperformed \ngrown under \nthe \nsamples, \n(Ga,Mn)As/GaAs(001) \nsame conditions as the bilayers, \nto determine the \nmagnetic anisotropies of the individual layers and the \nCurie temperature of the (Ga,Mn)As layer. The Fe film \nhas a uniaxial magnetic anisotropy with easy axis along \nthe [110] orientation, similar to previous studies6. For \nthe (Ga,Mn)As control sample, there is a competition \nbetween cubic and uniaxial magnetic anisotropies, with \nthe former dominant at low temperatures and favoring \neasy axes along the in-plane h100i orientations, and the \nlatter dominant close to TC (∼35 K) giving an easy axis \nalong the [1¯10] orientation. Figure 1 shows [110] magne- \ntization versus temperature curves and low temperature \nhysteresis loops for a bilayer film containing a 20 nm \nthick (Ga,Mn)As layer. The total remnant moment of \nthe bilayer film decreases on cooling under zero magnetic \nfield below the TC of the (Ga,Mn)As, indicating that \nthis layer aligns antiparallel to the Fe magnetization \nat zero field. The hysteresis curve shows a two-step \nmagnetization reversal, indicating different behavior of \nthe Fe and (Ga,Mn)As layers, with the smaller loop \nattributed to the dilute moment (Ga,Mn)As film. The \nminor hysteresis loop shown in Fig. 1 clearly shows a \nshift from zero field by a bias field HE, indicating that \nthe Fe layer induces an exchange bias in the magnetic \nsemiconductor. The shape and size of the minor loop \nis in agreement with the hysteresis loop for the control \n(Ga,Mn)As sample, also shown in Fig. 1. This strongly \nindicates that the exchange bias affects the whole of the \n(Ga,Mn)As layer in the bilayer sample. \n\nSQUID", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "F. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2) \n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1 \n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and \n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy \n(Dated: June 8, 2022) \n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo \nsimulations. The employed model assumes classical planar spins in a body-centered tetragonal \nlattice, where the helical arrangement along the film growth direction has been modeled by nearest \nneighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical \norder. We obtain that, while the in-plane transition temperatures remain essentially unchanged with \nrespect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature \nwhen the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening \nof the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data \naround both transition temperatures lead us to exclude the presence of a first order transition for all \nanalyzed sizes. Finally, by comparing the results of the present work with those obtained for other \nmodels previously adopted in literature, we can get a deeper insight about the entwined role played \nby the number (range) of interlayer interactions and surface effects in non-collinear thin films. \n\nteractions by including six different exchange constants \nalong the c crystallographic axis, and gives a helix pitch \nwave-vector Qz such that Qzc′ ≃ 30◦, where c′ = c/2 is \nthe distance between nearest neighboring spin layers par- \nallel to the ab crystallographic planes, henceforth denoted \nalso as x − y planes, while z will be taken parallel to c. \nFor n > 16, n being the number of spin layers in the film, \na correct bulk limit is reached, while for lower n the film \nproperties are clearly affected by the strong competition \namong the helical pitch and the surface effects, which in- \nvolve the majority of the spin layers. \nIn the thickness \nrange n = 9 − 16, i.e. right for thickness values com- \nparable with the helical pitch, three different magnetic \nphases emerged, with the high-temperature, disordered, \nparamagnetic phase and the low-temperature, long-range \nordered one separated by an intriguing, \nintermediate- \ntemperature block phase, where outer ordered layers co- \nexist with some inner disordered ones, the phase tran- \nsition of the latter eventually displaying the signatures \nof a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film \ncollapses once and for all to a quasi-collinear order. \n\nI. INTRODUCTION \n\nfrustrated magnetic \nsystems1 still raises great interest, both in consequence \nof theoretical aspects, related to their peculiar criti- \ncal properties2, and in view of possible technological \napplications3. Indeed, beside conventional ferromagnetic \nor antiferromagnetic phase transitions, in many new ma- \nterials other nontrivial and unconventional forms of or- \ndering have been observed4,5. A quantity of particular \ninterest in this context is the spin chirality, an order pa- \nrameter which turned out to be extremely relevant in, \ne.g., magnetoelectric materials6, itinerant MnSi7, binary \ncompounds as FeGe8, glass transition of spins9, and XY \nhelimagnets, as Holmium, Terbium or Dysprosium10. In \nthe latter case, a new universality class was predicted be- \ncause a Z2 × SO(2) symmetry is spontaneously broken \nin the ordered phase2: In fact, when dealing with such \nsystems, in addition to the SO(2) symmetry of the spin \ndegrees of freedom ~Si, one has to consider also the Z2 \nsymmetry of the spin chirality κij ∝ \n\nThe study of low dimensional \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n4 \n\n] \nh \nc \ne \nm \n\n- \nt \na \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\n1 \nv \n0 \n1 \n5 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nz \n\n~Si × ~Sj \nh \n.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0510.pdf" + }, + { + "text": "20 \n**(a)***n =*6 \n15 \n\n10 \n\n) \n. \ng \ne \nd \n( \n\n5 \n\n0 \n0 \n*l*\nϕ \n∆ 5 \n\n| T=10K\n(b) n = 5\nT=20K\nT=30K\nT=40K\nT=50K | T=10K\nT=20K\nT=30K\nT=40K\nT=50K | |\n|---|---|---|\n| T=10K (b) n = 5 T=20K T=30K T=40K T=50K | T=10K T=20K T=30K T=40K T=50K | |\n| | | |\n| | | |\n\n\n4 \n\n3 \n\n2 \n\n1 \n\n0 \n0 1 2 3 4 5 \n*l*\n\n140 \n\n120 ) \nK \n( \n100 \n*)*\n*n*\n*(*\n80 *C*\n\n*TN (n)*\n*TC (n)*\n*bulk*\n\n*T*\n*,*\n60 \n*)*\n*n*\n*(*\n40 \n*N*\n*T*\n*TN*\n20 \n\n0 \n0 2 4 6 8 \n10 \n*n*\n\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film \nthickness n. \n\nangle of the magnetization between nearest planes: \n\nl+1 + M y l M y \nM x \nl M x ∆ϕl = ϕl+1 − ϕl = arccos (10) \nl+1 \n(cid:2) (cid:3) \n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on \nNN layers (l + 1, l) at some low temperatures, for thickness \nn = 5 and n = 6, and lateral dimension L = 64. \n\nthe same is true for the crossing point of the Binder cu- \nmulant of the average magnetization M (not reported in \nfigure), which is located at TC(8) = 133.3(3) K. These \ndata give a first rough indication that also for n = 8 all \nthe planes of the sample are still ordering almost at the \nsame temperature; such property has been observed for \nall the investigated thicknesses n below 16, so that TC(n) \nresults quite n-independent (see also Fig. 5) . \nl , M y \n\nwhere (M x \nl ) is the magnetic vector profile for each \nplane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for \nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear \nfan stabilization is observed when the temperature de- \nfor n = 5, ∆ϕl keeps an \ncreases, while in Fig. 6b, i.e. \nalmost temperature independent very small value; what’s \nmore, ∆ϕl seems to loose any temperature dependence \nas T = 0 is approached. We attribute the absence of fan \narrangement for n ≤ 5 as simply due to the lack of “bulk \nplanes” inside the film, so that we are left with only a 2d \ntrend at TC(n), i.e. at the temperature where the order \nparameters defined in Eqs. (2) and (3) show a critical \nbehaviour. \n\nAlthough the layer subtraction does not seem to mod- \nify TC (n), the onset of helical arrangement is observed to \nshift at lower temperatures as n decreases. The chirality \nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the \ntemperature decreases, around T ∼ 80 K we can identify \na finite-size behaviour of κ which, at variance with the \nprevious one, can be easily recognized as typical of an \neffective phase transition. Such conclusion is confirmed \nby the analysis of the chiral susceptibility χκ (Fig. 4c), \nwhich for the largest L has a maximum at T = 85 K. As- \nsuming that the order parameter (4) is the relevant one \nto single out the onset of the fan arrangement, we can \nget a more accurate estimate of TN (8) by looking at the \nBinder cumulant u4(κ), reported in Fig. 4d. By making \nuse of the MH technique, we locate the crossing point at \nTN (8) = 92(2) K. Finally, it is worthwhile to observe as \nthe specific heat does not show any anomaly at TN (8), \nbeing the entropy substantially removed at TC (8). \n\nA possible framework to analyze the results presented \nin the previous Section is suggested by Fig. 5, where we \ni) high \ncan easily distinguish three significant regions: \nthickness, n > 16, where the films substantially display a \nbulk behaviour, with the single planes ordering tempera- \nture coinciding with the helical phase transition one; ii) \nintermediate thickness, 6 ≤ n . 15, where the tempera- \nture corresponding to the onset of in-plane order, TC (n), \nis still ≃ T Ho \nN , but where the helical/fan arrangement sta- \nbilizes only below a finite temperature TN (n) < TC (n); \niii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho \nN but no \nfan phase is present at any temperature.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "The study of low dimensional \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n4 \n\n] \nh \nc \ne \nm \n\n- \nt \na \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\n1 \nv \n0 \n1 \n5 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nz \n\n~Si × ~Sj \nh \n. \n\nThe complex phase diagram unveiled by such MC sim- \nulations awaken however a further intriguing question: \nto what extent the observed behavior may be considered \na simple consequence of the competition between helical \norder and surface effects? I.e., is it just a matter of hav- \ning such a competition or does the range of interactions \nalso play a relevant role? Indeed, when the range of the \ninteractions is large enough we have a greater number of \nplanes which can be thought of as ”surface planes”, i.e. \nfor which the number of interacting neighbors are sig- \nnificantly reduced with respect to the bulk layers; there- \nfore, we expect that the larger the interaction range, the \nstronger should be the surface effects. But, at the same \ntime, the same modulation of the magnetic order can \n\ni \n\nFor these rare-earth elements, the development of new \nand sophisticated experimental methods11 has allowed to \nobtain ultra-thin films where the non-collinear modula- \ntion is comparable with the film thickness. Under such \nconditions the lack of translational invariance due to the \npresence of surfaces results decisive in order to observe \na drastic change of the magnetic structures12. Recent \nexperimental data on ultra-thin Holmium films13 have \nbeen lately interpreted and discussed14,15 on the basis \nof detailed classical Monte Carlo (MC) simulations of a \nspin Hamiltonian, which is believed to give a realistic \nmodeling of bulk Holmium. Such Hamiltonian, proposed \nby Bohr et al.16, allows for competitive middle-range in-", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0510.pdf" + }, + { + "text": "1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nThe development of FM metal/FM semiconductor het- \nerostructures has the potential to bring together the \nbenefits of metal and semiconductor based spintron- \nics, offering access to new functionalities and physi- \ncal phenomena. Recent studies of MnAs/(Ga,Mn)As \nand NiFe/(Ga,Mn)As bilayer films have shown FM in- \nterlayer coupling and independent magnetization be- \nhavior, respectively4,5. Of particular interest is the \nFe/(Ga,Mn)As system, since the growth of epitaxial \nFe/GaAs(001) films is well-established6. Remarkably, a \nrecent x-ray magnetic circular dichroism (XMCD) study \nhas shown that Fe may induce a proximity polariza- \ntion in the near-surface region of (Ga,Mn)As, antipar- \nallel to the Fe moment and persisting even above room \ntemperature7. Devices incorporating Fe/(Ga,Mn)As \ntherefore offer the prospect of obtaining non-volatile \nroom temperature spin-polarization in a semiconductor. \nUntil now, no information has been revealed about the \ncoupling of Fe to (Ga,Mn)As layers away from the near- \nsurface region. At the surface, the (Ga,Mn)As layer may \nbe highly non-stoichiometric and Mn-rich, due to its non- \nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers \nwere produced by a process including exposure to air fol- \nlowed by sputtering and annealing prior to Fe deposition, \n\nThe Fe and (Ga,Mn)As layers of the present study \nwere both grown by molecular beam epitaxy in the same \nultra-high vacuum system, in order to ensure a clean in- \nterface between them. The (Ga,Mn)As layer of thickness \n10 to 50 nm was deposited on a GaAs(001) substrate \nat a temperature of 260◦C, using previously established \nmethods3,8. A low Mn concentration of x ≈ 0.03 was \nchosen in order to avoid the formation of compensating \nMn interstitials. The substrate temperature was then \nreduced to ∼0◦C, before depositing a 2 nm Fe layer, \nplus a 2 nm Al capping layer. \nIn-situ reflection high \nenergy electron diffraction and ex-situ x-ray reflectivity \nand diffraction measurements confirmed that the layers \nare single-crystalline with sub-nm interface roughness. \nSQUID magnetometry measurements were performed us- \ning a Quantum Design Magnetic Property Measurement \nSystem. Mn and Fe L2,3 x-ray absorption and XMCD", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0510.pdf", + "query": "What is the minimum number of spin layers in a film before a correct bulk is reached ?", + "target_page": 1, + "target_passage": "For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "The paper is organized as follows: In Sec. II the model \nHamiltonian will be defined, and the MC techniques, and \nall the thermodynamic quantities relevant for this study, \nwill be introduced. In Sec. III the results obtained for \ndifferent thicknesses will be presented, both in the matter \nof the critical properties of the model and of the magnetic \nordered structures observed. Finally, in Sec. IV we shall \ndiscuss such results, drawing also some conclusions. \n\nIn the following we will denote with n the film thick- \nness, i.e. the number of spin layers along the z direction, \nand with L×L the number of spins in each layer (i.e., L \nis the lattice size along both the x and y directions). In \nour simulations thickness values from 1 to 24 were con- \nsidered, while the range of lateral size L was from 8 to \n64. Periodic boundary conditions were applied along x \nand y, while free boundaries were obviously taken along \nthe film growth direction z. \n\nThermal equilibrium was attained by the usual \nMetropolis algorithm19, \nsupplemented by the over- \nrelaxed technique20 in order to speed-up the sampling \nof the spin configuration space: a typical “Monte Carlo \nstep” was composed by four Metropolis and four-five \nover-relaxed moves per particle. Such judicious mix of \nmoves is able both to get faster the thermal equilibrium \nand to minimize the correlation “time” between succes- \nsive samples, i.e. the undesired effects due to lack of in-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "F. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2) \n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1 \n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and \n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy \n(Dated: June 8, 2022) \n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo \nsimulations. The employed model assumes classical planar spins in a body-centered tetragonal \nlattice, where the helical arrangement along the film growth direction has been modeled by nearest \nneighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical \norder. We obtain that, while the in-plane transition temperatures remain essentially unchanged with \nrespect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature \nwhen the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening \nof the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data \naround both transition temperatures lead us to exclude the presence of a first order transition for all \nanalyzed sizes. Finally, by comparing the results of the present work with those obtained for other \nmodels previously adopted in literature, we can get a deeper insight about the entwined role played \nby the number (range) of interlayer interactions and surface effects in non-collinear thin films. \n\nteractions by including six different exchange constants \nalong the c crystallographic axis, and gives a helix pitch \nwave-vector Qz such that Qzc′ ≃ 30◦, where c′ = c/2 is \nthe distance between nearest neighboring spin layers par- \nallel to the ab crystallographic planes, henceforth denoted \nalso as x − y planes, while z will be taken parallel to c. \nFor n > 16, n being the number of spin layers in the film, \na correct bulk limit is reached, while for lower n the film \nproperties are clearly affected by the strong competition \namong the helical pitch and the surface effects, which in- \nvolve the majority of the spin layers. \nIn the thickness \nrange n = 9 − 16, i.e. right for thickness values com- \nparable with the helical pitch, three different magnetic \nphases emerged, with the high-temperature, disordered, \nparamagnetic phase and the low-temperature, long-range \nordered one separated by an intriguing, \nintermediate- \ntemperature block phase, where outer ordered layers co- \nexist with some inner disordered ones, the phase tran- \nsition of the latter eventually displaying the signatures \nof a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film \ncollapses once and for all to a quasi-collinear order. \n\nI. INTRODUCTION \n\nfrustrated magnetic \nsystems1 still raises great interest, both in consequence \nof theoretical aspects, related to their peculiar criti- \ncal properties2, and in view of possible technological \napplications3. Indeed, beside conventional ferromagnetic \nor antiferromagnetic phase transitions, in many new ma- \nterials other nontrivial and unconventional forms of or- \ndering have been observed4,5. A quantity of particular \ninterest in this context is the spin chirality, an order pa- \nrameter which turned out to be extremely relevant in, \ne.g., magnetoelectric materials6, itinerant MnSi7, binary \ncompounds as FeGe8, glass transition of spins9, and XY \nhelimagnets, as Holmium, Terbium or Dysprosium10. In \nthe latter case, a new universality class was predicted be- \ncause a Z2 × SO(2) symmetry is spontaneously broken \nin the ordered phase2: In fact, when dealing with such \nsystems, in addition to the SO(2) symmetry of the spin \ndegrees of freedom ~Si, one has to consider also the Z2 \nsymmetry of the spin chirality κij ∝ \n\nThe study of low dimensional \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n4 \n\n] \nh \nc \ne \nm \n\n- \nt \na \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\n1 \nv \n0 \n1 \n5 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nz \n\n~Si × ~Sj \nh \n.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0510.pdf" + }, + { + "text": "K. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3 \nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5 \n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom \n2Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic \n3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom \n4Diamond Light Source, Harwell Science and Innovation Campus, \nDidcot, Oxfordshire, OX11 0DE, United Kingdom \n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA \n(Dated: August 24, 2018) \n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin \noverlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic \ncircular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface \nlayer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized \nat room temperature. \n\nwhich may further disrupt the interface order. The ori- \ngin of the interface magnetism then had to be inferred by \ncomparison to a series of reference samples7. Demonstra- \ntion of coupling between the bulk of the layers, i.e., an \nexchange bias effect, would provide direct evidence of the \ninterface magnetic order. Moreover, such coupling would \noffer new means of manipulating the FM semiconductor \nspin state and utilizing the proximity polarization effect \nin a spintronic device. \n\n] \ni \nc \ns \n- \nl \nr \nt \n\nFerromagnetic (FM) semiconductors offer the prospect \nof combining high-density storage and gate-controlled \nlogic in a single material. The realization of spin-valve \ndevices from FM semiconductors requires the controlled \nswitching of magnetization in adjacent layers between \nantiferromagnetic (AFM) and FM configurations. This \nhas motivated several theoretical investigations of inter- \nlayer coupling in all-semiconductor devices1, and AFM \ncoupling has recently been demonstrated in (Ga,Mn)As \nmultilayers separated by p-type non-magnetic spacers2. \nHowever, the Curie temperature TC of (Ga,Mn)As is \ncurrently limited to 185 K in single layers3, and is \ntypically much lower for layers embedded within a \nheterostructure2, which is an obstacle to the practical \nimplementation of semiconductor spintronics. \n\nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nHere, we demonstrate an antiferromagnetic coupling \nand exchange bias in Fe/(Ga,Mn)As bilayer films, by \ncombining element-specific XMCD measurements and \nbulk-sensitive superconducting quantum interference de- \nvice (SQUID) magnetometry. As with previous studies \nof FM metal/FM semiconductor bilayers4,5 (and in con- \ntrast to AFM coupled FM metal/FM metal exchange bias \nstructures10,11) the layers are in direct contact without \na non-magnetic spacer in between. We distinguish in- \nterface and bulk (Ga,Mn)As layers that are respectively \nstrongly and weakly antiferromagnetically coupled to the \nFe overlayer. In agreement with Ref.7, the interface layer \nremains polarized at room temperature. \n\n1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "20 \n**(a)***n =*6 \n15 \n\n10 \n\n) \n. \ng \ne \nd \n( \n\n5 \n\n0 \n0 \n*l*\nϕ \n∆ 5 \n\n| T=10K\n(b) n = 5\nT=20K\nT=30K\nT=40K\nT=50K | T=10K\nT=20K\nT=30K\nT=40K\nT=50K | |\n|---|---|---|\n| T=10K (b) n = 5 T=20K T=30K T=40K T=50K | T=10K T=20K T=30K T=40K T=50K | |\n| | | |\n| | | |\n\n\n4 \n\n3 \n\n2 \n\n1 \n\n0 \n0 1 2 3 4 5 \n*l*\n\n140 \n\n120 ) \nK \n( \n100 \n*)*\n*n*\n*(*\n80 *C*\n\n*TN (n)*\n*TC (n)*\n*bulk*\n\n*T*\n*,*\n60 \n*)*\n*n*\n*(*\n40 \n*N*\n*T*\n*TN*\n20 \n\n0 \n0 2 4 6 8 \n10 \n*n*\n\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film \nthickness n. \n\nangle of the magnetization between nearest planes: \n\nl+1 + M y l M y \nM x \nl M x ∆ϕl = ϕl+1 − ϕl = arccos (10) \nl+1 \n(cid:2) (cid:3) \n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on \nNN layers (l + 1, l) at some low temperatures, for thickness \nn = 5 and n = 6, and lateral dimension L = 64. \n\nthe same is true for the crossing point of the Binder cu- \nmulant of the average magnetization M (not reported in \nfigure), which is located at TC(8) = 133.3(3) K. These \ndata give a first rough indication that also for n = 8 all \nthe planes of the sample are still ordering almost at the \nsame temperature; such property has been observed for \nall the investigated thicknesses n below 16, so that TC(n) \nresults quite n-independent (see also Fig. 5) . \nl , M y \n\nwhere (M x \nl ) is the magnetic vector profile for each \nplane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for \nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear \nfan stabilization is observed when the temperature de- \nfor n = 5, ∆ϕl keeps an \ncreases, while in Fig. 6b, i.e. \nalmost temperature independent very small value; what’s \nmore, ∆ϕl seems to loose any temperature dependence \nas T = 0 is approached. We attribute the absence of fan \narrangement for n ≤ 5 as simply due to the lack of “bulk \nplanes” inside the film, so that we are left with only a 2d \ntrend at TC(n), i.e. at the temperature where the order \nparameters defined in Eqs. (2) and (3) show a critical \nbehaviour. \n\nAlthough the layer subtraction does not seem to mod- \nify TC (n), the onset of helical arrangement is observed to \nshift at lower temperatures as n decreases. The chirality \nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the \ntemperature decreases, around T ∼ 80 K we can identify \na finite-size behaviour of κ which, at variance with the \nprevious one, can be easily recognized as typical of an \neffective phase transition. Such conclusion is confirmed \nby the analysis of the chiral susceptibility χκ (Fig. 4c), \nwhich for the largest L has a maximum at T = 85 K. As- \nsuming that the order parameter (4) is the relevant one \nto single out the onset of the fan arrangement, we can \nget a more accurate estimate of TN (8) by looking at the \nBinder cumulant u4(κ), reported in Fig. 4d. By making \nuse of the MH technique, we locate the crossing point at \nTN (8) = 92(2) K. Finally, it is worthwhile to observe as \nthe specific heat does not show any anomaly at TN (8), \nbeing the entropy substantially removed at TC (8). \n\nA possible framework to analyze the results presented \nin the previous Section is suggested by Fig. 5, where we \ni) high \ncan easily distinguish three significant regions: \nthickness, n > 16, where the films substantially display a \nbulk behaviour, with the single planes ordering tempera- \nture coinciding with the helical phase transition one; ii) \nintermediate thickness, 6 ≤ n . 15, where the tempera- \nture corresponding to the onset of in-plane order, TC (n), \nis still ≃ T Ho \nN , but where the helical/fan arrangement sta- \nbilizes only below a finite temperature TN (n) < TC (n); \niii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho \nN but no \nfan phase is present at any temperature.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nThe development of FM metal/FM semiconductor het- \nerostructures has the potential to bring together the \nbenefits of metal and semiconductor based spintron- \nics, offering access to new functionalities and physi- \ncal phenomena. Recent studies of MnAs/(Ga,Mn)As \nand NiFe/(Ga,Mn)As bilayer films have shown FM in- \nterlayer coupling and independent magnetization be- \nhavior, respectively4,5. Of particular interest is the \nFe/(Ga,Mn)As system, since the growth of epitaxial \nFe/GaAs(001) films is well-established6. Remarkably, a \nrecent x-ray magnetic circular dichroism (XMCD) study \nhas shown that Fe may induce a proximity polariza- \ntion in the near-surface region of (Ga,Mn)As, antipar- \nallel to the Fe moment and persisting even above room \ntemperature7. Devices incorporating Fe/(Ga,Mn)As \ntherefore offer the prospect of obtaining non-volatile \nroom temperature spin-polarization in a semiconductor. \nUntil now, no information has been revealed about the \ncoupling of Fe to (Ga,Mn)As layers away from the near- \nsurface region. At the surface, the (Ga,Mn)As layer may \nbe highly non-stoichiometric and Mn-rich, due to its non- \nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers \nwere produced by a process including exposure to air fol- \nlowed by sputtering and annealing prior to Fe deposition, \n\nThe Fe and (Ga,Mn)As layers of the present study \nwere both grown by molecular beam epitaxy in the same \nultra-high vacuum system, in order to ensure a clean in- \nterface between them. The (Ga,Mn)As layer of thickness \n10 to 50 nm was deposited on a GaAs(001) substrate \nat a temperature of 260◦C, using previously established \nmethods3,8. A low Mn concentration of x ≈ 0.03 was \nchosen in order to avoid the formation of compensating \nMn interstitials. The substrate temperature was then \nreduced to ∼0◦C, before depositing a 2 nm Fe layer, \nplus a 2 nm Al capping layer. \nIn-situ reflection high \nenergy electron diffraction and ex-situ x-ray reflectivity \nand diffraction measurements confirmed that the layers \nare single-crystalline with sub-nm interface roughness. \nSQUID magnetometry measurements were performed us- \ning a Quantum Design Magnetic Property Measurement \nSystem. Mn and Fe L2,3 x-ray absorption and XMCD", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "samples15, the projected Mn 3d magnetic moments are \nobtained as −1.4 µB and +0.8 µB per ion at remanence \nand 1000 Oe, respectively. \n\nmonolayers, assuming a uniform distribution of Mn ions \nand magnetic moments throughout the (Ga,Mn)As film. \nThis is around a factor of three thinner than in Ref.7, \nwhich could be due to the lower Mn concentration or the \ndifferent preparation method of the present samples. \n\nThe difference between these values can be understood \nas being due to an interface layer which is strongly anti- \nferromagnetically coupled to the Fe layer. At zero field, \nboth the interfacial and bulk Mn are aligned antiparallel \nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As \nlayer away from the interface is re-oriented into the exter- \nnal field direction. However, the interfacial Mn remains \nantiparallel to the Fe layer and thus partially compen- \nsates the XMCD signal from the bulk of the (Ga,Mn)As. \nFrom the size of the remanent and 1000 Oe magnetic \nmoments, it can be estimated that around 25-30% of the \nTEY XMCD signal can be ascribed to the interfacial Mn \nwhich is strongly coupled to the Fe moments. \n\nThe interfacial Mn moments are ascribed to the prox- \nimity polarization of the (Ga,Mn)As interface by the Fe \nlayer, such as was shown previously by XMCD as well as \nab initio theory7. Evidence for this can be observed from \nmeasurement of the Mn L2,3 XMCD signal at tempera- \ntures above the (Ga,Mn)As TC . Similar to the previous \nstudy7, we observe a small but not negligible signal at \nroom temperature (Fig. 3), with opposite sign to the Fe \nL2,3 XMCD. Its spectral shape is characteristic of a local- \nized electronic configuration close to d5, similar to bulk \n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic \n7 or MnAs16. A slight \nenvironments such as MnxFe1−x \nbroadening is observed on the low energy side of the Mn \nL3 peak, which may be due to the different screening in- \nduced by proximity to the Fe layer. Since the measured \nintensity is attenuated with distance z from the surface \nas I = I0 exp(−z/λT EY ), the thickness of the strongly \ncoupled interface layer is estimated to be ∼0.7 nm or 2-3 \n\nIn summary, we have demonstrated antiferromagnetic \ncoupling between Fe and (Ga,Mn)As layers in bilayer \nstructures. A markedly different coupling is observed for \nthe bulk of the (Ga,Mn)As layer and for Mn moments \nin the near-interface region. A thickness-dependent ex- \nchange bias field is observed to affect the whole of the \nbulk (Ga,Mn)As layer, which aligns antiparallel to the \nFe layer at low fields, and switches to parallel when the \nexternal field is large enough to overcome the bias field \nand the magnetocrystalline anisotropy fields. In contrast, \nthe interfacial Mn moments remain aligned antiparallel \nto the Fe layer even at 20 kOe, the largest field studied, \nand are polarized at temperatures well above the TC of \nthe bulk (Ga,Mn)As layer. The latter observation con- \nfirms the recently reported result of Ref. 7, in which \nthe Fe/(Ga,Mn)As bilayers were produced by a different \nmethod but showed qualitatively similar behavior of the \ninterfacial moments. Our results shed new light on the \nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which \nare of potential interest for room temperature spintron- \nics, and also offer a means of controlling the spin orien- \ntation in a FM semiconductor. \nfrom EU grants \nacknowledge \nand \nSemiSpinNet-215368 \nSTFC studentship grant CMPC07100. The Advanced \nLight Source is supported by the U.S. Department of \nEnergy under Contract No. \nDE-AC02-05CH11231. \nWe thank Leigh Shelford for help during the Diamond \nbeamtime. \n\nWe \n\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac- \nDonald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and \nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. \nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. \nB 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. \nRev. B 79, 214430 (2009).", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2449.pdf" + }, + { + "text": "The scenario just outlined for n = 8 results to be cor- \nrect in the thickness range 6 ≤ n . 15, where a clear \nseparation between TN (n) and TC(n) can be easily fig- \nured out. In such temperature window, the strong sur- \nface effects produce a quasi-FM set-up of the magnetic \nfilm structure along the z-direction. While leaving to the \nnext Section a more detailed discussion of this regime, we \nreport in Fig. 5 a plot of TN (n) and TC(n) vs. n for all \nthe simulated thicknesses. The separation between the \ntwo critical temperatures is maximum for n = 6, where \nTN (6) = 38(4), that is TN (6) ∼ 1 \n3 TC(6). For films with \nless than six layers no fan order is observed, i.e. for n = 5 \nand below the chirality does not display any typical fea- \nture of fan ordering at any temperature below TC(n). As \na representative quantity we finally look at the rotation \n\nThe observed behaviour in region iii) can be reason- \nably attributed to the decreasing relevance of the con- \ntribution to the total energy of the system coming from \nthe competitive interactions among NNN planes as the \nfilm thickness decreases; moreover, the thinness of the", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "4 \n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. \nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van \nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B \n73, 165205 (2006). \n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. \nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. \nvan der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 \n(2007). \n\n| 4\n2\n0\n-2\n-4 | 5\nH = 0.5 k Oe\nH = 0\n4\n0 40 80\nT (K) | |\n|---|---|---|\n| 4 2 0 -2 -4 | 5 H = 0.5 k Oe H = 0 4 0 40 80 T (K) | |\n| | | 300 (Oe) 200 H E 100 0 0 20 40 d (nm) |\n\n\n) \nu \nm \ne \n5 \n- \n\n0 \n1 \n( \nt \n\nn \ne \nm \no \nM \n\n-1000 0 1000 \n\n| Applied | f ield |\n|---|---|\n| Applied | f ield |\n\n\n Applied field (Oe) \n\nFIG. 1. \n(color) Main figure: Major (red/black) and minor \n(green) hysteresis loops along the [110] axis at 5 K, for a \nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop \nfor a control (Ga,Mn)As (20 nm) film along the same axis \n(blue). Left inset: Magnetization versus temperature for the \nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe \napplied field (red). Right inset: Exchange bias field versus \nthickness d of the (Ga,Mn)As film (points) and fit showing \n1/d dependence (dashed line).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2449.pdf" + }, + { + "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain \n\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally \n\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding \n\nexcess thiol one can also vary the properties of the solvent [40]. \n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin- \n\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the \n\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds \n\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo- \n\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For \n\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin- \n\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing \n\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by \n\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced \n\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the \n\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find \n\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched \n\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a \n\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the \n\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold \n\ncores. For short chains (C5 and C8) no formation of branched structures is observed. At similar \n\nconcentrations, well-developed branched structures are formed for longer chains (C10 and C12). \n\nFor even longer chains (C14), however, one again finds less branching. It also depends on the \n\namount of excess thiol in the solvent (for details see Ref. [40]). \n\nWhen following the evolution of the branched patterns in situ (see the complementary video \n\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght \n\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. \n\nThe macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly \n\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc- \n\ntures cover all the available substrate. However, when at a later stage the macroscopic front be- \n\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this \n\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all \n\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_JWN_2014.pdf", + "query": "What the rough sales amount of the nordstrom.com website ?", + "target_page": 3, + "target_passage": "$2 billion in nordstrom.com sales", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Retail Business Net Sales**\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business: \n\n**2014** **2013**\n\n**Fiscal year** **2012**\n\n| Net sales by channel: | | | | | |\n|---|---|---|---|---|---|\n| Net sales by channel: | | | | | |\n\n\n$7,964 $7,705 **$7,682**\n\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n|---|---|---|---|---|---|\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n\n\nNordstrom 9,327 9,233 **9,678**\n\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n|---|---|---|---|---|---|\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n\n\n236 Nordstromrack.com and HauteLook 295 **360**\n\n| Other retail1 | 116 | | 35 | | 35 |\n|---|---|---|---|---|---|\n| Other retail1 | 116 | | 35 | | 35 |\n\n\n11,949 Total Retail segment 12,395 **13,369**\n\n| Corporate/Other | (259) | | (229) | | (187) |\n|---|---|---|---|---|---|\n| Corporate/Other | (259) | | (229) | | (187) |\n\n\n$12,166 $11,762 **Total net sales** **$13,110**\n\nNet sales increase 3.4% 12.1% \n\n**7.8%**\n\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n\n\nNordstrom.com 29.5% 37.1% **23.1%**\n\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n|---|---|---|---|---|---|\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n\n\n7.4% Nordstrom Rack 2.7% **3.8%**\n\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n\n\n2.5% **Total company**\n\n7.3% **4.0%**\n\n| Total sales per square foot | $493 | | $474 | | $470 |\n|---|---|---|---|---|---|\n| Total sales per square foot | $493 | | $474 | | $470 |\n\n\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n|---|---|---|---|---|---|\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n\n\n| Women’s Apparel | 30% | | 31% | | 31% |\n|---|---|---|---|---|---|\n| Women’s Apparel | 30% | | 31% | | 31% |\n\n\nShoes 23% 23% **23%**\n\n| Men’s Apparel | 16% | | 16% | | 16% |\n|---|---|---|---|---|---|\n| Men’s Apparel | 16% | | 16% | | 16% |\n\n\nWomen’s Accessories 14% 13% **14%**\n\n| Cosmetics | 11% | | 11% | | 11% |\n|---|---|---|---|---|---|\n| Cosmetics | 11% | | 11% | | 11% |\n\n\nKids’ Apparel 3% 3% **4%**\n\n| Other | 2% | | 2% | | 3% |\n|---|---|---|---|---|---|\n| Other | 2% | | 2% | | 3% |\n\n\n100% \n\n100% \n\n**Total**\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n\n**100%**\n\n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations. \n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \n\nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "Nordstrom Rack net sales for the quarter increased $130, or 17%, reflecting 27 new Nordstrom Rack store openings since the fourth quarter \nof 2013, while comparable sales increased 3.2%. On a comparable basis, the average selling price of Nordstrom Rack merchandise \nincreased while the number of items sold was flat. Shoes and Accessories were the category highlights for Nordstrom Rack. \n\nGross Profit \nOur total company gross profit rate decreased 53 basis points compared with the same period in the prior year, primarily due to increased \nmarkdowns at Nordstrom Rack. \n\nRetail Selling, General, and Administrative Expenses \nOur Retail SG&A rate increased 80 basis points primarily due to expenses related to the acquisition of Trunk Club and ongoing technology \nand fulfillment expenses. \n\nCredit Expenses \nIn the fourth quarter, expenses for our Credit segment of $54 increased from $38 in the prior year. The increase was primarily driven by \nhigher operational expenses resulting from a 6% increase in credit volume during the fourth quarter of 2014. The fourth quarter of 2013 also \nincluded the impact of the conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes, which decreased operational expenses \nin the prior year. \n\nFor further information on our quarterly results in 2014 and 2013, refer to Note 17: Selected Quarterly Data in the Notes to Consolidated \nFinancial Statements in Item 8: Financial Statements and Supplementary Data. \n\n**2015 Outlook**\nOur expectations for 2015 are as follows: \n\n| Net sales | 7 percent to 9 percent increase |\n|---|---|\n| Net sales | 7 percent to 9 percent increase |\n\n\nComparable sales 2 percent to 4 percent increase \n\n| Earnings per diluted share1 | $3.65 to $3.80 |\n|---|---|\n| Earnings per diluted share1 | $3.65 to $3.80 |\n\n\n1 This outlook does not include the impact of any future share repurchases. \n\nCapital expenditures, net of property incentives, of approximately $1.2 billion are expected in 2015, an increase from $751 in 2014. The \nincrease relates to store expansion, including Canada and Manhattan, and ongoing investments to improve the customer experience through \nflagship store remodels and a third fulfillment center expected to open in the second half of the year. To date in 2015, we have opened our \nsecond full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional Nordstrom full-line stores in the U.S. and \nanother full-line store in Canada during 2015. Planned net store openings are expected to increase our retail square footage by \napproximately 6.1%.", + "page_start": 36, + "page_end": 36, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**COMPETITIVE CONDITIONS**\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry \nsimilar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific \ncompetitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer \nexperiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, \ntechnology, product fulfillment, personalization and appealing, relevant store environments in top locations. \n\n**INVENTORY**\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and \nreceipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and \nreceive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). \nBeginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of \nmerchandise from some of our full-line stores’ top brands in advance of the upcoming selling seasons to take advantage of favorable buying \nopportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. \nWe pay for our merchandise purchases under the terms established with our vendors. \n\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and \nforeign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We \nexpect our suppliers to meet our “Nordstrom Partnership Guidelines,” which address our corporate social responsibility standards for matters \nsuch as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com. \n\n**EMPLOYEES**\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, \nemployment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. \nWe believe our relationship with our employees is good. \n\n**CAUTIONARY STATEMENT**\nCertain statements in this Annual Report on Form 10-K contain or may suggest “forward-looking” information (as defined in the Private \nSecurities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the \nfiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new \nand international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current \nbeliefs and expectations of the company’s management and are subject to significant risks and uncertainties. Actual future results may differ \nmaterially from historical results or current expectations depending upon factors including, but not limited to:", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "| Per Share Information | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Per Share Information | | | | | | | | | |\n\n\n| Dividends declared per share | 1.32 | | 1.20 | | 1.08 | | 0.92 | | 0.76 |\n|---|---|---|---|---|---|---|---|---|---|\n| Dividends declared per share | 1.32 | | 1.20 | | 1.08 | | 0.92 | | 0.76 |\n\n\n| Store Information (at year-end) | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Store Information (at year-end) | | | | | | | | | |\n\n\n| Nordstrom Rack and other stores7 | 176 | | 143 | | 123 | | 108 | | 89 |\n|---|---|---|---|---|---|---|---|---|---|\n| Nordstrom Rack and other stores7 | 176 | | 143 | | 123 | | 108 | | 89 |\n\n\n1 Gross profit is calculated as net sales less cost of sales and related buying and occupancy costs (for all segments). \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n\n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations. \n\n3 See ROIC (Non-GAAP financial measure) on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure. \n4 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \n\nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage. \n5 Ending inventory includes pack and hold inventory of $222, $173, $125, $34 and $0 in 2014, 2013, 2012, 2011 and 2010, which represents strategic purchases of \n\nmerchandise for upcoming selling seasons. \n\n6 Inventory turnover rate is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Retailers do not \nuniformly calculate inventory turnover as buying and occupancy costs may be included in selling, general and administrative expenses. As such, our inventory turnover rates \nmay not be comparable to other retailers. \n7 Other stores include Jeffrey boutiques, Trunk Club showrooms, our Nordstrom Canada full-line store and Last Chance. \n\nNordstrom, Inc. and subsidiaries 15", + "page_start": 26, + "page_end": 26, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.**\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts \n\n**OVERVIEW**\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards. \n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers. \n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin. \n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%.", + "page_start": 27, + "page_end": 27, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\nThe following table sets forth information for our reportable segments: \n\n**Corporate/**\n**Other**\n\n**Total Retail**\n**Business1** **Retail** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$13,369** **($259)** **$13,110** **$—** **$13,110**\n\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n\n\nEarnings (loss) before interest and income taxes **1,404** **(283)** **1,121** **202** **1,323**\n\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n\n\nEarnings (loss) before income taxes **1,404** **(403)** **1,185**\n\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n\n\nDepreciation and amortization **393** **112** **505** **3** **508**\n\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n\n\nAssets2 **5,103** **1,781** **6,884** **2,361** **9,245**\n\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n\n\nCredit card revenues — — — 374 374 \n\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n\n\nInterest expense, net — (137) (137) (24) (161) \n\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n\n\nCapital expenditures 636 161 \n\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n|---|---|---|---|---|---|---|---|---|---|\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n\n\nGoodwill 175 — 175 — 175 \n\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n|---|---|---|---|---|---|---|---|---|---|\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n\n\n| Fiscal year 2012 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2012 | | | | | | | | | |\n\n\n$11,949 ($187) $11,762 $— $11,762 \n\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n\n\nEarnings (loss) before interest and income taxes 1,409 (246) 1,163 182 1,345 \n\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n\n\nEarnings (loss) before income taxes 1,409 \n\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n\n\nDepreciation and amortization 357 70 427 2 429 \n\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n\n\n3,922 1,966 5,888 2,201 8,089 Assets2", + "page_start": 74, + "page_end": 74, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "’10 ’11 ’12 ’13 ’14 \n\n**NET SALES PERCENTAGE INCREASE**\n\n’10 \n12.7 ’11 \n12.7 ’12 \n’13 \n12.1 3.4 ’14 \n7.8 \n\n**493**\n470 \n431 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n417 \n397 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n372 \n\n’10 ’11 ’12 ’13 ’14 \n\n**COMPARABLE SALES PERCENTAGE INCREASE**\n\n’10 \n8.1 ’11 \n7.2 ’12 \n’13 \n’14 \n7.3 2.5 4.0 \n\n4-Wall Sales Per Square Foot \nSales Per Square Foot \n\n**CASH FLOW**\n**FROM OPERATIONS ($)**\n**RETURN ON ASSETS**\n**AND RETURN ON INVESTED**\n**CAPITAL (ROIC) (%)** ***\n\n1,320 \n**1,220**\n1,177 1,177 \n1,110 \n13.9 \n13.6 13.6 \n13.3 \n**12.6**\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n’10 ’11 ’12 ’13 ’14 ’10 ’11 ’12 ’13 ’14 \n\nReturn on Assets \nReturn on Invested Capital \n\nDollars in millions except per share and per square foot amounts. \n\n*4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, \nour Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage. \n**Inventory Turn is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Our inventory turnover rate \ndecreased in 2012, 2013 and 2014 primarily due to increasing our investment in pack and hold inventory beginning in 2012, which helped fuel the growth of Nordstrom Rack. \n***See Return on Invested Capital (ROIC) Non-GAAP financial measure on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure. \n\nnordstrom.com/companyreview", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "’10 ’11 ’12 ’13 ’14 \n\n**NET SALES PERCENTAGE INCREASE**\n’10 ’11 ’12 ’13 ’14 \n12.7 12.7 12.1 3.4 7.8 \n\n’10 ’11 ’12 ’13 ’14 \n\n**COMPARABLE SALES PERCENTAGE INCREASE**\n’10 ’11 ’12 ’13 ’14 \n8.1 7.2 7.3 2.5 4.0 \n\n4-Wall Sales Per Square Foot \nSales Per Square Foot \n\n**CASH FLOW** **RETURN ON ASSETS**\n**FROM OPERATIONS ($)** **AND RETURN ON INVESTED**\n**CAPITAL (ROIC) (%)** ***\n\n1,320 \n**1,220**\n1,177 1,177 \n1,110 \n13.9 \n13.6 13.6 \n13.3 \n**12.6**\n\n8.9 \n8.7 8.7 8.6 \n**8.1**\n\nDollars in millions except per share and per square foot amounts. \n\n*4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, \nour Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage. \n**Inventory Turn is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Our inventory turnover rate \ndecreased in 2012, 2013 and 2014 primarily due to increasing our investment in pack and hold inventory beginning in 2012, which helped fuel the growth of Nordstrom Rack. \n***See Return on Invested Capital (ROIC) Non-GAAP financial measure on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure. \n\nnordstrom.com/companyreview", + "page_start": 94, + "page_end": 94, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**2014**\n\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n\n\nNordstrom.com 1,622 1,269 **1,996**\n\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n|---|---|---|---|---|---|\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n\n\nNordstrom Rack 2,738 2,445 **3,215**\n\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n\n\n35 35 Other retail1 **116**\n\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n|---|---|---|---|---|---|\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n\n\nCorporate/Other (229) (187) **(259)**\n\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n|---|---|---|---|---|---|\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n\n\nThe following table summarizes net sales by merchandise category: \n\n**Fiscal year** **2014** **2012**\n\n**Net sales** **% of total**\n\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n\n\nShoes 2,828 23% 2,716 23% **3,038** **23%**\n\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n\n\nWomen’s Accessories 1,644 **14%**\n\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n\n\nKids’ Apparel 413 3% 381 3% **483** **4%**\n\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n\n\n100% $12,166 100% $11,762 **100%** **Total net sales** **$13,110**", + "page_start": 75, + "page_end": 75, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\n**NOTE 17: SELECTED QUARTERLY DATA1 (UNAUDITED)**\n\n**2nd Quarter**\n\n**1st Quarter** **3rd Quarter** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$3,296** **$3,938** **$2,837** **$3,040** **$13,110**\n\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n|---|---|---|---|---|---|---|---|---|---|\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n\n\nCredit card revenues **105** **396** **94** **96** **100**\n\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n|---|---|---|---|---|---|---|---|---|---|\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n\n\nSelling, general and administrative expenses **(844)** **(931)** **(3,777)**\n\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n\n\nNet earnings **183** **255** **720** **140** **142**\n\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n\n\nEarnings per diluted share **$0.72** **$0.95** **$0.73** **$1.32** **$3.72**\n\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n\n\n2.7% 2.5% 4.4% 0.1% 2.6% Comparable sales increase2 \n\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n\n\nGross profit3 984 1,100 1,000 1,345 4,429 \n\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n|---|---|---|---|---|---|---|---|---|---|\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n\n\n298 437 \n\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n\n\nEarnings per basic share $0.74 $0.94 $0.70 $1.39 $3.77 \n\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n\n\n1 Quarterly totals may not foot across due to rounding. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores.", + "page_start": 76, + "page_end": 76, + "source_file": "NYSE_JWN_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_JWN_2014.pdf", + "query": "How many employees did Nordstrom count in 2014 ?", + "target_page": 17, + "target_passage": "During 2014, we employed approximately 67,000 employees on a full- or part-time basis.", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "Net Sales (2014 vs. 2013) \nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we \nopened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the \nacquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These \nadditions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014. \n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared \nwith 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number \nof items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics \nand Men’s Apparel. \n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The top- \nperforming geographic regions for full-line stores were the Southeast and Southwest. \n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales \nincreased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and \nongoing technology investments to enhance the customer experience. \n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of \n27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories \nfor the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was \nflat. \n\nNet Sales (2013 vs. 2012) \nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at \nNordstrom.com and Nordstrom Rack’s accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one \nNordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our \nsquare footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales. \n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at \nNordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold \nincreased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men’s Shoes and Women’s Apparel. \n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales \ndecrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. \nNordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up \n30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology \ninvestments to enhance the customer experience. \n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. \nComparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the \naverage selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. \n\n**2014**\n\n| Retail gross profit1 | $4,709 | | $4,434 | | $4,335 |\n|---|---|---|---|---|---|\n| Retail gross profit1 | $4,709 | | $4,434 | | $4,335 |", + "page_start": 30, + "page_end": 30, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Consolidated Balance Sheets**\nIn millions \n\n**January 31, 2015** **February 1, 2014**\n\n| Assets | | | |\n|---|---|---|---|\n| Assets | | | |\n\n\n| Cash and cash equivalents | $827 | | $1,194 |\n|---|---|---|---|\n| Cash and cash equivalents | $827 | | $1,194 |\n\n\nAccounts receivable, net 2,177 **2,306**\n\n| Merchandise inventories | 1,733 | | 1,531 |\n|---|---|---|---|\n| Merchandise inventories | 1,733 | | 1,531 |\n\n\nCurrent deferred tax assets, net 239 **256**\n\n| Prepaid expenses and other | 102 | | 87 |\n|---|---|---|---|\n| Prepaid expenses and other | 102 | | 87 |\n\n\nTotal current assets 5,228 **5,224**\n\nLand, property and equipment, net 2,949 **3,340**\n\n| Goodwill | 435 | | 175 |\n|---|---|---|---|\n| Goodwill | 435 | | 175 |\n\n\nOther assets 222 **246**\n\n| Total assets | $9,245 | | $8,574 |\n|---|---|---|---|\n| Total assets | $9,245 | | $8,574 |\n\n\n| Liabilities and Shareholders’ Equity | | | |\n|---|---|---|---|\n| Liabilities and Shareholders’ Equity | | | |\n\n\n| Accounts payable | $1,328 | | $1,263 |\n|---|---|---|---|\n| Accounts payable | $1,328 | | $1,263 |\n\n\nAccrued salaries, wages and related benefits 395 **416**\n\n| Other current liabilities | 1,048 | | 876 |\n|---|---|---|---|\n| Other current liabilities | 1,048 | | 876 |\n\n\nCurrent portion of long-term debt 7 **8**\n\n| Total current liabilities | 2,800 | | 2,541 |\n|---|---|---|---|\n| Total current liabilities | 2,800 | | 2,541 |\n\n\n| Long-term debt, net | 3,123 | | 3,106 |\n|---|---|---|---|\n| Long-term debt, net | 3,123 | | 3,106 |\n\n\nDeferred property incentives, net 498 **510**\n\n| Other liabilities | 372 | | 349 |\n|---|---|---|---|\n| Other liabilities | 372 | | 349 |\n\n\n| Commitments and contingencies | | | |\n|---|---|---|---|\n| Commitments and contingencies | | | |\n\n\n| Shareholders’ equity: | | | |\n|---|---|---|---|\n| Shareholders’ equity: | | | |\n\n\nCommon stock, no par value: 1,000 shares authorized; 190.1 and 191.2 shares issued and \noutstanding 1,827 **2,338**\n\n| Retained earnings | 166 | | 292 |\n|---|---|---|---|\n| Retained earnings | 166 | | 292 |\n\n\nAccumulated other comprehensive loss (39) **(64)**\n\n| Total shareholders’ equity | 2,440 | | 2,080 |\n|---|---|---|---|\n| Total shareholders’ equity | 2,440 | | 2,080 |\n\n\n$8,574 **Total liabilities and shareholders’ equity** **$9,245**\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", + "page_start": 49, + "page_end": 49, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**2014**\n\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n\n\nNordstrom.com 1,622 1,269 **1,996**\n\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n|---|---|---|---|---|---|\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n\n\nNordstrom Rack 2,738 2,445 **3,215**\n\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n\n\n35 35 Other retail1 **116**\n\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n|---|---|---|---|---|---|\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n\n\nCorporate/Other (229) (187) **(259)**\n\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n|---|---|---|---|---|---|\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n\n\nThe following table summarizes net sales by merchandise category: \n\n**Fiscal year** **2014** **2012**\n\n**Net sales** **% of total**\n\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n\n\nShoes 2,828 23% 2,716 23% **3,038** **23%**\n\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n\n\nWomen’s Accessories 1,644 **14%**\n\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n\n\nKids’ Apparel 413 3% 381 3% **483** **4%**\n\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n\n\n100% $12,166 100% $11,762 **100%** **Total net sales** **$13,110**", + "page_start": 75, + "page_end": 75, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Retail Business Net Sales**\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business: \n\n**2014** **2013**\n\n**Fiscal year** **2012**\n\n| Net sales by channel: | | | | | |\n|---|---|---|---|---|---|\n| Net sales by channel: | | | | | |\n\n\n$7,964 $7,705 **$7,682**\n\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n|---|---|---|---|---|---|\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n\n\nNordstrom 9,327 9,233 **9,678**\n\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n|---|---|---|---|---|---|\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n\n\n236 Nordstromrack.com and HauteLook 295 **360**\n\n| Other retail1 | 116 | | 35 | | 35 |\n|---|---|---|---|---|---|\n| Other retail1 | 116 | | 35 | | 35 |\n\n\n11,949 Total Retail segment 12,395 **13,369**\n\n| Corporate/Other | (259) | | (229) | | (187) |\n|---|---|---|---|---|---|\n| Corporate/Other | (259) | | (229) | | (187) |\n\n\n$12,166 $11,762 **Total net sales** **$13,110**\n\nNet sales increase 3.4% 12.1% \n\n**7.8%**\n\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n\n\nNordstrom.com 29.5% 37.1% **23.1%**\n\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n|---|---|---|---|---|---|\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n\n\n7.4% Nordstrom Rack 2.7% **3.8%**\n\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n\n\n2.5% **Total company**\n\n7.3% **4.0%**\n\n| Total sales per square foot | $493 | | $474 | | $470 |\n|---|---|---|---|---|---|\n| Total sales per square foot | $493 | | $474 | | $470 |\n\n\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n|---|---|---|---|---|---|\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n\n\n| Women’s Apparel | 30% | | 31% | | 31% |\n|---|---|---|---|---|---|\n| Women’s Apparel | 30% | | 31% | | 31% |\n\n\nShoes 23% 23% **23%**\n\n| Men’s Apparel | 16% | | 16% | | 16% |\n|---|---|---|---|---|---|\n| Men’s Apparel | 16% | | 16% | | 16% |\n\n\nWomen’s Accessories 14% 13% **14%**\n\n| Cosmetics | 11% | | 11% | | 11% |\n|---|---|---|---|---|---|\n| Cosmetics | 11% | | 11% | | 11% |\n\n\nKids’ Apparel 3% 3% **4%**\n\n| Other | 2% | | 2% | | 3% |\n|---|---|---|---|---|---|\n| Other | 2% | | 2% | | 3% |\n\n\n100% \n\n100% \n\n**Total**\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n\n**100%**\n\n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations. \n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \n\nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.**\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts \n\n**OVERVIEW**\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards. \n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers. \n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin. \n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%.", + "page_start": 27, + "page_end": 27, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\n**NOTE 17: SELECTED QUARTERLY DATA1 (UNAUDITED)**\n\n**2nd Quarter**\n\n**1st Quarter** **3rd Quarter** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$3,296** **$3,938** **$2,837** **$3,040** **$13,110**\n\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n|---|---|---|---|---|---|---|---|---|---|\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n\n\nCredit card revenues **105** **396** **94** **96** **100**\n\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n|---|---|---|---|---|---|---|---|---|---|\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n\n\nSelling, general and administrative expenses **(844)** **(931)** **(3,777)**\n\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n\n\nNet earnings **183** **255** **720** **140** **142**\n\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n\n\nEarnings per diluted share **$0.72** **$0.95** **$0.73** **$1.32** **$3.72**\n\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n\n\n2.7% 2.5% 4.4% 0.1% 2.6% Comparable sales increase2 \n\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n\n\nGross profit3 984 1,100 1,000 1,345 4,429 \n\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n|---|---|---|---|---|---|---|---|---|---|\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n\n\n298 437 \n\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n\n\nEarnings per basic share $0.74 $0.94 $0.70 $1.39 $3.77 \n\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n\n\n1 Quarterly totals may not foot across due to rounding. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores.", + "page_start": 76, + "page_end": 76, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**COMPETITIVE CONDITIONS**\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry \nsimilar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific \ncompetitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer \nexperiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, \ntechnology, product fulfillment, personalization and appealing, relevant store environments in top locations. \n\n**INVENTORY**\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and \nreceipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and \nreceive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). \nBeginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of \nmerchandise from some of our full-line stores’ top brands in advance of the upcoming selling seasons to take advantage of favorable buying \nopportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. \nWe pay for our merchandise purchases under the terms established with our vendors. \n\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and \nforeign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We \nexpect our suppliers to meet our “Nordstrom Partnership Guidelines,” which address our corporate social responsibility standards for matters \nsuch as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com. \n\n**EMPLOYEES**\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, \nemployment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. \nWe believe our relationship with our employees is good. \n\n**CAUTIONARY STATEMENT**\nCertain statements in this Annual Report on Form 10-K contain or may suggest “forward-looking” information (as defined in the Private \nSecurities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the \nfiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new \nand international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current \nbeliefs and expectations of the company’s management and are subject to significant risks and uncertainties. Actual future results may differ \nmaterially from historical results or current expectations depending upon factors including, but not limited to:", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "As the Board of Directors looks back on the \nmany accomplishments of 2014 and ahead to the \nfuture, we support our executive management \nteam led by Blake, Pete and Erik Nordstrom. \nWe view 2014 to be a watershed moment in our \nhistory, with the successful entry into Canada, \nthe expansion of the Rack business through store \ngrowth, the launch of Nordstromrack.com and \nthe acquisition of Trunk Club. These milestones \nare the outcome of our strategy, which is squarely \nfocused on serving customers on their terms and \ndelivering the Nordstrom experience they expect \nfrom us. More importantly, our forward-thinking \nstrategy puts us on track to achieve our goal of \ntop-quartile shareholder return, driven by high \nsingle-digit sales growth and mid-teens return \non invested capital. We believe this will lead us to \nbe a $20 billion business by 2020, with superior \nreturns, creating significant shareholder value. \n\nOn behalf of the entire Board of Directors, thank \nyou for your continued support of Nordstrom.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\nThe following table sets forth information for our reportable segments: \n\n**Corporate/**\n**Other**\n\n**Total Retail**\n**Business1** **Retail** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$13,369** **($259)** **$13,110** **$—** **$13,110**\n\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n\n\nEarnings (loss) before interest and income taxes **1,404** **(283)** **1,121** **202** **1,323**\n\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n\n\nEarnings (loss) before income taxes **1,404** **(403)** **1,185**\n\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n\n\nDepreciation and amortization **393** **112** **505** **3** **508**\n\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n\n\nAssets2 **5,103** **1,781** **6,884** **2,361** **9,245**\n\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n\n\nCredit card revenues — — — 374 374 \n\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n\n\nInterest expense, net — (137) (137) (24) (161) \n\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n\n\nCapital expenditures 636 161 \n\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n|---|---|---|---|---|---|---|---|---|---|\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n\n\nGoodwill 175 — 175 — 175 \n\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n|---|---|---|---|---|---|---|---|---|---|\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n\n\n| Fiscal year 2012 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2012 | | | | | | | | | |\n\n\n$11,949 ($187) $11,762 $— $11,762 \n\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n\n\nEarnings (loss) before interest and income taxes 1,409 (246) 1,163 182 1,345 \n\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n\n\nEarnings (loss) before income taxes 1,409 \n\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n\n\nDepreciation and amortization 357 70 427 2 429 \n\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n\n\n3,922 1,966 5,888 2,201 8,089 Assets2", + "page_start": 74, + "page_end": 74, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Consolidated Statements of Cash Flows**\nIn millions \n\n**2014** **2013** **2012**\n\n| Operating Activities | | | | | |\n|---|---|---|---|---|---|\n| Operating Activities | | | | | |\n\n\n$734 $735 **$720**\n\n| Adjustments to reconcile net earnings to net cash provided by operating activities: | | | | | |\n|---|---|---|---|---|---|\n| Adjustments to reconcile net earnings to net cash provided by operating activities: | | | | | |\n\n\n| Amortization of deferred property incentives and other, net | (76) | | (58) | | (63) |\n|---|---|---|---|---|---|\n| Amortization of deferred property incentives and other, net | (76) | | (58) | | (63) |\n\n\n| Stock-based compensation expense | 68 | | 58 | | 53 |\n|---|---|---|---|---|---|\n| Stock-based compensation expense | 68 | | 58 | | 53 |\n\n\n| Excess tax benefit from stock-based compensation | (22) | | (23) | | (24) |\n|---|---|---|---|---|---|\n| Excess tax benefit from stock-based compensation | (22) | | (23) | | (24) |\n\n\n| Change in operating assets and liabilities: | | | | | |\n|---|---|---|---|---|---|\n| Change in operating assets and liabilities: | | | | | |\n\n\n| Merchandise inventories | (176) | | (157) | | (170) |\n|---|---|---|---|---|---|\n| Merchandise inventories | (176) | | (157) | | (170) |\n\n\n| Accounts payable | 15 | | 167 | | 48 |\n|---|---|---|---|---|---|\n| Accounts payable | 15 | | 167 | | 48 |\n\n\n| Other current liabilities | 155 | | 60 | | 36 |\n|---|---|---|---|---|---|\n| Other current liabilities | 155 | | 60 | | 36 |\n\n\n| Other liabilities | (3) | | 22 | | 2 |\n|---|---|---|---|---|---|\n| Other liabilities | (3) | | 22 | | 2 |\n\n\nNet cash provided by operating activities \n\n**Investing Activities**\n\n| Capital expenditures | (861) | | (803) | | (513) |\n|---|---|---|---|---|---|\n| Capital expenditures | (861) | | (803) | | (513) |\n\n\n| Change in credit card receivables originated at third parties | (8) | | (6) | | (42) |\n|---|---|---|---|---|---|\n| Change in credit card receivables originated at third parties | (8) | | (6) | | (42) |\n\n\n| Net cash used in investing activities | (889) | | (822) | | (369) |\n|---|---|---|---|---|---|\n| Net cash used in investing activities | (889) | | (822) | | (369) |\n\n\n| Financing Activities | | | | | |\n|---|---|---|---|---|---|\n| Financing Activities | | | | | |\n\n\n| Principal payments on long-term borrowings | (7) | | (407) | | (506) |\n|---|---|---|---|---|---|\n| Principal payments on long-term borrowings | (7) | | (407) | | (506) |\n\n\n| Cash dividends paid | (251) | | (234) | | (220) |\n|---|---|---|---|---|---|\n| Cash dividends paid | (251) | | (234) | | (220) |\n\n\n| Proceeds from issuances under stock compensation plans | 141 | | 103 | | 91 |\n|---|---|---|---|---|---|\n| Proceeds from issuances under stock compensation plans | 141 | | 103 | | 91 |\n\n\n| Other, net | (23) | | (5) | | (2) |\n|---|---|---|---|---|---|\n| Other, net | (23) | | (5) | | (2) |\n\n\nNet cash used in financing activities \n\n| Cash and cash equivalents at beginning of year | 1,194 | | 1,285 | | 1,877 |\n|---|---|---|---|---|---|\n| Cash and cash equivalents at beginning of year | 1,194 | | 1,285 | | 1,877 |\n\n\n| Cash paid during the year for: | | | | | |\n|---|---|---|---|---|---|\n| Cash paid during the year for: | | | | | |\n\n\n| Interest, net of capitalized interest | 152 | | 170 | | 169 |\n|---|---|---|---|---|---|\n| Interest, net of capitalized interest | 152 | | 170 | | 169 |\n\n\n| Non-cash investing and financing activities: | | | | | |\n|---|---|---|---|---|---|\n| Non-cash investing and financing activities: | | | | | |\n\n\n| Debt exchange | — | | 201 | | — |\n|---|---|---|---|---|---|\n| Debt exchange | — | | 201 | | — |\n\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", + "page_start": 51, + "page_end": 51, + "source_file": "NYSE_JWN_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_JWN_2014.pdf", + "query": "How many stores did Nordstrom posses at the end of 2014 ?", + "target_page": 22, + "target_passage": "Number of stores, end of year : 292", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "22 15 0.7 0.6 Nordstrom Rack and other stores1 \n\n**29** **1.2**\n\n| Stores acquired | | 4 | | — | | — | | — | | — | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Stores acquired | | 4 | | — | | — | | — | | — | | |\n\n\nStores closed (2) (1) — (0.1) **(3)** **(0.4)**\n\n| Total, end of year | | 292 | | 260 | | 240 | | 27.1 | | 26.0 | | 25.3 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Total, end of year | | 292 | | 260 | | 240 | | 27.1 | | 26.0 | | 25.3 |\n\n\nWe had no store relocations in 2014, compared with one Nordstrom full-line store and two Nordstrom Rack relocations in 2013 and three \nNordstrom Rack relocations in 2012. Our 2014 new store openings increased our square footage by 5.5%. \n\nTo date in 2015, we have opened our second full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional \nNordstrom full-line stores in the U.S. and another full-line store in Canada during 2015. Planned net store openings are expected to increase \nour retail square footage by approximately 6.1%.", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Retail Business Net Sales**\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business: \n\n**2014** **2013**\n\n**Fiscal year** **2012**\n\n| Net sales by channel: | | | | | |\n|---|---|---|---|---|---|\n| Net sales by channel: | | | | | |\n\n\n$7,964 $7,705 **$7,682**\n\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n|---|---|---|---|---|---|\n| Nordstrom.com | 1,996 | | 1,622 | | 1,269 |\n\n\nNordstrom 9,327 9,233 **9,678**\n\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n|---|---|---|---|---|---|\n| Nordstrom Rack | 3,215 | | 2,738 | | 2,445 |\n\n\n236 Nordstromrack.com and HauteLook 295 **360**\n\n| Other retail1 | 116 | | 35 | | 35 |\n|---|---|---|---|---|---|\n| Other retail1 | 116 | | 35 | | 35 |\n\n\n11,949 Total Retail segment 12,395 **13,369**\n\n| Corporate/Other | (259) | | (229) | | (187) |\n|---|---|---|---|---|---|\n| Corporate/Other | (259) | | (229) | | (187) |\n\n\n$12,166 $11,762 **Total net sales** **$13,110**\n\nNet sales increase 3.4% 12.1% \n\n**7.8%**\n\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | (0.5%) | | (2.1%) | | 3.9% |\n\n\nNordstrom.com 29.5% 37.1% **23.1%**\n\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n|---|---|---|---|---|---|\n| Nordstrom | 3.6% | | 2.3% | | 7.5% |\n\n\n7.4% Nordstrom Rack 2.7% **3.8%**\n\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 22.1% | | 27.3% | | — |\n\n\n2.5% **Total company**\n\n7.3% **4.0%**\n\n| Total sales per square foot | $493 | | $474 | | $470 |\n|---|---|---|---|---|---|\n| Total sales per square foot | $493 | | $474 | | $470 |\n\n\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n|---|---|---|---|---|---|\n| Full-line sales per square foot - U.S. | 371 | | 372 | | 385 |\n\n\n| Women’s Apparel | 30% | | 31% | | 31% |\n|---|---|---|---|---|---|\n| Women’s Apparel | 30% | | 31% | | 31% |\n\n\nShoes 23% 23% **23%**\n\n| Men’s Apparel | 16% | | 16% | | 16% |\n|---|---|---|---|---|---|\n| Men’s Apparel | 16% | | 16% | | 16% |\n\n\nWomen’s Accessories 14% 13% **14%**\n\n| Cosmetics | 11% | | 11% | | 11% |\n|---|---|---|---|---|---|\n| Cosmetics | 11% | | 11% | | 11% |\n\n\nKids’ Apparel 3% 3% **4%**\n\n| Other | 2% | | 2% | | 3% |\n|---|---|---|---|---|---|\n| Other | 2% | | 2% | | 3% |\n\n\n100% \n\n100% \n\n**Total**\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n\n**100%**\n\n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations. \n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \n\nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**2014**\n\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | $7,682 | | $7,705 | | $7,964 |\n\n\nNordstrom.com 1,622 1,269 **1,996**\n\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n|---|---|---|---|---|---|\n| Nordstrom | 9,678 | | 9,327 | | 9,233 |\n\n\nNordstrom Rack 2,738 2,445 **3,215**\n\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n|---|---|---|---|---|---|\n| Nordstromrack.com and HauteLook | 360 | | 295 | | 236 |\n\n\n35 35 Other retail1 **116**\n\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n|---|---|---|---|---|---|\n| Total Retail segment | 13,369 | | 12,395 | | 11,949 |\n\n\nCorporate/Other (229) (187) **(259)**\n\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n|---|---|---|---|---|---|\n| Total net sales | $13,110 | | $12,166 | | $11,762 |\n\n\nThe following table summarizes net sales by merchandise category: \n\n**Fiscal year** **2014** **2012**\n\n**Net sales** **% of total**\n\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Women’s Apparel | $3,950 | | 30% | | $3,733 | | 31% | | $3,684 | | 31% |\n\n\nShoes 2,828 23% 2,716 23% **3,038** **23%**\n\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Men’s Apparel | 2,129 | | 16% | | 1,943 | | 16% | | 1,866 | | 16% |\n\n\nWomen’s Accessories 1,644 **14%**\n\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Cosmetics | 1,400 | | 11% | | 1,312 | | 11% | | 1,255 | | 11% |\n\n\nKids’ Apparel 413 3% 381 3% **483** **4%**\n\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Other | 309 | | 2% | | 293 | | 2% | | 286 | | 3% |\n\n\n100% $12,166 100% $11,762 **100%** **Total net sales** **$13,110**", + "page_start": 75, + "page_end": 75, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.**\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts \n\n**OVERVIEW**\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards. \n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers. \n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin. \n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%.", + "page_start": 27, + "page_end": 27, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "Net Sales (2014 vs. 2013) \nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we \nopened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the \nacquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These \nadditions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014. \n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared \nwith 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number \nof items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics \nand Men’s Apparel. \n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The top- \nperforming geographic regions for full-line stores were the Southeast and Southwest. \n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales \nincreased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and \nongoing technology investments to enhance the customer experience. \n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of \n27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories \nfor the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was \nflat. \n\nNet Sales (2013 vs. 2012) \nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at \nNordstrom.com and Nordstrom Rack’s accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one \nNordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our \nsquare footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales. \n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at \nNordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold \nincreased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men’s Shoes and Women’s Apparel. \n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales \ndecrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. \nNordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up \n30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology \ninvestments to enhance the customer experience. \n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. \nComparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the \naverage selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. \n\n**2014**\n\n| Retail gross profit1 | $4,709 | | $4,434 | | $4,335 |\n|---|---|---|---|---|---|\n| Retail gross profit1 | $4,709 | | $4,434 | | $4,335 |", + "page_start": 30, + "page_end": 30, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**PART I**\n\n**Item 1. Business.**\n\n**DESCRIPTION OF BUSINESS**\nFounded in 1901 as a retail shoe business in Seattle, Nordstrom later incorporated in Washington state in 1946 and went on to become one \nof the leading fashion specialty retailers based in the U.S. As of March 16, 2015, we operate 290 U.S. stores located in 38 states as well as a \nrobust ecommerce business through Nordstrom.com, Nordstromrack.com and HauteLook and TrunkClub.com. We also operate two \nNordstrom full-line stores in Canada. The west and east coasts of the U.S. are the areas in which we have the largest presence. We have \ntwo reportable segments: Retail and Credit. \n\nAs of March 16, 2015, the**Retail**segment includes our 115 “Nordstrom” branded full-line stores in the U.S. and Nordstrom.com, 167 off-price \nNordstrom Rack stores, two Canada full-line stores, Nordstromrack.com and HauteLook, and other retail channels including five Trunk Club \nshowrooms and TrunkClub.com, our two Jeffrey boutiques and one clearance store that operates under the name “Last Chance.” Through \nthese multiple retail channels, we strive to deliver the best customer experience possible. We offer an extensive selection of high-quality \nbrand-name and private label merchandise focused on apparel, shoes, cosmetics and accessories. Our integrated Nordstrom full-line stores \nand online store allow us to provide our customers with a seamless shopping experience. In-store purchases are primarily fulfilled from that \nstore’s inventory, but when inventory is unavailable at that store it may also be shipped to our customers from our fulfillment center in Cedar \nRapids, Iowa, or from other Nordstrom full-line stores. Online purchases are primarily shipped to our customers from our Cedar Rapids \nfulfillment center, but may also be shipped from our Nordstrom full-line stores. Our customers can also pick up online orders in our Nordstrom \nfull-line stores if inventory is available at one of our locations. These capabilities allow us to better serve customers across various channels \nand improve sales. Nordstrom Rack stores purchase high-quality brand-name merchandise primarily from the same vendors carried in \nNordstrom full-line stores and also serve as outlets for clearance merchandise from our Nordstrom stores and other retail channels. During \nthe year, we launched Nordstromrack.com and the associated mobile app. Nordstromrack.com combines the technology expertise of \nHauteLook with the merchant expertise of Nordstrom Rack. Nordstromrack.com and HauteLook offer limited-time sale events on fashion and \nlifestyle brands as well as a persistent selection of off-price, high-quality brand-name merchandise and are integrated with a single customer \nlog-in, shared shopping cart and streamlined checkout process. Furthermore, we can accommodate returns from these sites by mail or at \nany Nordstrom Rack location. \n\nOur**Credit**segment includes our wholly owned federal savings bank, Nordstrom fsb, through which we provide a private label credit card, \ntwo Nordstrom Visa credit cards and a debit card. The credit and debit cards feature a loyalty program designed to increase customer visits \nand spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also \ngenerate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment \nwould incur if our customers used third-party cards. \n\nFor more information about our business and our reportable segments, see Item 7: Management’s Discussion and Analysis of Financial \nCondition and Results of Operations and Note 16: Segment Reporting in Item 8: Financial Statements and Supplementary Data.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "The following table lists our U.S. and Canada retail store count and facility square footage by state/province as of January 31, 2015: \n\n**Nordstrom Full-Line Stores -**\n**U.S.** **Nordstrom Rack and Other1**\n\n**Total**\n\n| Alabama | | — | — | | 1 | 35 | | 1 | 35 |\n|---|---|---|---|---|---|---|---|---|---|\n| Alabama | | — | — | | 1 | 35 | | 1 | 35 |\n\n\nAlaska 1 — — 97 **1** **97**\n\n| Alberta | | — | — | | 1 | 142 | | 1 | 142 |\n|---|---|---|---|---|---|---|---|---|---|\n| Alberta | | — | — | | 1 | 142 | | 1 | 142 |\n\n\nArizona 2 7 262 384 **9** **646**\n\n| California2 | | 32 | 5,489 | | 38 | 1,473 | | 70 | 6,962 |\n|---|---|---|---|---|---|---|---|---|---|\n| California2 | | 32 | 5,489 | | 38 | 1,473 | | 70 | 6,962 |\n\n\nColorado 3 **707**\n\n| Connecticut | | 1 | 189 | | 1 | 36 | | 2 | 225 |\n|---|---|---|---|---|---|---|---|---|---|\n| Connecticut | | 1 | 189 | | 1 | 36 | | 2 | 225 |\n\n\nDelaware 1 — — 127 **1** **127**\n\n| Florida2 | | 9 | 1,389 | | 12 | 414 | | 21 | 1,803 |\n|---|---|---|---|---|---|---|---|---|---|\n| Florida2 | | 9 | 1,389 | | 12 | 414 | | 21 | 1,803 |\n\n\nGeorgia 3 5 165 555 **8** **720**\n\n| Hawaii | | 1 | 211 | | 1 | 44 | | 2 | 255 |\n|---|---|---|---|---|---|---|---|---|---|\n| Hawaii | | 1 | 211 | | 1 | 44 | | 2 | 255 |\n\n\nIdaho — **37**\n\n| Illinois | | 4 | 947 | | 11 | 401 | | 15 | 1,348 |\n|---|---|---|---|---|---|---|---|---|---|\n| Illinois | | 4 | 947 | | 11 | 401 | | 15 | 1,348 |\n\n\nIndiana 1 1 35 134 **2** **169**\n\n| Iowa | | — | — | | 1 | 35 | | 1 | 35 |\n|---|---|---|---|---|---|---|---|---|---|\n| Iowa | | — | — | | 1 | 35 | | 1 | 35 |\n\n\nKansas 1 1 35 219 **2** **254**\n\n| Kentucky | | — | — | | 1 | 33 | | 1 | 33 |\n|---|---|---|---|---|---|---|---|---|---|\n| Kentucky | | — | — | | 1 | 33 | | 1 | 33 |\n\n\nMaine — **30**\n\n| Maryland | | 4 | 765 | | 4 | 156 | | 8 | 921 |\n|---|---|---|---|---|---|---|---|---|---|\n| Maryland | | 4 | 765 | | 4 | 156 | | 8 | 921 |\n\n\nMassachusetts 4 5 193 595 **9** **788**\n\n| Michigan | | 3 | 552 | | 4 | 145 | | 7 | 697 |\n|---|---|---|---|---|---|---|---|---|---|\n| Michigan | | 3 | 552 | | 4 | 145 | | 7 | 697 |\n\n\nMinnesota 1 2 75 240 **3** **315**\n\n| Missouri | | 2 | 342 | | 2 | 69 | | 4 | 411 |\n|---|---|---|---|---|---|---|---|---|---|\n| Missouri | | 2 | 342 | | 2 | 69 | | 4 | 411 |\n\n\nNevada 1 **277**\n\n| New Jersey | | 5 | 991 | | 3 | 102 | | 8 | 1,093 |\n|---|---|---|---|---|---|---|---|---|---|\n| New Jersey | | 5 | 991 | | 3 | 102 | | 8 | 1,093 |\n\n\nNew York 2 10 307 460 **12** **767**\n\n| North Carolina | | 2 | 300 | | 2 | 74 | | 4 | 374 |\n|---|---|---|---|---|---|---|---|---|---|\n| North Carolina | | 2 | 300 | | 2 | 74 | | 4 | 374 |\n\n\nOhio 3 6 224 549 **9** **773**\n\n| Oklahoma | | — | — | | 2 | 67 | | 2 | 67 |\n|---|---|---|---|---|---|---|---|---|---|\n| Oklahoma | | — | — | | 2 | 67 | | 2 | 67 |\n\n\nOregon 4 **745**\n\n| Pennsylvania | | 2 | 381 | | 3 | 120 | | 5 | 501 |\n|---|---|---|---|---|---|---|---|---|---|\n| Pennsylvania | | 2 | 381 | | 3 | 120 | | 5 | 501 |\n\n\nRhode Island 1 1 38 206 **2** **244**\n\n| South Carolina | | — | — | | 2 | 67 | | 2 | 67 |\n|---|---|---|---|---|---|---|---|---|---|\n| South Carolina | | — | — | | 2 | 67 | | 2 | 67 |\n\n\nTennessee 1 1 36 145 **2** **181**\n\n| Texas2 | | 8 | 1,431 | | 15 | 496 | | 23 | 1,927 |\n|---|---|---|---|---|---|---|---|---|---|\n| Texas2 | | 8 | 1,431 | | 15 | 496 | | 23 | 1,927 |\n\n\nUtah 2 **378**\n\n| Virginia | | 5 | 894 | | 5 | 201 | | 10 | 1,095 |\n|---|---|---|---|---|---|---|---|---|---|\n| Virginia | | 5 | 894 | | 5 | 201 | | 10 | 1,095 |\n\n\nWashington 7 7 276 1,392 **14** **1,668**\n\n| Washington D.C. | | — | — | | 3 | 80 | | 3 | 80 |\n|---|---|---|---|---|---|---|---|---|---|\n| Washington D.C. | | — | — | | 3 | 80 | | 3 | 80 |\n\n\nWisconsin — 2 67 — **2** **67**", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\nThe following table sets forth information for our reportable segments: \n\n**Corporate/**\n**Other**\n\n**Total Retail**\n**Business1** **Retail** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$13,369** **($259)** **$13,110** **$—** **$13,110**\n\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 396 | | 396 |\n\n\nEarnings (loss) before interest and income taxes **1,404** **(283)** **1,121** **202** **1,323**\n\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (120) | | (120) | | (18) | | (138) |\n\n\nEarnings (loss) before income taxes **1,404** **(403)** **1,185**\n\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 683 | | 172 | | 855 | | 6 | | 861 |\n\n\nDepreciation and amortization **393** **112** **505** **3** **508**\n\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 435 | | — | | 435 | | — | | 435 |\n\n\nAssets2 **5,103** **1,781** **6,884** **2,361** **9,245**\n\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $12,395 | | ($229) | | $12,166 | | $— | | $12,166 |\n\n\nCredit card revenues — — — 374 374 \n\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before interest and income taxes | 1,420 | | (258) | | 1,162 | | 188 | | 1,350 |\n\n\nInterest expense, net — (137) (137) (24) (161) \n\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings (loss) before income taxes | 1,420 | | (395) | | 1,025 | | 164 | | 1,189 |\n\n\nCapital expenditures 636 161 \n\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n|---|---|---|---|---|---|---|---|---|---|\n| Depreciation and amortization | 364 | | 88 | | 452 | | 2 | | 454 |\n\n\nGoodwill 175 — 175 — 175 \n\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n|---|---|---|---|---|---|---|---|---|---|\n| Assets2 | 4,191 | | 2,118 | | 6,309 | | 2,265 | | 8,574 |\n\n\n| Fiscal year 2012 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2012 | | | | | | | | | |\n\n\n$11,949 ($187) $11,762 $— $11,762 \n\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | — | | — | | — | | 372 | | 372 |\n\n\nEarnings (loss) before interest and income taxes 1,409 (246) 1,163 182 1,345 \n\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n|---|---|---|---|---|---|---|---|---|---|\n| Interest expense, net | — | | (134) | | (134) | | (26) | | (160) |\n\n\nEarnings (loss) before income taxes 1,409 \n\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n|---|---|---|---|---|---|---|---|---|---|\n| Capital expenditures | 371 | | 140 | | 511 | | 2 | | 513 |\n\n\nDepreciation and amortization 357 70 427 2 429 \n\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n|---|---|---|---|---|---|---|---|---|---|\n| Goodwill | 175 | | — | | 175 | | — | | 175 |\n\n\n3,922 1,966 5,888 2,201 8,089 Assets2", + "page_start": 74, + "page_end": 74, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\n**NOTE 1: NATURE OF OPERATIONS AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES**\n\n**The Company**\nFounded in 1901 as a shoe store in Seattle, Washington, Nordstrom, Inc. is now a leading fashion specialty retailer that offers customers a \nwell-edited selection of high-quality fashion brands focused on apparel, shoes, cosmetics and accessories for men, women and children. This \nbreadth of merchandise allows us to serve a wide range of customers who appreciate quality fashion and a superior shopping experience. \nWe offer an extensive selection of high-quality brand-name and private label merchandise through multiple retail channels, including 116 \n“Nordstrom” branded full-line stores in the U.S. and at Nordstrom.com (collectively, “Nordstrom”), one Canada full-line store, 167 off-price \nNordstrom Rack stores, Nordstromrack.com and HauteLook, five Trunk Club showrooms and TrunkClub.com, two Jeffrey boutiques and one \nLast Chance clearance store. Our stores are located in 38 states throughout the U.S and in one province in Canada. \n\nThrough our Credit segment, we provide our customers with a variety of payment products and services, including a Nordstrom private label \ncard, two Nordstrom Visa credit cards and a debit card for Nordstrom purchases. These products also allow our customers to participate in \nour loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster \ngreater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, \nwe save on interchange fees that the Retail segment would incur if our customers used third-party cards. \n\n**Fiscal Year**\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31st. References to 2014 and all years within this \ndocument are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year. \n\n**Principles of Consolidation**\nThe consolidated financial statements include the balances of Nordstrom, Inc. and its subsidiaries. All intercompany transactions and \nbalances are eliminated in consolidation. \n\n**Use of Estimates**\nThe preparation of financial statements in conformity with accounting principles generally accepted in the U.S. requires management to make \nestimates and assumptions that affect the reported amounts of assets, liabilities, revenues and expenses, and disclosure of contingent assets \nand liabilities during the reporting period. Uncertainties regarding such estimates and assumptions are inherent in the preparation of financial \nstatements and actual results may differ from these estimates and assumptions. Our most significant accounting judgments and estimates \ninclude the allowance for credit losses, revenue recognition, inventory, goodwill, stock-based compensation and income taxes. \n\n**Net Sales**\nWe recognize revenue from sales at our retail stores at the point of sale, net of estimated returns and excluding sales taxes. Revenue from \nsales to customers shipped directly from our stores, website and catalog, which includes shipping revenue when applicable, is recognized \nupon estimated receipt by the customer. We estimate customer merchandise returns based on historical return patterns and reduce sales \nand cost of sales accordingly. Activity in the allowance for sales returns, net, for the past three fiscal years is as follows: \n\n**2014**\n\n| Allowance at beginning of year | $128 | | $116 | | $103 |\n|---|---|---|---|---|---|\n| Allowance at beginning of year | $128 | | $116 | | $103 |\n\n\nAdditions 1,880 1,724 **2,129**\n\n| Returns, net1 | (2,097) | | (1,868) | | (1,711) |\n|---|---|---|---|---|---|\n| Returns, net1 | (2,097) | | (1,868) | | (1,711) |\n\n\n$128 $116", + "page_start": 52, + "page_end": 52, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Nordstrom, Inc.**\n**Notes to Consolidated Financial Statements**\nDollar and share amounts in millions except per share, per option and per unit amounts \n\n**NOTE 17: SELECTED QUARTERLY DATA1 (UNAUDITED)**\n\n**2nd Quarter**\n\n**1st Quarter** **3rd Quarter** **Total**\n\n| Fiscal year 2014 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Fiscal year 2014 | | | | | | | | | |\n\n\n**$3,296** **$3,938** **$2,837** **$3,040** **$13,110**\n\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n|---|---|---|---|---|---|---|---|---|---|\n| Comparable sales increase2 | 3.9% | | 3.3% | | 3.9% | | 4.7% | | 4.0% |\n\n\nCredit card revenues **105** **396** **94** **96** **100**\n\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n|---|---|---|---|---|---|---|---|---|---|\n| Gross profit3 | 1,015 | | 1,166 | | 1,079 | | 1,444 | | 4,704 |\n\n\nSelling, general and administrative expenses **(844)** **(931)** **(3,777)**\n\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings before income taxes | 230 | | 296 | | 228 | | 431 | | 1,185 |\n\n\nNet earnings **183** **255** **720** **140** **142**\n\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per basic share | $0.74 | | $0.97 | | $0.74 | | $1.35 | | $3.79 |\n\n\nEarnings per diluted share **$0.72** **$0.95** **$0.73** **$1.32** **$3.72**\n\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net sales | $2,657 | | $3,104 | | $2,791 | | $3,614 | | $12,166 |\n\n\n2.7% 2.5% 4.4% 0.1% 2.6% Comparable sales increase2 \n\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n|---|---|---|---|---|---|---|---|---|---|\n| Credit card revenues | 92 | | 92 | | 93 | | 97 | | 374 |\n\n\nGross profit3 984 1,100 1,000 1,345 4,429 \n\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n|---|---|---|---|---|---|---|---|---|---|\n| Selling, general and administrative expenses | (801) | | (857) | | (840) | | (955) | | (3,453) |\n\n\n298 437 \n\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n|---|---|---|---|---|---|---|---|---|---|\n| Net earnings | 145 | | 184 | | 137 | | 268 | | 734 |\n\n\nEarnings per basic share $0.74 $0.94 $0.70 $1.39 $3.77 \n\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n|---|---|---|---|---|---|---|---|---|---|\n| Earnings per diluted share | $0.73 | | $0.93 | | $0.69 | | $1.37 | | $3.71 |\n\n\n1 Quarterly totals may not foot across due to rounding. \n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores.", + "page_start": 76, + "page_end": 76, + "source_file": "NYSE_JWN_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2538.pdf", + "query": "What type of nanostructured material works notably well to build gas nanosensors ?", + "target_page": 1, + "target_passage": "carbon nanotubes (CNT) [2] have been shown to work remarkably well as de- tectors of small gas molecules", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes \n\nJ. M. Garc´ıa-Lastra1,2,∗ D. J. Mowbray1,2, K. S. Thygesen2, A. Rubio1,3, and K. W. Jacobsen2 \n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, \nDpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, \nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain \n2Center for Atomic-scale Materials Design, Department of Physics, \nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark \n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany \n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan- \notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components \nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal \natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis- \ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites \nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function \nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to \nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions. \n\n0 \n1 \n0 \n2 \nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw \n\nn \na \nJ \n\nThe ability to detect small concentrations of specific chem- \nical species is fundamental for a variety of industrial and sci- \nentific processes as well as for medical applications and en- \nvironmental monitoring [1]. In general, nanostructured mate- \nrials should be well suited for sensor applications because of \ntheir large surface to volume ratio which makes them sensi- \ntive to molecular adsorption. Specifically, carbon nanotubes \n(CNT) [2] have been shown to work remarkably well as de- \ntectors of small gas molecules. This has been demonstrated \nboth for individual CNTs [3–8] as well as for CNT networks \n[9, 10]. \n\n4 \n1 \n\nWe find that oxidation of the active metal site passivates \nthe sensor in the case of doping by Ti, V, Cr, and Mn un- \nder standard conditions (room temperature and 1 bar of pres- \nsure). Among the remaining metals, we identify Ni as is the \nmost promising candidate for CO detection. For this system \nthe change in resistance per active site is generally significant \n(>1 Ω) for small changes in CO concentration in the relevant \nrange of around 0.1–10 ppm. Our approach is quite general \nand is directly applicable to other nanostructures than CNTs, \nother functionalizations than metal doping, and other back- \ngrounds than atmospheric air. \n\n] \nl \nl \na \nh \n- \ns \ne \nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nPristine CNTs are known to be chemically inert – a prop- \nerty closely related to their high stability. As a consequence, \nonly radicals bind strong enough to the CNT to notably affect \nits electrical properties [2, 5, 11–13]. To make CNTs attrac- \ntive for sensor applications thus requires some kind of func- \ntionalization, e.g. \nthrough doping or decoration of the CNT \nsidewall [13–21]. Ideally, this type of functionalization could \nbe used to control not only the reactivity of the CNT but also \nthe selectivity towards specific chemical species.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring \nJ. Appl. Phys. \ngas sensing properties of carbon nanotubes”, \n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395. \n[9] C. Morgan, Z. Alemipour, and M. Baxendale, \n\n“Variable \nrange hopping in oxygen-exposed single-wall carbon nanotube \nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008), \ndoi:10.1002/pssa.200778113. \n\nTo our knowledge, controlled doping of CNTs with transi- \ntion metal atoms has so far not been achieved. It has, how- \never, been found that metal atoms incorporated into the CNT \nlattice during catalytic growth are afterwards very difficult to \nremove [30]. Furthermore, it has been shown that CNT vacan- \ncies, which are needed for the metallic doping, may be formed \nin a controlled way by irradiation by Ar ions [31]. This sug- \ngests that metallic doping of CNTs should be possible. \n\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \n\n“In- \nfluence of O2 and N2 on the conductivity of carbon nan- \notube networks”, Phys. Rev. B 79(19), 195431 (May 2009), \ndoi:10.1103/PhysRevB.79.195431. \n\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, \nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of \ndefects on the gas sensing properties of carbon nanotubes thin \nfilms: experiment and theory”, Chem. Phys. Lett. 387(4-6), 356 \n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038. \n\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for \nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct. \n2009), doi:10.1103/PhysRevB.80.155447. \n\n[13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and \n´Angel Rubio, \n“Conductance of sidewall-functionalized \ncarbon nanotubes: Universal dependence on adsorption \nPhys. Rev. Lett. 101(23), 236806 (Dec. 2008), \nsites”, \ndoi:10.1103/PhysRevLett.101.236806. \n\nIn summary, we have presented a general model of nanos- \ntructured chemical sensors which takes the adsorption en- \nergies of the relevant chemical species and their individual \nscattering resistances as the only input. On the basis of this \nmodel we have performed a computational screening of tran- \nsition metal doped CNTs, and found that Ni-doped CNTs are \npromising candidates for detecting CO in a background of air. \nThe model may be applied straightforwardly to other nanos- \ntructures than CNTs, other functionalizations than metal dop- \ning and other gas compositions than air. \n\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “Ab \ninitio study of an iron atom interacting with single-wall car- \nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003), \ndoi:10.1103/PhysRevB.67.205414. \n\n[15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, \nand Y. Kawazoe, “Stable geometries and magnetic properties of \nsingle-walled carbon nanotubes doped with 3d transition met- \nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb \n2004), doi:10.1103/PhysRevB.69.075414. \n\nThe authors acknowledge financial support from Span- \nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados \nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF \nproject (Contract Number 211956), “Red Espa˜nola de Super- \ncomputaci´on”, NABIIT and the Danish Center for Scientific \nComputing. The Center for Atomic-scale Materials Design \n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L \nacknowledges funding from Spanish MICINN through Juan \nde la Cierva and Jos´e Castillejo programs. \n\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and \nJ. K. Kang, “Interaction of a transition metal atom with intrinsic \ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B \n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q. \n\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles \nstudy of metal adatom adsorption on graphene”, Phys. Rev. B \n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430. \n\n∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang,", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \n\n“Adsorption \nof small gas molecules onto Pt-doped single-walled carbon \nJ. Phys. Chem. C 112(19), 7401 (Apr. 2008), \nnanotubes”, \ndoi:10.1021/jp0753981. \n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999). \n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport \nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May \n2007), doi:10.1103/RevModPhys.79.677. [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \n\n“Structures, in- \nteractions, and ferromagnetism of Fe-carbon nanotube sys- \nJ. Phys. Chem. C 112(22), 400 (May 2008), \ntems”, \ndoi:10.1021/jp0761968. \n\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, \n“Nanotube molecular wires as \nScience 287(5453), 622 (Jan. 2000), \nK. Cho, and H. Dai, \nchemical sensors”, \ndoi:10.1126/science.287.5453.622. \n\n[20] J. A. F¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “Ab \ninitio study of spin-dependent transport in carbon nanotubes \nwith iron and vanadium adatoms”, Phys. Rev. B 78(19), 195405 \n(Nov. 2008), doi:10.1103/PhysRevB.78.195405. \n\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \n\n“Ex- \ntreme oxygen sensitivity of electronic properties of car- \nScience 287(5459), 1801 (Mar. 2000), \nbon nanotubes”, \ndoi:10.1126/science.287.5459.1801. \n\n[21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, \nP. Pyykk¨o, and R. M. Nieminen, \n“Embedding transition- \nmetal atoms in graphene: Structure, bonding, and mag- \nPhys. Rev. Lett. 102(12), 126807 (Mar. 2009), \nnetism”, \ndoi:10.1103/PhysRevLett.102.126807. \n\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, \nIntegration and Applications (Wiley-VCH, Weinheim, 2008). \n[6] F. Villalpando-P´aez, A. H. Romero, E. Mu˜noz-Sandoval, \nL. M. Mart´ınez, H. Terrones, and M. Terrones, \n“Fabrica- \ntion of vapor and gas sensors using films of aligned CNx \nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), \ndoi:10.1016/j.cplett.2004.01.052. \n\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \n“Real-space grid implementation of the projector augmented \nPhys. Rev. B 71(3), 035109 (Jan. 2005), \nwave method”, \ndoi:10.1103/PhysRevB.71.035109. [7] A. R. Rocha, M. Rossi, A. Fazzio, \n\nJ. R. \n“Designing real nanotube-based gas \nsen- \nPhys. Rev. Lett. 100(17), 176803 (May 2008), \n\nand A. \n\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi- \nent approximation made simple”, Phys. Rev. Lett. 77(18), 3865 \n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865. da Silva, \nsors”, \ndoi:10.1103/PhysRevLett.100.176803.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "All total energy calculations and structure optimizations \nhave been performed with the real-space density functional \ntheory (DFT) code GPAW [22] which is based on the projector \naugmented wave method. We use a grid spacing of 0.2 ˚A for \nrepresenting the density and wave functions and the PBE ex- \nchange correlation functional [23]. Transport calculations for \nthe optimized structures have been performed using the non- \nequilibrium Green’s function method [24] with an electronic \nHamiltonian obtained from the SIESTA code [25] in a dou- \nble zeta polarized (DZP) basis set. Spin polarization has been \ntaken into account in all calculations. \n\n1 \nv \n8 \n3 \n5 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nIn this work we consider the possibility of using CNTs \ndoped by 3d transition metal atoms for chemical gas sens- \ning. We use computational screening to systematically iden- \ntify the most promising dopant candidates for detection of \nthree different target molecules (CO, NH3, H2S) under typi- \ncal atmospheric conditions. The screening procedure is based \non the calculation of two microscopic descriptors: the bind- \ning energy and scattering resistance of the molecules when \nadsorbed on a doped CNT. These two quantities give a good \nindication of the gas coverage and impact on the resistance. \nFor the most promising candidates we then employ a simple \nthermodynamic model of the CNT sensor. In this model, the \nbinding energies are used to obtain the fractional coverage of \nthe metallic sites as a function of the target molecule concen- \ntration under ambient conditions. Under the assumption of \ntransport in the diffusive rather than localization regime, the \n\nMetallic doping of a (6,6) CNT has been modeled in a su- \npercell containing six repeated minimal unit cells along the \nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size \nof supercell a Γ-point sampling of the Brillouin zone was \nfound to be sufficient. The formation energy for creating a \nvacancy (VC) occupied by a transition metal atom (M) was \ncalculated using the relation \n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1) \n\nwhere E[M@VC] is the total energy of a transition metal \natom occupying a vacancy in the nanotube, n is the number \nof carbon atoms removed to form the vacancy, E[C] is the en- \nergy per carbon atom in a pristine nanotube, and E[M@NT]", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "From the adsorption energies plotted in Fig. 2(a), we see \nthat the earlier transition metals tend to bind the adsorbates \nstronger than the late transition metals. The latest metals in \nthe series (Cu and Zn) bind adsorbates rather weakly in the \ndivacancy structures. We also note that O2 binds significantly \nstronger than any of the three target molecules on Ti, V, Cr, \nand Mn (except for Cr in divacancy I where H2S is found to \ndissociate). Active sites containing these metals are therefore \nexpected to be completely passivated if oxygen is present in \nthe background. Further, we find H2O is rather weakly bound \nto most of the active sites. This ensures that these types of \nsensors are robust against changes in humidity. \n\nThe calculated formation energies for the 3d transition met- \nals are shown in Fig. 1. From the horizontal lines we see that \nboth divacancies are more stable than the monovacancy. This \nmay be attributed to the presence of a two-fold coordinated C \natom in the monovacancy, while all C atoms remain three-fold \ncoordinated in the divacancies. When a transition metal atom \noccupies a vacancy, the strongest bonding to the C atoms is \nthrough its d orbitals [26]. For this reason, Cu and Zn, which \nboth have filled d-bands, are rather unstable in the CNT. For \nthe remaining metals, adsorption in the monovacancies leads \nto quite stable structures. This is because the three-fold coor- \ndination of the C atoms and the CNT’s hexagonal structure are \nrecovered when the metal atom is inserted. On the other hand, \nmetal adsorption in divacancies is slightly less stable because \nof the resulting pentagon defects, see upper panel in Fig. 1. A \nsimilar behaviour has been reported by Krasheninnikov et al. \nfor transition metal atoms in graphene [21]. \n\nIn thermodynamic equilibrium [27], the coverage of the ac- \ntive sites follows from \n\nK[X]C[X] \nΘ[X] = , (4) \n1 + (cid:80) \nY K[Y ]C[Y ] \n\nwhere K = k+/k− is the ratio of forward and backward rate \nconstants for the adsorption reaction, \n\n(cid:20) (cid:21) \n\nEads[X] + T S[X] \nkBT \n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and \nH2S on the metallic site of the doped (6,6) CNTs are shown in \nFig. 2(a). The adsorption energy of a molecule X is defined \nby \n\nK[X] = exp − . (5) \n\nIn these expressions C[X] is the concentration of species X, \nS[X] is its gas phase entropy and T is the temperature. Ex- \nperimental values for the gas phase entropies have been taken \nfrom Ref. [28]. Eads[X@M@VC] = E[X@M@VC] − E[X] − E[M@VC], \n(3)", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2538.pdf" + }, + { + "text": "To estimate the effect of adsorbates on the electrical con- \nductance of doped CNTs, we first consider the change in con- \nductance when a single molecule is adsorbed on a metal site of \nan otherwise pristine CNT. In Fig. 2(b) we show the calculated \nchange in conductance relative to the metal site with no ad- \nsorbate. In contrast to the binding energies, there are no clear \ntrends in the conductances. The sensitivity of the conductance \nis perhaps most clearly demonstrated by the absence of cor- \nrelation between different types of vacancies, i.e. between the \nthree panels in Fig. 2(b). Close to the Fermi level, the conduc- \ntance of a perfect armchair CNT equals 2G0. The presence \nof the metal dopant leads to several dips in the transmission \nfunction known as Fano antiresonances [20]. The position \nand shape of these dips depend on the d-levels of the transi- \ntion metal atom, the character of its bonding to the CNT, and \nis further affected by the presence of the adsorbate molecule. \nThe coupling of all these factors is very complex and makes \nit difficult to estimate or rationalize the value of the conduc- \ntance. For the spin polarized cases, we use the spin-averaged \n\nWe now return to the discussion of the validity of Eq. (7). \nAs mentioned, the series coupling of individual scatterers \nshould be valid when lφ < d. However, even for lφ > d \nand assuming that the Anderson localization length, lloc in \nthe system exceeds lφ, Eq. (7) remains valid if one replaces \nthe actual resistance R by the sample averaged resistance (cid:104)R(cid:105) \n[29]. At room temperature under ambient conditions, interac- \ntions with external degrees of freedom such as internal CNT \nphonons and vibrational modes of the adsorbed molecules \nwould rapidly randomize the phase of the electrons. There- \nfore Eq. (7) should certainly be valid in the limit of low dop- \ning concentrations. On the other hand, the total number of \ndopants, N , should be large enough for the statistical treat- \nment of the coverage to hold. Finally, we stress that Eq. (7) \nrepresents a conservative estimate of the change in resistance. \nIn fact, in the regime where lφ > lloc, i.e. in the Anderson \nlocalization regime, the resistance would be highly sensitive \nto changes in the fractional coverage of active sites. Calcula- \ntion of the actual resistance of the CNT in this regime would, \nhowever, involve a full transport calculation in the presence of", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2538.pdf" + }, + { + "text": "1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nThe development of FM metal/FM semiconductor het- \nerostructures has the potential to bring together the \nbenefits of metal and semiconductor based spintron- \nics, offering access to new functionalities and physi- \ncal phenomena. Recent studies of MnAs/(Ga,Mn)As \nand NiFe/(Ga,Mn)As bilayer films have shown FM in- \nterlayer coupling and independent magnetization be- \nhavior, respectively4,5. Of particular interest is the \nFe/(Ga,Mn)As system, since the growth of epitaxial \nFe/GaAs(001) films is well-established6. Remarkably, a \nrecent x-ray magnetic circular dichroism (XMCD) study \nhas shown that Fe may induce a proximity polariza- \ntion in the near-surface region of (Ga,Mn)As, antipar- \nallel to the Fe moment and persisting even above room \ntemperature7. Devices incorporating Fe/(Ga,Mn)As \ntherefore offer the prospect of obtaining non-volatile \nroom temperature spin-polarization in a semiconductor. \nUntil now, no information has been revealed about the \ncoupling of Fe to (Ga,Mn)As layers away from the near- \nsurface region. At the surface, the (Ga,Mn)As layer may \nbe highly non-stoichiometric and Mn-rich, due to its non- \nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers \nwere produced by a process including exposure to air fol- \nlowed by sputtering and annealing prior to Fe deposition, \n\nThe Fe and (Ga,Mn)As layers of the present study \nwere both grown by molecular beam epitaxy in the same \nultra-high vacuum system, in order to ensure a clean in- \nterface between them. The (Ga,Mn)As layer of thickness \n10 to 50 nm was deposited on a GaAs(001) substrate \nat a temperature of 260◦C, using previously established \nmethods3,8. A low Mn concentration of x ≈ 0.03 was \nchosen in order to avoid the formation of compensating \nMn interstitials. The substrate temperature was then \nreduced to ∼0◦C, before depositing a 2 nm Fe layer, \nplus a 2 nm Al capping layer. \nIn-situ reflection high \nenergy electron diffraction and ex-situ x-ray reflectivity \nand diffraction measurements confirmed that the layers \nare single-crystalline with sub-nm interface roughness. \nSQUID magnetometry measurements were performed us- \ning a Quantum Design Magnetic Property Measurement \nSystem. Mn and Fe L2,3 x-ray absorption and XMCD", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja- \ncobsen, “Benchmark density functional theory calculations for \nnanoscale conductance”, J. Chem. Phys. 128(11), 114714 (Mar. \n2008), doi:10.1063/1.2839275. \n\ning theory put into practice: First-principles modeling of trans- \nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803 \n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803. \n\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, \nW.-J. Chun, Y. Koike, and K. Asakura, “X-ray absorption fine \nstructure (XAFS) analyses of Ni species trapped in graphene \nsheet of carbon nanofibers”, Phys. Rev. B 73(14), 144103 (Apr. \n2006), doi:10.1103/PhysRevB.73.144103. \n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or- \ndej´on, and D. S´anchez-Portal, “The SIESTA method for ab ini- \ntio order-n materials simulation”, J. Phys.: Condens. Matter \n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302. \n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge \n\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, \nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con- \nductance of single-walled carbon nanotubes by ion irradiation \nin the Anderson localization regime”, Nature Materials 4, 534 \n(Jun. 2005), doi:10.1038/nmat1414. \n\nUniversity Press, London, 1961). \n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford \nUniversity Press, London, 2006). \n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC- \nPress, 2006–2007). \n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2538.pdf" + }, + { + "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain \n\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally \n\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding \n\nexcess thiol one can also vary the properties of the solvent [40]. \n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin- \n\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the \n\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds \n\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo- \n\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For \n\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin- \n\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing \n\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by \n\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced \n\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the \n\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find \n\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched \n\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a \n\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the \n\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold \n\ncores. For short chains (C5 and C8) no formation of branched structures is observed. At similar \n\nconcentrations, well-developed branched structures are formed for longer chains (C10 and C12). \n\nFor even longer chains (C14), however, one again finds less branching. It also depends on the \n\namount of excess thiol in the solvent (for details see Ref. [40]). \n\nWhen following the evolution of the branched patterns in situ (see the complementary video \n\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght \n\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. \n\nThe macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly \n\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc- \n\ntures cover all the available substrate. However, when at a later stage the macroscopic front be- \n\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this \n\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all \n\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2669.pdf" + }, + { + "text": "[34] P. Moriarty, M. D. R. Taylor, and M. Brust, “Nanostructured cellular networks,” Phys. Rev. Lett. 89, \n\n248303 (2002). \n\n[35] E. Rabani, D. R. Reichman, P. L. Geissler, and L. E. Brus, “Drying-mediated self-assembly of \n\nnanoparticles,” Nature 426, 271–274 (2003). \n\n[36] L. V. Govor, G. Reiter, J. Parisi, and G. H. Bauer, “Self-assembled nanoparticle deposits formed at \n\nthe contact line of evaporating micrometer-size droplets,” Phys. Rev. E 69, 061609 (2004). \n\n[37] C. P. Martin, M. O. Blunt, and P. Moriarty, “Nanoparticle networks on silicon: Self-organized or \n\ndisorganized?” Nano Lett. 4, 2389–2392 (2004). \n\n[38] C. P. Martin, M. O. Blunt, E. Pauliac-Vaujour, A. Stannard, P. Moriarty, I. Vancea, and U. Thiele, \n\n“Controlling pattern formation in nanoparticle assemblies via directed solvent dewetting,” Phys. Rev. \n\nLett. 99, 116103 (2007). \n\n[39] A. Stannard, C. P. Martin, E. Pauliac-Vaujour, P. Moriarty, and U. Thiele, “Dual-scale pattern forma- \n\ntion in nanoparticle assemblies,” J. Chem. Phys. C 112, 15195–15203 (2008). \n\n[40] E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, I. Notingher, P. J. Moriarty, I. Vancea, \n\nand U. Thiele, “Fingering instabilities in dewetting nanofluids,” Phys. Rev. Lett. 100, 176102 (2008). \n\n[41] I. Vancea, U. Thiele, E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, and P. J. Moriarty, \n\n“Front instabilities in evaporatively dewetting nanofluids,” Phys. Rev. E 78, 041601 (2008). \n\n[42] U. Thiele, Entnetzung von Kollagenfilmen, Ph.D. thesis, Technische Universit¨at Dresden (1998). \n\n[43] H. Yabu and M. Shimomura, “Preparation of self-organized mesoscale polymer patterns on a solid \n\nsubstrate: Continuous pattern formation from a receding meniscus,” Adv. Funct. Mater. 15, 575–581 \n\n(2005). \n\n[44] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, “Capillary flow as \n\nthe cause of ring stains from dried liquid drops,” Nature 389, 827–829 (1997). \n\n[45] E. Adachi, A. S. Dimitrov, and K. Nagayama, “Stripe patterns formed on a glass-surface during \n\ndroplet evaporation,” Langmuir 11, 1057–1060 (1995). \n\n[46] R. D. Deegan, “Pattern formation in drying drops,” Phys. Rev. E 61, 475–485 (2000). \n\n[47] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, “Contact line \n\ndeposits in an evaporating drop,” Phys. Rev. E 62, 756–765 (2000). \n\n[48] L. Shmuylovich, A. Q. Shen, and H. A. Stone, “Surface morphology of drying latex films: Multiple \n\nring formation,” Langmuir 18, 3441–3445 (2002). \n\n[49] V. X. Nguyen and K. J. Stebe, “Patterning of small particles by a surfactant-enhanced Marangoni-", + "page_start": 27, + "page_end": 27, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2538.pdf", + "query": "What seems to be a great technique to ensure vacancies are formed in carbon nanotubes (CNT) ?", + "target_page": 4, + "target_passage": "Furthermore, it has been shown that CNT vacan- cies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ion", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring \nJ. Appl. Phys. \ngas sensing properties of carbon nanotubes”, \n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395. \n[9] C. Morgan, Z. Alemipour, and M. Baxendale, \n\n“Variable \nrange hopping in oxygen-exposed single-wall carbon nanotube \nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008), \ndoi:10.1002/pssa.200778113. \n\nTo our knowledge, controlled doping of CNTs with transi- \ntion metal atoms has so far not been achieved. It has, how- \never, been found that metal atoms incorporated into the CNT \nlattice during catalytic growth are afterwards very difficult to \nremove [30]. Furthermore, it has been shown that CNT vacan- \ncies, which are needed for the metallic doping, may be formed \nin a controlled way by irradiation by Ar ions [31]. This sug- \ngests that metallic doping of CNTs should be possible. \n\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \n\n“In- \nfluence of O2 and N2 on the conductivity of carbon nan- \notube networks”, Phys. Rev. B 79(19), 195431 (May 2009), \ndoi:10.1103/PhysRevB.79.195431. \n\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, \nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of \ndefects on the gas sensing properties of carbon nanotubes thin \nfilms: experiment and theory”, Chem. Phys. Lett. 387(4-6), 356 \n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038. \n\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for \nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct. \n2009), doi:10.1103/PhysRevB.80.155447. \n\n[13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and \n´Angel Rubio, \n“Conductance of sidewall-functionalized \ncarbon nanotubes: Universal dependence on adsorption \nPhys. Rev. Lett. 101(23), 236806 (Dec. 2008), \nsites”, \ndoi:10.1103/PhysRevLett.101.236806. \n\nIn summary, we have presented a general model of nanos- \ntructured chemical sensors which takes the adsorption en- \nergies of the relevant chemical species and their individual \nscattering resistances as the only input. On the basis of this \nmodel we have performed a computational screening of tran- \nsition metal doped CNTs, and found that Ni-doped CNTs are \npromising candidates for detecting CO in a background of air. \nThe model may be applied straightforwardly to other nanos- \ntructures than CNTs, other functionalizations than metal dop- \ning and other gas compositions than air. \n\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “Ab \ninitio study of an iron atom interacting with single-wall car- \nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003), \ndoi:10.1103/PhysRevB.67.205414. \n\n[15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, \nand Y. Kawazoe, “Stable geometries and magnetic properties of \nsingle-walled carbon nanotubes doped with 3d transition met- \nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb \n2004), doi:10.1103/PhysRevB.69.075414. \n\nThe authors acknowledge financial support from Span- \nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados \nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF \nproject (Contract Number 211956), “Red Espa˜nola de Super- \ncomputaci´on”, NABIIT and the Danish Center for Scientific \nComputing. The Center for Atomic-scale Materials Design \n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L \nacknowledges funding from Spanish MICINN through Juan \nde la Cierva and Jos´e Castillejo programs. \n\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and \nJ. K. Kang, “Interaction of a transition metal atom with intrinsic \ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B \n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q. \n\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles \nstudy of metal adatom adsorption on graphene”, Phys. Rev. B \n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430. \n\n∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang,", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "All total energy calculations and structure optimizations \nhave been performed with the real-space density functional \ntheory (DFT) code GPAW [22] which is based on the projector \naugmented wave method. We use a grid spacing of 0.2 ˚A for \nrepresenting the density and wave functions and the PBE ex- \nchange correlation functional [23]. Transport calculations for \nthe optimized structures have been performed using the non- \nequilibrium Green’s function method [24] with an electronic \nHamiltonian obtained from the SIESTA code [25] in a dou- \nble zeta polarized (DZP) basis set. Spin polarization has been \ntaken into account in all calculations. \n\n1 \nv \n8 \n3 \n5 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nIn this work we consider the possibility of using CNTs \ndoped by 3d transition metal atoms for chemical gas sens- \ning. We use computational screening to systematically iden- \ntify the most promising dopant candidates for detection of \nthree different target molecules (CO, NH3, H2S) under typi- \ncal atmospheric conditions. The screening procedure is based \non the calculation of two microscopic descriptors: the bind- \ning energy and scattering resistance of the molecules when \nadsorbed on a doped CNT. These two quantities give a good \nindication of the gas coverage and impact on the resistance. \nFor the most promising candidates we then employ a simple \nthermodynamic model of the CNT sensor. In this model, the \nbinding energies are used to obtain the fractional coverage of \nthe metallic sites as a function of the target molecule concen- \ntration under ambient conditions. Under the assumption of \ntransport in the diffusive rather than localization regime, the \n\nMetallic doping of a (6,6) CNT has been modeled in a su- \npercell containing six repeated minimal unit cells along the \nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size \nof supercell a Γ-point sampling of the Brillouin zone was \nfound to be sufficient. The formation energy for creating a \nvacancy (VC) occupied by a transition metal atom (M) was \ncalculated using the relation \n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1) \n\nwhere E[M@VC] is the total energy of a transition metal \natom occupying a vacancy in the nanotube, n is the number \nof carbon atoms removed to form the vacancy, E[C] is the en- \nergy per carbon atom in a pristine nanotube, and E[M@NT]", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "3 \n\nconductances, i.e. G = (G↑ + G↓)/2. \n\nNext, we estimate the resistance of a CNT containing sev- \neral impurities (a specific metal dopant with different molecu- \nlar adsorbates). Under the assumption that the electron phase- \ncoherence length, lφ, is smaller than the average distance be- \ntween the dopants, d, we may neglect quantum interference \nand obtain the total resistance by adding the scattering resis- \ntances due to each impurity separately. The scattering resis- \ntance due to a single impurity is given by \n\nRs(X) = 1/G(X) − 1/(2G0), (6) \n\n| (a) Mo | novacancy\nO\n2 |\n|---|---|\n| (a) Mo | novacancy O 2 |\n| (b) Di Clean O 2 | vacancy I CO |\n| (c) Div Clean | acancy II CO |\n| O 2 | |\n\n\n| 100\n(a) Mo\n10-1 Vacancies\n10-2\n10-3\nOccupied\n100\n(b) Di\n10-1\nNi\n10-2 Clean of\nΘ\n10-3 O Coverage\n2\n100\n(c) Div\n10-1\nClean Fractional\n10-2\n10-3\nO\n2\n10-4\n0.1 1\nCO Conce | novacancy (d)\nO\n2\nvacancy I\nCO\nacancy II\nCO\n10 100 0.1\nntration [ppm] CO Con | 103\nChange\nin\n102 Resistance\nMonovacancy ∆R\nDivacancy I 101\n[Ω\nDivacancy II\n/\nNi\nOccupied\n0\nVacancy]\n-101\n1 10 100\ncentration [ppm] |\n|---|---|---|\n| 100 (a) Mo 10-1 Vacancies 10-2 10-3 Occupied 100 (b) Di 10-1 Ni 10-2 Clean of Θ 10-3 O Coverage 2 100 (c) Div 10-1 Clean Fractional 10-2 10-3 O 2 10-4 0.1 1 CO Conce | novacancy (d) O 2 vacancy I CO acancy II CO 10 100 0.1 ntration [ppm] CO Con | 103 Change in 102 Resistance Monovacancy ∆R Divacancy I 101 [Ω Divacancy II / Ni Occupied 0 Vacancy] -101 1 10 100 centration [ppm] |\n\n\nwhere G(X) is the Landauer conductance of the pristine CNT \nwith a single metal dopant occupied by molecule X and \n1/(2G0) is the contact resistance of a (6,6) CNT. \n\nWe may now obtain the total resistance per dopant site rel- \native to the reference background signal as a function of the \ntarget molecule concentration \n\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) \nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in \nresistance ∆R per dopant site as a function of CO concentration in \na background of air at room temperature and 1 bar of pressure. The \nreference concentration of CO is taken to be C0 =0.1 ppm. Note the \nchange from linear to log scale on the y-axis at ∆R =10 Ω. \n\n(7) \n\nwhere N is the number of dopants, Θ[X, C] is the fractional \ncoverage of species X at concentration C of the target and C0 \nis the reference concentration. Notice that the contact resis- \ntance drops out as we evaluate a change in resistance. \n\nFor a given background composition we may thus estimate \nthe fractional coverages for each available adsorbate for a \ngiven type of doping. As an example, Fig. 3(a)-(c) shows the \nfractional coverage of a Ni atom occupying a monovacancy, \ndivacancy I, and divacancy II, versus CO concentration in a \nbackground of air at room temperature and 1 bar of pressure. \nDue to the relatively small binding energy of N2 and H2O as \ncompared to O2 and CO, all Ni sites will be either empty or \noccupied by O2 or CO. In particular, Ni in a monovacancy \n(top panel of Fig. 3) will be completely oxidized for all rel- \nevant CO concentrations. For the Ni occupied divacancy II \nstructures we find the coverage of CO changes significantly \naround toxic concentrations (∼10 ppm). \nIn Fig. 3(d) we show the change in resistance calculated \nfrom Eq. (7) as a function of CO concentration for Ni occu- \npying the three types of vacancies. The background reference \nconcentration of CO is taken to be C0 = 0.1 ppm. For the \nmonovacancy there is very little change in resistivity. This is \nbecause most active sites are blocked by O2 at relevant CO \nconcentrations, as shown in the upper panel of Fig. 3. For Ni \nin the divacancies there is, however, a change in resistance on \nthe order of 1Ω per site. For concentrations above ∼1 ppm, \nthe CO coverage of Ni in the divacancy II increases dramati- \ncally and this leads to a significant increase in resistance.", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2538.pdf" + }, + { + "text": "To estimate the effect of adsorbates on the electrical con- \nductance of doped CNTs, we first consider the change in con- \nductance when a single molecule is adsorbed on a metal site of \nan otherwise pristine CNT. In Fig. 2(b) we show the calculated \nchange in conductance relative to the metal site with no ad- \nsorbate. In contrast to the binding energies, there are no clear \ntrends in the conductances. The sensitivity of the conductance \nis perhaps most clearly demonstrated by the absence of cor- \nrelation between different types of vacancies, i.e. between the \nthree panels in Fig. 2(b). Close to the Fermi level, the conduc- \ntance of a perfect armchair CNT equals 2G0. The presence \nof the metal dopant leads to several dips in the transmission \nfunction known as Fano antiresonances [20]. The position \nand shape of these dips depend on the d-levels of the transi- \ntion metal atom, the character of its bonding to the CNT, and \nis further affected by the presence of the adsorbate molecule. \nThe coupling of all these factors is very complex and makes \nit difficult to estimate or rationalize the value of the conduc- \ntance. For the spin polarized cases, we use the spin-averaged \n\nWe now return to the discussion of the validity of Eq. (7). \nAs mentioned, the series coupling of individual scatterers \nshould be valid when lφ < d. However, even for lφ > d \nand assuming that the Anderson localization length, lloc in \nthe system exceeds lφ, Eq. (7) remains valid if one replaces \nthe actual resistance R by the sample averaged resistance (cid:104)R(cid:105) \n[29]. At room temperature under ambient conditions, interac- \ntions with external degrees of freedom such as internal CNT \nphonons and vibrational modes of the adsorbed molecules \nwould rapidly randomize the phase of the electrons. There- \nfore Eq. (7) should certainly be valid in the limit of low dop- \ning concentrations. On the other hand, the total number of \ndopants, N , should be large enough for the statistical treat- \nment of the coverage to hold. Finally, we stress that Eq. (7) \nrepresents a conservative estimate of the change in resistance. \nIn fact, in the regime where lφ > lloc, i.e. in the Anderson \nlocalization regime, the resistance would be highly sensitive \nto changes in the fractional coverage of active sites. Calcula- \ntion of the actual resistance of the CNT in this regime would, \nhowever, involve a full transport calculation in the presence of", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2538.pdf" + }, + { + "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes \n\nJ. M. Garc´ıa-Lastra1,2,∗ D. J. Mowbray1,2, K. S. Thygesen2, A. Rubio1,3, and K. W. Jacobsen2 \n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, \nDpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, \nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain \n2Center for Atomic-scale Materials Design, Department of Physics, \nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark \n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany \n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan- \notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components \nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal \natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis- \ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites \nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function \nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to \nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions. \n\n0 \n1 \n0 \n2 \nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw \n\nn \na \nJ \n\nThe ability to detect small concentrations of specific chem- \nical species is fundamental for a variety of industrial and sci- \nentific processes as well as for medical applications and en- \nvironmental monitoring [1]. In general, nanostructured mate- \nrials should be well suited for sensor applications because of \ntheir large surface to volume ratio which makes them sensi- \ntive to molecular adsorption. Specifically, carbon nanotubes \n(CNT) [2] have been shown to work remarkably well as de- \ntectors of small gas molecules. This has been demonstrated \nboth for individual CNTs [3–8] as well as for CNT networks \n[9, 10]. \n\n4 \n1 \n\nWe find that oxidation of the active metal site passivates \nthe sensor in the case of doping by Ti, V, Cr, and Mn un- \nder standard conditions (room temperature and 1 bar of pres- \nsure). Among the remaining metals, we identify Ni as is the \nmost promising candidate for CO detection. For this system \nthe change in resistance per active site is generally significant \n(>1 Ω) for small changes in CO concentration in the relevant \nrange of around 0.1–10 ppm. Our approach is quite general \nand is directly applicable to other nanostructures than CNTs, \nother functionalizations than metal doping, and other back- \ngrounds than atmospheric air. \n\n] \nl \nl \na \nh \n- \ns \ne \nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nPristine CNTs are known to be chemically inert – a prop- \nerty closely related to their high stability. As a consequence, \nonly radicals bind strong enough to the CNT to notably affect \nits electrical properties [2, 5, 11–13]. To make CNTs attrac- \ntive for sensor applications thus requires some kind of func- \ntionalization, e.g. \nthrough doping or decoration of the CNT \nsidewall [13–21]. Ideally, this type of functionalization could \nbe used to control not only the reactivity of the CNT but also \nthe selectivity towards specific chemical species.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2538.pdf" + }, + { + "text": "∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \n\n“Adsorption \nof small gas molecules onto Pt-doped single-walled carbon \nJ. Phys. Chem. C 112(19), 7401 (Apr. 2008), \nnanotubes”, \ndoi:10.1021/jp0753981. \n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999). \n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport \nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May \n2007), doi:10.1103/RevModPhys.79.677. [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \n\n“Structures, in- \nteractions, and ferromagnetism of Fe-carbon nanotube sys- \nJ. Phys. Chem. C 112(22), 400 (May 2008), \ntems”, \ndoi:10.1021/jp0761968. \n\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, \n“Nanotube molecular wires as \nScience 287(5453), 622 (Jan. 2000), \nK. Cho, and H. Dai, \nchemical sensors”, \ndoi:10.1126/science.287.5453.622. \n\n[20] J. A. F¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “Ab \ninitio study of spin-dependent transport in carbon nanotubes \nwith iron and vanadium adatoms”, Phys. Rev. B 78(19), 195405 \n(Nov. 2008), doi:10.1103/PhysRevB.78.195405. \n\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \n\n“Ex- \ntreme oxygen sensitivity of electronic properties of car- \nScience 287(5459), 1801 (Mar. 2000), \nbon nanotubes”, \ndoi:10.1126/science.287.5459.1801. \n\n[21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, \nP. Pyykk¨o, and R. M. Nieminen, \n“Embedding transition- \nmetal atoms in graphene: Structure, bonding, and mag- \nPhys. Rev. Lett. 102(12), 126807 (Mar. 2009), \nnetism”, \ndoi:10.1103/PhysRevLett.102.126807. \n\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, \nIntegration and Applications (Wiley-VCH, Weinheim, 2008). \n[6] F. Villalpando-P´aez, A. H. Romero, E. Mu˜noz-Sandoval, \nL. M. Mart´ınez, H. Terrones, and M. Terrones, \n“Fabrica- \ntion of vapor and gas sensors using films of aligned CNx \nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), \ndoi:10.1016/j.cplett.2004.01.052. \n\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \n“Real-space grid implementation of the projector augmented \nPhys. Rev. B 71(3), 035109 (Jan. 2005), \nwave method”, \ndoi:10.1103/PhysRevB.71.035109. [7] A. R. Rocha, M. Rossi, A. Fazzio, \n\nJ. R. \n“Designing real nanotube-based gas \nsen- \nPhys. Rev. Lett. 100(17), 176803 (May 2008), \n\nand A. \n\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi- \nent approximation made simple”, Phys. Rev. Lett. 77(18), 3865 \n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865. da Silva, \nsors”, \ndoi:10.1103/PhysRevLett.100.176803.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja- \ncobsen, “Benchmark density functional theory calculations for \nnanoscale conductance”, J. Chem. Phys. 128(11), 114714 (Mar. \n2008), doi:10.1063/1.2839275. \n\ning theory put into practice: First-principles modeling of trans- \nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803 \n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803. \n\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, \nW.-J. Chun, Y. Koike, and K. Asakura, “X-ray absorption fine \nstructure (XAFS) analyses of Ni species trapped in graphene \nsheet of carbon nanofibers”, Phys. Rev. B 73(14), 144103 (Apr. \n2006), doi:10.1103/PhysRevB.73.144103. \n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or- \ndej´on, and D. S´anchez-Portal, “The SIESTA method for ab ini- \ntio order-n materials simulation”, J. Phys.: Condens. Matter \n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302. \n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge \n\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, \nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con- \nductance of single-walled carbon nanotubes by ion irradiation \nin the Anderson localization regime”, Nature Materials 4, 534 \n(Jun. 2005), doi:10.1038/nmat1414. \n\nUniversity Press, London, 1961). \n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford \nUniversity Press, London, 2006). \n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC- \nPress, 2006–2007). \n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2538.pdf" + }, + { + "text": "From the adsorption energies plotted in Fig. 2(a), we see \nthat the earlier transition metals tend to bind the adsorbates \nstronger than the late transition metals. The latest metals in \nthe series (Cu and Zn) bind adsorbates rather weakly in the \ndivacancy structures. We also note that O2 binds significantly \nstronger than any of the three target molecules on Ti, V, Cr, \nand Mn (except for Cr in divacancy I where H2S is found to \ndissociate). Active sites containing these metals are therefore \nexpected to be completely passivated if oxygen is present in \nthe background. Further, we find H2O is rather weakly bound \nto most of the active sites. This ensures that these types of \nsensors are robust against changes in humidity. \n\nThe calculated formation energies for the 3d transition met- \nals are shown in Fig. 1. From the horizontal lines we see that \nboth divacancies are more stable than the monovacancy. This \nmay be attributed to the presence of a two-fold coordinated C \natom in the monovacancy, while all C atoms remain three-fold \ncoordinated in the divacancies. When a transition metal atom \noccupies a vacancy, the strongest bonding to the C atoms is \nthrough its d orbitals [26]. For this reason, Cu and Zn, which \nboth have filled d-bands, are rather unstable in the CNT. For \nthe remaining metals, adsorption in the monovacancies leads \nto quite stable structures. This is because the three-fold coor- \ndination of the C atoms and the CNT’s hexagonal structure are \nrecovered when the metal atom is inserted. On the other hand, \nmetal adsorption in divacancies is slightly less stable because \nof the resulting pentagon defects, see upper panel in Fig. 1. A \nsimilar behaviour has been reported by Krasheninnikov et al. \nfor transition metal atoms in graphene [21]. \n\nIn thermodynamic equilibrium [27], the coverage of the ac- \ntive sites follows from \n\nK[X]C[X] \nΘ[X] = , (4) \n1 + (cid:80) \nY K[Y ]C[Y ] \n\nwhere K = k+/k− is the ratio of forward and backward rate \nconstants for the adsorption reaction, \n\n(cid:20) (cid:21) \n\nEads[X] + T S[X] \nkBT \n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and \nH2S on the metallic site of the doped (6,6) CNTs are shown in \nFig. 2(a). The adsorption energy of a molecule X is defined \nby \n\nK[X] = exp − . (5) \n\nIn these expressions C[X] is the concentration of species X, \nS[X] is its gas phase entropy and T is the temperature. Ex- \nperimental values for the gas phase entropies have been taken \nfrom Ref. [28]. Eads[X@M@VC] = E[X@M@VC] − E[X] − E[M@VC], \n(3)", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2538.pdf" + }, + { + "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain \n\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally \n\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding \n\nexcess thiol one can also vary the properties of the solvent [40]. \n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin- \n\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the \n\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds \n\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo- \n\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For \n\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin- \n\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing \n\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by \n\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced \n\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the \n\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find \n\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched \n\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a \n\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the \n\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold \n\ncores. For short chains (C5 and C8) no formation of branched structures is observed. At similar \n\nconcentrations, well-developed branched structures are formed for longer chains (C10 and C12). \n\nFor even longer chains (C14), however, one again finds less branching. It also depends on the \n\namount of excess thiol in the solvent (for details see Ref. [40]). \n\nWhen following the evolution of the branched patterns in situ (see the complementary video \n\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght \n\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. \n\nThe macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly \n\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc- \n\ntures cover all the available substrate. However, when at a later stage the macroscopic front be- \n\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this \n\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all \n\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles \n\nin a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3), (b) medium (Ω = 2 × 10−6) \n\nand (c) low (Ω = 0.78 × 10−8) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length \nscale is (cid:96) = (cid:112)γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the \nvertical length scale is H = (cid:112)2SLW /κd0. The remaining dimensionless parameters are the evaporation \nnumber Ω = Qeη0(cid:96)2/H 3, the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical \n\npotential M = Hµ/κ = −0.0035. The system size is L = 19500(cid:96). Film thickness and hp in the plots are \n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the \n\ncoordinate x as the distance from the centre of the circular film. \n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film \n\ncontains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the \n\nfilm of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional \n\nholes can occur (even with noise the probability would be extremely low). Without evaporation the \n\nfilm dewets ‘classically’ by a retraction of the initially step-like front. After a short time, surface \n\ntension smoothes the profile of the receding front and a capillary rim forms that collects all the", + "page_start": 19, + "page_end": 19, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HNI_2003.pdf", + "query": "How many employees did HON Industries count in 2003 ?", + "target_page": 15, + "target_passage": "Members (employees) at year-end : 8,926", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "L E F T : St an A . A skren, P R E S I D E N T \n\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R \n\nAs we celebrate our 60th year, HON INDUSTRIES has seen leaner, more focused, and have more clearly defined brands \n\nmuch change. The industry has changed. The world has than ever before. Our challenge is to grow, aggressively and \n\nchanged. Our business has changed. What has not changed profitably, through market-driven solutions while maintain- \n\nare the culture and values on which we were founded: integ- ing focus on what we do best — operational excellence. Our \n\nrity, fairness, and respect — in the treatment of others, transformation continues: \n\ncontinuous improvement, and responsiveness to those who \n\nbuy our products and services. In our unique and powerful **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nmember-owner culture, throughout our history, every member We are investing significantly in our brands and increasing our \n\nhas had an opportunity to participate in making the business understanding of our diverse range of end-users and the solu- \n\nbetter. We did so again in 2003. tions they want. We are building market power through several \n\n We outperformed our peers. We grew our sales and initiatives: focused selling models; clear brand identity; tar- \n\nprofits. We gained market share by providing strong brands, geted advertising; expanded channel presence; and aggressive \n\ninnovative products and services, and greater value to our end- products and solutions development. We are strengthening our \n\nusers. We continued to increase our gross margins, a direct ability to be the “perfect match” with end-users in every seg- \n\nresult of our ongoing commitment to lean initiatives. We used ment we serve. \n\nour strong, positive cash flow to invest in our business for the \n\nlong term and returned profits to shareholders. We accom- **A C H I E V I N G B E S T T O T A L C O S T A N D**\n\nplished all of this in a very challenging economy and market. **L E A N E N T E R P R I S E**\n\n Although we are proud of what we achieved, our phi- “Best total cost” means more than being a low-cost manufac- \n\nlosophy of constructive discontent drives us to continue to turer. It requires us to think about the entire value stream — \n\nchallenge ourselves to do better. We believe to succeed in a where and how to manufacture, ship, install, outsource, \n\nbusiness environment of ongoing change and continuous trans- assemble, service, procure, and sell — all to provide the best \n\nformation we also must continue to change. Today, we are total value to our end-users. We implemented lean initiatives,", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Nature of Operations** date. Equity securities are classified as available-for-sale and are stated \n\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a at current market value with unrealized gains and losses included as a \n\nprovider of office furniture and hearth products. Both industries are separate component of equity, net of any related tax effect. Debt securi- \n\nreportable segments; however, the Company’s office furniture business ties are classified as held-to-maturity and are stated at amortized cost. \n\nis its principal line of business. Refer to the Operating Segment The specific identification method is used to determine realized gains \n\nInformation note for further information. Office furniture products are and losses on the trade date. Short-term investments include municipal \n\nsold through a national system of dealers, wholesalers, mass merchan- bonds, money market preferred stock, and U.S. treasury notes. Long- \n\ndisers, warehouse clubs, retail superstores, end-user customers, and to term investments include U.S. government securities, municipal bonds, \n\nfederal and state governments. Dealer, wholesaler, and retail super- certificates of deposit, and asset- and mortgage-backed securities. \n\nstores are the major channels based on sales. Hearth products include \n\nAt January 3, 2004, and December 28, 2002, cash, cash \n\nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire- equivalents and investments consisted of the following (cost approxi- \n\nplace inserts, stoves, and gas logs. These products are sold through a mates market value): \n\nnational system of dealers, wholesalers, large regional contractors, and \n\nCash and \ncash \nequivalents Short- \nterm \ninvestments Long- \nterm \ninvestments \nCompany-owned retail outlets. The Company’s products are marketed \n*(In thousands)*\npredominantly in the United States and Canada. The Company exports \n\nY E A R - E N D 2 0 0 3 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nselect products to a limited number of markets outside North America, \n\n**$ 31,000**\n**–**\n**–**\n\n**$**\n\n**–**\n**–**\n**–** **$ 2,396**\n**–**\n**400**\nprincipally Latin America and the Caribbean, through its export subsid- \n\niary; however, based on sales, these activities are not significant. \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities \n\n**Summary of Significant Accounting Policies**\n\n**–**\n**–**\n**–** **4,259**\n**–**\n**60,949** **–**\n**–**\n**12,835**\n\n**107,982** **–** **–**\n\n**$ 138,982** **$ 65,208** **$ 15,631**\n\n***PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END***\n*Cash and money market accounts*\nThe consolidated financial statements include the accounts and trans- \n Total \nactions of the Company and its subsidiaries. Intercompany accounts \n\nY E A R - E N D 2 0 0 2 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nand transactions have been eliminated in consolidation. \n\n$ 82,300 \n– \n– \n\nThe Company follows a 52/53-week fiscal year which ends \n\non the Saturday nearest December 31. Fiscal year 2003 ended on \n\nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities – \n– \n– 3,478 \n 11,000 \n– \n\non December 29, 2001. The financial statements for fiscal year 2003 \n\nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n*Cash and money market accounts* 56,865 **–**\n52-week basis. \n$ 16,378 \n\n$ \n\n1,900 \n– \n– $ 5,396 \n11,995 \n400 \n\n– \n– \n7,098 \n\n**–**\n Total $ 24,889", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Dear Shareholders:**\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \n\nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \n\nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \n\ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day. \n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \n\na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \n\nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors. \n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \n\naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \n\nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years. \n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \n\nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \n\nHON INDUSTRIES governance practices were already in accord with the spirit of the rules. \n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man- \n\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance. \n\n\nStan A. Askren \n\n\nAbbie J. Smith \n\n\nDennis J. Martin \n\n\nGary M. Christensen \n\n Richard H. Stanley \n\n\nJack D. Michaels \n\n\nCheryl A. Francis \n\n\nBrian E. Stern \n\n\nJoseph Scalzo \n\n\n\n\n\nRobert L. Katz", + "page_start": 60, + "page_end": 60, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**S C H E D U L E O F Q U A R T E R L Y**\n**R E S U L T S**\n**I N V E S T O R R E L A T I O N S** **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades \n\non the New York Stock Exchange under the \n\nsymbol: HNI. Stock price quotations can be \n\nfound in major daily newspapers and*The*\n\n*Wall Street Journal*. \n\n**T R A N S F E R A G E N T**\n\nShareholders may report a change of address \n\nor make inquiries by writing or calling: \n\nComputershare Investor Services, LLC \n\n2 North LaSalle Street \n\nChicago, IL 60602 \n\nTelephone: 312.588.4991 \n\nSend inquiries to: \nThe Company operates on a fiscal year ending \nInvestor Relations \non the Saturday nearest December 31. Quar- \nHON INDUSTRIES Inc. \nterly results are typically announced within 25 \n414 East Third Street \ndays after the end of each quarter, and audited \nMuscatine, IA 52761 \nresults are typically announced within 40 days \nTelephone: 563.264.7400 \nafter year-end. \nFax: 563.264.7655 \n\nE-mail: investorrelations@honi.com \n\n**F I S C A L 2 0 0 4**\n**Q U A R T E R - E N D D A T E S**\n**C O R P O R A T E H E A D Q U A R T E R S**\n1st Quarter: Saturday, April 3 \nHON INDUSTRIES Inc. \n2nd Quarter: Saturday, July 3 \n414 East Third Street \n3rd Quarter: Saturday, October 2 \nP.O. Box 1109 \n4th Quarter: Saturday, January 1 \nMuscatine, IA 52761-0071 \n\nTelephone: 563.264.7400 **A N N U A L M E E T I N G**\n\nThe Company’s annual shareholders’ meeting Fax: 563.264.7217 \n\nwill be held at 10:30 a.m. on May 4, 2004, at Website: www.honi.com \n\nthe Holiday Inn, Highways 61 & 38 North, \n\n**I N D E P E N D E N T P U B L I C**\n**A C C O U N T A N T S**\nMuscatine, Iowa. Shareholders and other \n\ninterested investors are encouraged to attend \nPricewaterhouseCoopers LLP \nthe meeting. \nOne North Wacker Drive \n\nChicago, IL 60606 \n\n**F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to **•**changes in demand and order patterns from the Company’s customers, par- \n\nplans, objectives, and future financial performance, are “forward-looking” state- ticularly its top ten customers, which represented approximately 36% of net sales \n\nments that are made pursuant to the safe harbor provisions of the Private Securities in 2003; \n\nLitigation Reform Act of 1995. Forward-looking statements involve known and **•** issues associated with acquisitions and integration of acquisitions; \n\nunknown risks, which may cause the Company’s actual results in the future to dif- **•**the ability of the Company to realize cost savings and productivity improve- \n\nfer materially from expected results. These risks include, among others: ments from its cost containment and business simplification initiatives; \n\n**•**competition within the office furniture and fireplace industries, including **•**the ability of the Company to realize financial benefits from investments in new \n\ncompetition from imported products and competitive pricing; products; \n\n**•** increases in the cost of raw materials, including steel, which is the Company’s **•**the ability of the Company’s distributors and dealers to successfully market \n\nK \nR \nO \nY \n\nW \nE \nN \n, \n\nO \nI \nD \nU \nT \nS \n\nL \nE \nU \nQ \nE \nS \n: \n\nN \nG \nI \nS \nE \nD \n\nlargest raw material category; and sell the Company’s products; \n\n**•** increases in the cost of health care benefits provided by the Company; **•**the availability and cost of capital to finance planned growth; and \n\n**•**reduced demand for the Company’s storage products caused by changes in **•**other risks, uncertainties, and factors described from time to time in the \n\noffice technology; including the change from paper record storage to electronic Company’s filings with the Securities and Exchange Commission. \n\nrecord storage; We caution the reader that the above list of factors may not be exhaustive. The", + "page_start": 62, + "page_end": 62, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \n\nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \n\nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \n\nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \n\nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \n\naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \n\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \n\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \n\nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \n\nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \n\nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera- \n\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002. \n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \n\nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \n\nIntangible Assets, on December 30, 2001. \n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \n\naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \n\nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \n\nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo- \n\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \n\nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \n\nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n\n2001 financial statements taken as a whole.", + "page_start": 57, + "page_end": 57, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "We, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to \n\nexceeding our customers’ expectations, and to making our company a great place to work. We will always treat each \n\nother, as well as customers, suppliers, shareholders, and our communities, with fairness and respect. \n\nOur success depends upon business simplification, rapid continuous improvement, and innovation in every- \n\nthing we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs: \n\n**W E W I L L B E P R O F I T A B L E .**\n\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an ade- \n\nquate profit can the other elements of this Vision be realized. \n\n**W E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .**\n\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and \n\npursuing profitable growth opportunities. We will safeguard our shareholders’ equity by maintaining a strong balance \n\nsheet to allow flexibility in responding to a continuously changing market and business environment. \n\n**W E W I L L P U R S U E P R O F I T A B L E G R O W T H .**\n\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and finan- \n\ncial success for all stakeholders. \n\n**W E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .**\n\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services \n\nexceed our customers’ expectations and enable our distributors and our company to make a fair profit. \n\n**W E W I L L B E A G R E A T P L A C E T O W O R K .**\n\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active \n\ninvolvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that \n\nattracts and retains the most capable people who work safely, are motivated, and are devoted to making our company \n\nand our members successful. \n\n**W E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .**\n\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which \n\nwe live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and \n\nprovides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, \n\nand governmental affairs of our society. \n\n**T O O U R S T A K E H O L D E R S :**\n\nWhen our company is appreciated by its*members,*favored by its*customers,*supported by its*suppliers,*respected by \n\n*the public,*and admired by its*shareholders,*this Vision is fulfilled. \n\n**H O N I N D U S T R I E S I n c . ( H N I )**\n\n**414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071**\n\n**www.honi.com**", + "page_start": 63, + "page_end": 63, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "our rapid continuous improvement (RCI) programs, in 1992. It announced in February 2003, was an important part of \n\nis not only a process to drive out cost, it is a powerful tool to this process. \n\nengage every member every day in making choices to improve Our office furniture and hearth businesses are healthy \n\nthe value we provide to our customers. and well-positioned for growth; still we continue to face a com- \n\npetitive business environment. We are confident of our financial \n\nsecurity, and certain that our transition to becoming a market- **E N H A N C I N G C U L T U R E A N D C A P A B I L I T I E S**\n\nOur values are simple yet powerful. They are as relevant today driven, operationally excellent company will continue to en- \n\nas they were when the company was founded 60 years ago. hance shareholder value. The transformation continues. We will \n\nOur member-owner culture of shared responsibility and shared be seeking shareholder approval, in early May 2004, to change \n\nreward engages all members in the ongoing business improve- the name of HON INDUSTRIES to HNI Corporation, drawing \n\n\n\nment process and allows us to embrace change. As we continue on our heritage while remaining true to our culture and values. \n\nto add and develop talent to support our growth strategies, we The new name will serve to better align the corporate identity \n\nbecome more diverse in our perspectives, strengthening our with the direction of the company, as a strategic manager of \n\nability to understand and meet the needs of our customers and multiple, distinct, and independent brands. \n\nend-users. We thank our member-owners for their continued \n\ndedication, and look forward to the challenges and opportuni- \n\nOn January 5, 2004, we completed the acquisition of ties of 2004. \n\nPaoli Inc., a leading provider of wood case goods and seating. \n\nThe acquisition reflects our commitment to achieving profit- \n\nable growth. With annual sales in excess of $80 million, Paoli \n\nhas well-known brands, a broad product offering, and strong \n\nJack D. Michaels independent representative sales and dealer networks. This \n\nacquisition supports our operating philosophy to work through C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R \n\n\n\nautonomous, decentralized businesses with strong brands \n\nfocused on distinct markets. \n\nImportant to our company’s success, is a strong Board \n\nof Directors who bring their individual skills, knowledge, and \n\nStan A. Askren experience to our company. Their involvement, independence, \n\nand integrity provide the ongoing foundation for effective gov- P R E S I D E N T \n\nernance and corporate oversight for you, our shareholders. \n\nThis year we recognize retiring directors Lorne R. \n\nWaxlax, Robert W. Cox, and M. Farooq Kathwari. We thank \n\nthem for their dedication. We are also pleased to welcome \n\nJoseph Scalzo, President, Personal Care Products, The Gillette \n\nCompany, to our board. \n\nOur CEO succession process is progressing smoothly. \n\nThe appointment of Stan Askren as President of HON \n\nINDUSTRIES and as a member of the Board of Directors,", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**ITEM 1. BUSINESS**\n\n**Company Overview**\n\nWe are a leading provider of services in the domestic non-hazardous solid waste industry. We provide \nnon-hazardous solid waste collection services for commercial, industrial, municipal and residential customers \nthrough 140 collection companies in 22 states. We also own or operate 96 transfer stations, 58 solid waste \nlandÑlls and 35 recycling facilities. \n\nAs of December 31, 2004, our operations were organized into Ñve regions whose boundaries may change \nfrom time to time: Eastern, Central, Southern, Southwestern and Western. Each region is organized into \nseveral operating areas and each area contains a group of operating locations. Each of our regions and \nsubstantially all our areas provide collection, transfer, recycling and disposal services. We believe that this \norganizational structure facilitates the integration of our operations within each region, which is a critical \ncomponent of our operating strategy. See Note 10 of the Notes to Consolidated Financial Statements for \nfurther discussion of operating segments. \n\nWe had revenue of $2,708.1 million and $2,517.8 million and operating income of $452.3 million and \n$412.7 million for the years ended December 31, 2004 and 2003, respectively. The $190.3 million, or 7.6%, \nincrease in revenue from 2003 to 2004 is primarily attributable to the successful execution of our operating and \ngrowth strategies described below. The $39.6 million, or 9.6%, increase in operating income from 2003 to 2004 \nis partially due to higher self-insurance expense during 2003 related to existing claims and was attributable to \nthe expansion of our operations and various changes in estimates as a result of continued negative trends \nthrough the 2003 policy year. The remaining increase in operating income is due to the successful execution of \nour operating and growth strategies described below. \n\nOur presence in high growth markets throughout the Sunbelt, including California, Florida, Georgia, \nNevada, North Carolina, South Carolina and Texas, and in other domestic markets that have experienced \nhigher than average population growth during the past several years, supports our internal growth strategy. We \nbelieve that our presence in these markets positions our company to experience growth at rates that are \ngenerally higher than the industry's overall growth rate. \n\nWe continue to focus on enhancing stockholder value by implementing our Ñnancial, operating and \ngrowth strategies as described below. \n\n**Industry Overview**\n\nBased on analysts' reports and industry trade publications, we believe that the United States non- \nhazardous solid waste services industry generates annual revenue of approximately $44.0 billion, of which \napproximately 50% is generated by publicly-owned waste companies, 21% is generated by privately-held waste \ncompanies, and 29% is generated by municipal and other local governmental authorities. Three companies \ngenerate the substantial majority of the publicly-owned companies' total revenue. However, according to \nindustry data, the domestic non-hazardous waste industry remains highly fragmented as privately-held \ncompanies and municipal and other local governmental authorities generate approximately 50% of total \nindustry revenue. In general, growth in the solid waste industry is linked to growth in the overall economy, \nincluding the level of new household and business formation. \n\nThe solid waste industry experienced a period of rapid consolidation in the late 1990's. During that time \nwe were able to grow signiÑcantly through acquisitions. However, acquisitions in the industry have slowed \nconsiderably since late 1999. Despite this, we believe that the opportunity to grow through acquisitions still \nexists, albeit at a slower pace than experienced in previous years, as a result of the following factors:", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "The truth is, The HON Company, “practical \n\nand professional” is only one part of who you \n\nare. When it comes to partnering with small to \n\nmid-sized businesses as we are, you are the \n\nchampion of the hardworking office: sensible, \n\nhonest, and unpretentious, yet strong, well \n\nbuilt, and totally committed to quality. You \n\nhelp us to be more productive by keeping us \n\ncomfortable and relieving our stress. Your \n\nfiles, desks, panel systems, and other products \n\nare as contemporary, intelligent, and adapt- \n\nable as we are! So call us*both*practical and \n\nprofessional; call us a perfect match. \n\n\n\nP E R F E C T M A T C H # 3 \n\n\n\n T H E S M A L L T O \n\nM I D - S I Z E D B U S I N E S S \n\nA N D T H E H O N C O M P A N Y", + "page_start": 21, + "page_end": 21, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "Fiscal year 2003*(For the year ended Mar. 31, 2004)*\n\nSales \nAutomobile Financing Total Eliminations Consolidated \n*Millions of yen*\n\nI. Sales and operating income \n\nSales to third parties ................................................................................... ¥7,072,982 \nInter-segment sales and transfers................................................... \n22,916 \nTotal sales............................................................................................................ \n7,095,898 \nOperating expenses .................................................................................... \n6,340,631 \nOperating income.......................................................................................... ¥ 755,267 ¥ 356,237 \n9,752 \n365,989 \n301,179 \n¥ 64,810 ¥7,429,219 \n32,668 \n7,461,887 \n6,641,810 \n¥ 820,077 \n\n¥ \n\n— ¥7,429,219 \n— \n7,429,219 \n6,604,364 \n¥ 824,855 (32,668) \n(32,668) \n(37,446) \n4,778 ¥ \n\nII. Assets, depreciation and capital expenditures \n\nTotal assets ........................................................................................................ ¥5,847,139 \nDepreciation and amortization ............................................................ ¥ 313,289 \nCapital expenditures ................................................................................... ¥ 441,384 ¥3,479,171 \n¥ 147,748 \n¥ 463,616 ¥9,326,310 \n¥ 461,037 \n¥ 905,000 ¥(1,466,454) \n¥ \n¥ ¥7,859,856 \n— ¥ 461,037 \n— ¥ 905,000", + "page_start": 93, + "page_end": 93, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed8.pdf", + "query": "Did automating the writing of EM-to-IP handoffs notes using LLM lead to life-threatening outputs ?", + "target_page": 8, + "target_passage": "none of the incorrect output text elements reached life-threatening risk", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**Original Investigation | Emergency Medicine**\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine \nHandoff Notes \n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; \nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS \n\n**Key Points**\n\n**Question**Can a large language model \n\n(LLM) generate emergency medicine \n\n(EM)-to-inpatient (IP) handoff notes \n\nthat are useful and safe for EM care? \n\n**Findings**In this cohort study of 1600 \n\nEM patient medical records using a \n\nnovel evaluation framework, the \n\nLLM-generated EM-to-IP handoff notes \n\nhad a mean usefulness of 4.04 out of 5 \n\n(compared with 4.36 for \n\nphysician-written) and a mean patient \n\nsafety of 4.06 out of 5 (compared with \n\n4.50 for physician-written) with no \n\ncritical patient safety risks. \n\n**Abstract**\n\n**IMPORTANCE**An emergency medicine (EM) handoff note generated by a large language model \n\n(LLM) has the potential to reduce physician documentation burden without compromising the safety \n\nof EM-to-inpatient (IP) handoffs. \n\n**OBJECTIVE**To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and \n\nsafety compared with physician-written notes. \n\n**DESIGN, SETTING, AND PARTICIPANTS**This cohort study used EM patient medical records with \n\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical \n\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated \n\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented \n\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers \n\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) \n\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written \n\nnotes were compared. Data were analyzed from October 2023 to March 2024. \n**Meaning**These findings suggest the \n\nvalue of a manual, patient safety– \n**EXPOSURE**LLM-generated EM handoff notes. \nfocused clinical evaluation of LLM \n\nmodels and the potential of \n\nLLM-generated handoff notes to create \n\na new standard of care in EM. \n\n**MAIN OUTCOMES AND MEASURES**LLM-generated handoff notes were evaluated for (1) lexical \n\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with \n\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness, \n\nusefulness, and implications for patient safety using a novel framework. \n\n**RESULTS**In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 \n\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher \n\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), \n\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by \n\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) \n\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean \n\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). \n\nNone of the LLM-generated summaries were classified as a critical patient safety risk. \n\n**CONCLUSIONS AND RELEVANCE**In this cohort study of 1600 EM patient medical records, \n\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written \n\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness \n\n(continued) \n\n**Open Access.**This is an open access article distributed under the terms of the CC-BY License. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nLLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 \n\nboard certified emergency medicine physician leaders with experience in formal quality and patient \n\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and \n\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of \n\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race \n\nbias; therefore, the model was trained to generate text without race-based assumptions. Although \n\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown \nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of \nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data \n\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used \n\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter \n\noptimization of the LLMs. \n\n**Models**\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred \nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter \nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and \ntechnology specifications is provided in detail in eAppendix 1 in Supplement 1. \n\n**Data Processing**\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both \nshorten the input size while maintaining content salience. First, we adopted a number of heuristic \n\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) \n\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency \n\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP \n\nhandoff notes. \n\n**Model Training and Inference**\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We \n\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional \n\ninformation about the model training and inference process is provided in eAppendix 1 in \n\nSupplement 1. \n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of \n\nheuristic rules, our summarization system produced ED handoff notes with various sections for \n\ndownstream clinical tasks. The inference process is shown in the**Figure**.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nAbstract (continued) \n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in- \n\nloop implementation design for this model and demonstrates an effective strategy to measure \n\npreimplementation patient safety of LLM models. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 \n\n**Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of \nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint \nCommission, the Accreditation Council for Graduate Medical Education, and the Association of \n\nAmerican Medical Colleges have all recommended the development of high-quality and standardized \nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing \nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality \nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by \nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The \nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly \n\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff \nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with \nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high \n\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most \ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated \nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal \nmedicine leadership of the study site collaboratively developed and launched a mandatory, \n\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real- \n\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal \n\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured \n\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of \n\nthe handoff notes. \n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks \nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical \nnotes using natural language processing (NLP) have been overall shown to improve note completion \nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements \nin health care with the discovery of the transformer model architecture, the building block of large \nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology \nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels \nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large \nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is \ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with \nthe original source content.31 Much work has been done in health care to reduce hallucinations \nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine- \ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability \nby citing inferred content back to the reference source notes.34 For short-context length notes, using \nfew-shot prompt engineering approaches with large language models like GPT-4 can produce", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\n**Additional Contributions:**We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and \nCornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in \nhelping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey, \nMD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with \nphysician recruitment. None of them were compensated for their contributions. \n\n**REFERENCES**\n**1**. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an \nextensive review. Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480 \n\n**2**. Donaldson MS, Corrigan JM, Kohn LT. To err is human: building a safer health system. National Academy Press; \n2000. \n\n**3**. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement \nand Patient Safety. Improving Handoffs in the Emergency Department. Ann Emerg Med. 2010;55(2):171-180. doi:10. \n1016/j.annemergmed.2009.07.016 \n\n**4**. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners’ \nguide. Association of American Medical Colleges. 2017. Accessed October 23, 2024. https://www.aamc.org/media/ \n20196/download \n\n**5**. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among \nhospitalized children following implementation of a resident handoff bundle. JAMA. 2013;310(21):2262-2270. doi: \n10.1001/jama.2013.281961 \n\n**6**. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after \nimplementation of a handoff program. N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556 \n\n**7**. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating \nacross boundaries. Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009 \n\n**8**. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs. ED Manag. 2015;27(11): \n128-131. \n\n**9**. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic \nand community settings. Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026 \n\n**10**. Hoff TJ. How work context shapes physician approach to safety and error. Qual Manag Health Care. 2008;17 \n(2):140-153. doi:10.1097/01.QMH.0000316992.94415.34 \n\n**11**. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey \ndata and development of algorithm. West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004 \n\n**12**. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care \nTask Force. Handoff practices in emergency medicine: are we making progress? Acad Emerg Med. 2016;23(2): \n197-201. doi:10.1111/acem.12867 \n\n**13**. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine. Am J Med Qual. \n2014;29(5):408-414. doi:10.1177/1062860613503364 \n\n**14**. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department: \na survey of emergency medicine residency and pediatric emergency medicine fellowship program directors. Acad \nEmerg Med. 2007;14(2):192-196. \n\n**15**. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of \nfailures during the transition from emergency department to inpatient care. Ann Emerg Med. 2009;53(6): \n701-10.e4. doi:10.1016/j.annemergmed.2008.05.007", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nevaluation frameworks may not address the anticipated effect LLM performance limitations could \nhave on patient safety.38-41 \n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate \n\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care \n\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP \n\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in \n\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and \n\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the \n\ncorrectness of model generations and customized the summaries in a structured format designed \n\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel \n\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’ \n\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies. \n\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting \n\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient \n\n**Methods**\n\n**Data Collection**\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was \n\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with \n\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 \n\nindividual EM patient encounters leading to acute hospital admission were randomly selected from \n\nvisits occurring between April and September of 2023. We limited our analysis to EM patient \n\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time. \n\nEncounters before this date used an earlier version of the EM-handoff note that would have provided \n\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then \n\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), \n\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used \n\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of \n\nObservational Studies in Epidemiology (STROBE) reporting guidelines. \n\n**EM-to-IP Handoff Note Template**\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff \n\nnote structure used at the study site. The generated EM handoff note consists of components \n\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult \n\norders, and radiology impressions) and components generated by the trained abstractive \n\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans, \n\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage \n\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the \n\ntotal time of patient’s stay in the ED. \n\n**Data Curation for Automated ED Note Generation**\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule- \n\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail \n\nin eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM \n\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in**Table 1**: \n\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The \n\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsuperior performance. However, while the manual clinical evaluation demonstrated the majority of \n\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on \n\naverage, inferior to the clinician-written notes. \n\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and \n\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst- \n\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician \n\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance \nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. \nHowever, incompleteness and faulty logic identified in the automated summaries were not always \n\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to \n\ncreate significant patient safety risk compared with the physician-written summaries. These critical \n\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further \n\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model \n\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM \n\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see \n\neAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical \nin other recent work implementing LLMs into clinical workflows.29,53 \n\nWhile the automated methods of SCALE and MPNet-based sentence transformers \n\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation \n\nprovided the nuanced context of the true factuality of our system on a word by word level. When \n\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more \n\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended \n\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic \n\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source \n\nnotes, while physician-written summaries are often composed with additional knowledge that \n\ncannot be found from the source notes. \n\nThe divergence of the automated and clinical evaluation results of an LLM intended for \n\nintegration into a critical clinical workflow is an important finding. First, this observed finding \n\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to \ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to \nmeasure conventional model output quality categories (such as incorrectness domains and other \nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate \nanticipated patient safety implications for each individual category deficiency. \n\n**Limitations**\nThere were several limitations to the study that were primarily driven from constraints of \n\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location, \n\nthe data were required to remain on premise at all times and the infrastructure that was provided \n\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model \n\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable \ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study \nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study \n\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at \n\norganizations that are less open to integrating third-party LLMs.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\n**Evaluation**\nIt is critical to ensure that AI systems are safe, ethical, and without bias in the clinical domain. For the \n\nproposed approach, we performed comprehensive automatic evaluations and a novel, rigorous, \n\npatient safety-focused clinical evaluation. The unique clinical evaluation framework was designed to \n\n(1) screen for and identify the common, specific correctness issues in LLMs observed in longform \n\nclinical summarization and (2) assess the potential patient safety implications associated with any \n\nincorrectness identified using a modified version of the World Health Organization’s International \nClassification for Patient Safety.45 \n\n**Automated Evaluations**\nWe used the summarization evaluation metrics of recall-oriented understudy for gisting evaluation \n(ROUGE),46 bidirectional encoder representations from transformers score (BERTScore),47 and \nsource chunking approach for large-scale inconsistency evaluation (SCALE).48 ROUGE computes the \noverlap of n-grams between the generated and reference summaries. For longform document \n\nsummarization, the following ROUGE scores are considered to be close to the reference summaries: \nROUGE-1, above 0.4; ROUGE-2, above 0.2; and ROUGE-L, above 0.3.46 BERTScore leverages the \npretrained contextual embeddings from BERT and matches words to compute a similarity score for \neach token in the candidate sentence with each token in the reference sentence. We used SCALE,48 a \nnatural language inference–based approach, to measure the faithfulness between the source \n\ndocument and the generated text. Further background is provided about SCALE in eAppendix 2 in \n\nSupplement 1. \n\n**Statistical Analysis**\nBased on prior work, 3 board certified EM physician leaders (M.M., A.F., and P.S.) with experience in \n\nformal quality and patient safety review processes performed retrospective reviews of ED-based \nEHR records of 50 individual ED patient encounters, randomly selected from the test dataset.49 \nBased on prior published clinical evaluations of LLM, as well as the study feasibility of using EM \nphysician quality and patient safety leaders, 50 ED patient encounters were evaluated.50 Reviewers", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed8.pdf" + }, + { + "text": "We introduced and defined a new safety property, LLM control plane integrity. \nInformally, this property holds if an \nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not \nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query- \nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the \nquery to the adversary-chosen LLM. \n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that \nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against \nthese attacks and indicated directions for future research. \n\nAcknowledgments \n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda- \ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however \nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. \nNeither the European Union nor the granting authority can be held responsible for them.", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv1.pdf" + }, + { + "text": "[71] L. Zheng, W.-L. Chiang, Y. Sheng, S. Zhuang, Z. Wu, Y. Zhuang, Z. Lin, Z. Li, D. Li, E. Xing et al., “Judging LLM- \nas-a-judge with MT-Bench and chatbot arena,” Advances in Neural Information Processing Systems (NeurIPS), \n2023. \n\n[72] S. Zhu, R. Zhang, B. An, G. Wu, J. Barrow, Z. Wang, F. Huang, A. Nenkova, and T. Sun, “AutoDAN: Automatic \nand interpretable adversarial attacks on large language models,” arXiv preprint arXiv:2310.15140, 2023. \n\n[73] A. Zou, Z. Wang, J. Z. Kolter, and M. Fredrikson, “Universal and transferable adversarial attacks on aligned language \nmodels,” arXiv preprint arXiv:2307.15043, 2023. \n\nA Gadget Examples \n\nBelow are a few examples of the optimized confounder gadgets c we got, for the different routing algorithms: \n\nB Ablation Study \n\nIn this section, we evaluate the effect of different hyperparameters and design choices (in the white-box setting). \n\nPrefix vs. suffix. As described in Section 4, we prepend the confounder gadget to the query. An alternative is to append \nit. This is straightforward for MT-bench and GSM8K, but MMLU consists of multi-choice questions followed by a list \nof possible answers, and the term “Answer:”. We insert the gadget at the end of the question text and before the possible \nanswers. If we append it at the very end, after “Answer:”, the LLM assumes the query was answered and in many cases \ndoes not generate any output at all. \n\nTable 12 shows that average upgrade rates are similar regardless of whether the gadget was inserted as a prefix or a suffix. \nFor MMLU, prefix works better. The downgrade rate is 0% in all cases. \n\n22", + "page_start": 21, + "page_end": 21, + "source_file": "arxiv1.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed8.pdf", + "query": "How did automating the writing of EM-to-IP handoffs notes using LLM affect the usefulness of these notes ?", + "target_page": 1, + "target_passage": "LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**Original Investigation | Emergency Medicine**\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine \nHandoff Notes \n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; \nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS \n\n**Key Points**\n\n**Question**Can a large language model \n\n(LLM) generate emergency medicine \n\n(EM)-to-inpatient (IP) handoff notes \n\nthat are useful and safe for EM care? \n\n**Findings**In this cohort study of 1600 \n\nEM patient medical records using a \n\nnovel evaluation framework, the \n\nLLM-generated EM-to-IP handoff notes \n\nhad a mean usefulness of 4.04 out of 5 \n\n(compared with 4.36 for \n\nphysician-written) and a mean patient \n\nsafety of 4.06 out of 5 (compared with \n\n4.50 for physician-written) with no \n\ncritical patient safety risks. \n\n**Abstract**\n\n**IMPORTANCE**An emergency medicine (EM) handoff note generated by a large language model \n\n(LLM) has the potential to reduce physician documentation burden without compromising the safety \n\nof EM-to-inpatient (IP) handoffs. \n\n**OBJECTIVE**To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and \n\nsafety compared with physician-written notes. \n\n**DESIGN, SETTING, AND PARTICIPANTS**This cohort study used EM patient medical records with \n\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical \n\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated \n\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented \n\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers \n\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) \n\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written \n\nnotes were compared. Data were analyzed from October 2023 to March 2024. \n**Meaning**These findings suggest the \n\nvalue of a manual, patient safety– \n**EXPOSURE**LLM-generated EM handoff notes. \nfocused clinical evaluation of LLM \n\nmodels and the potential of \n\nLLM-generated handoff notes to create \n\na new standard of care in EM. \n\n**MAIN OUTCOMES AND MEASURES**LLM-generated handoff notes were evaluated for (1) lexical \n\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with \n\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness, \n\nusefulness, and implications for patient safety using a novel framework. \n\n**RESULTS**In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 \n\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher \n\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), \n\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by \n\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) \n\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean \n\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). \n\nNone of the LLM-generated summaries were classified as a critical patient safety risk. \n\n**CONCLUSIONS AND RELEVANCE**In this cohort study of 1600 EM patient medical records, \n\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written \n\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness \n\n(continued) \n\n**Open Access.**This is an open access article distributed under the terms of the CC-BY License. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nLLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 \n\nboard certified emergency medicine physician leaders with experience in formal quality and patient \n\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and \n\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of \n\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race \n\nbias; therefore, the model was trained to generate text without race-based assumptions. Although \n\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown \nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of \nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data \n\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used \n\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter \n\noptimization of the LLMs. \n\n**Models**\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred \nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter \nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and \ntechnology specifications is provided in detail in eAppendix 1 in Supplement 1. \n\n**Data Processing**\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both \nshorten the input size while maintaining content salience. First, we adopted a number of heuristic \n\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) \n\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency \n\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP \n\nhandoff notes. \n\n**Model Training and Inference**\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We \n\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional \n\ninformation about the model training and inference process is provided in eAppendix 1 in \n\nSupplement 1. \n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of \n\nheuristic rules, our summarization system produced ED handoff notes with various sections for \n\ndownstream clinical tasks. The inference process is shown in the**Figure**.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nAbstract (continued) \n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in- \n\nloop implementation design for this model and demonstrates an effective strategy to measure \n\npreimplementation patient safety of LLM models. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 \n\n**Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of \nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint \nCommission, the Accreditation Council for Graduate Medical Education, and the Association of \n\nAmerican Medical Colleges have all recommended the development of high-quality and standardized \nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing \nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality \nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by \nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The \nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly \n\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff \nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with \nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high \n\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most \ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated \nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal \nmedicine leadership of the study site collaboratively developed and launched a mandatory, \n\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real- \n\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal \n\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured \n\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of \n\nthe handoff notes. \n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks \nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical \nnotes using natural language processing (NLP) have been overall shown to improve note completion \nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements \nin health care with the discovery of the transformer model architecture, the building block of large \nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology \nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels \nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large \nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is \ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with \nthe original source content.31 Much work has been done in health care to reduce hallucinations \nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine- \ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability \nby citing inferred content back to the reference source notes.34 For short-context length notes, using \nfew-shot prompt engineering approaches with large language models like GPT-4 can produce", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\n**Additional Contributions:**We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and \nCornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in \nhelping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey, \nMD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with \nphysician recruitment. None of them were compensated for their contributions. \n\n**REFERENCES**\n**1**. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an \nextensive review. Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480 \n\n**2**. Donaldson MS, Corrigan JM, Kohn LT. To err is human: building a safer health system. National Academy Press; \n2000. \n\n**3**. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement \nand Patient Safety. Improving Handoffs in the Emergency Department. Ann Emerg Med. 2010;55(2):171-180. doi:10. \n1016/j.annemergmed.2009.07.016 \n\n**4**. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners’ \nguide. Association of American Medical Colleges. 2017. Accessed October 23, 2024. https://www.aamc.org/media/ \n20196/download \n\n**5**. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among \nhospitalized children following implementation of a resident handoff bundle. JAMA. 2013;310(21):2262-2270. doi: \n10.1001/jama.2013.281961 \n\n**6**. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after \nimplementation of a handoff program. N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556 \n\n**7**. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating \nacross boundaries. Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009 \n\n**8**. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs. ED Manag. 2015;27(11): \n128-131. \n\n**9**. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic \nand community settings. Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026 \n\n**10**. Hoff TJ. How work context shapes physician approach to safety and error. Qual Manag Health Care. 2008;17 \n(2):140-153. doi:10.1097/01.QMH.0000316992.94415.34 \n\n**11**. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey \ndata and development of algorithm. West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004 \n\n**12**. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care \nTask Force. Handoff practices in emergency medicine: are we making progress? Acad Emerg Med. 2016;23(2): \n197-201. doi:10.1111/acem.12867 \n\n**13**. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine. Am J Med Qual. \n2014;29(5):408-414. doi:10.1177/1062860613503364 \n\n**14**. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department: \na survey of emergency medicine residency and pediatric emergency medicine fellowship program directors. Acad \nEmerg Med. 2007;14(2):192-196. \n\n**15**. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of \nfailures during the transition from emergency department to inpatient care. Ann Emerg Med. 2009;53(6): \n701-10.e4. doi:10.1016/j.annemergmed.2008.05.007", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nevaluation frameworks may not address the anticipated effect LLM performance limitations could \nhave on patient safety.38-41 \n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate \n\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care \n\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP \n\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in \n\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and \n\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the \n\ncorrectness of model generations and customized the summaries in a structured format designed \n\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel \n\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’ \n\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies. \n\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting \n\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient \n\n**Methods**\n\n**Data Collection**\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was \n\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with \n\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 \n\nindividual EM patient encounters leading to acute hospital admission were randomly selected from \n\nvisits occurring between April and September of 2023. We limited our analysis to EM patient \n\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time. \n\nEncounters before this date used an earlier version of the EM-handoff note that would have provided \n\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then \n\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), \n\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used \n\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of \n\nObservational Studies in Epidemiology (STROBE) reporting guidelines. \n\n**EM-to-IP Handoff Note Template**\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff \n\nnote structure used at the study site. The generated EM handoff note consists of components \n\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult \n\norders, and radiology impressions) and components generated by the trained abstractive \n\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans, \n\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage \n\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the \n\ntotal time of patient’s stay in the ED. \n\n**Data Curation for Automated ED Note Generation**\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule- \n\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail \n\nin eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM \n\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in**Table 1**: \n\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The \n\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "Number of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the \neffect of using less (n = 5) or more (n = 20 or n = 50) tokens. We observed that 5 tokens were insufficient to make \nchanges to the routing algorithm’s score and thus we were not able to optimize the gadget in this setting. As for 20 tokens, \nwe observe a a small improvement in the white-box setting, increase the average upgrade rate from 93.9% to 95.8%, and \na bigger improvement in the black-box setting, increase the average upgrade rate from 70.2% to 81.3%. Using 50 tokens \nfurther increases the upgrade rates, to 98.2% in the white-box setting and 84.2% in the black box setting. The average \nconvergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall \nthis evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is \nimportant to be careful not to make them too long to the point that they might degrade the performance of the underlying \nLLM.", + "page_start": 22, + "page_end": 22, + "source_file": "arxiv1.pdf" + }, + { + "text": "[71] L. Zheng, W.-L. Chiang, Y. Sheng, S. Zhuang, Z. Wu, Y. Zhuang, Z. Lin, Z. Li, D. Li, E. Xing et al., “Judging LLM- \nas-a-judge with MT-Bench and chatbot arena,” Advances in Neural Information Processing Systems (NeurIPS), \n2023. \n\n[72] S. Zhu, R. Zhang, B. An, G. Wu, J. Barrow, Z. Wang, F. Huang, A. Nenkova, and T. Sun, “AutoDAN: Automatic \nand interpretable adversarial attacks on large language models,” arXiv preprint arXiv:2310.15140, 2023. \n\n[73] A. Zou, Z. Wang, J. Z. Kolter, and M. Fredrikson, “Universal and transferable adversarial attacks on aligned language \nmodels,” arXiv preprint arXiv:2307.15043, 2023. \n\nA Gadget Examples \n\nBelow are a few examples of the optimized confounder gadgets c we got, for the different routing algorithms: \n\nB Ablation Study \n\nIn this section, we evaluate the effect of different hyperparameters and design choices (in the white-box setting). \n\nPrefix vs. suffix. As described in Section 4, we prepend the confounder gadget to the query. An alternative is to append \nit. This is straightforward for MT-bench and GSM8K, but MMLU consists of multi-choice questions followed by a list \nof possible answers, and the term “Answer:”. We insert the gadget at the end of the question text and before the possible \nanswers. If we append it at the very end, after “Answer:”, the LLM assumes the query was answered and in many cases \ndoes not generate any output at all. \n\nTable 12 shows that average upgrade rates are similar regardless of whether the gadget was inserted as a prefix or a suffix. \nFor MMLU, prefix works better. The downgrade rate is 0% in all cases. \n\n22", + "page_start": 21, + "page_end": 21, + "source_file": "arxiv1.pdf" + }, + { + "text": "To further demonstrate that the attack improves the quality of responses when there is a significant gap between the weak \nand strong LLMs, we perform an additional evaluation with Mistral-7B-Instruct-v0.3 [38] and Llama-2-7B-chat-hf [63] \nas the weak LLMs (LLM pairs 2 and 3). Mistral-7B achieves 7.4, 57%, and 25% on MT-bench, MMLU, and GSM8K, \nrespectively. Llama-2-7B achieves 6.4, 44%, and 21%. Table 4 shows that the rerouting attack improves quality of \nresponses when either of these LLMs is the weak model, and in particular for the weaker Llama-2-7B model. \n\nLLM responses are sometimes affected by the confounder gadget. In some cases, the LLM responded with, for example, \n“I can’t answer that question as it appears to be a jumbled mix of characters”. Still, the response continued with “However, \nI can help you with the actual question you’re asking,” followed by the actual answer. We observed very few cases where \nIn most cases, the response did not mention anything \nan LLM refused to answer due to the presence of the gadget. \n\n1Some responses had abnormally high perplexity values (> 100), which we found do not correlate with quality, but these variations \ndisproportionately contribute to the average. We thus filter out such high-perplexity responses as outliers in both benign and attack \nsettings. We provide examples of filtered responses in Appendix D.", + "page_start": 9, + "page_end": 9, + "source_file": "arxiv1.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsuperior performance. However, while the manual clinical evaluation demonstrated the majority of \n\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on \n\naverage, inferior to the clinician-written notes. \n\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and \n\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst- \n\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician \n\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance \nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. \nHowever, incompleteness and faulty logic identified in the automated summaries were not always \n\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to \n\ncreate significant patient safety risk compared with the physician-written summaries. These critical \n\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further \n\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model \n\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM \n\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see \n\neAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical \nin other recent work implementing LLMs into clinical workflows.29,53 \n\nWhile the automated methods of SCALE and MPNet-based sentence transformers \n\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation \n\nprovided the nuanced context of the true factuality of our system on a word by word level. When \n\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more \n\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended \n\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic \n\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source \n\nnotes, while physician-written summaries are often composed with additional knowledge that \n\ncannot be found from the source notes. \n\nThe divergence of the automated and clinical evaluation results of an LLM intended for \n\nintegration into a critical clinical workflow is an important finding. First, this observed finding \n\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to \ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to \nmeasure conventional model output quality categories (such as incorrectness domains and other \nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate \nanticipated patient safety implications for each individual category deficiency. \n\n**Limitations**\nThere were several limitations to the study that were primarily driven from constraints of \n\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location, \n\nthe data were required to remain on premise at all times and the infrastructure that was provided \n\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model \n\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable \ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study \nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study \n\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at \n\norganizations that are less open to integrating third-party LLMs.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed8.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv5_ccby4license.pdf", + "query": "What company released MegatronLM ?", + "target_page": 2, + "target_passage": "NVIDIA released the MegatronLM", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Toews, Rob (3 September 2023). \"Transformers Revolutionized AI. What Will Replace Them?\" \n\n(https://www.forbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will- \nreplace-them).*Forbes*. Archived (https://web.archive.org/web/20231208232145/https://www. \nforbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will-replace-the \nm/) from the original on 8 December 2023. Retrieved 8 December 2023.", + "page_start": 63, + "page_end": 63, + "source_file": "wikipedia3.pdf" + }, + { + "text": "| A | t D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | | | | | | | | | | | | 20 | 04 | | | | | 20 | 03 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| A | t D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | | | | | | | | | | | | 20 | 04 | | | | | 20 | 03 |\n\n\nGoodwill: \n\nMirage acquisition (2000) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .**$ 76,342** $ 76,342 \n\nMGM Grand Australia acquisition (1995) . . . . . . . . . . . . . . . . . . . . . . . 34,259 **—**\n\nOther. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7,833 **7,415**\n\n118,434 **83,757**\n\nIndefinite-lived intangible assets: \n\nDetroit development rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **115,056**\n\nTrademarks, license rights and other . . . . . . . . . . . . . . . . . . . . . . . . . . **17,554**\n\n**132,610**\n\nOther intangible assets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **16,968**\n\n**$ 233,335**\n\nThe Company’s indefinite-lived intangible assets consist primarily of development \nrights in Detroit (see Note 10) and trademarks. The Company’s finite–lived \nintangible assets consist primarily of lease acquisition costs, amortized over the life \nof the related leases, and certain license rights with contractually limited terms, \namortized over their contractual life. \n\nGoodwill and indefinite-lived intangible assets must be reviewed for impairment \nat least annually and between annual test dates in certain circumstances. The \nCompany performs its annual impairment test for goodwill and indefinite-lived \nintangible assets in the fourth quarter of each fiscal year. No impairments were \nindicated as a result of the annual impairment reviews for goodwill and \nindefinite-lived intangible assets in 2004 or 2003. \n\n**Revenue recognition and promotional allowances.**Casino revenue is the \naggregate net difference between gaming wins and losses, with liabilities recognized \nfor funds deposited by customers before gaming play occurs (“casino front money”) \nand for chips in the customers’ possession (“outstanding chip liability”). Hotel, \nfood and beverage, entertainment and other operating revenues are recognized as \nservices are performed. Advance deposits on rooms and advance ticket sales are \nrecorded as accrued liabilities until services are provided to the customer. \n\n| Y | ear | En | de | d D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | | | | | | | | | 20 | 04 | | | | | 20 | 03 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Y | ear | En | de | d D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | | | | | | | | | 20 | 04 | | | | | 20 | 03 |\n\n\nBalance, beginning of period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .**$ 118,434** $ 105,504 \n\n115,056 \n\n17,554 \n\n132,610 \n\n16,624 \n\n$ 267,668 \n\nGoodwill represents the excess of purchase price over fair market value of net assets \nacquired in business combinations. Goodwill related to the Mirage acquisition was \nassigned to Bellagio, The Mirage and TI. Other goodwill relates to the Company’s \n2003 acquisition for $9 million of majority interests in the entities that operate the \nnightclubs Light and Caramel, located in Bellagio, and Mist, located in TI. Changes \nin the recorded balances of goodwill are as follows:", + "page_start": 58, + "page_end": 58, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**Implementing the IBM Storwize**\n**V7000 with IBM Spectrum**\n**Virtualize V8.2.1**\n\nJon Tate \n\nJack Armstrong \n\nTiago Bastos \n\nPawel Brodacki \n\nFrank Enders \n\nSergey Kubin \n\nDanilo Miyasiro \n\nRodrigo Suzuki", + "page_start": 0, + "page_end": 0, + "source_file": "sg247938.pdf" + }, + { + "text": "Tim Lewis \nTaylor Ley \nMicah LeGall \nSam Liebhart \nEric Lindberg \nJeffrey Lindsey \nLarry Lines \nAndrew Linguist \nRosie Linton \nJohn Little \nMichael Little \nRobby Little \nMichael Livingston \nNeil Lloyd \nLogan Lobue \nScott Locklear \nLyndel Loman \nAngie Long \nCarson Long \nDavid Long \nDiana Long \nEddy Long \nDan C. Lopata \nJohn Lorentz \nJames Louiso \nOwen Love \nFrancisco Lozano \nPetra Lozano De \nThompson \nBonnie Lucas \nCody J. Lucas \nHarvey Lucas Jr. \nTyler Lumpkin \nBill Lusk \nDustin Lynn \nGerald Mackenzie Jr. \nShad MacNaughton \nAshley Madison \nDaniel Maffei \nMarissa Mahan \nNicolas Mahan \nDamon Maikell \nBob Malecki \nJim Malone Jr. \nDale Manahan \nSid Manning \nJoe Marecic \nAaron Marlow \nStanley Marlow \nMichael Mars II \nLester Marsh \nEvan Marshall \nDan Martin \nJohn Martin Jr. \nMichael L. Martin \nRick Martin \nShane Martin \nStephen Martin \nJoe M. Martinez \nJoel Martinez Jr. \nRick Martinez \nPaul Marton \nJerry Massey Jr. \nEfraim Mata \nBrandon Mattison \nTamara Mauk \nJess Maulsby \nMatt Mayhew \nKevin McBee \nGary McBride \nJesse McCabe \nThomas McCambridge \nStu McCarthy \nBrad McCarty \nMichael McCarty \nJeff McCathern \nMichael McClintic \nOG McClinton Jr. \nBill McClure \nGlen McConnell \nChad McCool \nBrian McCoy \nKatie McCullin \nCrystal McCusker \nCalvin McDaniel \nDave McDiffitt \nBryan McDonald \nMickey McDonald Jr. \nDavid McFall \nChristopher W. McGinnis \n\n**OKLAHOMA CITY, OKLAHOMA***Largest in*\n*the industry, Chesapeake’s Geographic Information*\n*Systems department employs more than 60 geographers,*\n*cartographers and specialists.*\n\nChristopher Morgan \nJames Morgan \nJustin Morgan \nNathan Morgan \nSloane Morgan \nDavid A. Morris \nDavid Morris Jr. \nJoseph Morris \nSydney Morris \nJames Mosby \nJason Mosley \nJames Mossor \nJustin Moxley Kevin Pack \nMeosha Paige \nAllen Pair \nCristian Parau \nBill F. Parker \nNicholas Parker \nLaura Parrish \nEddie Parsons \nKevin Parsons \nReema Patel \nDavid Patterson II \nKathleen Patton \nBen Paugh Timothy Ramsey \nCathy Raney \nWill Ratcliffe \nGerald Ratliff \nCharles Ratts \nHillary Raubach \nDavid Rauh \nChristopher Ray \nDavid Ray \nJoseph Raybon \nReid Reagan \nMike L. Reddick \nJerry Reel", + "page_start": 40, + "page_end": 40, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "FE!4 MODEL AT VARIOUS \nMACH NUMBERS \na-O0 pee \n\n\n\n\n\n\n\n\n\nM*1.2", + "page_start": 238, + "page_end": 238, + "source_file": "00-80T-80.pdf" + }, + { + "text": "**Growing in Areas of Expansion**\n\n\n\nthese, however, and repackaged the Quest to give people \n\ntheir most popular options. We’ve also made great strides \n\nin quality and on other aspects get it right. \n\nFor fiscal 2005 we have a volume growth target of 3.3 \n\npercent, but in the first three months of this period we were \n\nactually up by 18 percent! We launched a few new \n\nproducts at the end of the last year, so it’s probably not \n\nrealistic to expect that kind of volume for the whole year, \n\nbut it makes us very confident of reaching our target. \n\nWe won’t have any completely new products in fiscal \n\n2005. That means that, while we will have solid, enviable \n\ngrowth, it won’t translate into the spectacular numbers \n\nwe’ve had over the past four years. The Altima will continue \n\nto drive our growth—it’s in its fifth year, but still a \n\nremarkable performer. We’ve gotten a good boost in the \n\nmarket from the Pathfinder, which was relaunched last fall. \n\nWe also expect to make some inroads with the Frontier, \n\nwhich is outperforming its competitors—it’s clearly the best \n\ntruck in the mid-size truck segment. This is, however, a \n\n“We had a terrific year in \n\nNorth America; sales for \n\ncalendar year 2004 grew by \n\n24.7 percent, and that \n\ngrowth that came in a flat \n\nU.S. market. The auto \n\nindustry here only rose by \n\nabout 237,000 vehicles, \n\nwhile Nissan was up by \n\n191,000 cars. It was a strong \n\nJ E D C O N N E L L Y \nSenior Vice President \nNissan North America \nyear with a rich mix of \n\nproducts. The Altima \n\ncontinues to be a core car \n\nfor us, and our most important car in terms of volume. \n\nWe sell over 200,000 Altimas a year, at a rate of \n\n20,000 units per month—outstanding for a car so far \n\nalong in its lifecycle. The Infiniti has also been \n\nphenomenal over the past few years. The G35 sedan \n\nand coupe continue to be the icons of the brand, \n\ndriving both volume and profit. \n\nOur success always comes down to the product. \n\nWe had great products from top to bottom, \n\nthroughout the lineup and in both divisions. We were \n\nalso very intelligent, I believe, in the way we price our \n\nvehicles—very close to the transaction price, and with \n\nlimited reliance on incentives. That’s been our \n\nstrategy for four years, and it works. Customers \n\nunderstand that we provide a great product at a fair \n\nprice. The other key to our success has been a very \n\nconsistent marketing message. The SHIFT_campaign \n\nis consistent and has been in place for some time \n\nnow, and it’s starting to gain traction with the public. \n\nConsumers look at Nissan products and our \n\ndealerships and say, ‘Hey, something really is going \n\non at Nissan!’ \n\ndifficult segment at the moment. \n\nWe have a great opportunity to build on the strengths \n\nthat we’ve demonstrated in North America over the past \n\nfour years. We have solid growth, and we continue to \n\nestablish the Nissan brand. We have new models that \n\ncontinue to gain strength, such as the Murano, which has \n\ndone wonderful things for Nissan’s image in the market. On \n\nthe Infiniti side, we just launched the M45, the mid-size \n\nluxury sedan that competes with the BMW 5 series. In the \n\nfirst three months after its launch, the M45 is doing very \n\nwell. As we continue to establish Nissan brand recognition, \n\nwe also will continue to define Infiniti, because now we’re \n\nstrong with the M45, strong in the luxury crossover market \n\nwith the FX, and with the M we have a luxury sedan that \n\ncan compete with anything in its class. Infiniti is strong all \n\nacross the board. \n\nNot having a new product launch in fiscal year 2005 \n\nmight be seen as a risk, but the current models are strong \n\nand selling well, and we’ll have a host of new models in \n\n2006. Most of our risks in the coming year are from", + "page_start": 63, + "page_end": 63, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "2004 HIGHLIGHTS \n• Significant progress on new field developments: \n\n> Bayu-Undan and Minerva commenced production \n\n> John Brookes and Casino sanctioned \n\n> Mutineer-Exeter ahead of schedule and Bayu-Undan \n\nLNG construction on track \n\n> Oyong and Maleo progressed to imminent sanction. \n\n• Seven of sixteen exploration wells discovered hydrocarbons, \n\nincluding Jeruk. \n\n• Reserve replacement exceeded production for the third \n\nsuccessive year. \n\n• Indonesia established as a core area. \n\n• New country entry to Egypt. \n\n• Improved safety performance and first Sustainability \n\nReview released. \n\n**EARNINGS AND DIVIDENDS**\n**PER SHARE**\ncents \n\n70 \n\n60 \n**59**\n52 52 50 \n\n40 \n\n**33**\n30 \n30 30 \n\n20 \n\n10 \n\n0 \n’02 ’03 **’04**\nEarnings per share Ordinary dividend \n\n**PRODUCTION BY PRODUCT**\nmmboe \n\n70.0 \n\n57.3 \n60.0 \n54.2 \n**47.1**\n50.0 \n\n40.0 \n\n30.0 \n\n20.0 \n\n10.0 \n\n0.0 \n’02 ’03 **’04**\nSales gas & ethane Crude oil \nCondensate LPG \n\n**NET PROFIT AFTER TAX**\n$million \n\n**380**\n400 \n\n327 \n322 \n\n300 \n\n2005 AND BEYOND \n• New production to commence: \n\n> Mutineer-Exeter, John Brookes and Oyong in 2005 \n\n> Bayu-Undan LNG, Casino and Maleo in 2006. \n\n• Continuing high impact exploration program. \n\n• Follow-up on recent exploration success: \n\n> Jeruk early production potential \n\n> Hiu Aman, Hurricane and Martha appraisal. \n\n• Continued commercialisation of static gas resources. \n\n**OPERATING CASH FLOW**\n$million \n\n1,000 \n897 \n821 \n800 \n\n**605**\n600 \n\n400 \n\n200 \n\n0 \n’02 ’03 **’04**\n\n**SALES REVENUE**\n$million \n\n1,478 1,465**1,501**\n1,600 \n\n1,400 \n\n1,200 \n\n1,000 \n\n800 \n\n600 \n\n400 \n\n200 \n\n0 \n’02 ’03 **’04**\nSales gas & ethane Crude oil \nCondensate LPG \n\n**RETURN ON ORDINARY EQUITY**\n% \n\n70 25 \n**59**\n60 \n52 52 20 \n50 \n\n15 \n40 \n\n| | |\n|---|---|\n| | |\n| 3.1 | % |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| 3.1 | % |\n| | |\n\n\n30 \n10 \n\n20 \n\ne \nr \na \nh \ns \n10 \n\nr \ne \np \ns \nt \nn \ne \nc 0 \n**’04**\n\n**SAFETY PERFORMANCE**\nTRCFR (per million hours worked) \n\nSales ($million) \n\nOperating profit before tax ($million) \n\nCash flow from operations ($million) \n\nEarnings per share (cents) \n\nOrdinary dividends per share (cents) \n\nCash flow per share (cents) \n\nTotal shareholders’ funds ($million) \n\nReturn on average ordinary equity (%) \n\nReturn on average capital employed (%) \n\nNet debt/(net debt plus equity) (%) \n\nNet interest cover (times) \n\n**2004**\n\n**1,500.9**\n\n**540.8**\n\n**605.0**\n\n**58.6**\n\n**33**\n\n**103.4**\n\n**3,498.3**\n\n**13.1**\n\n**9.4**\n\n**24.4**\n\n**9.2**\n\n**FINANCIAL STRENGTH**\n$million \n\n1,400 10 45% \n9.0 \n1,163 \n**1,131**\n40% \n1,200 \n8 \n7.2 35% \n898 \n1,000 \n**6.4**\n30% \n6 \n800 \n25% \n\n| | |\n|---|---|\n| | |\n| 8.9 | % |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| 4. | 4% |\n| | |\n\n\n600 \n\n400 \n\n200 \n\n0 \n’02 \n\n3 Annual Report 2004", + "page_start": 4, + "page_end": 4, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "| Our growth strategy calls\nfor prudent and strategic\ndevelopment of our real\nestate assets to maximize\nshareholder value. | KÀTM by Cirque du Soleil® |\n|---|---|\n| Our growth strategy calls for prudent and strategic development of our real estate assets to maximize shareholder value. | KÀTM by Cirque du Soleil® |\n| ATLANTIC CITY LAND/BORGATA EXPANSION Our prime real estate in Atlantic City, in a location we defined as Renaissance Pointe, holds spectacular promise to expand MGM MIRAGE’s market presence on the East Coast. | |", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "OUR PROGRESS IN 2013 \nWe continued to make progress on our cost efficiency initiatives this \nyear, which contributed to a 3% increase in consolidated adjusted \noperating profit and a 6 basis point increase in our consolidated \nadjusted operating profit margin to 39.3%, driven mostly by Wireless \nand Cable. \n\nWe were also recognized for our networks: PCMag.com named us \nCanada’s fastest broadband Internet service provider*and*wireless \nnetwork in October 2013, and SamKnows stated through in-home \ntesting in May 2013, that we delivered, on average, 100% or more of \nour advertised download speeds on our most popular \nInternet \npackages, better than most providers they tested in the US and Europe. \n\nOUR PROGRESS IN 2013 \nWe expanded our wireless network by establishing key network sharing \nagreements to bring LTE to more customers at \nfaster speeds to \ncustomers in Manitoba, Quebec and the Ottawa region, and through \nour relationship with AT&T to become the first Canadian carrier to offer \nLTE roaming for customers travelling to the US. We also secured an \noption to buy Shaw’s Advanced Wireless Service (AWS) spectrum \nholdings. \n\n6. DRIVE FUTURE GROWTH OPPORTUNITIES \nContinue to develop targeted new growth areas of our business, \ncommunications, mobile \nincluding machine-to-machine \ncommerce and video, business communications services, \nlocal and \ndigital media services, home automation and sports. \n\n(M2M) \n\n3. EXPAND OUR SERVICES REACH \nExpand the reach of our networks and services \nthrough new \nconstruction and targeted acquisitions that complement our existing \nplatforms; by more widely deploying products and services; and by \nexpanding the reach of our key media brands nationally and across our \ndigital platforms. \n\nOUR PROGRESS IN 2013 \nWe made strides in the M2M market this year, demonstrating a single, \nworldwide SIM card with our M2M global alliance partners that will \ncustomers, and \nstrengthen our M2M offering to multinational \nannouncing an M2M agreement with Sprint to bring a comprehensive \nin-car infotainment solution to the Canadian market. We also certified \nthe Suretap wallet, our mobile payment service, for the Android and \nBlackBerry 10 operating smartphone systems. We received a licence to \noperate a bank for the purposes of launching a Rogers’ branded credit \ncard. In addition, we expanded our Rogers Smart Home Monitoring \nfootprint, and launched other initiatives such as Outrank, an online site \nfor marketing and advertising small business, introduced Rogers Alerts \nand other digital opportunities.", + "page_start": 35, + "page_end": 35, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "| P O I N T S I N T I M E | D E F I N I N G M O M E N T S O F M G M M I R A G E |\n|---|---|\n| P O I N T S I N T I M E | D E F I N I N G M O M E N T S O F M G M M I R A G E |\n| 19 96 THE NEW YORK-NEW YORK SKYLINE BECOMES 19 A TOWERING PRESENCE IN THE PORTFOLIO. 93 We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses. IT ALL BEGINS WITH MGM GRAND. MGM Grand, the largest hotel-casino in the world, opened to great fanfare. “The City of Entertainment” redefined the urban resort and provided the foundation for our company’s momentous growth. | |", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv5_ccby4license.pdf", + "query": "What is the average emission of a human being per year in terms of CO2eq ?", + "target_page": 3, + "target_passage": "the average human is responsible for an estimated 5t CO2e per year", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**21**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 16.**Difference in consecutive dry days between 2°C and 1.5°C global warming, for individual ensemble members and \nensemble mean. \n\n\n\n10 20 \n\nHadGEM2-ES", + "page_start": 20, + "page_end": 20, + "source_file": "pubmed11.pdf" + }, + { + "text": "**1 Introduction**\n\nThe Non-Annex I Inventory software (NAIIS) web application is a web-based tool developed for use by Parties not \nincluded in Annex I to the Convention (non-Annex I Parties) to estimate and report their national greenhouse gas \ninventories (GHG inventories). As per Article 4, paragraph 1 (a), and Article 12, paragraph 1 (a) of the Convention, \nnon-Annex I Parties are required to communicate to the Conference of the Parties a national inventory of \nanthropogenic emissions by sources and removals by sinks of all greenhouse gases (GHGs) not controlled by the \nMontreal Protocol, to the extent their capacities permit, following the guidelines contained in the annex to \ndecision17/CP.8. \n\nIn order to assist non-Annex I Parties in estimating and reporting their GHG inventories as part of their national \ncommunications, the secretariat developed an Excel-based software which incorporated all the elements of a national \nGHG inventory prescribed by decision 17/CP.8. The software was based on the IPCC inventory software version \n1.1, which used the Tier 1 methodologies for estimating GHG emissions and removals for all source categories \nincluded in the Revised 1996 IPCC Guidelines, and further complemented by the GPGs.1 \n\nSince its release in 2005, most non-Annex I Parties have been using that software for the development of their \nnational GHG inventories. In December 2011, Parties requested the secretariat to upgrade the software and make it \navailable to non-Annex I Parties by June 2013. Pursuant to that request, the secretariat converted the current Excel- \nbased version of the software (v.1.3.2)2 into a web-based application (NAIIS) which provides greater flexibility and \nsecurity for maintaining data. \n\n**2 General information**\n\nThe NAIIS is a web-based application designed to enable non-Annex I Parties estimate their national GHG \ninventories according to the UNFCCC guidelines and using the IPCC methodologies, and to report the results in their \nnational communications and biennial update reports. \n\n**2.1** **System overview**\n\nThe NAIIS web application has the following functionalities: \n\n1. User management (only for the user roles NFP and PM) \n2. Submission management \n3. Data entry \n4. Key category analysis \n5. Reporting tables \n6. Data Export/Import \n7. Completeness \n8. Consistency \n\nThe NAIIS web application allows input of data through three different channels: \n\n1. Manual input into the entry grids \n2. Partial or full import of data from Excel \n3. Bulk import of data from XML \n\nThe GHG emissions totals, by gas and by sector, are automatically calculated and saved based on the values \nentered for activity data (AD), emission factors and other relevant parameters. In addition, the software facilitates the \nreporting of other category specific information, for example, the choice of the method for activity data and emission \nfactors. \n\n1 Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories, 2000, and Good Practice Guidance for Land \nUse, Land‐Use Change and Forestry, 2003. \n2 http://unfccc.int/files/national_reports/non‐ \nannex_i_natcom/training_material/methodological_documents/application/zip/unfccc_nai_is_132.zip", + "page_start": 3, + "page_end": 3, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**11**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 4.**Simulated changes in the number of consecutive dry days relative to 1981–2010, at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\nGFDL- \nESM2M \n2.8 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.9 MIRC-ESM- \nCHEM \n2.4 ensemble \nmean \n2.6 ACCESS1-0 \n2.8 2.5 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\n**Table 5.**Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n2.1 \n\n20.1 \n−3.0 \n3.5 \n\n24.3 \n\n24.9 \n−3.4 \n6.9 29.0 \n−5.7 \n6.8 23.5 \n−2.0 \n6.0 25.0 \n−2.9 \n5.9 \n\n0.9 \n\n5.4 \n\n0.76 0.89 n.a. 0.38 0.38 0.61 \n\n0.83 0.82 n.a. 0.75 0.73 0.78 \n\n2.1 3.4 5.0 3.0 5.3 4.0 \n\n2.4 \n−2.0 \n\n6.5 8.1 4.4 8.6 5.8 \n\n3.8 11.2 8.0 9.4 5.9", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "**20**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n–2 –1 \n0 \n°C \n1 2 \n. \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \nMIROC-ESM-CHEM \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 14.**Difference in annual maximum daily maximum temperature between 2°C and 1.5°C global warming, for individual \nensemble members and ensemble mean. \n\nensemble mean \n\n\n\n**Figure 15.**Difference between 2°C and 1.5°C global warming for percentage of days with maximum temperature above 90th \npercentile of baseline, for individual ensemble members and ensemble mean. \n\npossible outcomes projected here, the differences between 2°C and 1.5°C are not always clear. The \ndifferences between 2°C and 1.5°C are not always in the same direction as the changes at 2°C; in \nthe Amazon, for example, the difference in flow between 2°C and 1.5°C varies from positive to \nnegative between ensemble members.", + "page_start": 19, + "page_end": 19, + "source_file": "pubmed11.pdf" + }, + { + "text": "**3.** **Emission factors**\n\n***a.**Ozone precursors and SO2 from oil refining –**Crude oil throughput***\n\nNOx = 0.06 \nCO = 0.09 \nNMVOC = 0.62 \nSO2 = 0.93 \n\n***b.**Ozone precursors and SO2 from oil refining –**Catalytic cracker throughput***\n\nNOx = 0.2 \nCO = 42.6 \nNMVOC = 0.6 \nSO2 = 1.5 \n\n*c. NMVOC emissions from storage and handling –**Crude oil throughput***\n\nSecondary seals = 0.2 \nPrimary seals = 0.7 \nFixed Roof = 4.9 \n\n*d. SO2 from Sulphur Recovery Plants –***139 kg/t**\n\n**4.** **CKD correction factor**= 1.02 \n\n**5.**\n\n**Methane Correction Factor (MCF)**\nManaged — 1.0 \nUnmanaged – deep (>= 5m) — 0.8 \nUnmanaged – shallow (< 5m) — 0.4 \nMethane Correction Factor — 0.6 \n\n**6.**\n**Inventory time period***(for Cropland remaining Cropland – Carbon stock change – Mineral soils)*= \n**20 years**", + "page_start": 49, + "page_end": 49, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**Annex 3: Global Warming Potentials (GWPs)**\n\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n|---|---|---|\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n| Carbon dioxide | CO 2 | 1 |\n| Methane | CH 4 | 21 |\n| Nitrous oxide | N O 2 | 310 |\n| HFC-23 | CHF 3 | 11,700 |\n| HFC-32 | CH F 2 2 | 650 |\n| HFC-41 | CH F 3 | 150 |\n| HFC-43-10mee | C H F 5 2 10 | 1,300 |\n| HFC-125 | C HF 2 5 | 2,800 |\n| HFC-134 | C H F 2 2 4 | 1,000 |\n| HFC-134a | CH FCF 2 3 | 1,300 |\n| HFC-152a | C H F 2 4 2 | 140 |\n| HFC-143 | C H F 2 3 3 | 300 |\n| HFC-143a | CF CH 3 3 | 3,800 |\n| HFC-227ea | C HF 3 7 | 2,900 |\n| HFC-236fa | C H F 3 2 6 | 6,300 |\n| HFC-254ca | C H F 3 3 5 | 560 |\n| Perfluoromethane | CF 4 | 6,500 |\n| Perfluroethane | C F 2 6 | 9,200 |\n| Perfluoropropape | C F 3 8 | 7,000 |\n| Perfluorobutane | C F 2 10 | 7,000 |\n| Perfluorocyclobutane | c-c F 4 8 | 8,700 |\n| Perfluoropentane | C F 5 12 | 7,500 |\n| Perfluorohexane | C F 6 14 | 7,400 |\n| Sulphur hexafluoride | SF 6 | 23,900 |\n\n\n*Source: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical*\n*Summary of the Working Group I Report, page 22.*\n\n*NAIIS-User-Manual.Docx* Page 48 07/08/2013", + "page_start": 47, + "page_end": 47, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "The figure below displays the relation between**major risks**and the**health outcome in DALYs**. The \nestimates of DALYS that are attributable to work vary between 6.8 million years (ICOH) and 4.4 million \nyears (WHO/ILO), both for the EU27. \n\n**Figure 26: Work-related DALYs – estimates by WHO/ILO and ICOH for the EU27**\n\nPutting the absolute numbers of WHO/ILO in relation to the EU27 population above 16 years this results \nin approximately**1,172 lost life years per 100,000 working-age population**(WHO/ILO). ICOH \ncalculates in absolute numbers 6.8 million lost life years for the labour force population, resulting**in**\n**3,364 DALYs per 100,000 labour force**. \n\nIt can be concluded that despite methodological differences the estimates**do not vary that much if the**\n**same reference population**is used in the calculation. Future research will contribute to a better \nattribution of the impact of work on these diseases.**In the future, relevant disease groups will be**\n**incorporated in these estimates**, that is, the impact of work on the prevalence of**mental diseases**\nand of communicable diseases caused by biological agents needs to be incorporated. \n\nThe next table shows the**difference between major occupational risk factors and deaths**at the \nEU27 level and the global level. At EU27 level asbestos-related cancers are clearly the most frequent \nreason for work-related deaths with nearly 60% of all cases; the two next main causes are COPD (15.9%) \nand CVD (12.3%). The global situation is quite different. CVD account for nearly 40%, COPD for 24% \nand injuries for 19%.", + "page_start": 83, + "page_end": 83, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public \ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how \nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter \nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing \nclimate discourses and discovered how these two discourses evolved. \n\nWe found that broad scientific, social, political, and international discussions are the topics \nof public climate discourse. Although the semantic difference between climate change and global \nwarming seems subtle, the differences in their cognitive associations are not trivial. Despite some \nshared concerns between the two discourses, “global warming” is more politicized and focuses more on \ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact \ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis \nrevealed that traditional political discussions decreased in both discourses but climate change started to \nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s \nassociations to extreme events and temperature change were suddenly strengthened around 2012. \nClimate change is becoming dominant compared with global warming in public discussions. Although \nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable \ndiscrepancy still exists in the way in which they get concepts associated. These observations may \nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between \ndiverse climate perceptions. \n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media \ndata rather than samples, discrepancies still exist between social media users and the public. As most \nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics \nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global \ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer \ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. \nConsidering the historical background of climate issues, age might influence how individuals perceive \nclimate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) \nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% \nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of \nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular. \nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute \nand supplement for polling [108], we thought our results should be further examined before being \ngeneralized to the whole population.", + "page_start": 15, + "page_end": 15, + "source_file": "pubmed10.pdf" + }, + { + "text": "**Figure 5.**The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to \n2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to \n2018 (**b**). \n\nAs the climate change and global warming discourses evolved over the past years, their relative \nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people \nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of \n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame \npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times \nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 \nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into \ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were \n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. \n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable \nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and \n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP \nanalysis showed that the associations between the two discourses were correlated in the 10-year period \n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals \nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did \nnot show a rising trend with the correlation of nodes’ rank order. \n\n**Figure 6.**Rank order correlation between hashtags in the climate change and global warming discourses \nfrom 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global \nwarming discourse from 2009 to 2018 (**b**). \n\n**5. Discussion**\n\n5.1. Themes and Structure of the Two Discourses \n\n5.1.1. Phenomenon vs. Mechanism of Action \n\nClimate change and global warming have long been two competing frameworks shaping the \npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed10.pdf" + }, + { + "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with \nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a \nrange of outcomes for future climate change, including high and low climate sensitivity, different \nbiases in baseline precipitation climatology, and different global patterns of precipitation change. \nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global \nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global \nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, \nwhich means that the results here may be sensitive to systematic errors arising from biases in the \npresent-day SST patterns. \n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 \nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol \nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse \ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv5_ccby4license.pdf", + "query": "How did the Black Lives Matter movement influence the writing of Wikipedia articles ?", + "target_page": 5, + "target_passage": " the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people in- creased in coverage and were generated with reduced latency", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Thus at each step, from initial participation in Internet fora, to \ncontinued presence there, to the collection and finally the filtering \nof training data, current practice privileges the hegemonic view- \npoint. In accepting large amounts of web text as ‘representative’ \nof ‘all’ of humanity we risk perpetuating dominant viewpoints, \nincreasing power imbalances, and further reifying inequality. We \ninstead propose practices that actively seek to include communities \nunderrepresented on the Internet. For instance, one can take inspi- \nration from movements to decolonize education by moving towards \noral histories due to the overrepresentation of colonial views in \ntext [35, 76, 127], and curate training datasets through a thoughtful \nprocess of deciding what to put in, rather than aiming solely for \nscale and trying haphazardly to weed out, post-hoc, flotsam deemed \n‘dangerous’, ‘unintelligible’, or ‘otherwise bad’. \n\n4.2 Static Data/Changing Social Views \nA central aspect of social movement formation involves using lan- \nguage strategically to destabilize dominant narratives and call at- \ntention to underrepresented social perspectives. Social movements \nproduce new norms, language, and ways of communicating. This \nadds challenges to the deployment of LMs, as methodologies re- \nliant on LMs run the risk of ‘value-lock’, where the LM-reliant \ntechnology reifies older, less-inclusive understandings. \n\nFor instance, the Black Lives Matter movement (BLM) influenced \nWikipedia article generation and editing such that, as the BLM \nmovement grew, articles covering shootings of Black people in- \ncreased in coverage and were generated with reduced latency [135]. \nImportantly, articles describing past shootings and incidents of po- \nlice brutality were created and updated as articles for new events \nwere created, reflecting how social movements make connections \nbetween events in time to form cohesive narratives [102]. More \ngenerally, Twyman et al. [135] highlight how social movements \nactively influence framings and reframings of minority narratives \n\n14Available at https://github.com/LDNOOBW/List-of-Dirty-Naughty-Obscene-and- \nOtherwise-Bad-Words/blob/master/en, accessed Jan 18, 2021 \n15This observation is due to William Agnew. \n\nThese demonstrations of biases learned by LMs are extremely \nvaluable in pointing out the potential for harm when such models \nare deployed, either in generating text or as components of classi- \nfication systems, as explored further in §6. However, they do not \nrepresent a methodology that can be used to exhaustively discover \nall such risks, for several reasons. \n\nFirst, model auditing techniques typically rely on automated \nsystems for measuring sentiment, toxicity, or novel metrics such \nas ‘regard’ to measure attitudes towards a specific demographic \ngroup [119]. But these systems themselves may not be reliable \n\n16https://commoncrawl.org/the-data/ \n17GPT-3’s training data is not openly available, but GPT-2’s training data was used \nindirectly to construct GPT-3’s [53].", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "most similar to the ones used in GPT-2’s training data, i.e. docu- \nments linked to from Reddit [25], plus Wikipedia and a collection \nof books. While this was reportedly effective at filtering out docu- \nments that previous work characterized as “unintelligible” [134], \nwhat is unmeasured (and thus unknown) is what else it filtered out. \nThe Colossal Clean Crawled Corpus [107], used to train a trillion \nparameter LM in [43], is cleaned, inter alia, by discarding any page \ncontaining one of a list of about 400 “Dirty, Naughty, Obscene or \nOtherwise Bad Words” [p.6].14 This list is overwhelmingly words \nrelated to sex, with a handful of racial slurs and words related to \nwhite supremacy (e.g. swastika, white power) included. While possi- \nbly effective at removing documents containing pornography (and \nthe associated problematic stereotypes encoded in the language of \nsuch sites [125]) and certain kinds of hate speech, this approach will \nalso undoubtedly attenuate, by suppressing such words as twink, \nthe influence of online spaces built by and for LGBTQ people.15 If \nwe filter out the discourse of marginalized populations, we fail to \nprovide training data that reclaims slurs and otherwise describes \nmarginalized identities in a positive light. \n\nin the type of online discourse that potentially forms the data that \nunderpins LMs. \n\nAn important caveat is that social movements which are poorly \ndocumented and which do not receive significant media attention \nwill not be captured at all. Media coverage can fail to cover protest \nevents and social movements [41, 96] and can distort events that \nchallenge state power [36]. This is exemplified by media outlets \nthat tend to ignore peaceful protest activity and instead focus on \ndramatic or violent events that make for good television but nearly \nalways result in critical coverage [81]. As a result, the data under- \npinning LMs stands to misrepresent social movements and dispro- \nportionately align with existing regimes of power. \n\nDeveloping and shifting frames stand to be learned in incomplete \nways or lost in the big-ness of data used to train large LMs — particu- \nlarly if the training data isn’t continually updated. Given the com- \npute costs alone of training large LMs, it likely isn’t feasible for \neven large corporations to fully retrain them frequently enough to \nkeep up with the kind of language change discussed here. Perhaps \nfine-tuning approaches could be used to retrain LMs, but here again, \nwhat would be required is thoughtful curation practices to find ap- \npropriate data to capture reframings and techniques for evaluating \nwhether such fine-tuning appropriately captures the ways in which \nnew framings contest hegemonic representations. \n\n4.3 Encoding Bias \nIt is well established by now that large LMs exhibit various kinds of \nbias, including stereotypical associations [11, 12, 69, 119, 156, 157], \nor negative sentiment towards specific groups [61]. Furthermore, \nwe see the effects of intersectionality [34], where BERT, ELMo, GPT \nand GPT-2 encode more bias against identities marginalized along \nmore than one dimension than would be expected based on just the \ncombination of the bias along each of the axes [54, 132]. Many of \nthese works conclude that these issues are a reflection of training \ndata characteristics. For instance, Hutchinson et al. find that BERT \nassociates phrases referencing persons with disabilities with more \nnegative sentiment words, and that gun violence, homelessness, \nand drug addiction are overrepresented in texts discussing mental \nillness [61]. Similarly, Gehman et al. show that models like GPT-3 \ntrained with at least 570GB of data derived mostly from Common \nCrawl16 can generate sentences with high toxicity scores even when \nprompted with non-toxic sentences [53]. Their investigation of GPT- \n2’s training data17 also finds 272K documents from unreliable news \nsites and 63K from banned subreddits.", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "52. \n\n53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol. \n\nHum. Serv.**2012**, 30, 160–185. [CrossRef] \n\n54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. Media Commun.**2016**, 4, 13. \n55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the \n6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27 \nAugust 2011. \n\n56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hernández, A.; Morris, M.R. Is anyone out there?: \nUnpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in \nComputing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758. \n\n57. Tsur, O.; Rappoport, A. What’s in a hashtag?: Content based prediction of the spread of ideas in microblogging \ncommunities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining, \nSeattle, WA, USA, 8–12 February 2012; pp. 643–652. \n\n58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption? \nIn Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012; \npp. 261–270. \n\n59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring \nInformation Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of \nMicroposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12. \n\n60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy \non twitter. In Between the Public and Private in Mobile Communication; Routledge: Abingdon, UK, 2017; \npp. 303–323. \n\n61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. Int. J. Press.**2013**, 18,", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed10.pdf" + }, + { + "text": "INTRODUCTION \n\n∗Joint first authors \n\n\n\nJust as environmental impact scales with model size, so does \nthe difficulty of understanding what is in the training data. In §4, \nwe discuss how large datasets based on texts from the Internet \noverrepresent hegemonic viewpoints and encode biases potentially \ndamaging to marginalized populations. In collecting ever larger \ndatasets we risk incurring documentation debt. We recommend \nmitigating these risks by budgeting for curation and documentation \nat the start of a project and only creating datasets as large as can \nbe sufficiently documented. \n\nAs argued by Bender and Koller [14], it is important to under- \nstand the limitations of LMs and put their success in context. This \nnot only helps reduce hype which can mislead the public and re- \nsearchers themselves regarding the capabilities of these LMs, but \nmight encourage new research directions that do not necessarily \ndepend on having larger LMs. As we discuss in §5, LMs are not \nperforming natural language understanding (NLU), and only have \nsuccess in tasks that can be approached by manipulating linguis- \ntic form [14]. Focusing on state-of-the-art results on leaderboards \nwithout encouraging deeper understanding of the mechanism by \nwhich they are achieved can cause misleading results as shown \n\nThis work is licensed under a Creative Commons Attribution International 4.0 License. \nFAccT ’21, March 3–10, 2021, Virtual Event, Canada \nACM ISBN 978-1-4503-8309-7/21/03. \nhttps://doi.org/10.1145/3442188.3445922", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were \nincluded in the discourse. Notably, the red node in the top right-hand corner named “2012” refers \nto the Maya prediction that the year 2012 would be the end of the world and that the world would \nbe destroyed by extreme natural events, and was linked to other climate hashtags for the first time \nin the graph exactly in 2012. The blue nodes included the political hashtags, such as “maga”, “ows”, \n“p2”, “tcot”, and “obama”. The involvement of political hashtags in the global warming discourse was \nsignificantly higher than that in the climate change discourse according to the comparison between \nFigure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, \nas shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in \nFigure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts \nand actions, where words describing global efforts, such as “ipcc”, “cop15”, and “un”, and words \nquestioning global warming, such as “hoax” and “fraud”, were both included. The associations \nbetween the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following \nyears. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of \nclimate issue, including words such as “ecology”, “ocean”, and “cleanenergy”. Associations between \nscientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious \nrising trend in dominating the theme of the global warming discourse, according to Figure 5.", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed10.pdf" + }, + { + "text": "conducted to reveal the interactions between public discourse and natural, scientific, social, or political \nevents. In particular, factors promoting public consensus and factors resulting in discourse discrepancy \nshould be further identified to help climate communicators narrow the public cognitive divergence \nabout the global climate issue. \n\n**Supplementary Materials:**The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1. \n\n**Author Contributions:**W.S. designed the study, collected the data, conducted the analysis, and wrote the article. \nH.F. offered suggestions to the part of temporal analysis. P.W. contributed to the hashtag co-occurrence part. C.C. \nhelped with the design of the study. J.X. contributed to the framing of the article and helped with the revision. \nAll authors have read and agreed to the published version of the manuscript. \n\n**Funding:**This work was supported in part by the National Key R&D Program of China (Grant No. \n2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and \nU1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High \nPerformance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and \nTechnology (Qingdao). \n\n**Conflicts of Interest:**The authors declare no conflict of interest. \n\n**Appendix A**\n\n#agw, short for anthropogenic global warming, indicating global warming is caused by \n\nhuman activities. \n\n#cdnpoli, short for Canadian politics \n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015. \n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018. \n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency \n\naiming at protecting environment. \n\n#gop, short for Grand Old Party, the Republican political party in the United States. \n#nyc, short for New York City \n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter. \n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global \n\nwarming by reducing greenhouse gas emissions. \n\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the \n\nUnited Nations General Assembly in 2015 and expected to be achieved in 2030. \n\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political \n\nstandpoints on Twitter. \n\n#un, short for the United Nations \n#us, short for the United States \n\n**References**\n\n1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci. \n\n2. \n\n3. \n\n4. \n\n5. \n\n6. \n\nPolicy Sustain. Dev.**2009**, 51, 12–23. [CrossRef] \nRoxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change \ndiscourse on social media during extreme weather events. Glob. Environ. Chang.**2019**, 54, 50–60. [CrossRef] \nSchuldt, J.P.; Konrath, S.H.; Schwarz, N. “Global warming” or “climate change”? Whether the planet is \nwarming depends on question wording. Public Opin. Q.**2011**, 75, 115–124. [CrossRef] \nVillar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter? \nClim. Chang.**2011**, 105, 1–12. [CrossRef] \nJang, S.M.; Hart, P.S. Polarized frames on “climate change” and “global warming” across countries and \nstates: Evidence from Twitter big data. Glob. Environ. Chang.**2015**, 32, 11–17. [CrossRef] \nUnited States Environmental Protection Agency. Climate Change: Basic Information. Available online: \nhttps://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on \n10 October 2019).", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed10.pdf" + }, + { + "text": "and framing effects. Psychon. Bull. Rev.**2003**, 10, 596–602. [CrossRef] \n\n26. Du, Y.R. Same events, different stories: Internet censorship in the Arab Spring seen from China. Journal. \n\n27. \n\n28. \n\nMass Commun. Q.**2016**, 93, 99–117. [CrossRef] \nSchuldt, J.P.; Roh, S. Media frames and cognitive accessibility: What do “global warming” and “climate \nchange” evoke in partisan minds? Environ. Commun.**2014**, 8, 529–548. [CrossRef] \nSonnett, J. Climates of risk: A field analysis of global climate change in US media discourse, 1997–2004. \nPublic Underst. Sci.**2010**, 19, 698–716. [CrossRef] \nJaspal, R.; Nerlich, B.; Van Vuuren, K. Embracing and resisting climate identities in the Australian press: \nSceptics, scientists and politics. Public Underst. Sci.**2016**, 25, 807–824. [CrossRef] [PubMed] \nShi, W.; Chen, C.; Xiong, J.; Fu, H. What Framework Promotes Saliency of Climate Change Issues on Online \nPublic Agenda: A Quantitative Study of Online Knowledge Community Quora. Sustainability**2019**, 11, 1619. \n[CrossRef] \n\n31. Gifford, R.; Comeau, L.A. Message framing influences perceived climate change competence, engagement, \n\nand behavioral intentions. Glob. Environ. Chang.**2011**, 21, 1301–1307. [CrossRef] \nJiang, H.; Qiang, M.; Zhang, D.; Wen, Q.; Xia, B.; An, N. Climate Change Communication in an Online Q&A \nCommunity: A Case Study of Quora. Sustainability**2018**, 10, 1509. \n\n32.", + "page_start": 17, + "page_end": 17, + "source_file": "pubmed10.pdf" + }, + { + "text": "5.1.3. Discourse Structure \n\nIn the discourse surrounding #climatechange, “environment”, “energy”, and “global action” \nrepresented the themes of the three largest clusters in the network. However, three popularly recurring \nhashtags, “#environment”, “#energy”, and “#climateaction”, did not belong to any of the three clusters \nabove, but formed another small tight cluster together, sitting in the most central part of the semantic \nnetwork, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of \nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by \n#climatechange users to address all three communities together [91], consolidating climate change as \na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags’ \nfunction of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed10.pdf" + }, + { + "text": "issues and re-constructing them differently. By comparing the persistent words used related to the two \ndiscourses in the 10-year period in Table 2, we think that global warming showed a relative preference \ntoward general descriptions or slogans, such as “earth” and “pollution”, whereas “climate change” \nwas more associated to specific issues like “solar”, “coal”, “china”, and “food”. \n\nStudies have suggested that the public shows a preference for scientific publications with general \nkeywords compared with those with complicated scientific jargon [47], lacking a deep understanding of \nthe complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions \nseem to suit global warming more than climate change according to the current study, which is \nprobably because climate change receives more publicity and recognition than global warming in the \nscientific community. In the association network shown in Figure 2, global warming was found to be \nmore connected with temperature abnormalities. This finding is in accordance with studies reporting \nthat short-term temperature anomalies [87] can increase the public’s belief about global warming by \nincreasing the understanding of this abstract issue [88], although scientists mostly make judgments \nbased on long-term weather statistics [89]. However, none of the four words, “snow”, “summer”, \n“winter”, or “heatwave” in the temperature theme of global warming were ranked in the top 50 nodes \nlist of the climate change network. \n\nEven when climate change and global warming shared concern about similar topics such as the \ncause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas \nclimate change preferred a more in-depth perspective, highlighting the importance of global action \nto mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to \ncarbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long \nbeen regarded as two key reasons for low climate concern [90], the two terminologies’ differences \nin connotations suggest that introducing these absent sub-topics into global warming discourse or \nhighlighting climate change for its inherent connotations may help communicators raise public concern \nabout climate. \n\n5.1.2. Political Connotations \n\nStudies noted that frame preference between climate change and global warming reflects \nindividuals’ ideological spectrum, where climate change and global warming were favored by \nthe liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the \ncurrent study demonstrated that global warming triggered far more political responses than climate \nchange. The second largest cluster of global warming was politics-based, where hashtag “tcot”, favored \nby right-leaning users and “p2”, favored by left-leaning users, were both ranked in the list of top nodes \nof the global warming discourse, but neither was included in the list of top nodes of the climate change \ndiscourse. Considering that earlier findings suggested that global warming was more likely to be used \nby conservatives to question the reality of climate issue [11] and climate change is more commonly \nadopted when discussing action against the climate change issue [5], global warming had a stronger \npolitical connotation in public discussion. \n\n5.1.3. Discourse Structure", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed10.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2648.pdf", + "query": "Concerning electrolyte solutions, what assumption makes the primitive model (PM) regarding ions?", + "target_page": 1, + "target_passage": "simple phenomenological models such as the primitive model (PM), for which the ions are assimi- lated to charged hard spheres", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Models of electrolyte solutions from molecular descriptions: The example of NaCl \nsolutions \n\nJohn Jairo Molina1,2,3,∗ Jean-Fran¸cois Dufrˆeche1,2,3,† Mathieu \nSalanne1,2, Olivier Bernard1,2, Marie Jardat1,2, and Pierre Turq1,2 \n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France \n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France \n3 Institut de Chimie S´eparative de Marcoule (ICSM), \nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule, \nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France \n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom \ndescriptions; providing analytical expressions of the thermodynamic and structural properties of \nthe ions consistent with the underlying explicit solvent representation. Effective potentials between \nions in solution are calculated to perform perturbation theory calculations, in order to derive the \nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions \nyields excellent agreement with the all-atom model, provided ion association is taken into account. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\nSince the pioneering works of Debye, H¨uckel, and \nOnsager, electrolyte solutions have been commonly \ndescribed by continuous solvent models, \nfor which \nthe McMillan-Mayer theory [1] provides a rigorous \nstatistical-mechanical foundation. Within that level of \ndescription, simple phenomenological models such as the \nprimitive model (PM), for which the ions are assimi- \nlated to charged hard spheres [2], can lead to explicit \nformulas for the thermodynamic and structural proper- \nties (e.g., with the help of the mean spherical approxima- \ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These \nmodels are the most practical to use [5], since they allow \nfor a direct link between the experimental measurements \nand the microscopic parameters of the system. Never- \ntheless, they ignore the molecular structure of the sol- \nvent. Consequently, they cannot properly account for \nthe complex specific effects of the ions, which appear in \nnumerous biological, chemical, and physical interfacial \nphenomena [6, 7], without further developments. \n\nmolecular dynamics (MD) results. Different approxima- \ntions of the PM are employed for the case of NaCl elec- \ntrolyte solutions: a two component model (MSA2), that \nonly takes free ions into account, and two different three \ncomponent models (MSA3 and BIMSA3), which include \na third species (the contact ion pair). As we proceed \nto show, LPT allows us to select the best simple model \nwhich accurately accounts for the thermodynamics and \nthe physical-chemistry of the system. \n\nThe first stage consists in calculating the McMillan- \nMayer effective ion-ion interaction potentials V eff \nij (r), by \ninverting the radial distribution functions (RDF) gij(r) \nobtained by MD. The simulations were carried out on \na box of 2000 water molecules and 48 NaCl pairs us- \ning the same interaction potentials as in reference [16]. \n1. \nThis setup corresponds to a concentration of 0.64 mol l− \nNPT ensemble sampling at standard pressure and tem- \nperature was enforced, with a time step of 1 fs and a \npressure bath coupling constant of 1 ps. An equilibration \nrun of 0.25 ns was followed by a production run of 0.6 ns \nfor five different initial configurations. The averages of \nthe resulting RDF were then used for the potential inver- \nsion via the HNC closure [15]. These effective potentials \nare assumed to be concentration independent and will be \nused for simulations at all concentrations. \n\n] \nh \np \n- \nm \ne \nh \nc \n. \ns \nc \ni \ns \ny \nh \np \n[ \n\n1 \nv \n8 \n4 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2648.pdf" + }, + { + "text": "For a system of charged particles in solution, the nat- \nural reference is the PM, defined in terms of the charge \nand diameter (σi) of each species. In this case, the per- \nturbing potentials are just the short-range effective po- \ntentials computed above (∆Vij = V SR \nij ). We use the \nMSA [3] solution to the PM, since it provides analyti- \ncal expressions for both the free energy and the RDF. \nThe perturbation term is evaluated using an exponential \napproximation to the RDF obtained within the MSA, \ng(r) = exp [gMSA(r) − 1], which removes any unphysical \nnegative regions and improves the comparison with HNC \ncalculations. \n\nTo overcome this difficulty, we have explicitly intro- \nduced the CIP in our model (species 3). Straightforward \ncalculations, based on a characteristic-function formal- \nism, allow us to define an equivalent model in which \nthe free ions and the CIP are explicitly taken into ac- \ncount [19, 20]. We apply this formalism by defining a \npair as an anion and a cation at a distance less than \n4 ˚A, which corresponds to the position of the effective \npotential maximum. The interaction between free, like \ncharges in this new system remains unchanged, and the \ncation-anion interactions are easily approximated by ex-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "] \nh \np \n- \nm \ne \nh \nc \n. \ns \nc \ni \ns \ny \nh \np \n[ \n\n1 \nv \n8 \n4 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nAn alternative procedure consists in carrying out \nmolecular simulations, where both the solvent and solute \nare treated explicitly. After a rigorous averaging over \nthe solvent configurations, a coarse-grained description \nof the ions, which still includes the effect of the solvent \nstructure, can be obtained [8–11]. However, this set of \nmethods is purely numeric; they do not provide any an- \nalytical expression for thermodynamic quantities. They \nare therefore restricted to simple geometries [12, 13] (bulk \nsolutions or planar interfaces). The description of com- \nplex systems, such as porous or electrochemical materi- \nals, is still based on continuous solvent models [14]. \n\nIn this letter we present a method aimed at bridging \nthe gap between analytical and numerical approaches. It \nis based on the application of liquid perturbation theory \n(LPT) [15] to effective ion-ion potentials extracted from \n\nSubtracting \nlong-range Coulombic potential \nV LR \nij (r) (which depends on the dielectric constant of the \nsolvent) from V eff \nij (r), we obtain the short-range contri- \nbution V SR \nij (r) to the effective potentials. These are given \nin Fig. 1 (species 1 and 2 refer to Na+ and Cl− free ions, \nrespectively). All the short-range potentials exhibit os- \ncillations corresponding to the solvent layering between \nthe ions, but this effect is particularly important for the \ncation-anion interaction: a considerable potential barrier \n(& 2kBT ) separates the first two attractive wells. To \nserve as a reference, Monte Carlo (MC) simulations were \nperformed with these effective potentials; a comparison \nbetween MD and MC RDF is also provided in Fig. 1. The \nexcellent agreement between both sets of RDF validates \nthe HNC inversion procedure [17], and allows us to com- \n\nthe", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2648.pdf" + }, + { + "text": "4 \n\nof the BIMSA3 appears to be negligible compared to the \n1. The \nreference term for concentrations less than 1 mol l− \nperturbation can then be omitted to obtain a fully ana- \nlytical theory, determined by the hard sphere diameters \nand the pair fraction given by LPT; with the free energy \nand the RDF given in terms of the BIMSA and MSA so- \nlutions, as described above. While the procedure we have \nfollowed uses two different approximations for the refer- \nence and perturbation terms (MSA vs BIMSA), these are \nknown to be accurate for the systems under consideration \nand do not appear to be inconsistent with each other. \n\nTo conclude, we have combined MD simulations with \nLPT to construct simple models of electrolyte solutions \nwhich account for the molecular nature of the solvent. \nThe final result is fully analytical and it yields the ther- \nmodynamic and structural properties of the solution, in \nagreement with the original molecular description. The \nmethodology can in principle be adapted to any molecu- \nlar description of the system (MD simulations involving \ninteraction potentials accounting for polarization effects \nor Car-Parrinello MD simulations for example) as long \nas the ion-ion RDF are known. It can also be generalized \nto study interfaces. The method appears to be a promis- \ning approach toward the description of the specific effects \nof ions, especially for complex systems whose modeling \nrequires an analytic solution. \n\n8 \n\nFIG. 5: (Color online) RDF obtained from MC simulations \n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) \nat two concentrations. \n\nThe RDF obtained within BIMSA3 are compared with \nthe MC and MSA-fit results in Fig. 5. Our BIMSA3 \nmodel accounts for the strong molecular peak of the CIP \nand provides the correct distances of minimal approach; \nwhereas the naive MSA-fit procedure ignores the former \nand gives poor estimates for the latter. At larger sep- \narations, the BIMSA3 results do not reproduce the os- \ncillations observed in the MC simulations, but the cor- \nresponding energy oscillations in the effective potentials \nIn addition, the perturbation term \nare less than kBT . \n\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 \n276 (1945). (2007). \n\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical \nChemistry of Electrolyte Solutions (Springer, 1998). \n[3] L. Blum, in Theoretical Chemistry: Advances and Per- \nspectives, edited by H. Eyring and D. Henderson (Aca- \ndemic Press, 1980), vol. 5, pp. 1–66. \n\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. \nLett. 100, 258105 (2008). \n\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009). \n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq- \n\nuids (Academic Press, 1986). \n\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995). \n[5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005). \n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 \n\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. \nSoc. London, Ser. A 359, 1545 (2001). \n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, \n(2006). 041202 (2002). \n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. \nColloid Interface Sci. 9, 1 (2004). \n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. \n96, 147801 (2006). \n\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo- \ndynamic and Transport Properties, vol. I-II (Coimbra Ed- \nitora, Lisbon, Portugal, 1984). \n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, \n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 333 (1984). \n(2009). [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. \n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, Phys. 101, 1741 (2003). \n10878 (2006) [21] The average contact distance between a symmetric \n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, dumbbell and an infinite plane at β = 0. \n3730 (1995).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2648.pdf" + }, + { + "text": "-0.5 \n) \n1 \n- \nPair Fraction \nL \n\n. \nl \no \nm \n-1 \n( \n0.2 \nx \ne \nv \nf \nβ \n0.1 \n\n-1.5 \n0 1 0.5 \n\n| (a)\nβV~SR(r)\n12\nβVSR(r)\n12 | (d)\nβV~SR(r)\n33 |\n|---|---|\n| (a) βV~SR(r) 12 βVSR(r) 12 | (d) βV~SR(r) 33 |\n| (b) βV~SR(r) 13 | (c) βV~SR(r) 23 |\n\n\n3 \n\n2 \n\n1 \n\n0 \n\n3 \n\n2 \n\n1 \n\n0 \n\n4 8 4 8 6 10 6 10 \nr (Å) \n\nFIG. 3: Effective pair potentials derived for MSA3 and \nBIMSA3. (a) Cation anion (dashed line: without taking the \npair into account), (b) pair cation, (c) pair anion, and (d) pair \npair. The internal potential of the pair β eVint(r) is set equal \nto βV eff ij (r) for distances less than 4 ˚A. \n\n0 0.5 \n1/2 \nc \n\n(Color online) Excess free-energy density βf ex \nv \n\nFIG. 4: \nas \na function of the square root of the concentration √c. (dia- \nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, \n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The \ninset gives the fraction of pairs (MSA3, BIMSA3) as a func- \ntion of √c. \n\ntrapolating the original potential at the barrier separat- \ning pairs from free ions (as shown in Fig. 3). We assume \nthat the interaction potential is averaged over the rota- \ntional degrees of freedom of the CIP and thus pairwise \nadditive. Hereafter, the quantities referring to such a \nthree-component model are written with a tilda symbol. \nThe short-range potentials involving the pair can be de- \nrived, in the infinite dilution limit, from an average of \nthe contributing ion interactions. In Fourier space, \n\n3i (k) = \nV SR \n33 (k) = \nV SR \ne \ne \nwhere \n\n(k), \nw(k/2) \n1i + V SR \nV SR \n2i \n(cid:3) \n(cid:2) \nw(k/2)2 \n22 + 2V SR \n11 + V SR \nV SR \ne \n12 \n(cid:2) \ni = 1, 2 \n(k) \n\n(2a) \n\n(2b) \n(cid:3) \ne \nw(r) is the pair probability distribution \n\ne \nw(r) = K − \nβ eVint(r) \n1 \n0 e− \n(2c) \n\ne \n\nVint(r) is the internal part of the pair potential (see \nFig. 3), and K0 is the association constant, defined as: \ne \n\nwe have no additional information, we consider only sym- \nmetric dumbbells. Furthermore, since analytic expres- \nsions for the RDF within BIMSA are not known, we ap- \nproximate the dumbbell as a hard sphere when comput- \ning the perturbation term (this is not necessary for the \nreference term, since an expression for the free energy \nis available). Let \nσc be the diameter of the cation (an- \nion) within the dumbbell, the diameter of the hard sphere \ne \nσc[21]. \nrepresenting this dumbbell is taken to be \nthree- \ne \ncomponent MSA3 and BIMSA3, we obtain results in \nmuch better agreement with the MC simulations, as \nshown in Fig. 4. The diameters obtained for species 1, \n2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, \n4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are \nsimilar for MSA2, MSA3, and BIMSA3. The pair diam- \neter is smaller when modeled as a hard sphere (MSA3) \nthan when modeled as a dumbbell (BIMSA3). At high \n1), the MSA3 overestimates \nconcentration (about 1 mol l− \nthe free energy, because the excluded volume repulsion \nbecomes too important for the pairs to be represented as \nhard spheres. The BIMSA3 model is the closest to the \nMC simulation results. It is worth noting that even at \nthe lowest concentration considered, the fraction of pairs \n(shown in the insert of Fig. 4), although less then 5%, \nhas a non-negligible effect on the thermodynamics of the \nsystem. \n\nσ3 = 4√2 \nπ \nthe Using these two reference \nsystems, \ne \n\nw(k) (1 − δij ) + \nρ3 \nw(k/2) \ng3j \nρj \ng3i + \nρi \nρ3 \ne \ne \ne \ne \n(cid:2) \nw(k/2)]2 \ng33(k) \nρ 2 \n3 [ \ne \ne \ne \ne \ne \ngij(k) \n(k) \ne \n(cid:3) \n\nρi ρj \n\ne \n\nβ eVint(r) = 0.43 L.mol− \n∞ \n1 \ndr 4πr2e− K0 = (3) \nZ \n0 \n\nThe excess free-energy density of the original system \nf ex \nv plus a \nβf ex \nv \ncorrection term \nis that of the three component mixture β \n\ne \n\nThis procedure also provides an accurate description of \nthe structure over the whole range of concentrations. A \ndevelopment similar to the one that leads to Eq. (2) de- \nrives the average unpaired RDF from the corresponding \npaired quantities: \n\nβf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "1.3 8 \n\n| (a) MC\nMSA2\nDHLL\nExp | |\n|---|---|\n| (a) MC MSA2 DHLL Exp | |\n| (b) σ(MSA-fit) 1 σ(MSA-fit) | |\n| | σ(MSA-fit) 1 σ(MSA-fit) |\n| | 2 σ(MSA2) 1 σ(MSA2) 2 |\n| | |\n\n\n1.2 \n6 MC \ng12 \n(r) \n1.1 \n4 \nΦ MD \ng12 \n(r) \n1 \n2 \n0.9 \n\n5 \n) \nÅ \n4 \n( \nσ \n3 \n\n0 1 0.5 1.5 \n1/2 -1 \n1/2 \n) c (mol.L \n\nFIG. 1: Effective McMillan-Mayer short-range pair potentials \nextracted from explicit solvent simulations using the HNC \nclosure. (a) Cation anion, (b) cation cation, (c) anion anion, \n(d) cation anion RDF obtained from explicit solvent MD and \nimplicit solvent MC simulations. \nFIG. 2: \n(Color online) (a) Osmotic coefficient Φ in the \nMcMillan-Mayer frame of reference. (diamond) MC simula- \ntions, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law \n(DHLL), (cross) experiments (Ref. [18] with the McMillan- \nMayer to Lewis Randall conversion). (b) Minimization diam- \neters. (dot dashed) MSA2 and (diamond) MSA-fit. \n\npute all ion thermodynamic properties through implicit \nsolvent MC simulations. \n\nThe second stage of our coarse-graining procedure con- \nsists in applying LPT, in order to deduce the best ana- \nlytical model of electrolyte solutions which reproduces \nthis molecular description. The principle of LPT is to \ndescribe the properties of a given system in terms of \nthose of a well known reference system, with the differ- \nence between them treated as a perturbation in the ref- \nerence potential. Assuming pairwise additive potentials, \nVij = V (0) \nij + ∆Vij , a first-order truncated expression for \nthe free energy density of the system βfv is obtained, \n\n1 \n2 \ndr g(0) \nij (r)∆Vij (r) \n(1) \nXi,j \n\nWe first used LPT for a two-component system (Na+ \nand Cl− free ions) within the MSA (model MSA2), for \n1. The mini- \nconcentrations ranging from 0.1 to 2.0 mol l− \nmization leads to almost constant diameters on the whole \nrange of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. \nAs shown in Fig. 2, these parameters yield osmotic co- \nefficients close to MC calculations only at very low con- \n1 (experimental values are \ncentration, i.e., c ≤ 0.1 mol l− \ngiven for indicative purposes only, since a perfect model \nwill exactly match the MC results). For molar solutions, \nthe LPT results differ considerably from MC calculations. \nThis discrepancy can easily be understood by comparing \nthe diameters found within the MSA2 calculation with \nthe effective potentials given in Fig. 1. The anion/cation \ncontact distance obtained within the MSA2 calculation \nis 4.2 ˚A, which is in the region of the second minimum of \nthe effective potential and corresponds to the situation \nwhere there is a single layer of water molecules between \nthe ions. The first minimum of the potential, which cor- \nresponds to the contact ion pair (CIP) is thus completely \nignored by the MSA2 calculation. If the MSA diameters \nare directly fitted to reproduce the MC osmotic pres- \nsure, much smaller values are obtained. These MSA-fit \nhydrated diameters, which are compared to the MSA2 \ndiameters in the bottom part of Fig. 2, are averages of \nthe CIP and the solvent-separated ion pair. \n\nwhich depends only on the free-energy density f (0) \nand \nv \nRDF g(0) of the reference fluid, with β = (kBT )− \n1 and \nρi the concentration of species i. The Gibbs-Bogoliubov \ninequality [15] ensures that the right-hand side of Eq. (1) \nis actually a strict upper bound. Once a reference system \nhas been chosen, the expression on the right-hand side of \nEq. (1) must be minimized with respect to the parameters \ndefining the reference. This procedure yields the best \nfirst-order approximation to the free energy of the system \nunder consideration.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How- \n\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains \n\nthe free energy functional for a continuous system \n\n(cid:90) \n(cid:104) \ndr \n(cid:105) \n\nεll \n2 εnn \n2 \n(∇ρl)2 + (∇ρn)2 + εnl(∇ρn) · (∇ρl) − µρl F [ρl, ρn] = f (ρl, ρn) + \n, (4) \n\nwhere \n\nf (ρl, ρn) = kT [ρl ln ρl + (1 − ρl) ln(1 − ρl)] \n\n+ kT [ρn ln ρn + (1 − ρn) ln(1 − ρn)] \n\n− 2εllρ2 \nl − 2εnnρ2 n − 4εnlρnρl. \n(5) \n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) \n\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from \n\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a \n\ngradient expansion of the free energy functional of a continuous system [84]. However, here we \n\nhave made the mapping from the free energy of the lattice KMC system. \n\nThe chemical potential for the nanoparticles may be determined from the functional derivative \n\nµn = δF [ρn, ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary \n\nspatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the \n\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current \n\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of \n\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the \n\nfollowing evolution equation for the nanoparticle density profile \n\n(cid:20) \nMnρn∇ \n\n(cid:21) \n\n∂ρn \n∂t \nδF [ρn, ρl] \nδρn \n= ∇ · . (6) \n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have \n\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − \n\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value \n\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that \n\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a \n\nmobility coefficient α when ρl is high (wet substrate). \n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate \n\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may \n\n15", + "page_start": 14, + "page_end": 14, + "source_file": "1001.2669.pdf" + }, + { + "text": "8 \n\nBCSI model. However, before that, we show in Figs 10- \n12 the conductivities and the optical integrals for the \noriginal MFLI model. \n\nConductivities (Original MFLI) \n\nNS \n0.2 \nSC \n\n∆+ω \n1 \n) \n\nω \n( \nσ 0.1 \n\n0.2 \n0.4 \nω \nc \n0.6 \n in eV \n0.8 \n\nFIG. 9: ∆W vs the cut-off for the EB model. It remains neg- \native for larger cut-offs. Parameters are the same as before. \nThe dot indicates the value of ∆W ( ) = ∆WK \n∞ \n\nof the lattice (the dashed line in Fig. 9). \n\nFor their analysis of the optical integral, Norman and \nP´epin30 introduced a phenomenological model for the self \nenergy which fits normal state scattering rate measure- \nments by ARPES41. \n(ω) out \nof two contributions - impurity scattering and electron- \nelectron scattering which they approximated phenomeno- \nlogically by the marginal Fermi liquid form of αω at small \nfrequencies6 (MFLI model). The total Σ \n\n120 \n0 ′′ \nIt constructs the NS Σ \n\nFIG. 10: Top –the conductivities in the NS and SCS in the \noriginal MFLI model of Ref.30. We set Γ = 70 meV , α = 0.75, \n∆ = 32 meV , ω1 = 71 meV . Note that σ \n(ω) in the SCS \nbegins at Ω = ∆ + ω1. Bottom – the behavior of WK with Γ. \nis \n\nω \nωsat (cid:19) \nwhere ωsat is about ∼ 1 \n2 of the bandwidth, and f (x) ≈ 1 \nfor x < 1 and decreases for x > 1. In Ref 30 f (x) was \nassumed to scale as 1/x at large x such that Σ′′ is flat at \nlarge ω. The real part of Σ(ω) is obtained from Kramers- \nKr¨onig relations. For the superconducting state, they \nobtained Σ \nby cutting off the NS expression on the lower \nend at some frequency ω1 (the analog of ω0 + ∆ that we \nhad for EB model): \n\nIn Fig 10 we plot the conductivities in the NS and the \nSCS and Kubo sums WK vs Γ at α = 0.75 showing that \nthe spectral weight in the SCS is indeed larger than in the \nNS. In Fig 11 we show the behavior of the optical sums \nW (ωc) in NS and SCS. The observation here is that only \n∼ 75−80% of the Kubo sum is recovered up to the scale of \nthe bandwidth implying that there is indeed a significant \nspectral weight well beyond the bandwidth. And in Fig \n12 we show the behavior of ∆W (wc). We see that it does \nnot change sign and remain positive at all ωc, very much \nunlike the BCS case. Comparing the behavior of W (wc) \nwith and without a lattice (solid and dashed lines in Fig. \n12) we see that the ‘finite bandwidth effect’ just shifts the \ncurve in the positive direction. We also see that the solid \nline flattens above roughly half of the bandwidth, i.e., at \nthese frequencies ∆W (ωc) ≈ ∆WK. Still, we found that \n∆W continues going down even above the bandwidth \nand truly saturates only at about 2 eV (not shown in the \nfigure) supporting the idea that there is ‘more’ left to \nrecover from higher frequencies. \n\n′′ \n\nwhich fits \nwhere Θ(x) is the step function. In reality, Σ \nARPES in the NS has some angular dependence along the \nFermi surface42, but this was ignored for simplicity. This \nmodel had gained a lot of attention as it predicted the \noptical sum in the SCS to be larger than in the NS, i.e., \n∆W > 0 at large frequencies. This would be consistent \nwith the experimental findings in Refs. 8,9 if, indeed, one \nidentifies ∆W measured up to 1eV with ∆WK . \n\nThe rationale for ∆WK > 0 in the original MFLI \nmodel has been provided in Ref. 30. They argued that \nthis is closely linked to the absence of quasiparticle peaks \nin the NS and their restoration in the SCS state because \nthe phase space for quasiparticle scattering at low ener- \ngies is smaller in a superconductor than in a normal state. We will show below that the sign of ∆W in the MFLI \nmodel actually depends on how the normal state results \nare extended to the superconducting state and, moreover, \nwill argue that ∆WK is actually negative if the extension \nis done such that at α = 0 the results are consistent with", + "page_start": 7, + "page_end": 7, + "source_file": "1001.0764.pdf" + }, + { + "text": "βf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne \n\nwhich is due to the change in standard chemical potential \nbetween the two component and three component mod- \nels. It should be noted that the fraction of pairs is now an \nadditional parameter in the minimization scheme, which \nserves to ensure chemical equilibrium. Within this rep- \nresentation, the pair can be modeled as a hard sphere \n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since \n\ne e e", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "| | |\n|---|---|\n| | |\n| J 1 | |\n\n\n*J*\n*2*\n*z*\n\n*y*\n*J*\n*0*\n\n*x*\n\nFIG. 1: (colors online) (a): body-centered tetragonal (BCT) \nlattice with J0 in-plane coupling constant, and out-of-plane \nJ1, and J2 competing interactions. \n\n~Si are classical planar unit vectors representing the di- \nrection of the total angular momentum of the magnetic \nions, whose magnitude \nj(j + 1) (j = 8 for Holmium \nions) is already encompassed within the definition of the \ninteraction constants J0,1,2. As sketched in Fig. 1, the \nmagnetic ions are located on the sites of a body-centered \ntetragonal (BCT) lattice; the first sum appearing in the \nHamiltonian describes the in-plane (xy) nearest neigh- \nbor (NN) interaction, which is taken ferromagnetic (FM), \nwith exchange strength J0 > 0; the second sum rep- \nresents the coupling, of exchange strength J1, between \nspins belonging to nearest neighbor (NN) planes along \nthe z-direction (which we will assume to coincide with \nthe film growth direction); finally, the third sum takes \ninto account the interaction, of exchange strength J2, be- \ntween spins lying on next-nearest neighbor (NNN) planes \nalong z. In order to have frustration, giving rise to non- \ncollinear order along z in the bulk, NN interaction J1 \ncan be taken both ferro- or antiferromagnetic, but NNN \ncoupling J2 has necessarily to be antiferromagnetic, and \nthe condition |J2| > |J1|/4 must be fulfilled. Such simpli- \nfied Hamiltonian was already employed to simulate he- \nlical ordering in bulk systems by Diep1,17 and Loison18. \nIn the bulk limit, the state of minimal energy of a sys- \ntem described by Eq.(1) corresponds to a helical arrange- \nment of spins. The ground state energy per spin is equal \nto eg(Qz) = [−4J0 − 2J1 (4 cos (Qzc′) + δ cos (2Qzc′))] \nis the distance between NN layers, δ = J2 \nwhere c′ \nJ1 , \nand Qzc′ = arccos \nis the angle between spins ly- \ning on adjacent planes along the z-direction. The ob- \nserved helical arrangement in bulk holmium corresponds \nto Qzc′ ≃ 30.5◦10: \nsuch value can be obtained from \nthe formula above with the set of coupling constants \nJ0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have \nemployed in our simulations. The given values for the ex- \nchange constants are the same already used by Weschke \net al. \nin Ref. 13 to interpret experimental data on \nHolmium films on the basis of a J1 − J2 model, after \na proper scaling by the numbers of NN and NNN on \nneighboring layers of a BCT lattice. \n\np \n\nbe achieved with different number of interacting layers: \nnotably, nearest and next-nearest layers competitive in- \nteractions are enough to get a helical structure with a \nwhatever pitch wavevector. Such observation gives us a \npossible way to solve the conundrum previously emerged, \nas we have the possibility of varying the range of inter- \nactions without modifying the helical pitch, thus decou- \npling the two relevant length scales along the film growth \ndirection, and making accessible a range of n of the or- \nder of, or smaller than, the helical pitch, but still large \nenough that a substantial number of layers can behave \nas “bulk” layers. Therefore, while in the previous papers \nwe have studied the properties of ultrathin magnetic films \nof Ho assuming a model with six interlayer exchange in- \nteractions, here we investigate by MC simulations the \nproperties of the same system by making use of the sim- \nplest model Hamiltonian able to describe the onset of a \nhelical magnetic order in Holmium, i.e. we consider only \ntwo inter-layer coupling constants, as previously done in \nRef. 11.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2648.pdf", + "query": "What is the principle of the liquid perturbation theory (LPT) ?", + "target_page": 2, + "target_passage": "The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the differ- ence between them treated as a perturbation in the ref- erence potential", + "chunk_present": { + "presence": true, + "index": 7 + } + }, + "top_chunk": [ + { + "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to \n\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the \n\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to \n\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term \n\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal \n\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three- \n\ndimensional models are also discussed in the literature [76, 77]. \n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related \n\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. \n\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid, \n\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to \n\ndistinguish between the influence of the short- and the long-range parts of the interactions with the \n\nsubstrate, as all such interactions are absorbed into the effective chemical potential. \n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model \n\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit \n\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to \n\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes \n\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities \n\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied \n\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond \n\nto number densities as we use the lattice spacing σ = 1 as our unit of length. \n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ρl, ρn], and \n\nsecondly, devise dynamical equations for both density fields that account for the conserved and the \n\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. \n\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) \n\napproximation for the free energy of the system [78, 84] which contains an entropic contribution \n\nand contributions from the interactions between the different species (nanoparticles and liquid). \n\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is \n\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", + "page_start": 13, + "page_end": 13, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles \n\nwith average density ρav \n\nn = 0.3. The top row are the nanoparticle density profiles and the bottom row are \nl σ2. \nthe corresponding liquid density profiles at the times t/tl = 8 (left) and 80 (right), where tl = 1/kT M nc \n\nThe parameters are kT /εll = 0.8, εnl/εll = 0.6, εnn = 0, α = 0.4M nc \nl σ4, M c l = 0, ρl(t = 0) = 0.9 ± ξ \n\n(where ξ represents white noise of amplitude 0.05) and (µ − µcoex)/kT = −0.88, where the liquid exhibits \n\nspinodal decomposition-evaporation. \n\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines \n\ndeveloped above for the nanoparticles. For the non-conserved part we assume a standard form \n\n[85], i.e., the change in time of ρl is proportional to −(µsurf(r, t) − µ) = −δF [ρn, ρl]/δρl(r) \n\nwhere µsurf(r, t) is the local chemical potential of the liquid at the point r on the surface at time t. \n\nThis gives the evolution equation for the liquid density \n(cid:21) (cid:20) \n\n∂ρl \n∂t \nδF [ρn, ρl] \nδρl δF [ρn, ρl] \nδρl \nM c − M nc = ∇ · \nl ρl∇ \n, \nl \n\nwhere we assume that the coefficients M c \nl and M nc \nl \nare constants. \n\n16", + "page_start": 15, + "page_end": 15, + "source_file": "1001.2669.pdf" + }, + { + "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How- \n\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains \n\nthe free energy functional for a continuous system \n\n(cid:90) \n(cid:104) \ndr \n(cid:105) \n\nεll \n2 εnn \n2 \n(∇ρl)2 + (∇ρn)2 + εnl(∇ρn) · (∇ρl) − µρl F [ρl, ρn] = f (ρl, ρn) + \n, (4) \n\nwhere \n\nf (ρl, ρn) = kT [ρl ln ρl + (1 − ρl) ln(1 − ρl)] \n\n+ kT [ρn ln ρn + (1 − ρn) ln(1 − ρn)] \n\n− 2εllρ2 \nl − 2εnnρ2 n − 4εnlρnρl. \n(5) \n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) \n\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from \n\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a \n\ngradient expansion of the free energy functional of a continuous system [84]. However, here we \n\nhave made the mapping from the free energy of the lattice KMC system. \n\nThe chemical potential for the nanoparticles may be determined from the functional derivative \n\nµn = δF [ρn, ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary \n\nspatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the \n\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current \n\nis j = −Mnρn���µn, where Mn(ρl) is a mobility coefficient that depends on the local density of \n\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the \n\nfollowing evolution equation for the nanoparticle density profile \n\n(cid:20) \nMnρn∇ \n\n(cid:21) \n\n∂ρn \n∂t \nδF [ρn, ρl] \nδρn \n= ∇ · . (6) \n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have \n\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − \n\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value \n\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that \n\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a \n\nmobility coefficient α when ρl is high (wet substrate). \n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate \n\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may \n\n15", + "page_start": 14, + "page_end": 14, + "source_file": "1001.2669.pdf" + }, + { + "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B \n\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the \n\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include \n\nother effects such as fluid diffusion, that the KMC does not incorporate. \n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed \n\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key \n\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice \n\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) \n\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent. \n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided \n\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con- \n\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively \n\nmaps the system onto a two-dimensional two-component lattice gas having two fields n and l. The \n\nresulting three possible states of a cell are: liquid (l = 1, n = 0), nanoparticle (l = 0, n = 1), \n\nand vapour (l = 0, n = 0, i.e., cell empty). The energy of an overall configuration is given by the \n\n(cid:88) (cid:88) \nE = − \nlilj − µ li \n\ni \n\nwhere (cid:80) \n\n denotes a sum over nearest neighbour pairs and εll, εnn and εnl are the liquid-liquid, \nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction \n\nstrength parameters εll, εnn, εnl and the effective chemical potential µ determines the equilibrium \n\nstate of the system. We choose εll as unit of energy – i.e. we set εll = 1. \n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How- \n\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle \n\nconfigurations do not necessarily represent equilibrium structures. This implies that the system \n\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their \n\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) \n\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility \n\nM corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", + "page_start": 8, + "page_end": 8, + "source_file": "1001.2669.pdf" + }, + { + "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion \n\nwithin the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquid- \n\nparticle and particle-particle interactions into account and therefore allows us to distinguish differ- \n\nent regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport \n\nregime where the instability is almost completely independent of the interaction strengths and \n\na demixing regime where particles and liquid demix at the receding front thereby increasing its \n\ntransverse instability. \n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of \n\nthe liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional \n\nhamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evapo- \n\nrating ultrathin film and also to investigate the influence of processes such as surface diffusion by \n\nthe liquid, which are not incorporated in the KMC model. However, it is straightforward to extend \n\nthe theory to consider a fully three-dimensional fluid film, in which one can distinguish between \n\nshort- and long-range interactions of solvent and/or solute with the substrate. We have, however, \n\nrestricted the examples given here to situations that can also be described using the KMC model. \n\nA further exploration will be presented elsewhere. \n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It \n\nresults from a long-wave approximation and consists of coupled evolution equations for the film \n\nthickness profile and the mean particle concentration. It has been used to discuss the self-pinning \n\nof receding contact lines that is related to the formation of rings of dried-in particles (coffee- \n\nstain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the \n\ncombined effects of convection and evaporation. \n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques \n\nthat allow one to produce hierarchically structured functional layers for a wide range of applica- \n\ntions such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly \n\ntowards increasingly complex systems. For example, there have been investigations of the influ- \n\nence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal \n\nparticles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evap- \n\norating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of \n\na secondary phase separation on evaporation-induced pattern formation in polymer films [102], \n\nand of the influence of an imposed flow on decomposition and deposition processes in a sliding \n\nridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", + "page_start": 23, + "page_end": 23, + "source_file": "1001.2669.pdf" + }, + { + "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under \n\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled \n\nnon-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles \n\nper unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp \n\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The \n\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence \n\nof particle-independent capillarity and wettability only, the energy functional F [h] is given by \n\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. \n\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95] \n\n(cid:18) (cid:19)−2 \n\nφ \nφc \nη(φ) = η0 \n1 − (8) \n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle \n\nvolume per length hp = φh one obtains the following evolution equation: \n\n(cid:20) (cid:21) \n\nδF \nδh \n∂t(φh) = ∇ · φQc∇ \n+ ∇ · [D(φ)h∇φ] , (9) \n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by \n\nthe Einstein relation D(φ) = kT /6πRη(φ), where R is the radius of the nanoparticles [96]. \n\nWe illustrate results obtained employing this thin film theory using the single example of a re- \n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material \n\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting \n\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The \n\nexpression that we employ for the local free energy term in Eq. (2) is: \n\n(cid:18) d0 − h \nl0 \n\n(cid:19) \nSLW d2 \n0 \nf (h) = \nh2 + SP exp \n, (10) \n\nwhere the parameters characterising the interaction between the liquid film and the surface are \n\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the \n\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf (h) allows for a stable \n\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds \n\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of \n\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where \n\nthe profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. \n\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains \n\n19", + "page_start": 18, + "page_end": 18, + "source_file": "1001.2669.pdf" + }, + { + "text": "[81] A. J. Archer and M. Rauscher, “Dynamical density functional theory for interacting brownian parti- \n\ncles: Stochastic or deterministic?” J. Phys. A-Math. Gen. 37, 9325–9333 (2004). \n\n[82] A. J. Archer and R. Evans, “Dynamical density functional theory and its application to spinodal \n\ndecomposition,” J. Chem. Phys. 121, 4246–4254 (2004). \n\n[83] P. A. Monson, “Mean field kinetic theory for a lattice gas model of fluids confined in porous materi- \n\nals,” J. Chem. Phys. 128, 084701 (2008). \n\n[84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics, Cambridge University \n\nPress (1997). \n\n[85] J. S. Langer, “An introduction to the kinetics of first-order phase transitions,” in C. Godreche, editor, \n\n“Solids far from Equilibrium,” pages 297–363, Cambridge University Press (1992). \n\n[86] M. A. Spaid and G. M. Homsy, “Stability of Newtonian and viscoelastic dynamic contact lines,” \n\nPhys. Fluids 8, 460–478 (1996). \n\n[87] U. Thiele and E. Knobloch, “Front and back instability of a liquid film on a slightly inclined plate,” \n\nPhys. Fluids 15, 892–907 (2003). \n\n[88] M. R. E. Warner, R. V. Craster, and O. K. Matar, “Surface patterning via evaporation of ultrathin \n\nfilms containing nanoparticles,” J. Colloid Interface Sci. 267, 92–110 (2003). \n\n[89] O. K. Matar, R. V. Craster, and K. Sefiane, “Dynamic spreading of droplets containing nanoparticles,” \n\nPhys. Rev. E 76, 056315 (2007). \n\n[90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, “Theory for shock dynamics in particle-laden \n\nthin films,” Phys. Rev. Lett. 94, 117803 (2005). \n\n[91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, “Shock solutions for particle-laden thin films,” SIAM J. \n\nAppl. Math. 68, 760–783 (2008). \n\n[92] R. V. Craster, O. K. Matar, and K. Sefiane, “Pinning, retraction, and terracing of evaporating droplets \n\ncontaining nanoparticles,” Langmuir (2009), online available. \n\n[93] D. Quemada, “Rheology of concentrated disperse systems and minimum energy-dissipation principle \n\nI. Viscosity-concentration relationship,” Rheol. Acta 16, 82–94 (1977). \n\n[94] D. Quemada and C. Berli, “Energy of interaction in colloids and its implications in rheological \n\nmodeling,” Adv. Colloid Interface Sci. 98, 51–85 (2002). \n\n[95] J. J. Stickel and R. L. Powell, “Fluid mechanics and rheology of dense suspensions,” Annu. Rev. \n\nFluid Mech. 37, 129–149 (2005).", + "page_start": 30, + "page_end": 30, + "source_file": "1001.2669.pdf" + }, + { + "text": "1.3 8 \n\n| (a) MC\nMSA2\nDHLL\nExp | |\n|---|---|\n| (a) MC MSA2 DHLL Exp | |\n| (b) σ(MSA-fit) 1 σ(MSA-fit) | |\n| | σ(MSA-fit) 1 σ(MSA-fit) |\n| | 2 σ(MSA2) 1 σ(MSA2) 2 |\n| | |\n\n\n1.2 \n6 MC \ng12 \n(r) \n1.1 \n4 \nΦ MD \ng12 \n(r) \n1 \n2 \n0.9 \n\n5 \n) \nÅ \n4 \n( \nσ \n3 \n\n0 1 0.5 1.5 \n1/2 -1 \n1/2 \n) c (mol.L \n\nFIG. 1: Effective McMillan-Mayer short-range pair potentials \nextracted from explicit solvent simulations using the HNC \nclosure. (a) Cation anion, (b) cation cation, (c) anion anion, \n(d) cation anion RDF obtained from explicit solvent MD and \nimplicit solvent MC simulations. \nFIG. 2: \n(Color online) (a) Osmotic coefficient Φ in the \nMcMillan-Mayer frame of reference. (diamond) MC simula- \ntions, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law \n(DHLL), (cross) experiments (Ref. [18] with the McMillan- \nMayer to Lewis Randall conversion). (b) Minimization diam- \neters. (dot dashed) MSA2 and (diamond) MSA-fit. \n\npute all ion thermodynamic properties through implicit \nsolvent MC simulations. \n\nThe second stage of our coarse-graining procedure con- \nsists in applying LPT, in order to deduce the best ana- \nlytical model of electrolyte solutions which reproduces \nthis molecular description. The principle of LPT is to \ndescribe the properties of a given system in terms of \nthose of a well known reference system, with the differ- \nence between them treated as a perturbation in the ref- \nerence potential. Assuming pairwise additive potentials, \nVij = V (0) \nij + ∆Vij , a first-order truncated expression for \nthe free energy density of the system βfv is obtained, \n\n1 \n2 \ndr g(0) \nij (r)∆Vij (r) \n(1) \nXi,j \n\nWe first used LPT for a two-component system (Na+ \nand Cl− free ions) within the MSA (model MSA2), for \n1. The mini- \nconcentrations ranging from 0.1 to 2.0 mol l− \nmization leads to almost constant diameters on the whole \nrange of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. \nAs shown in Fig. 2, these parameters yield osmotic co- \nefficients close to MC calculations only at very low con- \n1 (experimental values are \ncentration, i.e., c ≤ 0.1 mol l− \ngiven for indicative purposes only, since a perfect model \nwill exactly match the MC results). For molar solutions, \nthe LPT results differ considerably from MC calculations. \nThis discrepancy can easily be understood by comparing \nthe diameters found within the MSA2 calculation with \nthe effective potentials given in Fig. 1. The anion/cation \ncontact distance obtained within the MSA2 calculation \nis 4.2 ˚A, which is in the region of the second minimum of \nthe effective potential and corresponds to the situation \nwhere there is a single layer of water molecules between \nthe ions. The first minimum of the potential, which cor- \nresponds to the contact ion pair (CIP) is thus completely \nignored by the MSA2 calculation. If the MSA diameters \nare directly fitted to reproduce the MC osmotic pres- \nsure, much smaller values are obtained. These MSA-fit \nhydrated diameters, which are compared to the MSA2 \ndiameters in the bottom part of Fig. 2, are averages of \nthe CIP and the solvent-separated ion pair. \n\nwhich depends only on the free-energy density f (0) \nand \nv \nRDF g(0) of the reference fluid, with β = (kBT )− \n1 and \nρi the concentration of species i. The Gibbs-Bogoliubov \ninequality [15] ensures that the right-hand side of Eq. (1) \nis actually a strict upper bound. Once a reference system \nhas been chosen, the expression on the right-hand side of \nEq. (1) must be minimized with respect to the parameters \ndefining the reference. This procedure yields the best \nfirst-order approximation to the free energy of the system \nunder consideration.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "For a system of charged particles in solution, the nat- \nural reference is the PM, defined in terms of the charge \nand diameter (σi) of each species. In this case, the per- \nturbing potentials are just the short-range effective po- \ntentials computed above (∆Vij = V SR \nij ). We use the \nMSA [3] solution to the PM, since it provides analyti- \ncal expressions for both the free energy and the RDF. \nThe perturbation term is evaluated using an exponential \napproximation to the RDF obtained within the MSA, \ng(r) = exp [gMSA(r) − 1], which removes any unphysical \nnegative regions and improves the comparison with HNC \ncalculations. \n\nTo overcome this difficulty, we have explicitly intro- \nduced the CIP in our model (species 3). Straightforward \ncalculations, based on a characteristic-function formal- \nism, allow us to define an equivalent model in which \nthe free ions and the CIP are explicitly taken into ac- \ncount [19, 20]. We apply this formalism by defining a \npair as an anion and a cation at a distance less than \n4 ˚A, which corresponds to the position of the effective \npotential maximum. The interaction between free, like \ncharges in this new system remains unchanged, and the \ncation-anion interactions are easily approximated by ex-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "Similarly considering the following perturbation on y- \n\nlinks, λ Hperturbation = λ[Sj1 \n− \n· \nSj4)]. Following similar procedures we get the second \norder perturbation from this term \n\n(Sk3 Sk4) + r Sk1 (Sj3 \n− · \n\nIn this Appendix we derive the second order pertur- \nbations of inter-cluster Heisenberg and spin-chirality in- \nteractions. The results can then be used to construct \n(16). \nλ2 \n6Jcluster h \n+ 2r \n\n9 + 9r2 \n8 − \n\nPjk[Sj1 \n(Sj3 \n\nSj4)][Sk1 \n− \nSk4 + r2 Sj3 \n\n(Sk3 Sk4)] \nPjk \n\n· \nPjk(Sk3 \n· \n9 + 9r2 \n8 \nPjk(Sk3 \n\n· \n\n− \nPjki \n(3/2) Sj4) \n− \n\n· \nj τ y \n\n· \n\nλ2 \n6Jcluster h \n(3/2) \n\n+ 2r (3/4)τ y = \nk \n− \n\nSk4 + r2 Sj3 Sj4) \nPjki \n\nFirst consider the perturbation λ Hperturbation = λ[Sj1 \n· \nSk1 + r(Sj2 \nSk2)], where r is a real number to be tuned \nlater. Due to the fact mentioned in Subsection IV B, \nthe action of Hperturbation on any cluster singlet state \nwill produce a state with total spin-1 for both cluster j \nand k. Thus the first order perturbation in (15) van- \nishes. And the second order perturbation term can be \nHcluster j − \n− Pjk)[0 \ngreatly simplified: operator (1 \nHcluster k]−1(1 \n− Pjk) can be replaced by a c-number \n2Jcluster)−1. Therefore the perturbation up to second \n( \n− \norder is \n\n− \nSo we can choose \nthe last intra-cluster Sk3 \nfirst order perturbation. \n· \n(r λ2)/(4Jcluster) = \nSk4 + r2 Sj3 \n\n· \n\nJy, and include \nSj4 term in the \n− \n− \n· · \n\nTherefore we can choose the following perturbation on \ny-links (not unique), \n\nλy Hperturbation, y \n\nSk1 + sgn(Jy) \nSj4 + Sk3 (Sj3 \nSk4) · \n(Sj3 \n· \n· − | \n\n· \nJy| · | \n\nλ2 \n\n2Jcluster Pjk(Hperturbation)2 \nThis is true for other perturbations considered later in \nthis Appendix. The cluster j and cluster k parts can be \nseparated, this term then becomes (a, b = x, y, z), \n\nPjk − \n\n=λy[Sj1 \nJy| \nJcluster, r = sgn(Jy) is the sign of Jy. \n4 \nwith λy = \np \nj τ z \nThe τ z \nk term is again more difficult to get. We use \nthe representation of τ z by spin-chirality (6). And con- \nsider the following perturbation \n\n(cid:2)PjSa \n2Jcluster X \na,b \nj2Pj · PkSa \nj1Sb \nPjSa \nj2Pj · PkSa \nj2Sb \nPjSa \njℓSb \nPjSa \nPj(Sjℓ · \nThen use the fact that \nSjm) \nPj by spin rotation symmetry, the perturbation be- \ncomes \n\nj1Pj · PkSa \nk1Sb \nk2Sb \n\nk1Pk − \n\nHperturbation = Sj2 (Sj3 Sj4) + r Sk2 (Sj3 Sj4) \n· · × \n\n+ 2r \n+ r2 \n\nk2Pk \nk2Pk(cid:3) \njmPj = δab(1/3) \nλ2 \n· \n\nλ2 \n6Jcluster h \nλ2 \n6Jcluster h 9 + 9r2 \n16 \n9 + 9r2 \n16 \n\n+ 2r \n\nPjk(Sj1 \nj τ x \n\nSj2)(Sk1 Sk2) \n· · \n\n+ (r/2)τ x r/2 \nk − \n\nr \nPjk(Sj1 \nSj2 + Sk1 Sk2) \nPjki. − · · \n\n(r λ2)/(12Jcluster) = \nSj2 + Sk1 \nSo we can choose \nthe last intra-cluster Sj1 \norder perturbation. \nJx, and include \nSk2 term in the first \n− − \n· · \n\n× \nThe first order term in (15) vanishes due to the same \nreason as before. There are four terms in the second \norder perturbation. The first one is \nPjkSj2 \n[0 \n− \n− Pjk)Sj2 \n(1 \n\n(Sk3 \n× \nHcluster j − \nSk4)(1 \n− Pjk) \nHcluster k]−1 \nSk4) \n× \n× \n(Sk3 \nPjk \n\n· \nFor the cluster j part we can use the same arguments \nas before, the Hcluster j can be replaced by a c-number \nJcluster. For the cluster k part, consider the fact that \nSk4], \nSk3 \nthe action of Sk3 \nSk4 on physical singlet states of k will \nalso only produce spin-1 state. So we can replace the \nHcluster k in the denominator by a c-number Jcluster as \nwell. Use spin rotation symmetry to separate the j and \nk parts, this term simplifies to \n\n× \nPjki − \n\n= \n− \n\nλ2 \nThe perturbation on x-links is then (not unique), \nSj2 \nPj · Pk(Sk3 \nSk4) (Sk3 Sk4) \nPk. · × · × \nSk2)] \n· \n\nλx Hperturbation, x =λx[Sj1 \n\nSk1 + sgn(Jx) \nSj2 + Sk1 (Sj2 \n· \nSk2) \n· \nJx(Sj1 \n− · · \n\n12 \np \n\nj τ x \n\n6Jcluster PjSj2 \nUse (S)2 = 3/4 and \n\n− \n\n(Sk3 \n\nSk4) \n× \nk3Sb \n(Sa (Sk3 \nk3Sb Sk4) \nk3Sb \nSa · \nk4Sa \n× \nk4 −", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0266.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HIG_2001.pdf", + "query": "By how much did the Hartford group's link to AARP website account concerning buisness made over the internet ?", + "target_page": 16, + "target_passage": "In 2001 the company’s link to AARP’s Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "most dynamic sources of business growth. In 2001 the \n\ncompany’s link to AARP’s Web site accounted for much \n\nof the $55 million worth of auto business The Hartford \n\ngenerated over the Internet. \n\nBecause The Hartford quotes and issues this busi- \n\nness online (and added online billing in 2001), acquisi- \n\ntion and processing costs are 15 to 20 percent lower \n\nthan those of traditional direct-marketing or face-to- \n\nface sales. Because of this and other factors, the \n\nexpense ratio for AARP business is 30 percent below \n\nthat of the industry in general. And the customer \n\nrenewal rate is 96 percent, versus the industry’s 88 per- \n\ncent, making the AARP program yield some of the most \n\nprofitable auto business The Hartford writes. \n\nThe relationship also has The Hartford thinking \n\nahead toward new business and an even stronger rela- \n\ntionship with AARP members. The Hartford can cross- \n\nmarket auto insurance to homeowner’s customers and \n\nhomeowner’s insurance to auto customers, which \n\npresents a tremendous growth opportunity. In addition, \n\nThe Hartford is committed to providing value to AARP \n\nmembers in many ways. An example: The Hartford and \n\nAARP work with the MIT Age Lab to produce informa- \n\ntion—available in print and on both partners’ Web \n\nsites—advising AARP members about Alzheimer’s dis- \n\nease and other forms of dementia as they affect driving \n\nability. The information guides caregivers struggling \n\nwith difficult decisions about family members’ safety \n\nbehind the wheel. The resource—a customer solution \n\nlike no other—helps enhance the superior value The \n\nHartford provides to AARP members. \n\nAlthough it’s the most comprehensive, the AARP \n\nrelationship isn’t The Hartford’s only affinity program. \n\nThe company also has affinity arrangements with \n\nUSAA and other companies. Regardless of the pro- \n\ngram’s size, the affinity partners share the right quali- \n\nties: strong name-brand recognition, first-class \n\nmarketing and a broad and loyal customer base. \n\nIn other words, they share some of The Hartford’s \n\ncore attributes.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "partners \n\n\n\n**“P**artnering” is a popular business buzzword that may \n\nvanish as quickly as it appeared. The Hartford’s partner- \n\nships, on the other hand, are built for the long term and \n\nhave played a major role in the company’s growth and \n\nsuccess. \n\nThe company enjoys outstanding partnerships \n\nwith several of the world’s top asset managers. It also \n\nvalues its thousands of relationships with financial \n\nintermediaries such as large broker-dealers, banks and \n\nindependent financial planners—and with affinity part- \n\nners who extend The Hartford’s reach into large, grow- \n\ning markets. \n\n“A lot of people talk about having the right part- \n\nners, but The Hartford views it differently from most,” \n\nsays Gary Trippe, CEO of Fort Myers, Fla., property- \n\ncasualty agency Oswald, Trippe and Company, Inc. \n\n“They look for partners who share their core values, \n\nand the relationship is based on trust and respect. It’s \n\nall about compatibility.” Trippe should know. His \n\nagency writes three times as much business with \n\nThe Hartford, in both personal and commercial lines, as \n\nit writes with any other insurer. \n\nMutually beneficial partnerships with successful \n\nbusinesses of all sizes are the foundation of The \n\nHartford’s business model. \n\nPerhaps no relationship represents shared values \n\nand shared success better than the one with AARP, \n\nwhich signed a new eight-year contract with The \n\nHartford that began Jan. 1, 2002. The AARP insurance \n\nprogram with The Hartford is a model of affinity mar- \n\nketing and distribution savvy. AARP’s membership— \n\nthose age 50 and over—is the fastest-growing segment \n\nof the U.S. population. Computer use among this group \n\nis growing by an estimated 20 percent per year, and the \n\npopulation segment respects established brands and \n\nseeks value, convenience and extraordinary service. \n\nThat right combination of factors helps make \n\nAARP’s World Wide Web site one of The Hartford’s \n\n13", + "page_start": 14, + "page_end": 14, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "**Investor Relations**\nThe Hartford Financial \nServices Group, Inc. \nHartford Plaza, HO-1-01 \nHartford, Connecticut 06115 \nAttn: Investor Relations \n860-547-2537 \n\n**Media Inquiries**\nThe Hartford Financial \nServices Group, Inc. \nMedia Relations \nHartford Plaza, T-12-56 \nHartford, CT 06115 \n860-547-5200 \n\n**Common Stock and Dividend Information**\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share. \n\n**Corporate Headquarters**\nThe Hartford Financial \nServices Group, Inc. \n690 Asylum Avenue \nHartford, Connecticut 06115 \n860-547-5000 \n\n**Internet Address**\nhttp://www.thehartford.com \n\n**Annual Meeting**\nShareholders are cordially invited to attend The Hartford’s \nAnnual Meeting of Shareholders, which will be held on \nThursday, April 18, 2002 at 9:00 a.m. in the Wallace Stevens \nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut. \nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting. \n\n**Form 10-K and Other Information**\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the \nSecurities and Exchange Commission for the year ended \nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \n\n**Transfer Agent/Shareholder Records**\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent: \n\nThe Bank of New York \nShareholder Relations Department–11E \nP.O. Box 11258 \nChurch Street Station \nNew York, NY 10286 \n800-254-2823 \n\nCommon Stock Price Dividends \nHigh Low Declared \n\n**2001**\nFirst quarter $ 67.75 $ 55.15 $0.25 \n\nSecond quarter 70.46 56.88 0.25 \n\nThird quarter 69.28 50.10 0.25 \n\nFourth quarter \n**2000**\n\n62.83 53.91 0.26 \n\nFirst quarter $ 52.75 $ 29.38 $0.24 \n\nSecond quarter 64.00 44.25 0.24 \n\nThird quarter 73.75 56.38 0.24 \n\nFourth quarter 79.31 65.44 0.25 \n\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford. \n\nTo send certificates for transfer and address changes: \n\nThe Bank of New York \nReceive and Deliver Department–11W \nP.O. Box 11002 \nChurch Street Station \nNew York, NY 10286 \n\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to: \n\nThe Bank of New York \nDividend Reinvestment Department \nP.O. Box 1958 \nNewark, NJ 07101-9774 \n\nE-mail: shareowner-svcs@bankofny.com \n\nInternet address: www.stockbny.com", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "(cid:2) J**ohn Belisle, right, is senior vice**\n**president of Oswald, Trippe and**\n**Company, Inc. in Fort Myers, Fla.,**\n**one of The Hartford’s largest sellers**\n**of Select Customer commercial**\n**insurance. David van der Merwe,**\n**president of electronics manufactur-**\n**er Saftronics, Inc., depends on him**\n**for reliable counsel, as well as prod-**\n**ucts tailored to Saftronics’ business.**\n\n(cid:3) T**he Hartford signed a new eight-**\n**year contract, beginning Jan.1,**\n**2002, to continue its highly suc-**\n**cessful relationship with AARP.**\n**Property & Casualty Operations**\n**President and CEO Dave Zwiener,**\n**second from left, works closely**\n**with, left to right, Bill Farris,**\n**director, financial products, AARP**\n**Services, Inc.; Leisha Spaulding,**\n**manager, financial products, AARP**\n**Services, Inc.; and Steve Zaleznick,**\n**CEO, AARP Services, Inc.**", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "(cid:5) T**he Hartford’s acquisition of Fortis**\n**Financial Group in 2001 enhanced**\n**the company’s market share and**\n**distribution advantage. Most impor-**\n**tantly, the acquisition brought into**\n**The Hartford’s family powerful sales**\n**professionals like Allen Chinoy of**\n**Darien, Ill., left, the nation’s fifth-**\n**leading producer of The Hartford’s**\n**variable universal life insurance.**\n**Chinoy is a vocal supporter of**\n**Hartford Investor, which makes it**\n**easier for him to show customers**\n**such as Dr. Dilip Patel how his**\n**portfolio is performing.**\n\n(cid:3) J**oe Smith, right, and Kim Connolly,**\n**left, are a brother-sister team**\n**heading Smith Brothers Insurance,**\n\n**Inc. of Glastonbury, Conn. These**\n**VIP agents are enthusiastic users**\n**of The Hartford’s Electronic**\n**Business Center (EBC) and other**\n**technological tools for property-**\n**casualty agents. They piloted**\n**the EBC and have given valuable**\n**feedback to Senior Commercial**\n**Underwriter Tracey Kamenash**\n**and others at The Hartford to help**\n**develop the EBC standards and**\n**navigational model.**", + "page_start": 23, + "page_end": 23, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "technology \n\nIn short, the portal allows The Hartford to bring \n\nproducts and functions from a variety of sources into \n\none convenient online environment. \n\nHartford Investor has two strategic objectives: \n\nOne, deepen current intermediaries’ loyalty to The \n\nHartford by extending The Hartford Experience right to \n\ntheir desktops. Two, expand the network of intermedi- \n\naries by giving them the technological support they \n\nneed to grow their businesses. \n\nMore than 153,000 licensed intermediaries—from \n\nsolo advisors to members of large financial institu- \n\ntions—are appointed to sell The Hartford’s products. \n\nYet fewer than 60,000 actively write business for the \n\ncompany. The untapped potential is vast, especially \n\namong independents, the fastest-growing distribution \n\nchannel and the only one in which The Hartford doesn’t \n\nhold the largest market share. \n\nThat’s bound to change. With Hartford Investor \n\navailable on their desktops, intermediaries will have far \n\n**N**ew technology tools made The Hartford Experience— \n\ncustomer solutions, ease of doing business and \n\nextraordinary service—more real than ever for our cus- \n\ntomers in 2001. \n\nIt was a year that saw the debut of life operations’ \n\nHartford Investor Web portal, expanded Web portals for \n\ngroup benefits administrators, and enhancements to \n\ntechnology for The Hartford’s property-casualty agents \n\nand customers. \n\nHartford Investor is both a versatile personal \n\nassistant and an aid in wholesaling, especially for the \n\nindependent financial planner channel. Broker-dealers \n\nand financial advisors can use it to research The \n\nHartford’s full complement of individual life and invest- \n\nment products, update their books of business in \n\nseconds, track daily fund performance, run financial- \n\nplanning models, receive online product training, \n\nproduce customized presentations and even submit \n\nbusiness electronically.", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "(cid:5)**Marsh, Inc. is a major distributor**\n**of The Hartford’s group benefits**\n**Marsh’s employee benefits prac-**\n**tice. The team includes, left**\n**plans for mid-sized businesses—** **to right, Senior Vice Presidents**\n**a key growth area for The Hartford.** **Kerry King, Robert Lustberg, Maria**\n**Joe Axelrod, senior account exec-** **McHugh and, second from right,**\n**utive, third from right, and Kevin** **Eric Jacobson. Szott, who is**\n\n**Szott, group sales representative,**\n**far right, work in partnership** **legally blind, also works with**\n**The Hartford’s Team Ability, a**\n**with senior executives from** **group of company-sponsored**\n**athletes with disabilities.**\n\n**Cameron Harris, president of**\n**Cameron M. Harris & Company,**\n**second from right, explain**\n**CyberFlex’s benefits to Todd W.**\n**Mansfield, CEO of Crosland, a**\n**Charlotte property developer**\n\n**and a 13-year customer of**\n**The Hartford. Product innova-**\n**tions such as CyberFlex allow**\n**The Hartford to provide risk-**\n**management solutions for cus-**\n**tomers as their businesses evolve.**\n\n(cid:3) I**n 2001, The Hartford introduced**\n**a new category of commercial**\n**coverage called CyberFlex,TM**\n**designed to protect small and**\n**mid-sized businesses against**\n**e-business risks such as e-mail**\n\n**viruses and Web site business**\n**interruption. Deirdre Barbee,**\n**The Hartford’s middle market**\n**manager in Charlotte, N.C., Mike**\n**Lesniak, Charlotte regional vice**\n**president, far left, and VIP agent**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "(cid:3) K**wadwo Dankyi-Ampadu, service**\n**representative, personal lines,**\n**takes customer phone calls in**\n**The Hartford’s Southington, Conn.,**\n**customer call center. It’s one of**\n**three AARP call centers throughout**\n**the United States.**\n\n(cid:2) B**usiness Technology Solutions**\n**Manager Mike Conery and**\n\n**tools into their sales strategies.**\n**BTSMs work out of 14 regional**\n**offices throughout the country,** **Automation Trainer Brenda**\n**advising agents on the best way** **Fischer, left, help agents such as**\n**to use tools such as the Electronic** **Bonnie Piazza, commercial select**\n**Business Center and InterComm** **accounts manager at Webster**\n**On the Net (ICON), a Web-based** **Insurance in Hartford, Conn., inte-**\n**automated quoting system.** **grate The Hartford’s technological**\n\nthe", + "page_start": 21, + "page_end": 21, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "All this translates into increased shareholder value. Since 1995, our market cap has \n\nincreased from $5.7 billion to $15.4 billion—an 18 percent compound annual growth rate. \n\nOur share price has increased nearly 160 percent since The Hartford became a public com- \n\npany. During the same period, the S&P 500 increased 89 percent, and the Dow Jones \n\nIndustrial Average 97 percent. \n\nIt’s no surprise that our management team is highly regarded within the financial \n\nservices industry and on Wall Street. We’ve built a strong leadership team, complemented \n\nby more than 27,000 dedicated employees who are nurtured and energized by a culture of \n\nsuccess. Consequently, we had a smooth leadership transition over the past year. Tom Marra \n\nsucceeded Lon Smith as president of our life operations and joined our board of directors. \n\nLon retired after a 33-year career with The Hartford, and we owe him a tremendous amount \n\nof gratitude for building a strong and successful operation. \n\nDuring 2001 we also welcomed two new members to our board of directors. Edward J. \n\nKelly III, president and CEO of Mercantile Bankshares Corp., joined us in May, and we welcomed \n\nCharles B. Strauss, president and CEO of Unilever United States, Inc., in November. \n\nWe’re well-positioned for growth in 2002. On Jan. 1 we renewed our relationship with \n\nAARP by signing a new eight-year contract to market auto and homeowner’s insurance to \n\nits 35 million members. Our small-business property-casualty operation continues to \n\ngrow—premiums surpassed $1.2 billion in annual sales in 2001. \n\nWe’re also in a leading position to take advantage of demographic shifts and to provide \n\nestate planning and investment and insurance products to baby boomers. We are very excited, \n\ntoo, about our new SMART 529™ college savings program, which offers flexible features and \n\nnumerous tax advantages. And the growing small-business market segment is a key target for \n\nour 401(k) and group-benefits businesses. In fact, with $2 billion in fully insured premiums and \n\n$106 million in net income, the Group Benefits Division (GBD) had its best year ever. \n\nAs our markets continue to grow and evolve, we stay intensely focused on the key \n\nstrategies in all our businesses. \n\n**Soon after the Sept. 11 attack,**\n**The Hartford Chairman, President**\n**and CEO Ramani Ayer, left fore-**\n**ground, joined other industry**\n**CEOs in meeting with President**\n**Bush at the White House. During**\n**the meeting, the executives**\n**assured the president of industry**\n**support as the nation recovers.**", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "| | Yea | r E | nde | d | Dec | em | be | r 3 | 1 (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | Yea | r E | nde | d | Dec | em | be | r 3 | 1 (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n\n\nAugust 2001 authorization (0, 1.4 million \n\n**NOTE 11 — STOCKHOLDERS’ EQUITY**\nShare repurchases are only conducted under repurchase programs approved by the \nBoard of Directors and publicly announced. Share repurchase activity was as follows: \n\n**NOTE 12 — EMPLOYEE BENEFIT PLANS**\nEmployees of the Company who are members of various unions are covered by \nunion-sponsored, collectively bargained, multi-employer health and welfare and \ndefined benefit pension plans. The Company recorded an expense of $86 million in \n2004, $77 million in 2003 and $66 million in 2002 under such plans. The plans' \nsponsors have not provided sufficient information to permit the Company to \ndetermine its share of unfunded vested benefits, if any. \nand 6.4 million shares purchased). . . . . . . . . . . . .**$** $ 36,034 **—**\n\nFebruary 2003 authorization \n\nThe Company is self-insured for most health care benefits for its non-union \nemployees. The liability for claims filed and estimates of claims incurred but not \nreported is included in the “Other accrued liabilities” caption in the accompanying \nconsolidated balance sheets. \n\n(10 million shares purchased) . . . . . . . . . . . . . . . . 335,911 — **—**\n\nNovember 2003 authorization (8 million \n\nand 2 million shares purchased) . . . . . . . . . . . . . . 70,919 — **348,895**\n\n$ 442,864 $ 207,590 **$ 348,895**\n\nAverage price of shares repurchased . . . . . . . . . . . . .**$** $ 33.17 $ 32.28 **43.59**\n\nAt December 31, 2004, we had 10 million shares available for repurchase under a \nJuly 2004 authorization. \n\nIn May 2002, the Board of Directors approved a restricted stock plan. The plan \nallowed for the issuance of up to 1 million shares of Company common stock to \ncertain key employees. The restrictions on selling these shares lapse 50% on the \nthird anniversary date from the grant date and 50% on the fourth anniversary date \nafter the grant date. Through December 31, 2004, 903,000 shares were issued, with \nan aggregate value of $32 million. This amount was recorded as deferred \ncompensation in the accompanying consolidated balance sheet and is being \namortized to operating expenses on a straight-line basis through the period in which \nthe restrictions fully lapse. Amortization of deferred compensation was $7 million, \n$8 million and $5 million for the years ended December 31, 2004, 2003 and 2002, \nrespectively, and 855,000 shares were outstanding under the plan at December 31, \n2004. In November 2002, the Board of Directors determined that no more awards \nwould be granted under the plan. \n\nThe Company has a retirement savings plan under Section 401(k) of the Internal \nRevenue Code for eligible employees not covered by a collective bargaining agree- \nment that does not specifically provide for participation in the plan. The plans \nallow employees to defer, within prescribed limits, up to 30% of their income on a \npre-tax basis through contributions to the plans. The Company matches, within \nprescribed limits, a portion of eligible employees' contributions. In the case of \ncertain union employees, the Company contributes to the plan are based on hours \nworked. The Company recorded charges for 401(k) contributions of $12 million in \n2004, $10 million in 2003 and $12 million in 2002.", + "page_start": 72, + "page_end": 72, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HIG_2001.pdf", + "query": "How many licensed intermediaries did Hartford group have in 2001 ?", + "target_page": 23, + "target_passage": "More than 153,000 licensed intermediaries", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "(cid:5) T**he Hartford’s acquisition of Fortis**\n**Financial Group in 2001 enhanced**\n**the company’s market share and**\n**distribution advantage. Most impor-**\n**tantly, the acquisition brought into**\n**The Hartford’s family powerful sales**\n**professionals like Allen Chinoy of**\n**Darien, Ill., left, the nation’s fifth-**\n**leading producer of The Hartford’s**\n**variable universal life insurance.**\n**Chinoy is a vocal supporter of**\n**Hartford Investor, which makes it**\n**easier for him to show customers**\n**such as Dr. Dilip Patel how his**\n**portfolio is performing.**\n\n(cid:3) J**oe Smith, right, and Kim Connolly,**\n**left, are a brother-sister team**\n**heading Smith Brothers Insurance,**\n\n**Inc. of Glastonbury, Conn. These**\n**VIP agents are enthusiastic users**\n**of The Hartford’s Electronic**\n**Business Center (EBC) and other**\n**technological tools for property-**\n**casualty agents. They piloted**\n**the EBC and have given valuable**\n**feedback to Senior Commercial**\n**Underwriter Tracey Kamenash**\n**and others at The Hartford to help**\n**develop the EBC standards and**\n**navigational model.**", + "page_start": 23, + "page_end": 23, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "Intermediary Service Award and the first-ever Life \n\nInsurance Service Award. The triple win reflected the \n\noverall excellence of The Hartford’s service, a natural \n\ncomplement to the company’s quality products. DAL- \n\nBAR also recognized The Hartford’s mutual funds as the \n\nindustry leader in several categories, including invest- \n\nment management. \n\nIn managing its product portfolio, The Hartford fol- \n\nlows its own advice: think ahead and diversify. The com- \n\npany’s earnings base derives from a variety of \n\nbusinesses. Diversification is a key element in managing \n\nrisk and ensuring profitability—a time-tested philosophy \n\nthat held especially true in 2001, as the company’s other \n\nbusinesses evolved to anticipate changing market \n\ndemands and to offer protection from new risks. \n\nThe property-casualty Business Insurance group, \n\nfor example, extended its coverage to include common \n\nrisks associated with e-commerce. Hartford Financial \n\nProducts’ (HFP) coverage continued to meet emerging \n\nrisks in an extremely volatile business environment. \n\nThe Hartford helped customers manage risk by \n\ndeveloping a new category of commercial coverage \n\ncalled CyberFlex.TM This targets the previously unmet \n\nneeds of small and mid-sized businesses that are inte- \n\ngrating the Internet and other communications tools \n\ninto their regular operations. \n\nA 2001 survey by The Hartford revealed that 80 \n\npercent of small and mid-sized businesses weren’t sure \n\nif their current insurance policies covered specific—and \n\nincreasingly common—risks such as e-mail viruses, \n\nWeb site business interruption and online copyright \n\ninfringement. CyberFlex coverage protects middle-mar- \n\nket and small-business policyholders against the risk of \n\nthose potentially debilitating conditions. \n\nCyberFlex is part of a broad array of industry- \n\nspecific coverages in The Hartford’s SPECTRUM ® busi- \n\nness-owner’s policy, including protection against \n\nemployment practices liability, equipment breakdown \n\nand business interruption. As the economic environ- \n\nment changes rapidly, The Hartford thinks ahead by \n\nproviding those flexible coverages. And the company’s", + "page_start": 19, + "page_end": 19, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "technology \n\nIn short, the portal allows The Hartford to bring \n\nproducts and functions from a variety of sources into \n\none convenient online environment. \n\nHartford Investor has two strategic objectives: \n\nOne, deepen current intermediaries’ loyalty to The \n\nHartford by extending The Hartford Experience right to \n\ntheir desktops. Two, expand the network of intermedi- \n\naries by giving them the technological support they \n\nneed to grow their businesses. \n\nMore than 153,000 licensed intermediaries—from \n\nsolo advisors to members of large financial institu- \n\ntions—are appointed to sell The Hartford’s products. \n\nYet fewer than 60,000 actively write business for the \n\ncompany. The untapped potential is vast, especially \n\namong independents, the fastest-growing distribution \n\nchannel and the only one in which The Hartford doesn’t \n\nhold the largest market share. \n\nThat’s bound to change. With Hartford Investor \n\navailable on their desktops, intermediaries will have far \n\n**N**ew technology tools made The Hartford Experience— \n\ncustomer solutions, ease of doing business and \n\nextraordinary service—more real than ever for our cus- \n\ntomers in 2001. \n\nIt was a year that saw the debut of life operations’ \n\nHartford Investor Web portal, expanded Web portals for \n\ngroup benefits administrators, and enhancements to \n\ntechnology for The Hartford’s property-casualty agents \n\nand customers. \n\nHartford Investor is both a versatile personal \n\nassistant and an aid in wholesaling, especially for the \n\nindependent financial planner channel. Broker-dealers \n\nand financial advisors can use it to research The \n\nHartford’s full complement of individual life and invest- \n\nment products, update their books of business in \n\nseconds, track daily fund performance, run financial- \n\nplanning models, receive online product training, \n\nproduce customized presentations and even submit \n\nbusiness electronically.", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "most dynamic sources of business growth. In 2001 the \n\ncompany’s link to AARP’s Web site accounted for much \n\nof the $55 million worth of auto business The Hartford \n\ngenerated over the Internet. \n\nBecause The Hartford quotes and issues this busi- \n\nness online (and added online billing in 2001), acquisi- \n\ntion and processing costs are 15 to 20 percent lower \n\nthan those of traditional direct-marketing or face-to- \n\nface sales. Because of this and other factors, the \n\nexpense ratio for AARP business is 30 percent below \n\nthat of the industry in general. And the customer \n\nrenewal rate is 96 percent, versus the industry’s 88 per- \n\ncent, making the AARP program yield some of the most \n\nprofitable auto business The Hartford writes. \n\nThe relationship also has The Hartford thinking \n\nahead toward new business and an even stronger rela- \n\ntionship with AARP members. The Hartford can cross- \n\nmarket auto insurance to homeowner’s customers and \n\nhomeowner’s insurance to auto customers, which \n\npresents a tremendous growth opportunity. In addition, \n\nThe Hartford is committed to providing value to AARP \n\nmembers in many ways. An example: The Hartford and \n\nAARP work with the MIT Age Lab to produce informa- \n\ntion—available in print and on both partners’ Web \n\nsites—advising AARP members about Alzheimer’s dis- \n\nease and other forms of dementia as they affect driving \n\nability. The information guides caregivers struggling \n\nwith difficult decisions about family members’ safety \n\nbehind the wheel. The resource—a customer solution \n\nlike no other—helps enhance the superior value The \n\nHartford provides to AARP members. \n\nAlthough it’s the most comprehensive, the AARP \n\nrelationship isn’t The Hartford’s only affinity program. \n\nThe company also has affinity arrangements with \n\nUSAA and other companies. Regardless of the pro- \n\ngram’s size, the affinity partners share the right quali- \n\nties: strong name-brand recognition, first-class \n\nmarketing and a broad and loyal customer base. \n\nIn other words, they share some of The Hartford’s \n\ncore attributes.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "**The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees’ new**\n**permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11,**\n**The Hartford’s New York employees had their businesses back in operation by Sept. 17. Employees moved into their**\n**new permanent offices less than 60 days after the attack.**\n\nour proven approach to asset management despite the stock market’s vagaries. It means \n\ngrowing our business profitably, maintaining financial discipline, controlling expenses and \n\nproviding extraordinary service to distributors and customers. \n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive \n\nDALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service \n\nAward and the first-ever Life Insurance Service Award. \n\nAs you’ll read throughout this report, service means very specific—and very impor- \n\ntant—things to us. We strive to forge strong partnerships with our distributors and provide \n\nthem with technological tools and outstanding products to enhance their selling efforts. \n\nThese are some of the underpinnings to our solid 2001 results. \n\nDespite the challenges I’ve mentioned, our revenues for 2001 rose 3 percent to $15.1 \n\nbillion. Total assets under management rose 8 percent to $198 billion. Operating income rose \n\n7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of \n\nSept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations. \n\nThe results attest to the resilience of our enterprise. With our strong and balanced \n\nportfolio of businesses, we consistently demonstrate superior financial performance. Since \n\n1995, we’ve produced 13 percent annualized operating earnings-per-share growth, excluding \n\nthe effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets \n\nunder management. Excluding the effect of Sept. 11 and the tax benefit, operating return on \n\nequity has met or exceeded our 13 to 15 percent target every year for the past five years.", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "**Investor Relations**\nThe Hartford Financial \nServices Group, Inc. \nHartford Plaza, HO-1-01 \nHartford, Connecticut 06115 \nAttn: Investor Relations \n860-547-2537 \n\n**Media Inquiries**\nThe Hartford Financial \nServices Group, Inc. \nMedia Relations \nHartford Plaza, T-12-56 \nHartford, CT 06115 \n860-547-5200 \n\n**Common Stock and Dividend Information**\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share. \n\n**Corporate Headquarters**\nThe Hartford Financial \nServices Group, Inc. \n690 Asylum Avenue \nHartford, Connecticut 06115 \n860-547-5000 \n\n**Internet Address**\nhttp://www.thehartford.com \n\n**Annual Meeting**\nShareholders are cordially invited to attend The Hartford’s \nAnnual Meeting of Shareholders, which will be held on \nThursday, April 18, 2002 at 9:00 a.m. in the Wallace Stevens \nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut. \nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting. \n\n**Form 10-K and Other Information**\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the \nSecurities and Exchange Commission for the year ended \nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \n\n**Transfer Agent/Shareholder Records**\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent: \n\nThe Bank of New York \nShareholder Relations Department–11E \nP.O. Box 11258 \nChurch Street Station \nNew York, NY 10286 \n800-254-2823 \n\nCommon Stock Price Dividends \nHigh Low Declared \n\n**2001**\nFirst quarter $ 67.75 $ 55.15 $0.25 \n\nSecond quarter 70.46 56.88 0.25 \n\nThird quarter 69.28 50.10 0.25 \n\nFourth quarter \n**2000**\n\n62.83 53.91 0.26 \n\nFirst quarter $ 52.75 $ 29.38 $0.24 \n\nSecond quarter 64.00 44.25 0.24 \n\nThird quarter 73.75 56.38 0.24 \n\nFourth quarter 79.31 65.44 0.25 \n\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford. \n\nTo send certificates for transfer and address changes: \n\nThe Bank of New York \nReceive and Deliver Department–11W \nP.O. Box 11002 \nChurch Street Station \nNew York, NY 10286 \n\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to: \n\nThe Bank of New York \nDividend Reinvestment Department \nP.O. Box 1958 \nNewark, NJ 07101-9774 \n\nE-mail: shareowner-svcs@bankofny.com \n\nInternet address: www.stockbny.com", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "people \n\n**T**he worst of 2001 brought out the best in The \n\nHartford’s people. \n\nAs the world watched the horrors of Sept. 11, \n\nsome 330 of our New York employees fled their offices \n\nin 7 World Trade Center. Though many were caught in \n\nthe debris and dust from the nearby Twin Towers, all \n\nescaped safely. \n\nBy the time the 47-story 7 World Trade Center \n\nbuilding collapsed at about 5:20 p.m., The Hartford had \n\nalready arranged for temporary space in several of the \n\ncompany’s other of���ces. Employees and suppliers \n\nimmediately began working around the clock to get \n\nthe business up and running again. Despite the \n\ndestruction, back-up systems kept distributors’ and \n\ncustomers’ data secure. \n\nA hundred miles from Ground Zero, home office \n\nemployees in Hartford, Conn., began shuttling equip- \n\nment and supplies to our temporary offices. Some \n\nbooked Long Island Sound ferries from Connecticut to \n\nLong Island within 48 hours of the attack. Others spent \n\nthe weekend driving supplies to the new locations so \n\nemployees could concentrate on customers instead of \n\non finding pens and paper. Employees and suppliers \n\nwere determined to get the company, its distributors \n\nand its customers through the crisis. \n\nBy Monday, Sept. 17, all of The Hartford’s business \n\nunits in New York were serving customers again. \n\nEmployees had new furniture, phones, servers and PCs. \n\nDistributors’ and customers’ access to company e-mail \n\nwas never interrupted. Calls to old phone numbers were \n\nrerouted to cell phones or new office phones. Print and \n\nradio ads—along with The Hartford’s Web site— \n\ngave customers instructions for filing claims quickly. \n\nCustomer relationships were stronger than ever. The \n\nHartford Experience—customer solutions, ease of doing \n\nbusiness and extraordinary service—was never better \n\ndemonstrated.", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "The EBC saves hours of administrative time, allowing \n\nagents to sell commercial insurance products much \n\nmore profitably. \n\nThe EBC also came into its own as a decision-sup- \n\nport tool in 2001. Among other new features, its scoring \n\ntool evaluates potential small-business customers \n\nbased on factors such as the number of employees and \n\nthe size and type of the business. The score helps identi- \n\nfy businesses The Hartford is likely to accept and mini- \n\nmizes the complexity of agents’ decisions. \n\nTechnology introduced in 2001 also enhanced \n\ncustomers’ interaction with our personal lines opera- \n\ntion. Computer-telephony integration (CTI) at call cen- \n\nters immediately directs calls to the right customer \n\nservice representative based on whether the caller is an \n\nauto or homeowner’s policyholder. CTI also automati- \n\ncally calls up the customer’s record on the customer \n\nservice representative’s screen so service is faster and \n\ndoing business is easier—the embodiment of The \n\nHartford Experience. \n\nmore incentive to look to The Hartford for the right \n\nproducts to offer their clients. \n\nThe Hartford’s Group Benefits Division’s (GBD) \n\nProducer View Web portal enables group benefits bro- \n\nkers to manage their books of business and track com- \n\nmissions and premium payments online. It’s also a \n\nresource for product brochures and other marketing \n\nmaterial. GBD’s Employer View portal meets benefits \n\nmanagers’ increasing demands for self-service. In 2001 \n\nGBD added online billing capability to the portal, which \n\nalso features access to forms and status reports on pre- \n\nmium payments and claims, among other functions. \n\nThe property-casualty operation’s Electronic \n\nBusiness Center (EBC) has transformed the way agents \n\ndo business. They can obtain quotes almost instantly, \n\ncheck billing and loss information, track claims pay- \n\nments and perform a host of other daily tasks. Because \n\nit’s their virtual back office, agents have more time to \n\ndo what’s right for them: build their business. The EBC \n\nis proving especially valuable in the high-growth small- \n\nbusiness market, where service is as important as price.", + "page_start": 24, + "page_end": 24, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "products & services \n\n\n\nThe ability to deliver that kind of performance \n\ncan be traced to our money managers—Wellington \n\nManagement Co., American Funds, Franklin Templeton \n\nInvestments, MFS Investment Management, AIM \n\nFunds Management, Inc., Putnam Investment \n\nManagement and The Hartford’s own Hartford \n\nInvestment Management Co. \n\nAll of The Hartford’s money managers have years \n\nof experience and are among the most respected firms \n\nin the industry. Their experience and expertise were \n\nespecially important during the market volatility we \n\nsaw in 2001. They always stay focused on long-term \n\nperformance, which is the true measuring stick of The \n\nHartford’s value to its customers. \n\nBesides outstanding products and excellent man- \n\nagement, great service is a critical component in deliv- \n\nering the right solutions to our customers. In 2001, \n\nThe Hartford won an unprecedented sixth consecutive \n\nDALBAR Annuity Service Award, as well as the \n\n**H**ow do you secure the future when the present is \n\npuzzling enough? It’s a big challenge, and The Hartford’s \n\nprimary objective. Everything we do is designed to help \n\nour customers deal with the uncertainties that lie ahead. \n\nThe Hartford believes the best way to secure the \n\nfuture is to provide customers with the right products, \n\nand then back those products with outstanding per- \n\nformance and great service. Staying focused on this \n\nobjective was never more important—or more chal- \n\nlenging—than in 2001. \n\nTrue to form, The Hartford’s life operations’ annu- \n\nities and mutual funds delivered high-quality perform- \n\nance in a time of market turmoil. Despite an anemic stock \n\nmarket, 87 percent of the funds in The Hartford’s Director \n\nvariable annuity remained in the first or second quartile \n\nof three-year returns within the Lipper Peer Group in \n\n2001. Sixty-four percent of the funds in the Leaders suite \n\nof annuities and 91 percent of The Hartford’s mutual \n\nfunds remained in the first or second quartile over the \n\nthree-year period.", + "page_start": 18, + "page_end": 18, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "(cid:5)**Marsh, Inc. is a major distributor**\n**of The Hartford’s group benefits**\n**Marsh’s employee benefits prac-**\n**tice. The team includes, left**\n**plans for mid-sized businesses—** **to right, Senior Vice Presidents**\n**a key growth area for The Hartford.** **Kerry King, Robert Lustberg, Maria**\n**Joe Axelrod, senior account exec-** **McHugh and, second from right,**\n**utive, third from right, and Kevin** **Eric Jacobson. Szott, who is**\n\n**Szott, group sales representative,**\n**far right, work in partnership** **legally blind, also works with**\n**The Hartford’s Team Ability, a**\n**with senior executives from** **group of company-sponsored**\n**athletes with disabilities.**\n\n**Cameron Harris, president of**\n**Cameron M. Harris & Company,**\n**second from right, explain**\n**CyberFlex’s benefits to Todd W.**\n**Mansfield, CEO of Crosland, a**\n**Charlotte property developer**\n\n**and a 13-year customer of**\n**The Hartford. Product innova-**\n**tions such as CyberFlex allow**\n**The Hartford to provide risk-**\n**management solutions for cus-**\n**tomers as their businesses evolve.**\n\n(cid:3) I**n 2001, The Hartford introduced**\n**a new category of commercial**\n**coverage called CyberFlex,TM**\n**designed to protect small and**\n**mid-sized businesses against**\n**e-business risks such as e-mail**\n\n**viruses and Web site business**\n**interruption. Deirdre Barbee,**\n**The Hartford’s middle market**\n**manager in Charlotte, N.C., Mike**\n**Lesniak, Charlotte regional vice**\n**president, far left, and VIP agent**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_HIG_2001.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HIG_2001.pdf", + "query": "When did the annual sherholder meeting of Hartford happen in 2002 ?", + "target_page": 38, + "target_passage": "Shareholders are cordially invited to attend The Hartford’s Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Investor Relations**\nThe Hartford Financial \nServices Group, Inc. \nHartford Plaza, HO-1-01 \nHartford, Connecticut 06115 \nAttn: Investor Relations \n860-547-2537 \n\n**Media Inquiries**\nThe Hartford Financial \nServices Group, Inc. \nMedia Relations \nHartford Plaza, T-12-56 \nHartford, CT 06115 \n860-547-5200 \n\n**Common Stock and Dividend Information**\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share. \n\n**Corporate Headquarters**\nThe Hartford Financial \nServices Group, Inc. \n690 Asylum Avenue \nHartford, Connecticut 06115 \n860-547-5000 \n\n**Internet Address**\nhttp://www.thehartford.com \n\n**Annual Meeting**\nShareholders are cordially invited to attend The Hartford’s \nAnnual Meeting of Shareholders, which will be held on \nThursday, April 18, 2002 at 9:00 a.m. in the Wallace Stevens \nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut. \nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting. \n\n**Form 10-K and Other Information**\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the \nSecurities and Exchange Commission for the year ended \nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \n\n**Transfer Agent/Shareholder Records**\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent: \n\nThe Bank of New York \nShareholder Relations Department–11E \nP.O. Box 11258 \nChurch Street Station \nNew York, NY 10286 \n800-254-2823 \n\nCommon Stock Price Dividends \nHigh Low Declared \n\n**2001**\nFirst quarter $ 67.75 $ 55.15 $0.25 \n\nSecond quarter 70.46 56.88 0.25 \n\nThird quarter 69.28 50.10 0.25 \n\nFourth quarter \n**2000**\n\n62.83 53.91 0.26 \n\nFirst quarter $ 52.75 $ 29.38 $0.24 \n\nSecond quarter 64.00 44.25 0.24 \n\nThird quarter 73.75 56.38 0.24 \n\nFourth quarter 79.31 65.44 0.25 \n\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford. \n\nTo send certificates for transfer and address changes: \n\nThe Bank of New York \nReceive and Deliver Department–11W \nP.O. Box 11002 \nChurch Street Station \nNew York, NY 10286 \n\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to: \n\nThe Bank of New York \nDividend Reinvestment Department \nP.O. Box 1958 \nNewark, NJ 07101-9774 \n\nE-mail: shareowner-svcs@bankofny.com \n\nInternet address: www.stockbny.com", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "Thomas Hays \nTyler Hays \nJames Head \nGary Heinen \nLindsey Heintz \nChristopher Heiskill \nKelly Helm \nKim Helvey \nRob Hembree \nKim Henderson \nKristi Henderson \nTJ Henderson II \nDave Henson \nAlvaro Hernandez \nFrancisco L. Hernandez \nMario Hernandez \nMarisol Hernandez \nRomualdo Hernandez Jr. \nJude Herring \nRichard Hess \nJosh Hicks \nWilliam Higginbotham \nHillary Higgins \nShane Hilliard \nAngelo Hilton \nWeston Hinton \nKeasha Hobbs \nCharles Hodges \nJoe Hofer \nDuston Hoffman \nEric Holcomb \nDan Holden \nAdam Holland \nJanice Holloway \nAdrianne Holmes \nDennis Holmes \nDon Holt \nKyle Holt \nTiffany Hopkins \nGreg Hopper \nRyan Horn \nTim Horne \nMatthew Horton \nBud Hoselton \nNicole Howard \nJoe Howell \nJohn Howell \nRonnie Hubbard \nMelissa Huddleston \nTara Hudson \nBarry Huggins \nKeystone Hughes \nOmar Huizar \nTracy Hulsey \nMatthew Humphrey \nJoe Hunley \nDanny Hunt \nSteven Hutchens Jr. \nDaniel Hyatt \nSteven Hyatt \nAngela Ibara \nKaty Igarta \nGerald Irwin III \nErnie Isenhart \nKate Ivey \nMonsuru Iyanda \nAlan Jackson \nAngela Jackson \nBeverly Jackson \nKristine Jackson \nLarry Jacobs \nCody Jacoway \nJeremy James \nKen James \nTommy Jamison \nVictor Jaramillo \nStephanie Jaronek \nBilly Jeffers \nClint Jennings \nLi Jett \nPablo Jimenez \nBilly Johnson \nBrenda Johnson \nDannie Johnson \nJason Johnson \nKyle Johnson \nKyle R. Johnson \nRandell Johnson \nStephen Johnson \nTyler Johnson \n\nPerry Johnston \nAaron Jones \nAnne Jones \nJeff L. Jones \nScott Jones \nChad Jongeling \nChris Jordan \nRigo Juarez \nAndy Kapchinske \nAndrew Karber \nTiffanie Karber \nDoug Kathol \nRita Keary \nBradley Keech \nClayton Keenan \nBill Keller \nKim Keller \nAmber Kelley \nJason Kelley \nPamela Kerr \nFreddie King Jr. \nLanney King \nNelson King \nRyan Kintner \nDayna Kirk \nDale Kisner \nRobert Kitchens \nKasey Kliewer \nRobert Kline \nMark Knight \nTiffany Kordic \nMichael Koss \nAllison Krittenbrink \nRyan Krittenbrink \nDan Kucab \nMiranda Lacey \nSteve Ladner \nMiranda Lair \nTodd Lamb \nKelly Lamoreaux \nMindy Lamprich \nClay Lancon \nNikki Landsberger \nLaura Lanford \nDustin Langley \nAbel Lara \nLindel Larison Jr. \nToby Lattea \nEugene Lauricella \nAndy Lawrence \nWallace Lawrence \nCheryl Lawson \nToni Lawson \nLuke Lawver \nReagan Lea \nGreg Ledbetter \nMelissa Lee \nTony Lee \nWarren Lee \nJeremy Leger \nBranden Lehoski \nTim Leierer \nDan Leiphart \nLogan Lemley \nLuis Lerma \nChrista Levescy \nChelsea Lewis \nGreg Lewis \nStacey Lewis \nJohn Libhart \nChuck Lilly \nLaura Linn \nCory Listen \nJeremy Litton \nBrian Lockart \nNicole Logsdon \nAngie Lohner \nEthel Long \nJames Long \nAlfred Loper \nJavier Lopez \nEric Loudenslager \nT.D. Louis \nShirley Lovelady \nBrandon Lovell \nMichael Lovell \nLu Lovett-Voss \nBenjamin Lucas Jr. \nDustin Lucas \nShane Luckett \n\nMartinez-Barrera \nOscar Martinez-Barrera \nLaura Martini \nDavid Masiker \nJames Mason \nRyan Mason \nSteve Mason \nJohn Masterson \nDarrick Matthews \nBobby Mattice \nPeggy Maxell \nJoseph May \nBenjamin Mayer \nAnthony Maze \nChristopher McAlvain \nHarold McArthur \nMichael McCann \nMichael McClanahan \nJosh McClary \nJosh McCollom \nRandy McCollum \nElizabeth McCormick \nJay McCormick \nWayne McCormick \nLarry McCoy \nFadoua McCray \nJoshua McCray \nRobert McCue \nJohn McCullough \nMichael McDaniel \nMiles McDaniel \nRobert McDaniel \nDustin McDaugale \nDebby McElreath \nJon McEntire \nCharles McFarland \nJulie McGill \nJP McGinley \nBilly McKamie \nJake McKeever \nMark McKelvey \nChristopher McKown \nStuart McLain \nJim McLaughlin \nRandy McLaughlin Jr. \nJonathan McLendon \nJohn McLeod \nDon McMahon \nTerry McMinn \nTyrel McNatt \nNathan McRae \nJosh McWhirter \nRobert Mecom \nMichael Medcalf \nSalvador Medina \nJessica Meek \nLindsey Melott \nJoe Melton \nChasta Mercer \nRenea Merchant \nJames Merrell \nDavid Messer \nJennifer Messer \nRenee Metcalf \nMegan Meyer \nJonice Meziere", + "page_start": 36, + "page_end": 36, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees’ new**\n**permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11,**\n**The Hartford’s New York employees had their businesses back in operation by Sept. 17. Employees moved into their**\n**new permanent offices less than 60 days after the attack.**\n\nour proven approach to asset management despite the stock market’s vagaries. It means \n\ngrowing our business profitably, maintaining financial discipline, controlling expenses and \n\nproviding extraordinary service to distributors and customers. \n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive \n\nDALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service \n\nAward and the first-ever Life Insurance Service Award. \n\nAs you’ll read throughout this report, service means very specific—and very impor- \n\ntant—things to us. We strive to forge strong partnerships with our distributors and provide \n\nthem with technological tools and outstanding products to enhance their selling efforts. \n\nThese are some of the underpinnings to our solid 2001 results. \n\nDespite the challenges I’ve mentioned, our revenues for 2001 rose 3 percent to $15.1 \n\nbillion. Total assets under management rose 8 percent to $198 billion. Operating income rose \n\n7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of \n\nSept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations. \n\nThe results attest to the resilience of our enterprise. With our strong and balanced \n\nportfolio of businesses, we consistently demonstrate superior financial performance. Since \n\n1995, we’ve produced 13 percent annualized operating earnings-per-share growth, excluding \n\nthe effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets \n\nunder management. Excluding the effect of Sept. 11 and the tax benefit, operating return on \n\nequity has met or exceeded our 13 to 15 percent target every year for the past five years.", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "Amber Thomas \nChevy Thomason \nJerry Todd \nScottie Trejo \nSeth Unruh \nJulio Vasquez \nLarry Ventris \nJohnny Voth \nKeith Wagnon \nJosh Wangler \nBrad Watkins \nNoel Way \nDan Welch \nDavid Wernli \nDe Ann Williams \nNicole Williams \nDavid B. Willis \nBill Wince Jr. \nMartin Wise \nJames Worsham Jr. \nTodd Wright \nLinn Yousey \nLori Zang \n\nRenee Riebe \nGary Robbins \nBill Roberts \nChip Roemisch Jr. \nRichard Rosencrans \nKelly Rother \nMary Ann Sanders \nLarry Satterfield Jr. \nPerry Scheffler \nHeather Scoggins \nJoel Scott \nJohn Seldenrust \nJuan Serna \nSteve Serna \nJohn Sharp \nJack Shaver \nPaul Shelite \nGene Shepard \nKyle Shipley \nPaul Skelton Jr. \nStacy Slater \nJulie Slaton \nClay Smith \nMark Smith \nMonte Smith \nJewel Sneed \nGail Spencer \nRobert Sperandio \nAdria Sprigler \nTerry Stafford \nDaryl Stallings \nSteve Steadham \nJoe Stewart \nPete Stewart \nDavid Stone \nTravis Stout \nJohn Stoute Jr. \nTom Stovall \nBob Streeter \nKelsey Swinford \nMark Syzemore \nBarry Tarman \nRay Taylor \nJon Terrell \nRandall Thomas \nRenee Thomas \n\nChase Williams \nRandy Williams \nAntoine Wilson \nKelly Wilson \nDave Winchester \nJeff Wolf \nDana Woo \nCarla Wood \nHarold Wooley \nLandon Worth \nJose Yanez \nMark Yeisley \nBecky Young \nJosh Young \nDavid Zerger \nSteve Zmek \n\n**2005 (745)**\nDaniel Abeyta Jr. \nJim Adams \nJulius Adams \nRobert Adams \nTony Adams \nRonald Addington \nChrista Adkins \nJamie Adkins \nJeff A. Adkins \nJeff J. Adkins \nWayne Adkins \nNancy Aguilar \nReford Alcorn \nBill Allbright \nCindy Allen \nClaude Allen \nErin Allen \nSandy Alvarado \nFred Amburgey \nDavid Anderson \nJeff D. Anderson \nGary Anthony \nRandy Anthony \nLinda Arambula \nDawn Arismendez \nLee Arnold \nDavid Atha \nMatt Atkins \n\n2010 ANNUAL REPORT |**31**\n\nTyler Beaver \nJohn Beckwith \nWilliam Bennett \nCornelius Birmingham \nAndrew Black \nKenneth Blackburn \nJackie Blanchard \nRon Bliss \nDot Blythe \nBuddy Boeckman \nNick Boeckman \nCharlie Boggs \nTimothy Bohannan \nRaymond Bohnet \nK.P. Boland \nCorey Bolding \nRonnie Bonnett \nAdam Bos \nTim Bostick \nMark Bottrell \nJoe Bradford \nEverett Bradley \nKenny Bragg \nDavid Branham \nDebra Branham \nGail Branham \nDel Brazeal \nChris Brennan \nJordan Brim \nRonald Brisendine \nBrent Bromlow \nDonna Brown \nRichard Brown \nKathy Buckley \nNichole Buersmeyer \nVicki Bumpas \nKara Burch \nRodney Burgess \nSteve Burnett \nAbiel Buruato \nRonnie Bynum \nGavan Byrd \nSkye Callantine \nDeric Canary \nMichelle Cantrell \nSteve Cantrell \n\n\n\nGeorge Bradley \nKim Brady \nDavid Brannen \nAron Bridges \nRonald Bromlow \nJennifer Broomfield \nBryan Brown \nJeff Brown \nHeather Brunker \nKenneth Brunson \nJohn Bullard \nBayley Burns \nCyndy Burris \nBuster Burton Jr. \nAra Bush \nLori Byrd \nKeith Cameron \nBob O. Campbell \nCarol Capek \nPat Carson \nGary Carter \nDennis Cerny \nDavid Chisum \nMike Churchwell \nTony Clark \nMichael Clinton \nKim Combs \nTom Corley \nBrian J. Cox Jr. \nBryan Cox \nMichael Cramer \nAnn Croan \nJarod Cunningham \nWendy Cunningham \nJohn D. Davis \nJon Davis \nRyan C. Dean \nScott Dickson \nDennis Dix \nDerek Dixon \nSteve Donley \nShanon Dunlap \nJody Dunn \nJack Elliott \nJimmy Embery \nCharlene Ernest \nKeith Ervin \nSerena Evans \nJim Fansher \nUrsula Faus \nMark Ferbrache \nJeff Fisher \nMitch Floresca \nTommy Foust \nT. R. Fox \nJustin Froehlich \nEdd Gabbart \nFred Gagliardi \nTravis George \nB.K. Gibson \nKenneth Gideon \nDana Ginanni \nJohn Gist \nRandy Gladden \nDavid Godsey \nJeff Gorton \nJim Govenlock \nPablo Hadzeriga Jr. \nPaul Hagemeier \nBuck Hall \nMichael Hall \nRonnie Haney \nJessie Hardin \nGraham Harris \nRoger Harrod \nLisa Hartman \nRich Hearst \nPancho Hendricks \nTara Henry \nGlen Hensley \nSue Ann Henthorn \nCatherine Hester \nAnita Hixon \nLanny Holman \nMisty Holtgrefe \nPaul House \nBrian L. Howard \nRoy Howe \nDonna Huff \nRosie Hutton", + "page_start": 32, + "page_end": 32, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "(cid:2) T**he Hartford claims adjusters** **Corp. and gave it to Wheelhouse**\n**Director Javier Flaim, left, to help** **arrived in lower Manhattan within**\n**the company’s recovery efforts.** **days after the Sept. 11 attack to**\n**The Burlington, Mass.-based soft-** **fulfill obligations to policyholders**\n**ware developer had a downtown** **who suffered losses. Senior**\n**Manhattan office that suffered** **Property General Adjuster Ray**\n**extensive damage.** **Davidson wrote a check on the**\n**spot for $250,000 to Wheelhouse**\n\n(cid:3) A**fter the Sept. 11 disaster, a** **Sarah Blount, director, client**\n**services, enterprise technologies** **team of The Hartford’s home office**\n**services; Mark Gauvain, assistant** **employees set up shop in a con-**\n**vice president, property-casualty** **ference room to organize some**\n**e-business; Tony Abate, vice presi-** **150 employees, who delivered**\n**dent, IT acquisitions; Franca Lewis,** **supplies and equipment by car**\n**assistant director, information** **and ferry to get temporary New**\n**technology; and Patrice Chandler,** **York-area offices up and running**\n**assistant procurement administra-** **within a week. Left to right,**\n**tive manager, procurement.** **Leslie Cyrulik, automation project**\n**manager, corporate real estate;**\n\nthe", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "Garth Merrick \n*President and Chief Executive Officer,*\n*Merrick Petfoods, Inc.*\nAllen Parson \n*Restaurateur and Investments*\nJerry Stevens \n*Vice President and General Manager,*\n*Stevens 5-Star Car and Truck Center*\nJohnny Trotter \n*Ranching, Farming and Cattle Feeding*\nRoger Williams \n*Farming*\n\nHereford State Bank \n\nOffice \n212 E. Third Street \nHereford, Texas 79045 \n*Chartered 1947*\n\nDirectors \nCraig Smith \n*Chairman of the Board*\nJoe Artho \n*Retired General Manager, Hereford Grain Corp.*\nTerry Bromlow \n*Executive Vice President*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nTerry Langehennig \n*Cowsert, Line and Langehennig, Attorneys*\nSteve Lewis, D.V.M. \n*Manager and Senior Partner,*\n*Hereford Veterinary Clinic*\nMike Mauldin \n*President and Chief Executive Officer*\nSenior Officers \nCraig Smith \n*Chairman of the Board*\nMike Mauldin \n*President and Chief Executive Officer*\nTerry Bromlow \n*Executive Vice President*\nSteve Gilbert \n*Senior Vice President and Cashier*\nJeff Brown \n*Senior Vice President*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, |\n\n\nAssets $80,976 $84,246 \n\nLoans 38,383 46,261 \n\nDeposits 71,926 70,546 \n\nEquity 8,529 8,120 \n\nNet Income 1,205 1,277 \n\nMike Mauldin \n*President and*\n*Chief Executive Officer*\nReturn on Average Assets 1.48% 1.57% \n\nReturn on Average Equity 14.41 15.64 \n\n**48%**\nHereford \n\nDeaf Smith County Deposit Market Share", + "page_start": 18, + "page_end": 18, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "(cid:5)**Marsh, Inc. is a major distributor**\n**of The Hartford’s group benefits**\n**Marsh’s employee benefits prac-**\n**tice. The team includes, left**\n**plans for mid-sized businesses—** **to right, Senior Vice Presidents**\n**a key growth area for The Hartford.** **Kerry King, Robert Lustberg, Maria**\n**Joe Axelrod, senior account exec-** **McHugh and, second from right,**\n**utive, third from right, and Kevin** **Eric Jacobson. Szott, who is**\n\n**Szott, group sales representative,**\n**far right, work in partnership** **legally blind, also works with**\n**The Hartford’s Team Ability, a**\n**with senior executives from** **group of company-sponsored**\n**athletes with disabilities.**\n\n**Cameron Harris, president of**\n**Cameron M. Harris & Company,**\n**second from right, explain**\n**CyberFlex’s benefits to Todd W.**\n**Mansfield, CEO of Crosland, a**\n**Charlotte property developer**\n\n**and a 13-year customer of**\n**The Hartford. Product innova-**\n**tions such as CyberFlex allow**\n**The Hartford to provide risk-**\n**management solutions for cus-**\n**tomers as their businesses evolve.**\n\n(cid:3) I**n 2001, The Hartford introduced**\n**a new category of commercial**\n**coverage called CyberFlex,TM**\n**designed to protect small and**\n**mid-sized businesses against**\n**e-business risks such as e-mail**\n\n**viruses and Web site business**\n**interruption. Deirdre Barbee,**\n**The Hartford’s middle market**\n**manager in Charlotte, N.C., Mike**\n**Lesniak, Charlotte regional vice**\n**president, far left, and VIP agent**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "Paul Hartman \nBrett Harvey \nKeith Harvey \nRick Harvey \nChristopher Harville \nKenneth Haskey Jr. \nNathan Hassinger \nKelly Hastings \nMatt Hastings \nCody Hasty \nTimothy Hatesaul \nAlan Hatter \nFranklin Hawes Jr. \nJames Hay \nJeff Hayden \nDaniel Hayes \nKevin Hayes \nRyan Hayes \nDrew Haymaker \nRowdy Haynes \nSteve Heard \nBen Hearnsberger \nRoxanne Heath \nLee Hebert IV \nTrey Hebert \nJeremy Heck \nKyle Hedrick \nLynn Heidebrecht \nClay Heller \nJonathan Hemsley \nBob Hendricks \nAllison Hendrix \nJoseph Hendrix \nEdward Henke \nTyler Henning \nAngela Henry \nGarrett Henry \nJed Henry \nPatrick Henry \nDavid Hensley \nLaura Hensley \nAustin Henson \nChristian Hernandez \nJuan Hernandez \nJake Herod \nShelley Herod \nTacha Heron \nFernando Herrera \nGerardo Herrera \nBrent Herring \nMatthew Herring \nChristi Herrington \nKimberly Hesse \nCharles Hester \nDennis Hester \nErin Hettman \nDavid Hewitt \nClark Hickman \nAlston Hicks \nJaime Hicks \nJordan Hicks \nScott Hicks \nTracy Hicks \nDestery Hidlebaugh \nRyan Hidlebaugh \nJimmy Higginbotham \nMichael Higginbottom \nAmy Higgins \nJames Higgins \nTiffany Hight \nArrin Hill \nElgie Hill \nGeno Hill Jr. \nJaron Hill \nJeanette Hill \nMike Hill \nStephen Hill \nKristen Hillis \nGeoffrey Himmelreich \nTommy Hinchman Jr. \nFreddie Hines \nScott Hinman \nDaniel Hinton \nKevin Hlatky \nSteve Hoaglund \nDamieon Hodges \nSarah Hoffman \nRussell L. Hogue II \nClarissa Hollander \nDustin Hollen \n\nAlayne Hollis \nBrett Holloway \nSteve Holloway \nWilliam Holloway \nAllison Holman \nJames Holman \nLincoln Holman \nCori Holmes \nEric Holmes \nNick Holmes \nChad Holst \nKerra Holsted \nEric Holsten \nKevin Holt \nConrad Holub \nRagen Homesley \nMatt Hood \nWilliam Hood Jr. \nHudson Hoosier \nJoe Hoover \nJon Hoover \nJoshua Hoover \nJaime Hopkins \nJason Hopkins \nKaren Hoppe \nTami Horn \nTanner Horn \nMichael Horner \nWilliam Horner \nChristopher Hornsby \nMike Hornsby \nAaron Horton \nChaz Horton \nAmanda Horvath \nRobert Horvath \nEric Hottenstein \nKevin Hough \nMike Houlihan \nJames Houser \nLiz Houser \nJared Howard \nShaun Howard \nCharles Howdershelt \nDustin Howell \nSandra Howerton \nDagoberto Huante \nDenny Hubbard \nShane Hubbard \nCourtney Hubert \nRita Huckle \nAndrew Hudacko IV \nJohn Huddleston \nJessica Hudgens \nJohn Hudson \nAlan Hudspeth \nHelene Huff \nAlexander Huggett \nEric Huggins \nChris Hughes \nCody Hughes \nJim Hughes \nJohn Hughes \nJon Hughes \nWalter M. Hughes \nLois Hugo \nDavid Hugus II \nForrest Humphrey \nKyle Humphreys \nJoseph Humphries \nHannah Huneryager \nBill Hunt \nBobby Hunt Jr. \nGreg Hunt \nStuart Hunt \nLloyd Hunter \nAmy Huntsman \nRobert Hurlocker \nJustun Huston \nChelsey Hutches \nJason Hutchinson \nRobert Hutchinson \nChris Hutchison \nLuke Hux \nBryan Huyck \nAshley Hyde \nSean Iago \nKristin Ikard \nJeff Iliff \nClinton Imig \nEarl Ince", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Daniel Alford \nKenny Alford \nJamie Allen \nJoshua W. Allen \nJimmy Allred \nBilly Alven \nJoe E. Aly \nJames Amelung \nBob Amyx \nCarol Anderson \nGary Anderson \nRandi Anderson \nShelby Andrew \nMelanie Andrews \nHoward Arnold \nZachary Arnold \nLiz Arthur \nThad Ashcraft \nKevin Ashley \nAmy Askew \nMicah Assulin \nJennifer Atwell \nRoger Averitt \nDavid Avery \nEd Back \nMisty Baeza \nTim Bagby \nAllen Bagley \nMichael Bahrenburg \nRonald Bailey \nButch Baird \nCharles A. Baker \nDennis Baker \nSitaraman Balakrishnan \nBoomi Balasubramaniyan \nChrista Ball \nMichael T. Ball \nLisa Ballard \nJanice Balliet \nWilliam Barker \nDean Barnes \nKeith Barrett \nCecelia Barrington \nJoshua Barton \nLorie Barton \nBrandon Bashaw \nWarren Bass \nDouglas Baughman \nTammy Baxter \nTim Beard \nTiffany Beaver \nTerri Becker \nSteven Beckett \nJim Bedford \nClint Beeby \nSteve Beeson \nDanny Beets \nBo Bekendam \nRobyn Belew \nPaige Benedict \nCheryl Bennett \nGarrett Benton \nJohn Bergman \nSharon Berkley \nEric Bess \nRobert Bevel \nAmar Bhakta \nRandy Bickel Jr. \nLiz Bicoy \nJacob Biernacki \nPam Billingsley \nMatthew Birch \nJeremy Black \nDavid Black Jr \nWillis Blaker III \nPhillip Blankenship \nEmily Blaschke \nTony Blasier \nJimmy Blevins \nDoug Bohlen \nRichard Bolding \nBrandi Bonner \nDaniel Borowski \nJohn Bottrell II \nBrian Bounds \nBarbara Bowersox \nDeven Bowles \nDonald Bowman \nDrew Boyer \nPhillip Bradford III", + "page_start": 34, + "page_end": 34, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "First Financial Bank, \nNational Association, Southlake \n\nMain Office \n3205 E. Highway 114 \nSouthlake, Texas 76092 \n*Chartered 1985*\nBranches \n95 Trophy Club Drive \nTrophy Club, Texas 76262 \n891 E. Keller Parkway \nSuite 100 \nKeller, Texas 76248 \n\nSenior Officers \nPerry D. Elliott \n*Chairman of the Board*\nMark L. Jones \n*President and Chief Executive Officer*\nF. Mills Shallene \n*Senior Vice President*\nJ. Sean Shope \n*Senior Vice President*\nMichele P. Stevens \n*Senior Vice President and Cashier*\n\nJack Dortch \n*Jack Dortch Insurance Agency*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nDerrell Johnson \n*President, American Council of Engineering*\n*Companies Life Health Trust*\nMark L. Jones \n*President and Chief Executive Officer*\nK. Wayne Lee \n*President, DDFW Properties*\nRobert S. Mundlin \n*Owner, Lifetime Benefits Insurance*\nJim Ridenour \n*President, Sunbelt Station Service*\n\nDirectors \nPerry D. Elliott \n*Chairman of the Board*\nJames E. Burger \n*Burger Construction*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31 |\n\n\n| Assets $67,750 $ | 65,554\n42,366\n59,672\n5,845\n652\n1.07%\n10.97 |\n|---|---|\n| Assets $67,750 $ | 65,554 42,366 59,672 5,845 652 1.07% 10.97 |\n| Loans 45,132 | |\n| Deposits 61,532 | |\n| Equity 6,295 | |\n| Net Income 412 | |\n| Return on Average Assets 0.62% | |\n| Return on Average Equity 6.74 | |\n| Cities of Southlake, Keller and Roanoke | |\n| | % |\n| 9 Deposit Market Share thlake | |", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_FFIN_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed11.pdf", + "query": "Regarding climate change, to what corresponds the \"average length of flood events ?", + "target_page": 11, + "target_passage": "The average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**13**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n–3 \n3 \n0 \nchange in length of average flood event (days) \n–2 –1 1 2 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \nMIROC-ESM-CHEM \n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 6.**Simulated changes in the average length of flood events (number of days in which the cumulative daily rainfall excess \nis positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven \nby SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify \nthe driving CMIP5 model (or ensemble mean). \n\n\n–0.2 0 \n0.2 \n1.0 \n0.6 \nvulnerability to food insecurity \n0.4 0.8 1.2 1.4 \n\n\n\n\n\n**Figure 7.**Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five \nindividual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble \nmean.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed11.pdf" + }, + { + "text": "27.9 \n−5.5 \n6.7 \n\n0.66 \n\n0.78 \n\n2.9 \n\n4.9 \n\n5.1 \n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India \nand Bangladesh, for which such increases are projected in all ensemble members to some extent. \nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although \nthe magnitude and location within the country varied between members. Similar increases are \nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members. \nThe HCVI calculated for 2°C global warming showed very large geographical variability \n(figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the \nclimate change simulated in different ensemble members leads to some variation in the HCVI at", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "**17**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n\n\n**Figure 11.**Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– \nhydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show \nthe 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of \nthe range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, \nin millimetres of rain equivalent. \n\nGFDL- \nESM2M \n1.9 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.0 MIROC- \nESM-CHEM \n1.5 ensemble \nmean \n1.7 ACCESS1-0 \n1.9 1.7 \n\n15.7 \n\n16.2 \n−1.3 \n4.5 19.2 \n−5.4 \n4.6 \n\n14.1 \n\n18.3 \n−3.8 \n4.3 15.6 \n−1.6 \n3.6 \n\n0.7 0.0 \n\n3.6 4.0 \n\n0.48 n.a. 0.39 0.16 0.31 0.42 \n\n0.73 n.a. 0.73 0.79 0.73 0.75 \n\n0.9 3.1 1.3 3.9 2.4 2.2 \n\n0.7 5.4 0.7 6.7 5.0 3.9 \n\n0.3 5.9 2.2 5.9", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "**18**\n\n\n\n\n\n\n\n\n\n\n\n(*b*) TX90p (% time) \n\n35 \n30 \n25 \n20 \n15 \n10 \n5 \n0 \n\nIPS L-C M 5 A-L R \nG F D L-E S M 2 M \n\nH ad G E M 2-E S \nIPS L-C M 5 A- M R \nM IR O C-E S M -C H E M \n(*d*) RX5day (mm) \n\n8.0 \n\n6.0 \n\n4.0 \n\n2.0 \n\n0 \n\nIPS L-C M 5 A-L R \nG F D L-E S M 2 M \n\nIPS L-C M 5 A- M R \nH ad G E M 2-E S \nM IR O C-E S M -C H E M \n\n(*a*) TXx (°C) \n\n3.5 \n3.0 \n2.5 \n2.0 \n1.5 \n1.0 \n0.5 \n0 \n\nG F D L-E S M 2 M \n\nM IR O C-E S M -C H E M \nIPS L-C M 5 A- M R \nH ad G E M 2-E S \n\nense m ble m ean \nA C C E SS1-0 \nIPS L-C M 5 A-L R \n1.5°C 2°C \n(*c*) CDD (days) \n\n2.0 \n\n0.0 \n\n–2.0 \n\n–4.0 \n\n–6.0 \n\nIPS L-C M 5 A-L R \nG F D L-E S M 2 M \n\nH ad G E M 2-E S \nM IR O C-E S M -C H E M \nIPS L-C M 5 A- M R \n\nA C C E SS1-0 \nense m ble m ean \n\n**Figure 12.**Comparison of global mean changes in climate extremes indices relative to 1981–2010 at 2°C and 1.5°C global \nwarming for individual ensemble members and ensemble mean. (a) Change in annual daily maximum temperature; \n(b) percentage of days with maximum temperature above 90th percentile for 1981–2010; (c) change in consecutive dry days; \n(d) change in annual maximum 5-day rainfall. \n\nFor precipitation, generally similar changes are seen at 1.5°C global warming as at 2°C, but \nsmaller in magnitude (compare figures 16 and 4), suggesting that most of these changes are a \nresponse to radiatively forced climate change as opposed to internal climate variability. However, \nsome localized changes do vary in sign between the GWLs, such as in South Australia, suggesting \na possible dominance of internal variability over the global warming signal in these places. \n\nWhere Rx5day increases, the increases are projected to be larger—in some cases approximately \ndouble—at 2°C global warming than 1.5°C. Where Rx5day decreases, again the decreases are \nprojected to be larger at 2°C global warming than 1.5°C (figure 17). \n\nOf the 122 countries assessed, 93 have smaller ensemble-mean HCVI calculated at 1.5°C global \nwarming than at 2°C, indicating an ensemble consensus that 76% of assessed countries would \nsee a smaller increase in vulnerability to food insecurity if global warming were limited to 1.5°C \n(figures 18 and 19). Conversely, 24% of countries would, by this metric, see the same or higher \nvulnerability to food insecurity at 1.5°C than 2°C. Of these, some are countries where HCVI \nis projected to be lower at 2°C global warming than in the baseline. For example, in Mali the \nensemble-mean baseline HCVI of 0.83 increased slightly to 0.85 at 1.5°C then reduced to 0.81 \nat 2°C. In some countries, the ensemble-mean HCVI happened to be identical at both warming \nlevels. In Chad, for example, the baseline HCVI of 0.89 increased to 0.91 at both 1.5°C and 2°C. \n\nAs noted above, four countries saw ensemble-mean HCVI values at 2°C above any seen \nin the baseline, and this number increased to seven at 1.5°C. The same four countries with \n‘unprecedented’ HCVI values at 2°C also saw ‘unprecedented’ values at 1.5°C; these were Oman, \nBangladesh, Mauritania and Yemen. These were joined by Myanmar, India and Cambodia as \nhaving ‘unprecedented’ values at 1.5°C. The role of internal climate variability in the HCVI \nresults needs to be assessed, as does the effect of potential nonlinear interactions between the \nflood and drought metric. Until the reasons behind these country-specific results are understood,", + "page_start": 17, + "page_end": 17, + "source_file": "pubmed11.pdf" + }, + { + "text": "**12**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \nmm \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 5.**Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for \nindividual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble \nmean. The labels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). \nTherefore, the ensemble-mean change is a reasonable guide to the results. \n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). \nThe greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil \nand a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. \nSoutheastern Africa showed larger increases than Central Africa. The HCVI decreased in three \ncountries: Mali, Burkino Faso and Sudan. \n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, \nwith increases in most assessed countries and generally similar sets of countries experiencing the \nlargest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI \nthan Central Africa, due to increased length of drought events projected in all ensemble members \n(not shown). The length of flood events was not projected to increase in this region. The Sahel \nregion consistently showed one or more countries with a small decrease in the HCVI, although \nthe precise country or countries varied between ensemble members. The decrease in HCVI here \nwas due to projected decreases in length of drought, with length of flood events projected to \nchange little. \n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase \nin length of flood events projected in all members, outweighing the beneficial impact of decreased \nlength of drought which is again projected in all members. \n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble \nmembers. Although the location of projected longer flood events varies across the country in \ndifferent members, the aggregation of the HCVI to the country level renders this geographical \nvariability irrelevant for such a large country because only the median value across the country \nis used in the HCVI. Some ensemble members project longer drought for Brazil, which again \ncontributed to increased HCVI.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed11.pdf" + }, + { + "text": "**6**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \nvulnerability to food insecurity \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n0.4 0.6 0.8 1.0 1.2 1.4 \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Table 2.**Proxies for flood and drought events used in the HCVI. \n\nextreme weather event \naverage length of flood events description of proxy \nnumber of days in which the cumulative daily rainfall excess is positive, \ncompared with the 95th percentile in the 1981–2010 average \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \naverage length of drought events number of days in which the cumulative daily rainfall deficit is positive, \n\ncompared with the 20th percentile in the 1981–2010 average \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nUN Food and Agriculture Organization, UN Development Programme and UN Population \nFund [22]. The exposure component comprised proxies for the average length of flood and \ndrought events calculated with daily precipitation data [23] (table 2). These proxies were chosen \nabove other possible metrics as they were required to replace self-reported instances of flood \nand drought events used in the original HCVI, which correlate with undernutrition data at the \ncountry-level [23]. The proxies were therefore masked to only include data where a significant \nproportion of people live and grow crops before aggregating to country level and combining to \ncomprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone \nmay not always be adequate for representing flood and drought events, so the current method is \nregarded as preliminary. \n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In \nthe current version of the HCVI, climate-change impacts on other quantities such as crop yield \nare not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at \npresent-day conditions. \n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected \nHadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values \ncalculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable \nregions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables \ninclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed11.pdf" + }, + { + "text": "**15**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n–75 –50 –10 –1 \n0 \n% \n1 10 50 75 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n\n**Figure 9.**Changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under six climate simulations \nat 2°C global warming. (a) Ensemble mean and (b) percentage of models agreeing on increased flow. \n\n. \n. \n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows \nwhere changes in mean flows were small. Changes in high run-off show similar patterns and \nmagnitudes to those in mean run-off. \n\nThe simulated changes in both mean and low run-off flows show substantial differences \namong the six simulations (figures 10 and 11). In most basins examined here, the range of \noutcomes include both increases and decreases in mean and low flows for any particular basin, \nbut generally with the largest proportion simulating increases in both mean and low flows. In a \nfew cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed \nentirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the \nprojected flow increases in the Ganges for 2°C global warming ranging from approximately 30% \nto more than 110%. \n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, \nOrange, Danube and Guadiana basins where the range of projected extends more towards \ndecreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C \nglobal warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C \nglobal warming for these basins. \n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the \nNiger, the range of mean flow changes extended more towards increases whereas the range of \nlow flow changes extended more towards decreases. \n\n(b) Impacts at 1.5°C global warming compared to 2°C \n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and \nrun-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; \nfigures 12 and 13). The exceptions to these are mean and low run-off which each show one \ninstance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing \nlarger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two \nGWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed11.pdf" + }, + { + "text": "**Table 6.**Global mean changes at 1.5°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n1.2 \n\n10.0 \n−1.2 \n1.1 \n\n0.74 \n\n0.75 \n\n1.4 \n\n2.1 \n−3.4 4.9 2.6 \n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or \nmore. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater \nincreases in the tropics than mid-latitudes (electronic supplementary material).", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "**19**\n\n\n\n\n\n\n\n(*a*) \n6.0 \n5.0 \n\n4.0 \n\n3.0 \n2.0 \n\n1.0 \n\n0 \n\n(*b*) \n10.0 \n\n8.0 \n\n6.0 \n\n4.0 \n\n2.0 \n\n0 \n\n(*c*) \n12.0 \n\n8.0 \n\n4.0 \n\n0.0 \n\n–4.0 \n\nIPS L-C M 5 A-L R \n\n\n\nG F D L-E S M 2 M \n\nM IR O C-E S M -C H E M \n\nA C C E SS1-0 \n\n1.5°C 2°C \n\n**Figure 13.**Global mean percentage changes relative to 1981–2010 in (a) precipitation over land, (b) mean run-off flows, (c) low \nrun-off lows (10th percentile), at 2°C and 1.5°C global warming. \n\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be \ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at \neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the \npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries. \nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food \ninsecurity generally increases with global warming, and for approximately three-quarters of \ncountries assessed, this increase is larger at 2°C than 1.5°C. \n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global \nwarming compared to 1.5°C (figure 20). This is often the case for both increases and decreases \nin flows—increasing the level of global warming magnifies the pattern of river flow changes, \nalthough not in all cases. \n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, \nbut this was not always the case, with many basins showing similar or smaller ranges at \n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed11.pdf" + }, + { + "text": "A detailed investigation of these factors is beyond the scope of this paper; nevertheless, this \nresult illustrates the important point that the nature and patterns of the climate forcing at a \nparticular level of global warming can play an important role in determining the patterns of \nregional impacts. \n\n**25**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n5. Conclusion \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related \nextremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the \nglobal annual mean. There is a higher degree of spatial variation in our projections compared \nwith CMIP5-based studies. \n\nIn the model projections examined here, changes relating to the water cycle are complex, both \nin their geographical pattern and in the variation between different models. The length of flooding \nevents generally increases across world in all models, but maximum rainfall can either increase or \ndecrease depending on locations. Global patterns of increase and decrease show some consistency \nbetween the different GWLs, but also some local differences. Worldwide, most impacts broadly \ntend to increase with global warming in most areas. For global mean changes, even when the sign \nof change is uncertain, individual realizations generally show reduced impact at 1.5°C compared \nwith 2°C. However, this does not always hold even at the scale of major global river basins. \n\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in \napproximately three-quarters of countries assessed. The vulnerability increase can arise from \nincreases in either flooding or drought. Reduced drought leads to decreased vulnerability in a \nlimited number of cases. \n\nMost simulations here project a general increase in mean streamflow in most of the basins \nexamined, but with a number of notable exceptions in the tropics. While flows in the Ganges are \nconsistently projected to increase by 30–110% at 2°C, Amazon flows could either increase by 3% \nor decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of \nthe magnitude of changes that may be possible, so adaptation planning in particular should not \nrely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low \nstreamflows also increase in many basins, but not as many as for the mean flows—many basins \nsee decreased low flows in some or all projections. \n\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scaling- \nback the impacts at 2°C, if this is done with individual ensemble members rather than the \nensemble mean. However, this was not always the case for impacts that depend on more complex \nprocess or interactions between more than one climate variable, such as run-off and an indicator \nof vulnerability to food insecurity. \n\nData accessibility. This article has no additional data. \nCompeting interests. We declare we have no competing interests. \nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007– \n2013 under grant agreement no. 603864 (HELIX: \n‘High-End cLimate Impacts and eXtremes’; www. \nhelixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint \nUK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101). \nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion, \nAlissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous \nreviewers whose comments substantially improved the paper.", + "page_start": 24, + "page_end": 24, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed11.pdf", + "query": "What is the projected situation of India regarding HCVI (Hunger and Climate Vulnerability Index)?", + "target_page": 12, + "target_passage": "India is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "(c) Food security: the Hunger and Climate Vulnerability Index \n\nTo assess implications of climate change for vulnerability to food insecurity, we used an \nadaptation of the Hunger and Climate Vulnerability Index (HCVI) [22]. The HCVI was developed \nby the United Nations World Food Programme to provide a country-level assessment of \nvulnerability to food insecurity as a result of climate-related events. We used a new iteration of the \nHCVI which makes use of gridded climate model projections to understand the impact of climate \nchange on vulnerability to food insecurity, and the benefits that adaptation can bring via scenarios \nof adaptation investment [23]. This iteration of the HCVI only considers in-country production \nof food and does not account for food trade. For this reason, the HCVI is only calculated for \n122 developing and least-developed countries (defined here as countries not in the OECD or EU \nwhich can be resolved by the scale of the climate model; i.e. larger than 500 km2). \n\nThe index provides quantification at the national level across the globe of the scale and \ndirection of impact of climate change on food insecurity. As such, it aims to provide the following: \n(i) information to help policy-makers understand the level of challenge to global food security that \nclimate change presents; (ii) information on the geography of the impacts and help to evaluate the \nrelative benefits of mitigation and adaptation responses. \n\nThe index is not intended to be a detailed planning tool, but aims to help planners evaluate the \nnature of the top-level threat to food insecurity that climate change presents, thereby supporting \nprioritization of effort. \n\nThe HCVI consists of three equally weighted components: exposure to climate-related hazards, \nsensitivity of national agricultural production to climate-related hazards, and adaptive capacity— \na measure of a country’s ability to cope with climate-related food shocks. The sensitivity and \nadaptive capacity components are based on data from the World Bank, World Resources Institute,", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed11.pdf" + }, + { + "text": "**14**\n\n\n–1.00 –0.75 –0.50 –0.25 \n\n0 \nchange in vulnerability to food insecurity \n\n0.25 0.50 0.75 1.00 \n\n\n\n\n\n**Figure 8.**Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2°C \nglobal warming, for five individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, \nand the ensemble mean. \n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher \nthan any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. \nThe implication of such HCVI values is that climate change at 2°C is projected to cause levels \nof vulnerability to food insecurity that are greater than any seen in the present day. For \nindividual ensemble members, the number of countries with ‘unprecedented’ HCVI values at \n2°C varies from three to seven. Conversely, many countries in the baseline climate have levels \nof vulnerability to food insecurity that are greater than those expected in other countries under \n2°C global warming. This suggests that other factors are already posing greater risk for food \ninsecurity than 2°C climate change is expected to cause in other countries, so the increased risk \nfrom climate change should not overshadow the need to reduce vulnerability to food insecurity \narising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by \naddressing various socio-economic issues in such counties. \n\nincreased run-off over \napproximately half of the land surface (figure 9) and the majority of the major river basins \nassessed (figure 10), but with large regional uncertainties including the possibility of decreased \nflows in many basins. The ensemble-mean change in mean streamflow shows an increase of \nbetween 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing \nan increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and \nsouthcentral USA, which see less than a 5% change in run-off, and the already very dry region of \nthe Sahara Desert where the existing very small run-off become even smaller. \n\nThe JULES simulations show a general tendency towards \n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with \nthe regions seeing an increase in mean run-off seeing a larger percentage increase in low \nrun-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that \nthis does not necessarily imply a larger increase in absolute low flow compared to absolute mean \nflow, because the baseline is (by definition) smaller for low flows. In western Europe, where the \nchanges in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed11.pdf" + }, + { + "text": "**19**\n\n\n\n\n\n\n\n(*a*) \n6.0 \n5.0 \n\n4.0 \n\n3.0 \n2.0 \n\n1.0 \n\n0 \n\n(*b*) \n10.0 \n\n8.0 \n\n6.0 \n\n4.0 \n\n2.0 \n\n0 \n\n(*c*) \n12.0 \n\n8.0 \n\n4.0 \n\n0.0 \n\n–4.0 \n\nIPS L-C M 5 A-L R \n\n\n\nG F D L-E S M 2 M \n\nM IR O C-E S M -C H E M \n\nA C C E SS1-0 \n\n1.5°C 2°C \n\n**Figure 13.**Global mean percentage changes relative to 1981–2010 in (a) precipitation over land, (b) mean run-off flows, (c) low \nrun-off lows (10th percentile), at 2°C and 1.5°C global warming. \n\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be \ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at \neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the \npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries. \nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food \ninsecurity generally increases with global warming, and for approximately three-quarters of \ncountries assessed, this increase is larger at 2°C than 1.5°C. \n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global \nwarming compared to 1.5°C (figure 20). This is often the case for both increases and decreases \nin flows—increasing the level of global warming magnifies the pattern of river flow changes, \nalthough not in all cases. \n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, \nbut this was not always the case, with many basins showing similar or smaller ranges at \n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed11.pdf" + }, + { + "text": "Research \n\n**Cite this article:**Betts RA et al. 2018 Changes \nin climate extremes, fresh water availability \nand vulnerability to food insecurity projected \nat 1.5°C and 2°C global warming with a \nhigher-resolution global climate model. Phil. \nTrans. R. Soc. A**376**: 20160452. \nhttp://dx.doi.org/10.1098/rsta.2016.0452 \n\nAccepted: 13 February 2018 \n\nOne contribution of 20 to a theme issue ‘The \nParis Agreement: understanding the physical \nand social challenges for a warming world of \n1.5°C above pre-industrial levels’. \n\n**Subject Areas:**\nclimatology, hydrology \n\n**Keywords:**\n1.5°C, Paris Agreement, 2°C, global climate \nimpacts, water resources, terrestrial \necosystems \n\n**Author for correspondence:**\nRichard A. Betts \ne-mail: richard.betts@metoffice.gov.uk \n\n\n\nChanges in climate extremes, \nfresh water availability and \nvulnerability to food insecurity \nprojected at 1.5°C and 2°C \nglobal warming with a \nhigher-resolution global \nclimate model \nRichard A. Betts1,2, Lorenzo Alfieri3, Catherine \nBradshaw2, John Caesar2, Luc Feyen3, Pierre \nFriedlingstein4, Laila Gohar2, Aristeidis Koutroulis5, \nKirsty Lewis2, Catherine Morfopoulos1, Lamprini \nPapadimitriou5,6, Katy J. Richardson2, Ioannis Tsanis5 \nand Klaus Wyser7 \n\n1College of Life and Environmental Sciences, University of Exeter, \nExeter EX4 4PS, UK \n2Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK \n3European Commission – Joint Research Centre, 21027 Ispra, Italy \n4College of Engineering, Mathematics and Physical Sciences, \nUniversity of Exeter, Exeter EX4 4QE, UK \n5School of Environmental Engineering, Technical University of \nCrete—TUC, Chania 73100, Greece \n6Cranfield Water Science Institute, Cranfield University, Cranfield \nMK43 0AL, UK \n7Rossby Centre, SMHI, 601 76 Norrköping, Sweden \n\nRAB, 0000-0002-4929-0307 \n\nextremes, \nin weather \nWe \nhydrological \nimpacts and vulnerability to food \ninsecurity at global warming of 1.5°C and 2°C relative \nto pre-industrial, using a new global atmospheric \ngeneral circulation model HadGEM3A-GA3.0 driven \nby patterns of sea-surface temperatures and sea \nthe 5th Coupled \nice from selected members of \n\nprojected changes \n\n2018 The Authors. Published by the Royal Society under the terms of the \nCreative Commons Attribution License http://creativecommons.org/licenses/ \nby/4.0/, which permits unrestricted use, provided the original author and \nsource are credited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed11.pdf" + }, + { + "text": "**12**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \nmm \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 5.**Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for \nindividual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble \nmean. The labels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). \nTherefore, the ensemble-mean change is a reasonable guide to the results. \n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). \nThe greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil \nand a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. \nSoutheastern Africa showed larger increases than Central Africa. The HCVI decreased in three \ncountries: Mali, Burkino Faso and Sudan. \n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, \nwith increases in most assessed countries and generally similar sets of countries experiencing the \nlargest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI \nthan Central Africa, due to increased length of drought events projected in all ensemble members \n(not shown). The length of flood events was not projected to increase in this region. The Sahel \nregion consistently showed one or more countries with a small decrease in the HCVI, although \nthe precise country or countries varied between ensemble members. The decrease in HCVI here \nwas due to projected decreases in length of drought, with length of flood events projected to \nchange little. \n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase \nin length of flood events projected in all members, outweighing the beneficial impact of decreased \nlength of drought which is again projected in all members. \n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble \nmembers. Although the location of projected longer flood events varies across the country in \ndifferent members, the aggregation of the HCVI to the country level renders this geographical \nvariability irrelevant for such a large country because only the median value across the country \nis used in the HCVI. Some ensemble members project longer drought for Brazil, which again \ncontributed to increased HCVI.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed11.pdf" + }, + { + "text": "**22**\n\nvulnerability to food insecurity \n\n0.4 0.6 0.8 1.0 1.2 1.4 \n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n–0.2 \n. \n. \n. \n. \n**Figure 18.**Hunger and Climate Vulnerability Index at 1.5°C global warming (ensemble mean). \n. \n. \n. \n\n\n\n\n\n\n\n**Figure 19.**Difference in Hunger and Climate Vulnerability Index between 2°C and 1.5°C global warming, for individual ensemble \nmembers and ensemble mean. \n\n4. Discussion \n\nIn most cases, global mean changes at 2°C are larger than those at 1.5°C, not only for individual \nmembers but also for the ensemble as a whole. All ensemble members show increases in TXx at \n2°C which are larger than all changes at 1.5°C, and same true for most other variables.", + "page_start": 21, + "page_end": 21, + "source_file": "pubmed11.pdf" + }, + { + "text": "**Table 6.**Global mean changes at 1.5°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n1.2 \n\n10.0 \n−1.2 \n1.1 \n\n0.74 \n\n0.75 \n\n1.4 \n\n2.1 \n−3.4 4.9 2.6 \n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or \nmore. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater \nincreases in the tropics than mid-latitudes (electronic supplementary material).", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "ID \n\nunits \n°C \n% TXx \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nTX90p \n\npercentage of days above the 90th percentile \nof daily maximum temperature in the \n1981–2010 average \nhealth, agriculture and food security, \nwater resources and hydrology \n\n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nCDD maximum number of consecutive days with days \nhealth, agriculture and food security, \nwater resources and hydrology precipitation less than 1 mm \n\n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nRX5day mm \n\n**Table 1.**ClimPACT weather extremes indices. \n**5**\n\ndefinition sector of relevance \n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \nannual maximum daily maximum temperature health, agriculture and food security \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nmaximum consecutive 5 day precipitation \nhealth, agriculture and food security, \nwater resources and hydrology \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nmembers at any given date. Since specific levels of global warming such as 1.5°C or 2°C were \nreached at different times in the different ensemble members, according to the SST forcings used, \nany given level of global warming could be associated with different radiative forcings in different \nensemble members. In any given ensemble member at any specific level of global warming, the \nCO2 concentration and SSTs were the same as in the driving CMIP5 model at that GWL. Land \ncover was fixed in this simulation—there was no dynamic vegetation nor any time-dependent \nanthropogenic land use change. \nSome comparison of the higher-resolution atmospheric simulations with the original CMIP5 \nsimulations, is provided by Wyser*et al.*[20]. \n\n(b) Temperature and precipitation extremes: the ClimPACT indices \n\nTo quantify changes in weather extremes projected in our climate simulations, we calculated \na number of indices designed to be relevant to sector-specific impacts using an established \nmethodology, ClimPACT [21] (table 1) \n\n(c) Food security: the Hunger and Climate Vulnerability Index", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed11.pdf" + }, + { + "text": "| Model | Research institute | Country | Horizontal resolution |\n|---|---|---|---|\n| Model | Research institute | Country | Horizontal resolution |\n| GFDL-ESM2M | Geophysical Fluid Dynamics Laboratory | Teh United States | 144 × 90 |\n| HadGEM2-ES | Hadley Center for Climate Prediction and Research | Teh United Kingdom | 192 × 145 |\n| IPSL-CM5A-LR | L’ Institute Pierre-Simon Laplace | France | 96 × 96 |\n| NorESM1-M | Norway Climate Center | Norway | 144 × 96 |\n| MIROC-ESM | Center for Climate System Research, National Institute for Environmental Studies, and Frontier Research Center for Global Change | Japan | 128 × 64 |\n\n\n**Table 1.**Basic information of 5 ESMs in CMIP5. Horizontal resolution means the number of longitudinal \ngrids × the number of latitudinal grids. \n\n\n\n**Figure 1.**Changes of global temperature of 20 years moving average from 2020 to 2099 simulated by 5 ESMs \nunder 4 RCP scenarios. Note: The black horizontal dashed lines: global warming by 1.5 °C and 2.0 °C; the black \nvertical solid line: the years when global warming reaches 1.5 °C and 2.0 °C simulated by the selected models \nand scenarios. \n\nAlthough, so far there are plenty of research on the impacts of global warming by 1.5 °C temperature, includ- \ning the impacts comparison of global warming by 1.5 °C versus 2.0 °C44. It is necessary to do more quantitative \nimpacts assessments of global warming by 1.5 °C and 2.0 °C on crops yield and market price to address research \ngaps and support the requirement of the scientific community and governments. In this paper, the future climate \nsituations were selected and analyzed which are the approximate scenarios with global warming by 1.5 °C and \n2.0 °C, based on the simulation results from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. \nThen the per unit yield changes of maize all over the world under global warming by 1.5 °C and 2.0 °C were \nanalyzed and the spatial distributions of changes in maize yield were revealed relative to the baseline from \n1985 to 2006, applying crop model DSSAT (Decision Support System for Agrotechnology Transfer). Next, we \nexamine the effects of the resulting maize production shocks in different countries; the market price of maize is \nsimulated using GTAP to reveal the impacts of climate change on global crop trade. Finally, the future trend of \nmaize yield and market price in the main breadbasket is assessed and the adaptation suggestions are put forward \nfor maize cultivation. \n\n**Materials and methods**\n**Data processing.**\nIn this study, historical daily weather data (1986–2005) are from the AgMERRA dataset. \nAgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications \n(MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily \ntime-series data45. \n\nFor future (2020–2099), the original climate scenario data (Table 1) were extracted from output archives of \nfive ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M) \nunder four RCPs (RCP2.6, RCP4.5, RCP6.0, RCP8.5) retrieved from the CMIP website. The climate scenario data \nwas interpolated into 0.5° × 0.5° horizontal resolution and bias-corrected with respect to historical observations \nto remove systematic errors46. The data of maize-planting regions are from the gridded global dataset in 2000 \nby combining two data products47,48. \n\n**Simulation of climate scenarios with global warming by 1.5 °C and 2.0 °C.**\nIn this study, climate \ndata of global warming by 1.5 °C and 2.0 °C are determined according to the results of global climate models \ndriven by typical concentration paths (RCPs) of greenhouse gas emissions. Eligible data are selected from a \ntotal of 20 sets of data under four RCP scenarios of five ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL- \nCM5A-LR, MIROC-ESM-CHEM and NorESM1-M), which estimate the temperature, precipitation and sun- \nshine hours (Fig. 1).", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed9.pdf" + }, + { + "text": "27.9 \n−5.5 \n6.7 \n\n0.66 \n\n0.78 \n\n2.9 \n\n4.9 \n\n5.1 \n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India \nand Bangladesh, for which such increases are projected in all ensemble members to some extent. \nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although \nthe magnitude and location within the country varied between members. Similar increases are \nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members. \nThe HCVI calculated for 2°C global warming showed very large geographical variability \n(figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the \nclimate change simulated in different ensemble members leads to some variation in the HCVI at", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed11.pdf", + "query": "Regarding climate change simulation, what is JULES ?", + "target_page": 7, + "target_passage": "Impacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "In the present study, processing errors in the input data for one ensemble member, the \nHadGEM2-ES-driven member, caused the results to be invalid. Results for this member for the \nHCVI are, therefore, not presented here. \n\n**7**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n\n(d) Freshwater resources: run-off \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nImpacts on freshwater were assessed with a version of the JULES land surface model [24,25], a \ncoupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes \nof water, energy and carbon in an internally consistent way, typically applied at global scales. \nVariants of JULES form the land surface scheme of Met Office Hadley Centre Earth System \nModels [26,27] and have been used to assess impacts of climate change on global terrestrial \necosystems and hydrology [28–30] within such models. JULES can also be used outside of the \nEarth System Model (ESM), driven by meteorological outputs of other ESMs to assess impacts of \na wider range of climate projections [6,8]. Here we use a new, higher-resolution configuration of \nJULES on a global grid of 0.5° resolution [31]. \n\nIt has been noted that hydrological impacts models driven by climate-change projections \nfrom climate models tend to give more severe drying than simulated in the climate models \nthemselves [32–34]. This is largely attributed to the inclusion of plant stomatal closure in \nresponse to elevated CO2 in the climate model land surface schemes, which generally reduces \nevapotranspiration relative to climate projections without this process and hence further increases \nrun-off/streamflow or ameliorates decreases [34]. This process is often omitted from standard \nhydrological models. Plant physiological responses to CO2 are included in the JULES model, so \nour projections of changes in run-off here do account for this process. \n\nWe used each HadGEM3 simulation to drive JULES to simulate changes in run-off due to \nthe effects of climate change and CO2 rise on precipitation, evaporation and transpiration. We \nanalysed 30 year periods centred around the year of crossing GWLs of 1.5°C and 2°C relative to \npre-industrial. We examined changes in both mean flows and low flows (defined as the flows for \nthe lowest 10% of time). \n\n(e) Correcting biases in climate model output and implications for defining levels of global \n\nwarming \n\nThe ClimPACT extreme weather indices, HCVI and JULES run-off simulations were all performed \nusing outputs from the higher-resolution HadGEM3 projections described in §2a. However, there \nwere some differences in how these data were applied, with different approaches to the treatment \nof systematic biases in the climate model output. For the ClimPACT analysis, it was considered \nimportant to assess changes in the raw climate model output, because this directly represents \nthe behaviour of the model itself. The main focus was on the changes relative to the present- \nday baseline climate, defined as 1981–2010, with absolute values in either the baseline or the \nGWLs of 1.5°C and 2°C being only of secondary interest. For the HCVI and JULES run-off \nanalyses, however, it was considered important to correct for systematic biases in the climate \nmodel output, because these can lead to unrealistic representations of the key quantities in the \npresent-day simulation [35]. A bias-correction methodology was, therefore, applied for these two \nparts of the analysis, whereby the model output was adjusted to make it consistent with an \nobserved climatology [36]. We used a multi-segment statistical bias-correction methodology for \nprecipitation [37], and a modification of this for other variables [37].", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed11.pdf" + }, + { + "text": "**17**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n\n\n**Figure 11.**Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– \nhydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show \nthe 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of \nthe range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, \nin millimetres of rain equivalent. \n\nGFDL- \nESM2M \n1.9 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.0 MIROC- \nESM-CHEM \n1.5 ensemble \nmean \n1.7 ACCESS1-0 \n1.9 1.7 \n\n15.7 \n\n16.2 \n−1.3 \n4.5 19.2 \n−5.4 \n4.6 \n\n14.1 \n\n18.3 \n−3.8 \n4.3 15.6 \n−1.6 \n3.6 \n\n0.7 0.0 \n\n3.6 4.0 \n\n0.48 n.a. 0.39 0.16 0.31 0.42 \n\n0.73 n.a. 0.73 0.79 0.73 0.75 \n\n0.9 3.1 1.3 3.9 2.4 2.2 \n\n0.7 5.4 0.7 6.7 5.0 3.9 \n\n0.3 5.9 2.2 5.9", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "The high-resolution simulations were performed using the HadGEM3A Global Atmosphere \n(GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with \ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of \nthe HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of \nclimate models [12]. This represents the third generation of HadGEM configurations, leading \non from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. \nKey improvements over the previous model, HadGEM2, include increased vertical levels in the \natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. \nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met \nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution \nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher \nresolution [18,19]. \n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for \nan improved representation of atmospheric and land surface processes including extremes by \nusing higher spatial resolution [11]. \n\n**4**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK \nMet Office Unified Model (MetUM) which has been developed for use for both climate research \nand weather prediction applications. It is the result of converging the development of the Met \nOffice’s weather and climate global atmospheric model components so that, where possible, \natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and \ntimescales. \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nWe ran the model using only its atmosphere and land components, with time-varying sea- \nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This \napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications \nof the higher resolution for projections of climate extremes and impacts—an atmosphere- \nonly simulation requires considerably less computing time than a coupled ocean–atmosphere \ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in \nregional climate changes by using SSTs and SICs from different climate models. To explore these \nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric \nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 \nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial \ninfluence on regional patterns of climate change over land, so using a range of SST and SIC \npatterns in a single atmosphere model goes some way towards representing the range of regional \nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This \napproach will not capture the full range of uncertainty affecting regional climate changes over \nland, because it still relies on one atmosphere model and one land surface scheme, so responses \nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions \nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that \nour experimental design avoids the reliance on one single realization of climate and hence allows \nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + }, + { + "text": "**9**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n –2 –1 0 1 \n2 \n°C \n3 4 5 6 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 2.**Simulated changes in annual daily maximum temperature relative to 1981–2010 at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n**Table 4.**Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven \nby different sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data \nis applied to the HCVI calculation and JULES simulations. \n\n1.5°C \n2024 2.0°C \n2035 \n\ndriving SSTs \n\nIPSL-CM5A-LR \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nGFDL-ESM2M 2036 2051 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nHadGEM2-ES 2019 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nIPSL-CM5A-MR 2023 2036 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nMIROC-ESM-CHEM 2020 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nACCESS1-0 2026 2040 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "**60KM GLOBAL PROJECTIONS**\n**20 plausible climate futures. Latest Hadley Centre climate model. Simulations**\n**of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models. \n\n**25KM PROBABILISTIC PROJECTIONS**\n**Captures natural variability and climate change . Updated models and**\n**observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP0911. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided12. \n\n**DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n**Downscaled versions of the global model for the UK. For the most spatially**\n**detailed downscaling this includes hourly data. Simultaneous impacts captured**\n**at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.", + "page_start": 2, + "page_end": 2, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**11**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 4.**Simulated changes in the number of consecutive dry days relative to 1981–2010, at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\nGFDL- \nESM2M \n2.8 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.9 MIRC-ESM- \nCHEM \n2.4 ensemble \nmean \n2.6 ACCESS1-0 \n2.8 2.5 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\n**Table 5.**Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n2.1 \n\n20.1 \n−3.0 \n3.5 \n\n24.3 \n\n24.9 \n−3.4 \n6.9 29.0 \n−5.7 \n6.8 23.5 \n−2.0 \n6.0 25.0 \n−2.9 \n5.9 \n\n0.9 \n\n5.4 \n\n0.76 0.89 n.a. 0.38 0.38 0.61 \n\n0.83 0.82 n.a. 0.75 0.73 0.78 \n\n2.1 3.4 5.0 3.0 5.3 4.0 \n\n2.4 \n−2.0 \n\n6.5 8.1 4.4 8.6 5.8 \n\n3.8 11.2 8.0 9.4 5.9", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "2. Methods and models \n(a) Global climate simulations at 1.5°C and 2°C global warming \n\nThere are a number of ways in which 1.5°C or 2°C global warming can be defined—one could \nbe the long-term climate state following a stabilization of warming at that level, another could \nbe the state over a shorter period around the time of first reaching that level. Here we choose the \nsecond definition, which is what is seen first and hence needs to be adapted to. There are also \na number of methods with which such changes can be assessed [10]. We take the opportunity \nof availability of a new set of higher-resolutions transient climate and impacts simulations, and \nuse a time-sampling methodology [10] to assess global-scale impacts at these resolutions for the \nfirst time.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed11.pdf" + }, + { + "text": "**15**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n–75 –50 –10 –1 \n0 \n% \n1 10 50 75 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n\n**Figure 9.**Changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under six climate simulations \nat 2°C global warming. (a) Ensemble mean and (b) percentage of models agreeing on increased flow. \n\n. \n. \n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows \nwhere changes in mean flows were small. Changes in high run-off show similar patterns and \nmagnitudes to those in mean run-off. \n\nThe simulated changes in both mean and low run-off flows show substantial differences \namong the six simulations (figures 10 and 11). In most basins examined here, the range of \noutcomes include both increases and decreases in mean and low flows for any particular basin, \nbut generally with the largest proportion simulating increases in both mean and low flows. In a \nfew cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed \nentirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the \nprojected flow increases in the Ganges for 2°C global warming ranging from approximately 30% \nto more than 110%. \n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, \nOrange, Danube and Guadiana basins where the range of projected extends more towards \ndecreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C \nglobal warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C \nglobal warming for these basins. \n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the \nNiger, the range of mean flow changes extended more towards increases whereas the range of \nlow flow changes extended more towards decreases. \n\n(b) Impacts at 1.5°C global warming compared to 2°C \n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and \nrun-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; \nfigures 12 and 13). The exceptions to these are mean and low run-off which each show one \ninstance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing \nlarger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two \nGWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed11.pdf" + }, + { + "text": "**13**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n–3 \n3 \n0 \nchange in length of average flood event (days) \n–2 –1 1 2 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \nMIROC-ESM-CHEM \n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 6.**Simulated changes in the average length of flood events (number of days in which the cumulative daily rainfall excess \nis positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven \nby SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify \nthe driving CMIP5 model (or ensemble mean). \n\n\n–0.2 0 \n0.2 \n1.0 \n0.6 \nvulnerability to food insecurity \n0.4 0.8 1.2 1.4 \n\n\n\n\n\n**Figure 7.**Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five \nindividual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble \nmean.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed11.pdf" + }, + { + "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with \nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a \nrange of outcomes for future climate change, including high and low climate sensitivity, different \nbiases in baseline precipitation climatology, and different global patterns of precipitation change. \nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global \nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global \nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, \nwhich means that the results here may be sensitive to systematic errors arising from biases in the \npresent-day SST patterns. \n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 \nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol \nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse \ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed10.pdf", + "query": "Which of #climatechange and #globalwarming is the most used ?", + "target_page": 5, + "target_passage": "A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained #globalwarming", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**No.**\n\n23 \n24 \n25 \n26 \n27 \n28 \n29 \n30 \n31 \n32 \n33 \n34 \n35 \n36 \n37 \n38 \n39 \n40 \n41 \n42 \n43 \n44 \n45 \n46 \n47 \n48 \n49 \n50 \n\n**#Globalwarming**\n\n**Hashtag** **Centrality**\n\nsnow \nworld \ngop*\narctic \nwinter \np2*\ndrought \nepa*\nglobal \neco \nactonclimate \nhealth \nun*\nsolar \neconomy \nhoax \ncalifornia \npolitics \nindia \nchina \nplanet \nparisagreement*\nheatwave \nsummer \nnyc*\nnasa \nfuture \noil 0.161 \n0.157 \n0.156 \n0.150 \n0.145 \n0.144 \n0.142 \n0.141 \n0.137 \n0.137 \n0.136 \n0.134 \n0.133 \n0.132 \n0.131 \n0.131 \n0.130 \n0.129 \n0.128 \n0.127 \n0.127 \n0.126 \n0.125 \n0.121 \n0.118 \n0.118 \n0.118 \n0.117 \n\n**Table 1.**Cont. \n\n**#Climatechange**\n\n**Hashtag** **Centrality**\n\nco2 \nweather \nsolar \neconomy \nauspol \neducation \nnews \ndrought \ncoal \nsustainable \ncdnpoli \nsdgs \nchina \ngop \nfood \nun \ncop24*\nagriculture \nenvironmental \nfossilfuels \narctic \nepa*\nbiodiversity \nfuture \ncanada \nemissions \nobama \npolitics 0.174 \n0.169 \n0.165 \n0.164 \n0.163*\n0.155 \n0.152 \n0.150 \n0.147 \n0.147 \n0.144*\n0.143*\n0.143 \n0.143*\n0.141 \n0.141*\n0.140 \n0.138 \n0.136 \n0.134 \n0.134 \n0.133 \n0.132 \n0.131 \n0.128 \n0.128 \n0.127 \n0.125 \n\n4.2. Association Network Analysis \n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes \nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of \nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and \nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for \nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each \ncluster are also summarized and represented in the network depicted in Figure 2. \n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer \nto general facts about global climate issues, sharing words about the causes or effects concerning \nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes \nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the \nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as \nagriculture, biodiversity, education, and politics. \n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses \non the responsibility to tackle climate change, where several global action hashtags are included, such \nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in \nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the \ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including \n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed10.pdf" + }, + { + "text": "Article \n**#Climatechange vs. #Globalwarming: Characterizing**\n**Two Competing Climate Discourses on Twitter with**\n**Semantic Network and Temporal Analyses**\n\n**Wen Shi 1, Haohuan Fu 1,2, Peinan Wang 3, Changfeng Chen 3 and Jie Xiong 4,***\n\n1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, \n\nTsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); \nhaohuan@tsinghua.edu.cn (H.F.) \n\n2 National Supercomputing Center in Wuxi, Wuxi 214000, China \n3 \n\nSchool of Journalism and Communication, Tsinghua University, Beijing 100084, China; \nwpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.) \nStrategy and Innovation Department, Rennes School of Business, 35065 Rennes, France \n\n4 \n** ***Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79 \n\n**Abstract:**Distinct perceptions of the global climate is one of the factors preventing society from \nachieving consensus or taking collaborative actions on this issue. The public has not even reached \nan agreement on the naming of the global concern, showing preference for either “climate change” \nor “global warming”, and few previous studies have addressed these two competing discourses \nresulting from distinct climate concerns by differently linking numerous climate concepts. Based on \nthe 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 \nand 31 December 2018, we constructed the semantic networks of the two discourses and examined \ntheir evolution over the decade. The findings indicate that climate change demonstrated a more \nscientific perspective and showed an attempt to condense climate discussions rather than diffuse the \ntopic by frequently addressing sub-topics simultaneously. Global warming triggered more political \nresponses and showed a greater connection with phenomena. Temporal analysis suggests that \ntraditional political discussions were gradually fading in both discourses but more recently started to \nrevive in the form of discourse alliance in the climate change discourse. The associations between \nglobal warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is \nbecoming more dominant than global warming in public discussions. Although two discourses have \nshown more similarities in the rank order of important climate concepts, apparent disagreements \ncontinue about how these concepts are associated. These findings lay the groundwork for researchers \nand communicators to narrow the discrepancy between diverse climate perceptions. \n\n**1. Introduction**\n\nThe public’s distinct understanding of the cause and effect of the global climate issue is an obstacle \nto joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], \nprevious studies noticed that the public had even failed to reach an agreement on whether “climate \nchange” or “global warming” is the most appropriate definition of the global climate concern [3–5]. \nAccording to the definition provided by [6], global warming describes global climate issues as \na continuous increase in the average temperature of Earth’s surface due to anthropogenic emissions \nof greenhouse gases, whereas climate change includes not only temperature rise but also a range of \n\nInt. J. Environ. Res. Public Health**2020**, 17, 1062; doi:10.3390/ijerph17031062 www.mdpi.com/journal/ijerph", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed10.pdf" + }, + { + "text": "**Figure 5.**The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to \n2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to \n2018 (**b**). \n\nAs the climate change and global warming discourses evolved over the past years, their relative \nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people \nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of \n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame \npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times \nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 \nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into \ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were \n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. \n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable \nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and \n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP \nanalysis showed that the associations between the two discourses were correlated in the 10-year period \n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals \nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did \nnot show a rising trend with the correlation of nodes’ rank order. \n\n**Figure 6.**Rank order correlation between hashtags in the climate change and global warming discourses \nfrom 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global \nwarming discourse from 2009 to 2018 (**b**). \n\n**5. Discussion**\n\n5.1. Themes and Structure of the Two Discourses \n\n5.1.1. Phenomenon vs. Mechanism of Action \n\nClimate change and global warming have long been two competing frameworks shaping the \npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed10.pdf" + }, + { + "text": "**3. Methods**\n\n3.1. Data Source \n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] \nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions \nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing \nin terms of the number of active users, user demographics, and tweeting conventions in the past \nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter \nis one of the most popular social websites, we defined our study as characterizing the perception of \nclimate issues among social media users rather than all the netizens or the whole population. \n\n3.2. Data \n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, \nas these two hashtags exactly correspond to climate change and global warming, respectively, the two \ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global \nwarming) as query hashtags in our research because we think that this refers to global warming in \na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the \nscope of the search to English-language tweets generated between 1 January 2009 and 31 December \n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather \nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or \nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies. \n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to \nselect hashtags, language, start date, and end date as inputs. Once the first request was completed, \nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending \norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain \nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler \nwas automatically terminated when all the qualified tweets publicly available were collected. Our \ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in \nour study. \n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets \ncontaining both hashtags simultaneously were excluded to differentiate between the two datasets \nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, \nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange \nand #globalwarming in each year is displayed in Figure 1a. \n\n**Figure 1.**The number of tweets containing #climatechange or #globalwarming, and their ratio from \n2009 to 2018 (**a**). The number of hashtags contained in the “climate change” or “global warming” \ndatasets, and their ratio from 2009 to 2018 (**b**).", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed10.pdf" + }, + { + "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library \nin Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed \n(e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the “climate change” dataset \ncontained the #climatechange hashtag and all the tweets in the “global warming” dataset contained the \n#globalwarming hashtag, we did not document these two hashtags when processing data. The number \nof hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose \nfrequency was lower than ten times are excluded in the network analysis. As hashtags are intended \nto be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, \nand excluding them helps researchers focus on meaningful rather than occasional associations. \n\n3.3. Measurement \n\n3.3.1. Hashtag Co-Occurrence Network \n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build \nsemantic networks for climate change and global warming. For instance, for “#cimatechange \nredistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic”, a tweet in the climate \nchange dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus \none in the semantic network of climate change. In the semantic network, nodes represent hashtags and \nthe weight of edge refers to the frequency at which two hashtags co-occurred. \n\nWe visualized the network using Gephi software [81]. Following the established literature \n[60,61,82], only the most prominent hashtags were included in the visualization to concentrate our \nanalysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality \nin each network were selected for visualization. Modularity analysis was then analyzed to identify the \nclusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn \nin the same color. The network spatialization was conducted with Gephi’s built-in force-directed \nlayout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, \nthe closer they are to each other in the spatial layout. \n\nA temporal analysis was introduced to understand the evolution of the two climate discourses \nover a long period. We first examined how the two semantic networks evolved in the past years. \nAll the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each \ndataset. Then, they were clustered according to the strength of their associations in the whole dataset \nand mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the \ndynamic network function supplied by Gephi, we then added the associations between the nodes \nranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes \nfor 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the \nnodes on the 10 maps are the same, but the strengths of their associations are different to represent the \nchanges in the associations of key hashtags for each discourse.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed10.pdf" + }, + { + "text": "In the global warming network, politics was the second-largest discourse cluster (20% of the \nnetwork), where “tcot”, short for “Top Conservatives on Twitter”, was the node ranked highest, \nand “p2”, short for “Progressives 2.0”, is also included. Several political figures, such as Obama and Al \nGore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster \n(16%), including both domestic efforts, such as “us”, “trump”, “climatechangeisreal”, “climateaction”, \nand “epa”, and two international items, like “china” and “india”. The fourth cluster (in blue) referred \nto emissions, including hashtags like “co2”, “green”, and “carbon”. The smallest cluster (8%) was \ncomposed of “snow”, “winter”, “heatwave”, and “summer”, referring to the temperature abnormalities \non the earth. \n\n4.3. Temporal Analysis of the Associations in the Two Discourses \n\nThe online presentations of the climate change and global warming discourses are dynamic. \nAs shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central \nhashtags each year for all 10 years, with 16 for the climate change”discourse. By comparing the 11 \nnodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that \nthe two lists shared nine concepts. We found “pollution” and “earth” were unique to the keyword list \nof the global warming discourse, and “economy”, “water”, “china”, “coal”, “solar”, “sustainability”, \nand “food” only occurred on the critical list for the climate change discourse. \n\n**Table 2.**Hashtags that remained on the top 50 list for the climate change or the global warming \ndiscourse from 2009 to 2018. \n\n**Unique** **Shared**\n\n#climatechange \n#globalwarming china, solar, water, food, economy, coal, sustainability \npollution, earth co2, news, carbon, green, climate, \nus, energy, science, environment \n\nFigures 3 and 4 show the overall evolution of critical hashtags’ associations in the 10-year period, \nwhere the nodes in the 10 graphs are located in the same position but the strength of associations varies \nacross longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary \nMaterials. Four themes were identified in each discourse according to the nodes’ associations. To more \nexplicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of \nthe degree centrality of all the nodes belonging to each cluster and their change in centrality over the \n10 years, as shown in Figure 5. \n\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year \nfrom 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the \nclimate change discourse, especially more recently. However, some scientific hashtags, such as “ghg” \n(greenhouse gas), “co2”, and “forests”, were not identified in the scientific cluster but in the global \nactions cluster (in yellow) because these hashtags were frequently used in the global action context and \nidentified with a closer semantic association to global action by Gephi. In addition to these hashtags, \nthe global action cluster included a series of international activities, such as “ipcc” (Intergovernmental \nPanel on Climate Change), “unfccc” (United Nations Framework Convention on Climate Change), \nand “cop” (Conferences of the Parties) for almost every year. The blue cluster includes to political \nhashtags, such as “uniteblue”, “sgp”, “p2”, and “tcot”. In 2017 and 2018, the associations with political \nhashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining \n“technology”, “innovation”, “education”, “africa”, “healthcare”, and “politics”. The centrality sum of \nthe nodes in the red cluster remained rather low throughout the 10-year period but obviously increased \nin the last two years of the period according to Figure 5a.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed10.pdf" + }, + { + "text": "**6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public \ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how \nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter \nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing \nclimate discourses and discovered how these two discourses evolved. \n\nWe found that broad scientific, social, political, and international discussions are the topics \nof public climate discourse. Although the semantic difference between climate change and global \nwarming seems subtle, the differences in their cognitive associations are not trivial. Despite some \nshared concerns between the two discourses, “global warming” is more politicized and focuses more on \ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact \ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis \nrevealed that traditional political discussions decreased in both discourses but climate change started to \nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s \nassociations to extreme events and temperature change were suddenly strengthened around 2012. \nClimate change is becoming dominant compared with global warming in public discussions. Although \nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable \ndiscrepancy still exists in the way in which they get concepts associated. These observations may \nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between \ndiverse climate perceptions. \n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media \ndata rather than samples, discrepancies still exist between social media users and the public. As most \nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics \nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global \ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer \ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. \nConsidering the historical background of climate issues, age might influence how individuals perceive \nclimate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) \nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% \nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of \nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular. \nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute \nand supplement for polling [108], we thought our results should be further examined before being \ngeneralized to the whole population.", + "page_start": 15, + "page_end": 15, + "source_file": "pubmed10.pdf" + }, + { + "text": "The correlation between climate change and global warming discourses was measured every \nyear to observe whether the two discourses converged or diverged over time. Considering computing \npower limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that \nyear were included in the calculations. First, we measured to what extent the two discourses resemble \neach other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags \nin each network were selected with a rank order according to their centrality. Then, Spearman’s rank \ncorrelation coefficient was used to examine the correlation of the rank orders of the selected nodes \nin the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two \ndiscourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled \neach other in the associations between the key hashtags for each year. For every year, we obtained the \nunion of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed10.pdf" + }, + { + "text": "104. Walter, S.; De Silva-Schmidt, F.; Brüggemann, M. From “knowledge brokers” to opinion makers: How \nphysical presence affected scientists’ Twitter use during the COP21 climate change conference. Int. J. Commun. \n**2017**, 11, 570–591. \n\n105. Peterson, T.C.; Connolley, W.M.; Fleck, J. The myth of the 1970s global cooling scientific consensus. Bull. Am. \n\nMeteorol. Soc.**2008**, 89, 1325–1338. [CrossRef] \n\n106. Mazur, A. Global environmental change in the news: 1987–1990 vs. 1992–1996. Int. Sociol.**1998**, 13, 457–472. \n\n[CrossRef] \n\n107. Statista. Reach of Selected Social Networks in the United States as of February 2017, by Age Group. Available \nonline: https://www.statista.com/statistics/305245/us-social-network-penetration-age-group/ (accessed on 16 \nJanuary 2020). \n\n108. O’Connor, B.; Balasubramanyan, R.; Routledge, B.R.; Smith, N.A. From tweets to polls: Linking text sentiment \nto public opinion time series. In Proceedings of the Fourth International AAAI Conference on Weblogs and \nSocial Media, Washington, DC, USA, 23–26 May 2010. \n\n109. Zannettou, S.; Caulfield, T.; De Cristofaro, E.; Sirivianos, M.; Stringhini, G.; Blackburn, J. Disinformation \nwarfare: Understanding state-sponsored trolls on Twitter and their influence on the web. In Proceedings \nof the Companion of The 2019 World Wide Web Conference, San Francisco, CA, USA, 13–17 May 2019; \npp. 218–226. \n\n110. Shao, C.; Ciampaglia, G.L.; Varol, O.; Yang, K.C.; Flammini, A.; Menczer, F. The spread of low-credibility \n\ncontent by social bots. Nat. Commun.**2018**, 9, 4787. [CrossRef] \n\n© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access \narticle distributed under the terms and conditions of the Creative Commons Attribution \n(CC BY) license (http://creativecommons.org/licenses/by/4.0/).", + "page_start": 21, + "page_end": 21, + "source_file": "pubmed10.pdf" + }, + { + "text": "column name to create two matrices. One matrix was created for the climate change discourse, and we \nfilled the cell whose column name and row name were among the top 50 list in the climate change \ndiscourse with the frequency at which the two hashtags were associated in this discourse, and the \nother cells were filled with 0. This was repeated for the global warming matrix. We thus obtained \ntwo matrices with the same row and column names but different values in the cells. Then, the two \nmatrices were input to the quadratic assignment procedure (QAP) [85] analysis provided by UCINET \nsoftware [86] to assess their correlation for each year. \n\n**4. Results**\n\n4.1. General Descriptions \n\nAssociation networks surrounding #climatechange and #globalwarming showed different \nproperties. The climate change discourse included 38,821 hashtags, whereas the global warming \ndiscourse only contained 8788 hashtags. Table 1 displays the 50 most significant hashtags in the \ntwo discourses based on centrality. As some hashtags were used in the form of an abbreviation or \nphrase, explanations are provided in the table. Two networks shared 32 out of the 50 most significant \nwords. Hashtags “canada”, “cdnpoli”, “sdgs”, “biodiversity”, “education”, “environmental”, “cop24”, \n“sustainable”, “auspol”, “food”, “agriculture”, “cleanenergy”, “renewableenergy”, “renewables”, \n“emissions”, “coal”, “fossilfuels”, and “cop21” only showed up on the top 50 list of the “climate change” \nnetwork. Hashtags “tcot”, “california”, “p2”, “nyc”, “snow”, “agw”, “summer”, “global”, “winter”, \n“india”, “planet”, “heatwave”, “hoax”, “nasa”, “algore”, “world”, “oil”, and “eco” were unique on the \ntop 50 list of the global warming network. The two lists only shared three out of the top five hashtags. \nIn the #climatechange network, “climateaction” was ranked third place and “sustainability” was \nranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the \n#globalwarming network. In the #globalwarming network, “earth” and “weather” were among the \ntop five nodes, whereas they were ranked 14th and 24th in the #climatechange network, respectively. \n\n**Table 1.**The top 50 central hashtags on Twitter surrounding #climatechange and #globalwarming from \n2009 to 2018. The hashtag with*is explained in Appendix A in ascending alphabetical order. \n\n**#Climatechange**\n**No.**\n**Hashtag** **Centrality**\n\n1 \n2 \n3 \n4 \n5 \n6 \n7 \n8 \n9 \n10 \n11 \n12 \n13 \n14 \n15 \n16 \n17 \n18 \n19 \n20 \n21 \n22 climate \nenvironment \nclimateaction \nsustainability \nscience \nenergy \ntrump \nus*\ncop21*\nparisagreement*\nactonclimate*\nwater \npollution \nearth \ngreen \nclimatechangeisreal \nrenewableenergy*\nhealth \nnature \nrenewables \ncleanenergy \ncarbon 0.466 \n0.465 \n0.391 \n0.316 \n0.314 \n0.283 \n0.257 \n0.247 \n0.232 \n0.232 \n0.225 \n0.221 \n0.210 \n0.207 \n0.200 \n0.195 \n0.194 \n0.193 \n0.187 \n0.186 \n0.176 \n0.175 \n\n**#Globalwarming**\n\n**Hashtag** **Centrality**\n\nclimate \nenvironment \nscience \nearth \nweather \nus*\ntrump \npollution \nco2 \ngreen \ntcot*\nnature \nnews \nenergy \nclimatechangeisreal \nobama \nclimateaction \nalgore*\nwater \nagw*\ncarbon \nsustainability 0.530 \n0.446 \n0.319 \n0.296 \n0.280 \n0.280 \n0.263 \n0.256 \n0.244 \n0.239 \n0.229 \n0.213 \n0.198 \n0.192 \n0.187 \n0.181 \n0.175 \n0.174 \n0.171 \n0.164 \n0.164 \n0.163", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed10.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed10.pdf", + "query": "Is the #climateaction hashtag more bound the #globalwarming of #climatechange ?", + "target_page": 7, + "target_passage": "In the #climatechange network, “climateaction” was ranked third place and “sustainability” was ranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the #globalwarming network", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**No.**\n\n23 \n24 \n25 \n26 \n27 \n28 \n29 \n30 \n31 \n32 \n33 \n34 \n35 \n36 \n37 \n38 \n39 \n40 \n41 \n42 \n43 \n44 \n45 \n46 \n47 \n48 \n49 \n50 \n\n**#Globalwarming**\n\n**Hashtag** **Centrality**\n\nsnow \nworld \ngop*\narctic \nwinter \np2*\ndrought \nepa*\nglobal \neco \nactonclimate \nhealth \nun*\nsolar \neconomy \nhoax \ncalifornia \npolitics \nindia \nchina \nplanet \nparisagreement*\nheatwave \nsummer \nnyc*\nnasa \nfuture \noil 0.161 \n0.157 \n0.156 \n0.150 \n0.145 \n0.144 \n0.142 \n0.141 \n0.137 \n0.137 \n0.136 \n0.134 \n0.133 \n0.132 \n0.131 \n0.131 \n0.130 \n0.129 \n0.128 \n0.127 \n0.127 \n0.126 \n0.125 \n0.121 \n0.118 \n0.118 \n0.118 \n0.117 \n\n**Table 1.**Cont. \n\n**#Climatechange**\n\n**Hashtag** **Centrality**\n\nco2 \nweather \nsolar \neconomy \nauspol \neducation \nnews \ndrought \ncoal \nsustainable \ncdnpoli \nsdgs \nchina \ngop \nfood \nun \ncop24*\nagriculture \nenvironmental \nfossilfuels \narctic \nepa*\nbiodiversity \nfuture \ncanada \nemissions \nobama \npolitics 0.174 \n0.169 \n0.165 \n0.164 \n0.163*\n0.155 \n0.152 \n0.150 \n0.147 \n0.147 \n0.144*\n0.143*\n0.143 \n0.143*\n0.141 \n0.141*\n0.140 \n0.138 \n0.136 \n0.134 \n0.134 \n0.133 \n0.132 \n0.131 \n0.128 \n0.128 \n0.127 \n0.125 \n\n4.2. Association Network Analysis \n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes \nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of \nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and \nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for \nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each \ncluster are also summarized and represented in the network depicted in Figure 2. \n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer \nto general facts about global climate issues, sharing words about the causes or effects concerning \nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes \nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the \nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as \nagriculture, biodiversity, education, and politics. \n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses \non the responsibility to tackle climate change, where several global action hashtags are included, such \nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in \nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the \ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including \n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed10.pdf" + }, + { + "text": "To be specific, although “ipcc”, “cop”, and “un” were mentioned in both discourses (yellow \nin Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly different \nmeanings. As mentioned in the results section, these hashtags were associated with a series of scientific \nhashtags in the climate change discourse, appealing to global efforts. In the global warming discourse, \nthey were clustered with “hoax” and “frame”, showing lack of belief in climate issue facts and hesitation \nabout global efforts. More recently, when discussions about temperature, politics, and hesitation \nsignificantly shrank in the global warming discourse, the wo discourses showed more similarities about \nthe importance of scientific concepts according to Figure 5a,b. However, links between global efforts \nand scientific facts were not constructed in the global warming discourse. According to a network \nmodel for cognition, the lack of associations means fewer psychological activations will spread to", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed10.pdf" + }, + { + "text": "5.1.3. Discourse Structure \n\nIn the discourse surrounding #climatechange, “environment”, “energy”, and “global action” \nrepresented the themes of the three largest clusters in the network. However, three popularly recurring \nhashtags, “#environment”, “#energy”, and “#climateaction”, did not belong to any of the three clusters \nabove, but formed another small tight cluster together, sitting in the most central part of the semantic \nnetwork, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of \nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by \n#climatechange users to address all three communities together [91], consolidating climate change as \na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags’ \nfunction of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed10.pdf" + }, + { + "text": "Article \n**#Climatechange vs. #Globalwarming: Characterizing**\n**Two Competing Climate Discourses on Twitter with**\n**Semantic Network and Temporal Analyses**\n\n**Wen Shi 1, Haohuan Fu 1,2, Peinan Wang 3, Changfeng Chen 3 and Jie Xiong 4,***\n\n1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, \n\nTsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); \nhaohuan@tsinghua.edu.cn (H.F.) \n\n2 National Supercomputing Center in Wuxi, Wuxi 214000, China \n3 \n\nSchool of Journalism and Communication, Tsinghua University, Beijing 100084, China; \nwpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.) \nStrategy and Innovation Department, Rennes School of Business, 35065 Rennes, France \n\n4 \n** ***Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79 \n\n**Abstract:**Distinct perceptions of the global climate is one of the factors preventing society from \nachieving consensus or taking collaborative actions on this issue. The public has not even reached \nan agreement on the naming of the global concern, showing preference for either “climate change” \nor “global warming”, and few previous studies have addressed these two competing discourses \nresulting from distinct climate concerns by differently linking numerous climate concepts. Based on \nthe 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 \nand 31 December 2018, we constructed the semantic networks of the two discourses and examined \ntheir evolution over the decade. The findings indicate that climate change demonstrated a more \nscientific perspective and showed an attempt to condense climate discussions rather than diffuse the \ntopic by frequently addressing sub-topics simultaneously. Global warming triggered more political \nresponses and showed a greater connection with phenomena. Temporal analysis suggests that \ntraditional political discussions were gradually fading in both discourses but more recently started to \nrevive in the form of discourse alliance in the climate change discourse. The associations between \nglobal warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is \nbecoming more dominant than global warming in public discussions. Although two discourses have \nshown more similarities in the rank order of important climate concepts, apparent disagreements \ncontinue about how these concepts are associated. These findings lay the groundwork for researchers \nand communicators to narrow the discrepancy between diverse climate perceptions. \n\n**1. Introduction**\n\nThe public’s distinct understanding of the cause and effect of the global climate issue is an obstacle \nto joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], \nprevious studies noticed that the public had even failed to reach an agreement on whether “climate \nchange” or “global warming” is the most appropriate definition of the global climate concern [3–5]. \nAccording to the definition provided by [6], global warming describes global climate issues as \na continuous increase in the average temperature of Earth’s surface due to anthropogenic emissions \nof greenhouse gases, whereas climate change includes not only temperature rise but also a range of \n\nInt. J. Environ. Res. Public Health**2020**, 17, 1062; doi:10.3390/ijerph17031062 www.mdpi.com/journal/ijerph", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed10.pdf" + }, + { + "text": "**Figure 5.**The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to \n2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to \n2018 (**b**). \n\nAs the climate change and global warming discourses evolved over the past years, their relative \nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people \nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of \n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame \npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times \nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 \nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into \ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were \n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. \n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable \nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and \n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP \nanalysis showed that the associations between the two discourses were correlated in the 10-year period \n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals \nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did \nnot show a rising trend with the correlation of nodes’ rank order. \n\n**Figure 6.**Rank order correlation between hashtags in the climate change and global warming discourses \nfrom 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global \nwarming discourse from 2009 to 2018 (**b**). \n\n**5. Discussion**\n\n5.1. Themes and Structure of the Two Discourses \n\n5.1.1. Phenomenon vs. Mechanism of Action \n\nClimate change and global warming have long been two competing frameworks shaping the \npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed10.pdf" + }, + { + "text": "then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were \nincluded in the discourse. Notably, the red node in the top right-hand corner named “2012” refers \nto the Maya prediction that the year 2012 would be the end of the world and that the world would \nbe destroyed by extreme natural events, and was linked to other climate hashtags for the first time \nin the graph exactly in 2012. The blue nodes included the political hashtags, such as “maga”, “ows”, \n“p2”, “tcot”, and “obama”. The involvement of political hashtags in the global warming discourse was \nsignificantly higher than that in the climate change discourse according to the comparison between \nFigure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, \nas shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in \nFigure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts \nand actions, where words describing global efforts, such as “ipcc”, “cop15”, and “un”, and words \nquestioning global warming, such as “hoax” and “fraud”, were both included. The associations \nbetween the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following \nyears. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of \nclimate issue, including words such as “ecology”, “ocean”, and “cleanenergy”. Associations between \nscientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious \nrising trend in dominating the theme of the global warming discourse, according to Figure 5.", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed10.pdf" + }, + { + "text": "**3. Methods**\n\n3.1. Data Source \n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] \nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions \nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing \nin terms of the number of active users, user demographics, and tweeting conventions in the past \nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter \nis one of the most popular social websites, we defined our study as characterizing the perception of \nclimate issues among social media users rather than all the netizens or the whole population. \n\n3.2. Data \n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, \nas these two hashtags exactly correspond to climate change and global warming, respectively, the two \ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global \nwarming) as query hashtags in our research because we think that this refers to global warming in \na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the \nscope of the search to English-language tweets generated between 1 January 2009 and 31 December \n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather \nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or \nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies. \n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to \nselect hashtags, language, start date, and end date as inputs. Once the first request was completed, \nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending \norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain \nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler \nwas automatically terminated when all the qualified tweets publicly available were collected. Our \ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in \nour study. \n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets \ncontaining both hashtags simultaneously were excluded to differentiate between the two datasets \nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, \nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange \nand #globalwarming in each year is displayed in Figure 1a. \n\n**Figure 1.**The number of tweets containing #climatechange or #globalwarming, and their ratio from \n2009 to 2018 (**a**). The number of hashtags contained in the “climate change” or “global warming” \ndatasets, and their ratio from 2009 to 2018 (**b**).", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed10.pdf" + }, + { + "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library \nin Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed \n(e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the “climate change” dataset \ncontained the #climatechange hashtag and all the tweets in the “global warming” dataset contained the \n#globalwarming hashtag, we did not document these two hashtags when processing data. The number \nof hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose \nfrequency was lower than ten times are excluded in the network analysis. As hashtags are intended \nto be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, \nand excluding them helps researchers focus on meaningful rather than occasional associations. \n\n3.3. Measurement \n\n3.3.1. Hashtag Co-Occurrence Network \n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build \nsemantic networks for climate change and global warming. For instance, for “#cimatechange \nredistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic”, a tweet in the climate \nchange dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus \none in the semantic network of climate change. In the semantic network, nodes represent hashtags and \nthe weight of edge refers to the frequency at which two hashtags co-occurred. \n\nWe visualized the network using Gephi software [81]. Following the established literature \n[60,61,82], only the most prominent hashtags were included in the visualization to concentrate our \nanalysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality \nin each network were selected for visualization. Modularity analysis was then analyzed to identify the \nclusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn \nin the same color. The network spatialization was conducted with Gephi’s built-in force-directed \nlayout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, \nthe closer they are to each other in the spatial layout. \n\nA temporal analysis was introduced to understand the evolution of the two climate discourses \nover a long period. We first examined how the two semantic networks evolved in the past years. \nAll the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each \ndataset. Then, they were clustered according to the strength of their associations in the whole dataset \nand mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the \ndynamic network function supplied by Gephi, we then added the associations between the nodes \nranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes \nfor 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the \nnodes on the 10 maps are the same, but the strengths of their associations are different to represent the \nchanges in the associations of key hashtags for each discourse.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed10.pdf" + }, + { + "text": "The correlation between climate change and global warming discourses was measured every \nyear to observe whether the two discourses converged or diverged over time. Considering computing \npower limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that \nyear were included in the calculations. First, we measured to what extent the two discourses resemble \neach other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags \nin each network were selected with a rank order according to their centrality. Then, Spearman’s rank \ncorrelation coefficient was used to examine the correlation of the rank orders of the selected nodes \nin the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two \ndiscourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled \neach other in the associations between the key hashtags for each year. For every year, we obtained the \nunion of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed10.pdf" + }, + { + "text": "In the global warming network, politics was the second-largest discourse cluster (20% of the \nnetwork), where “tcot”, short for “Top Conservatives on Twitter”, was the node ranked highest, \nand “p2”, short for “Progressives 2.0”, is also included. Several political figures, such as Obama and Al \nGore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster \n(16%), including both domestic efforts, such as “us”, “trump”, “climatechangeisreal”, “climateaction”, \nand “epa”, and two international items, like “china” and “india”. The fourth cluster (in blue) referred \nto emissions, including hashtags like “co2”, “green”, and “carbon”. The smallest cluster (8%) was \ncomposed of “snow”, “winter”, “heatwave”, and “summer”, referring to the temperature abnormalities \non the earth. \n\n4.3. Temporal Analysis of the Associations in the Two Discourses \n\nThe online presentations of the climate change and global warming discourses are dynamic. \nAs shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central \nhashtags each year for all 10 years, with 16 for the climate change”discourse. By comparing the 11 \nnodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that \nthe two lists shared nine concepts. We found “pollution” and “earth” were unique to the keyword list \nof the global warming discourse, and “economy”, “water”, “china”, “coal”, “solar”, “sustainability”, \nand “food” only occurred on the critical list for the climate change discourse. \n\n**Table 2.**Hashtags that remained on the top 50 list for the climate change or the global warming \ndiscourse from 2009 to 2018. \n\n**Unique** **Shared**\n\n#climatechange \n#globalwarming china, solar, water, food, economy, coal, sustainability \npollution, earth co2, news, carbon, green, climate, \nus, energy, science, environment \n\nFigures 3 and 4 show the overall evolution of critical hashtags’ associations in the 10-year period, \nwhere the nodes in the 10 graphs are located in the same position but the strength of associations varies \nacross longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary \nMaterials. Four themes were identified in each discourse according to the nodes’ associations. To more \nexplicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of \nthe degree centrality of all the nodes belonging to each cluster and their change in centrality over the \n10 years, as shown in Figure 5. \n\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year \nfrom 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the \nclimate change discourse, especially more recently. However, some scientific hashtags, such as “ghg” \n(greenhouse gas), “co2”, and “forests”, were not identified in the scientific cluster but in the global \nactions cluster (in yellow) because these hashtags were frequently used in the global action context and \nidentified with a closer semantic association to global action by Gephi. In addition to these hashtags, \nthe global action cluster included a series of international activities, such as “ipcc” (Intergovernmental \nPanel on Climate Change), “unfccc” (United Nations Framework Convention on Climate Change), \nand “cop” (Conferences of the Parties) for almost every year. The blue cluster includes to political \nhashtags, such as “uniteblue”, “sgp”, “p2”, and “tcot”. In 2017 and 2018, the associations with political \nhashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining \n“technology”, “innovation”, “education”, “africa”, “healthcare”, and “politics”. The centrality sum of \nthe nodes in the red cluster remained rather low throughout the 10-year period but obviously increased \nin the last two years of the period according to Figure 5a.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed10.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed10.pdf", + "query": "What are two main reasons for one's low climate concern ?", + "target_page": 13, + "target_passage": "As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "issues and re-constructing them differently. By comparing the persistent words used related to the two \ndiscourses in the 10-year period in Table 2, we think that global warming showed a relative preference \ntoward general descriptions or slogans, such as “earth” and “pollution”, whereas “climate change” \nwas more associated to specific issues like “solar”, “coal”, “china”, and “food”. \n\nStudies have suggested that the public shows a preference for scientific publications with general \nkeywords compared with those with complicated scientific jargon [47], lacking a deep understanding of \nthe complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions \nseem to suit global warming more than climate change according to the current study, which is \nprobably because climate change receives more publicity and recognition than global warming in the \nscientific community. In the association network shown in Figure 2, global warming was found to be \nmore connected with temperature abnormalities. This finding is in accordance with studies reporting \nthat short-term temperature anomalies [87] can increase the public’s belief about global warming by \nincreasing the understanding of this abstract issue [88], although scientists mostly make judgments \nbased on long-term weather statistics [89]. However, none of the four words, “snow”, “summer”, \n“winter”, or “heatwave” in the temperature theme of global warming were ranked in the top 50 nodes \nlist of the climate change network. \n\nEven when climate change and global warming shared concern about similar topics such as the \ncause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas \nclimate change preferred a more in-depth perspective, highlighting the importance of global action \nto mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to \ncarbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long \nbeen regarded as two key reasons for low climate concern [90], the two terminologies’ differences \nin connotations suggest that introducing these absent sub-topics into global warming discourse or \nhighlighting climate change for its inherent connotations may help communicators raise public concern \nabout climate. \n\n5.1.2. Political Connotations \n\nStudies noted that frame preference between climate change and global warming reflects \nindividuals’ ideological spectrum, where climate change and global warming were favored by \nthe liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the \ncurrent study demonstrated that global warming triggered far more political responses than climate \nchange. The second largest cluster of global warming was politics-based, where hashtag “tcot”, favored \nby right-leaning users and “p2”, favored by left-leaning users, were both ranked in the list of top nodes \nof the global warming discourse, but neither was included in the list of top nodes of the climate change \ndiscourse. Considering that earlier findings suggested that global warming was more likely to be used \nby conservatives to question the reality of climate issue [11] and climate change is more commonly \nadopted when discussing action against the climate change issue [5], global warming had a stronger \npolitical connotation in public discussion. \n\n5.1.3. Discourse Structure", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed10.pdf" + }, + { + "text": "**2. Background**\n\n2.1. Climate Change, Global Warming, and Frames \n\nExisting studies have noted that the subtle difference between climate change and global warming \nevokes different public cognitive responses, where global warming“indicates heat-related impacts, \nhuman causes, increased UV light penetration, ozone depletion, and the greenhouse effect, whereas \nclimate change is more associated with a wide range of influences on climate, including drought and \nagriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with \nice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed10.pdf" + }, + { + "text": "complex changes in the state of the climate [7], which may be caused by natural process, external forces, \nor human interventions [8]. By randomly assigning respondents to climate change or global warming \nquestionnaires, scholars confirmed that the different connotations contained in the two definitions are \nlikely to evoke distinct interpretations of the causes and impacts of the global climate issue [9], which \nmay inhibit collaboration and joint efforts to mitigate the global challenge. \n\nPublic preference between climate change and global warming is even more apparent when \nconsidering the ideology spectrum [10]. Some scholars concluded that conservatives, who are \nless concerned with environmental issues, tended to use global warming as a narrative strategy \nbecause global warming has a more direct connection with temperature rise, making it easier to find \ncontradictory cues such as freezing weather or heavy snowstorms to deny global climate change \nfacts [11]. The associations between global warming and human activities may contribute to more \ncontroversies as well [12], connecting global warming more with the “hoax” frame [5] and evoking \ngreater negative sentiment [13]. \n\nAlthough these existing studies have often attempted to identify the differences between these two \nterminologies, only a particular few perspectives, such as sentiment, ideological preference, or cause \nand effect, were examined in each study [3,9,13]. However, the associate network model introduced by \npsychologists suggests that human recognition and memory have a network-shaped architecture [14], \nwhere individual understanding of particular objects is connected with numerous other objects in \nthe mind. According to the associate network model, individual understanding of the global climate \nconcern is a network composed of numerous inter-connected concepts, in which climate change and \nglobal warming. As the two terminologies concern the primary mechanism of the global climate issue, \nthe preference between the two understandings may represent two distinct climate discourses by \ndifferently organizing numerous climate concepts. Examining the differences between two discourses \nwith an associative perspective may provide communicators with unique insights into narrowing the \ncognitive discrepancy. The temporal dimension was lacking in existing studies, necessitating the study \nof how concepts associated with each other have evolved with time. \n\nLarge amounts of user-generated data on social media, which have been valued in computer science, \ncommunication, and environmental studies [5,9,15–18], have enabled the acquistion of the social media \nrepresentation of the two discourses in a decade. In this study, by analyzing hashtag co-occurrence \npatterns in 6,662,478 tweets containing “climate change” and “global warming” between 1 January 2009 \nand 31 December 2018, two semantic networks of public climate discourse were constructed to identify \nthe critical concepts and links surrounding the two terminologies. We conducted temporal analysis to \nobserve the evolution of the two discourses and to measure whether the discrepancy between the two \nhas widened or narrowed within the 10-year period. \n\nTo be specific, we formulated three research questions (RQs) to be explored in this study: \n\nRQ1: What is the difference in how the two the discourses are associated with important climate \nconcepts in people’s minds? \nRQ2: How did the two competing climate discourses evolve from 2009 to 2018? \nRQ3: Did the two competing discourses converge or diverge in this decade? \n\n**2. Background**\n\n2.1. Climate Change, Global Warming, and Frames", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed10.pdf" + }, + { + "text": "**19**\n\n\n\n\n\n\n\n(*a*) \n6.0 \n5.0 \n\n4.0 \n\n3.0 \n2.0 \n\n1.0 \n\n0 \n\n(*b*) \n10.0 \n\n8.0 \n\n6.0 \n\n4.0 \n\n2.0 \n\n0 \n\n(*c*) \n12.0 \n\n8.0 \n\n4.0 \n\n0.0 \n\n–4.0 \n\nIPS L-C M 5 A-L R \n\n\n\nG F D L-E S M 2 M \n\nM IR O C-E S M -C H E M \n\nA C C E SS1-0 \n\n1.5°C 2°C \n\n**Figure 13.**Global mean percentage changes relative to 1981–2010 in (a) precipitation over land, (b) mean run-off flows, (c) low \nrun-off lows (10th percentile), at 2°C and 1.5°C global warming. \n\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be \ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at \neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the \npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries. \nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food \ninsecurity generally increases with global warming, and for approximately three-quarters of \ncountries assessed, this increase is larger at 2°C than 1.5°C. \n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global \nwarming compared to 1.5°C (figure 20). This is often the case for both increases and decreases \nin flows—increasing the level of global warming magnifies the pattern of river flow changes, \nalthough not in all cases. \n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, \nbut this was not always the case, with many basins showing similar or smaller ranges at \n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed11.pdf" + }, + { + "text": "**6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public \ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how \nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter \nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing \nclimate discourses and discovered how these two discourses evolved. \n\nWe found that broad scientific, social, political, and international discussions are the topics \nof public climate discourse. Although the semantic difference between climate change and global \nwarming seems subtle, the differences in their cognitive associations are not trivial. Despite some \nshared concerns between the two discourses, “global warming” is more politicized and focuses more on \ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact \ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis \nrevealed that traditional political discussions decreased in both discourses but climate change started to \nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s \nassociations to extreme events and temperature change were suddenly strengthened around 2012. \nClimate change is becoming dominant compared with global warming in public discussions. Although \nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable \ndiscrepancy still exists in the way in which they get concepts associated. These observations may \nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between \ndiverse climate perceptions. \n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media \ndata rather than samples, discrepancies still exist between social media users and the public. As most \nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics \nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global \ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer \ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. \nConsidering the historical background of climate issues, age might influence how individuals perceive \nclimate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) \nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% \nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of \nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular. \nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute \nand supplement for polling [108], we thought our results should be further examined before being \ngeneralized to the whole population.", + "page_start": 15, + "page_end": 15, + "source_file": "pubmed10.pdf" + }, + { + "text": "The two distinct climate discourses being produced based on the same reality can be explained \nby the framing theory in communication study. Framing refers to the phenomenon where the reality \nis always partially selected or highlighted when described by the public or media [19]. By distinctly \ndefining problems, suggesting solutions, and indicating casual interpretations [20], different frames \ntell the audience different stories and influence how they observe facts [21,22]. Two types of frames, \nequivalency frames and emphasis frames, are commonly studied by scholars to examine how framing \neffects influence individuals’ attitudes and beliefs [23]. Equivalency frames describe the same fact or \nlogic with different words and may suggest that the audience perceives facts in psychologicallydifferent \nways [24]. For example, a cup can be described as “half full” and “half empty”, where the former \nis a positive frame indicating a reference point lower than current status, and the latter is negative, \nmeaning that the reference point is above the current situation [25]. Emphasis frames employ words \nselectively associated with parts of reality to shift the audience’s attention to particular attributes [26]. \nClimate change and global warming have been noted to highlight different aspects of an issue by \nactivating distinct cognitive accessibility patterns [27]. \n\nDifferent frames concerning the global climate concern are popular among the public, politicians, \nenvironmentalists, and the media [1,28,29]. Big data analyses have indicated that when interpreting \nclimate events, individuals’ preference for frameworks was influenced by demographics [5] and \nsocial-political background [2]. Different choices of frameworks can evoke different psychological \nprocesses [30], promote or inhibit engagement intentions [31], or gain approval on various levels [32]. \nStudies have noted that the frameworks of climate change and global warming may result from \ndifferent political indications. The American Republican-leaning states show more preference for \nglobal warming than climate change compared with Democratic-leaning states, and global warming is \nmore connected with “hoax” in questioning the reality of the global climate issue [5]. Conservatives \nare more likely to link heat-related phenomena to global warming, whereas liberals associate these \nfacts equally with both frames [27]. An earlier survey conducted by [4] argued that wording choice \nmight not influence the whole population similarly. For the whole sample and politically independent \nindividuals, the two terminologies were equally serious, but climate change seemed more serious \ncompared with global warming among the Republicans, and the Democrats held the opposite opinion. \n\n2.2. Network Model for Cognition \n\nDifferent framework choices may create even more differences than have already been noticed. \nPsychologists think that human beings are a collection of learned associations [33], and associative \nresponse rather than simply linear logic form the structural basis of thought [34]. Associative \nlearning [35] is a long-standing assumption underlying cognitive science [14], suggesting that human \ncognition toward the world forms a network pattern, where the world is organized into several groups \nof related items and stored in a network model in the mind. When messages are processed by humans, \nthey are first encoded into a temporary memory network and then linked to an existing associative \nmemory network for long-term storage [36]. In the network, a node represents a certain concept, \nand edges refers to particular relationships, such as time sequences [37], similarity [38], semantic \nconnections [37], or cause and effect [33] between two nodes.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed10.pdf" + }, + { + "text": "94. Brian Kennedy, M.H. U.S. Concern about Climate Change Is Rising, but Mainly among Democrats. 2019. \nAvailable online: https://www.pewresearch.org/fact-tank/2019/08/28/u-s-concern-about-climate-change-is- \nrising-but-mainly-among-democrats/ (accessed on 10 October 2019). \n\n95. Carroll, L. George Takei Says White House Removed Pages about Climate Change, Civil Rights from Website. \n2017. Available online: https://www.politifact.com/punditfact/statements/2017/jan/23/george-takei/george- \ntakei-says-white-house-removed-pages-about-/l (accessed on 10 October 2019). \n\n96. Haug, G.H.; Günther, D.; Peterson, L.C.; Sigman, D.M.; Hughen, K.A.; Aeschlimann, B. Climate and the \n\ncollapse of Maya civilization. Science**2003**, 299, 1731–1735. [CrossRef] \n\n97. Kennett, D.J.; Breitenbach, S.F.; Aquino, V.V.; Asmerom, Y.; Awe, J.; Baldini, J.U.; Bartlein, P.; Culleton, B.J.; \nEbert, C.; Jazwa, C.; et al. Development and disintegration of Maya political systems in response to climate \nchange. Science**2012**, 338, 788–791. [CrossRef] \nFredland, J.S. Unlabel Their Frankenstein Foods: Evaluating a US Challenge to the European Commission’s \nLabeling Requirements for Food Products Containing Genetically-Modified Organisms. Vanderbilt J. Transnatl. \nLaw**2000**, 33, 183. \nScott, I.M. Green symbolism in the genetic modification debate. J. Agric. Environ. Ethics**2000**, 13, 293–311. \n[CrossRef] \n\n98. \n\n100. Nisbet, M.C.; Scheufele, D.A.; Shanahan, J.; Moy, P.; Brossard, D.; Lewenstein, B.V. Knowledge, reservations, \nor promise? A media effects model for public perceptions of science and technology. Commun. Res.**2002**, 29, \n584–608. [CrossRef] \n\n101. Lewandowsky, S.; Gignac, G.E.; Vaughan, S. The pivotal role of perceived scientific consensus in acceptance \n\nof science. Nat. Clim. Chang.**2013**, 3, 399. [CrossRef] \n\n102. Houghton, J. Global Warming: The Complete Briefing; Cambridge University Press: Cambridge, UK, 2009. \n103. Pew. The Science People See on Social Media. Available online: http://www.pewinternet.org/2018/03/21/the- \n\nscience-people-see-on-social-media/ (accessed on 16 January 2020).", + "page_start": 20, + "page_end": 20, + "source_file": "pubmed10.pdf" + }, + { + "text": "**14**\n\n\n–1.00 –0.75 –0.50 –0.25 \n\n0 \nchange in vulnerability to food insecurity \n\n0.25 0.50 0.75 1.00 \n\n\n\n\n\n**Figure 8.**Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2°C \nglobal warming, for five individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, \nand the ensemble mean. \n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher \nthan any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. \nThe implication of such HCVI values is that climate change at 2°C is projected to cause levels \nof vulnerability to food insecurity that are greater than any seen in the present day. For \nindividual ensemble members, the number of countries with ‘unprecedented’ HCVI values at \n2°C varies from three to seven. Conversely, many countries in the baseline climate have levels \nof vulnerability to food insecurity that are greater than those expected in other countries under \n2°C global warming. This suggests that other factors are already posing greater risk for food \ninsecurity than 2°C climate change is expected to cause in other countries, so the increased risk \nfrom climate change should not overshadow the need to reduce vulnerability to food insecurity \narising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by \naddressing various socio-economic issues in such counties. \n\nincreased run-off over \napproximately half of the land surface (figure 9) and the majority of the major river basins \nassessed (figure 10), but with large regional uncertainties including the possibility of decreased \nflows in many basins. The ensemble-mean change in mean streamflow shows an increase of \nbetween 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing \nan increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and \nsouthcentral USA, which see less than a 5% change in run-off, and the already very dry region of \nthe Sahara Desert where the existing very small run-off become even smaller. \n\nThe JULES simulations show a general tendency towards \n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with \nthe regions seeing an increase in mean run-off seeing a larger percentage increase in low \nrun-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that \nthis does not necessarily imply a larger increase in absolute low flow compared to absolute mean \nflow, because the baseline is (by definition) smaller for low flows. In western Europe, where the \nchanges in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed11.pdf" + }, + { + "text": "conducted to reveal the interactions between public discourse and natural, scientific, social, or political \nevents. In particular, factors promoting public consensus and factors resulting in discourse discrepancy \nshould be further identified to help climate communicators narrow the public cognitive divergence \nabout the global climate issue. \n\n**Supplementary Materials:**The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1. \n\n**Author Contributions:**W.S. designed the study, collected the data, conducted the analysis, and wrote the article. \nH.F. offered suggestions to the part of temporal analysis. P.W. contributed to the hashtag co-occurrence part. C.C. \nhelped with the design of the study. J.X. contributed to the framing of the article and helped with the revision. \nAll authors have read and agreed to the published version of the manuscript. \n\n**Funding:**This work was supported in part by the National Key R&D Program of China (Grant No. \n2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and \nU1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High \nPerformance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and \nTechnology (Qingdao). \n\n**Conflicts of Interest:**The authors declare no conflict of interest. \n\n**Appendix A**\n\n#agw, short for anthropogenic global warming, indicating global warming is caused by \n\nhuman activities. \n\n#cdnpoli, short for Canadian politics \n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015. \n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018. \n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency \n\naiming at protecting environment. \n\n#gop, short for Grand Old Party, the Republican political party in the United States. \n#nyc, short for New York City \n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter. \n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global \n\nwarming by reducing greenhouse gas emissions. \n\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the \n\nUnited Nations General Assembly in 2015 and expected to be achieved in 2030. \n\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political \n\nstandpoints on Twitter. \n\n#un, short for the United Nations \n#us, short for the United States \n\n**References**\n\n1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci. \n\n2. \n\n3. \n\n4. \n\n5. \n\n6. \n\nPolicy Sustain. Dev.**2009**, 51, 12–23. [CrossRef] \nRoxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change \ndiscourse on social media during extreme weather events. Glob. Environ. Chang.**2019**, 54, 50–60. [CrossRef] \nSchuldt, J.P.; Konrath, S.H.; Schwarz, N. “Global warming” or “climate change”? Whether the planet is \nwarming depends on question wording. Public Opin. Q.**2011**, 75, 115–124. [CrossRef] \nVillar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter? \nClim. Chang.**2011**, 105, 1–12. [CrossRef] \nJang, S.M.; Hart, P.S. Polarized frames on “climate change” and “global warming” across countries and \nstates: Evidence from Twitter big data. Glob. Environ. Chang.**2015**, 32, 11–17. [CrossRef] \nUnited States Environmental Protection Agency. Climate Change: Basic Information. Available online: \nhttps://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on \n10 October 2019).", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed10.pdf" + }, + { + "text": "**15**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n–75 –50 –10 –1 \n0 \n% \n1 10 50 75 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n\n**Figure 9.**Changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under six climate simulations \nat 2°C global warming. (a) Ensemble mean and (b) percentage of models agreeing on increased flow. \n\n. \n. \n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows \nwhere changes in mean flows were small. Changes in high run-off show similar patterns and \nmagnitudes to those in mean run-off. \n\nThe simulated changes in both mean and low run-off flows show substantial differences \namong the six simulations (figures 10 and 11). In most basins examined here, the range of \noutcomes include both increases and decreases in mean and low flows for any particular basin, \nbut generally with the largest proportion simulating increases in both mean and low flows. In a \nfew cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed \nentirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the \nprojected flow increases in the Ganges for 2°C global warming ranging from approximately 30% \nto more than 110%. \n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, \nOrange, Danube and Guadiana basins where the range of projected extends more towards \ndecreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C \nglobal warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C \nglobal warming for these basins. \n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the \nNiger, the range of mean flow changes extended more towards increases whereas the range of \nlow flow changes extended more towards decreases. \n\n(b) Impacts at 1.5°C global warming compared to 2°C \n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and \nrun-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; \nfigures 12 and 13). The exceptions to these are mean and low run-off which each show one \ninstance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing \nlarger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two \nGWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic3.pdf", + "query": "How many scholarly articles are published every year ?", + "target_page": 1, + "target_passage": "over 3 million scholarly articles published per year", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**193 different languages**\n**included in ORCID records**\n\n**73.6% of records have**\n**granted update permissions**\n\n**1.97 record updates**\n**made per second**\n\n**Connections to ORCID records**\n6M \n5M \n4M \n3M \n2M \n1M \n\n2012 2013 2014 2015 2016 2017 2018 \n\n■**Live ORCID iDs**\n■**w/at least 1 education** ■**w/at least 1 employee**\n■**w/at least 1 work**\nSource: Orcid.org/statistics as of November 2018 \n\n42,500 ACTIVE \nSCHOLARLY PEER- \nREVIEWED JOURNALS \nSource: The STM Report, October 2018 \n\nSponsored by ORCID \n**To learn more go to https://orcid.org** **Institutions must increasingly recognize and demonstrate**\n**the impact of all types of research contributions**", + "page_start": 0, + "page_end": 0, + "source_file": "infographic3.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "Paulson, Lawrence C. (February 2018). \"Computational Logic: Its Origins and Applications\" \n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832843).*Proceedings of the Royal Society*\n*A: Mathematical, Physical and Engineering Sciences*.**474**(2210): 1–14. arXiv:1712.04375 \n(https://arxiv.org/abs/1712.04375). Bibcode:2018RSPSA.47470872P (https://ui.adsabs.harv \nard.edu/abs/2018RSPSA.47470872P). doi:10.1098/rspa.2017.0872 (https://doi.org/10.109 \n8%2Frspa.2017.0872). PMC 5832843 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832 \n843). PMID 29507522 (https://pubmed.ncbi.nlm.nih.gov/29507522). S2CID 3805901 (http \ns://api.semanticscholar.org/CorpusID:3805901). \nPedemonte, Bettina (25 June 2018). \"Strategic vs Definitory Rules: Their Role in Abductive \nArgumentation and their Relationship with Deductive Proof\" (https://www.ejmste.com/article/ \nstrategic-vs-definitory-rules-their-role-in-abductive-argumentation-and-their-relationship-with \n-5539).*Eurasia Journal of Mathematics, Science and Technology Education*.**14**(9): 1–17. \ndoi:10.29333/ejmste/92562 (https://doi.org/10.29333%2Fejmste%2F92562). ISSN 1305- \n8215 (https://search.worldcat.org/issn/1305-8215). S2CID 126245285 (https://api.semantics \ncholar.org/CorpusID:126245285). Archived (https://web.archive.org/web/20211207195246/h \nttps://www.ejmste.com/article/strategic-vs-definitory-rules-their-role-in-abductive-argumentati \non-and-their-relationship-with-5539) from the original on 7 December 2021. Retrieved \n8 January 2022. \nPickel, Bryan (1 July 2020). \"Structured Propositions and Trivial Composition\" (https://doi.or \ng/10.1007%2Fs11229-018-1853-1).*Synthese*.**197**(7): 2991–3006. doi:10.1007/s11229- \n018-1853-1 (https://doi.org/10.1007%2Fs11229-018-1853-1). hdl:20.500.11820/3427c028- \nf2cb-4216-a199-9679a49ce71c (https://hdl.handle.net/20.500.11820%2F3427c028-f2cb-42 \n16-a199-9679a49ce71c). ISSN 1573-0964 (https://search.worldcat.org/issn/1573-0964). \nS2CID 49729020 (https://api.semanticscholar.org/CorpusID:49729020). \nPietroski, Paul (2021). \"Logical Form: 1. Patterns of Reason\" (https://plato.stanford.edu/entri \nes/logical-form/#pat).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. Archived (https://web.archive.org/web/20211002190116/https://plato.sta \nnford.edu/entries/logical-form/#pat) from the original on 2 October 2021. Retrieved \n4 December 2021. \nPlanty-Bonjour, Guy (2012).*The Categories of Dialectical Materialism: Contemporary Soviet*\n*Ontology*. Springer Science & Business Media. p. 62. ISBN 978-94-010-3517-0. \nPossin, Kevin (2016). \"Conductive Arguments: Why is This Still a Thing?\" (https://philpapers. \norg/rec/POSCAW-4).*Informal Logic*.**36**(4): 563–593. doi:10.22329/il.v36i4.4527 (https://do \ni.org/10.22329%2Fil.v36i4.4527). Archived (https://web.archive.org/web/20220108171723/ht \ntps://philpapers.org/rec/POSCAW-4) from the original on 8 January 2022. Retrieved \n8 January 2022. \nPriest, Graham; Tanaka, Koji; Weber, Zach (2018). \"Paraconsistent Logic\" (https://plato.stan \nford.edu/entries/logic-paraconsistent/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Retrieved 14 December 2021. \nPépin, Jean (2004). \"Logos\".*Encyclopedia of Religion*(https://www.encyclopedia.com/philo \nsophy-and-religion/philosophy/philosophy-terms-and-concepts/logos). ISBN 978-0-02- \n865733-2. Archived (https://web.archive.org/web/20211229134626/https://www.encyclopedi \na.com/philosophy-and-religion/philosophy/philosophy-terms-and-concepts/logos) from the \noriginal on 29 December 2021. Retrieved 29 December 2021. \nPutnam, H. (1969). \"Is Logic Empirical?\".*Boston Studies in the Philosophy of Science*. \nVol. 5. pp. 216–241. doi:10.1007/978-94-010-3381-7_5 (https://doi.org/10.1007%2F978-94- \n010-3381-7_5). ISBN 978-94-010-3383-1. \nQuine, Willard Van Orman (1981).*Mathematical Logic*. Harvard University Press. p. 1. \nISBN 978-0-674-55451-1.", + "page_start": 33, + "page_end": 33, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and \n\nSearch\" (https://doi.org/10.1145%2F360018.360022).*Communications of the ACM*.**19**(3): \n113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022). \n\nNicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\" \n(https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1 \n518020478).*The Wall Street Journal*. ISSN 0099-9660 (https://search.worldcat.org/issn/009 \n9-9660). Archived (https://web.archive.org/web/20241005171230/https://www.wsj.com/articl \nes/how-youtube-drives-viewers-to-the-internets-darkest-corners-1518020478) from the \noriginal on 5 October 2024. Retrieved 16 June 2018. \n\nNilsson, Nils (1983). \"Artificial Intelligence Prepares for 2001\" (https://ai.stanford.edu/~nilsson/O \n\nnlinePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF).*AI Magazine*.**1**(1). \nArchived (https://web.archive.org/web/20200817194457/http://ai.stanford.edu/~nilsson/Onlin \nePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF) from the original on 17 August \n2020. Retrieved 22 August 2020. Presidential Address to the Association for the \nAdvancement of Artificial Intelligence. \n\nNRC (United States National Research Council) (1999). \"Developments in Artificial \n\nIntelligence\".*Funding a Revolution: Government Support for Computing Research*. National \nAcademy Press. \n\nOmohundro, Steve (2008).*The Nature of Self-Improving Artificial Intelligence*. presented and \n\ndistributed at the 2007 Singularity Summit, San Francisco, CA. \n\nOudeyer, P-Y. (2010). \"On the impact of robotics in behavioral and cognitive sciences: from \n\ninsect navigation to human cognitive development\" (http://www.pyoudeyer.com/IEEETAMD \nOudeyer10.pdf) (PDF).*IEEE Transactions on Autonomous Mental Development*.**2**(1): 2– \n16. doi:10.1109/tamd.2009.2039057 (https://doi.org/10.1109%2Ftamd.2009.2039057). \nS2CID 6362217 (https://api.semanticscholar.org/CorpusID:6362217). Archived (https://web. \narchive.org/web/20181003202543/http://www.pyoudeyer.com/IEEETAMDOudeyer10.pdf) \n(PDF) from the original on 3 October 2018. Retrieved 4 June 2013. \n\nPennachin, C.; Goertzel, B. (2007). \"Contemporary Approaches to Artificial General \n\nIntelligence\".*Artificial General Intelligence*. Cognitive Technologies. Berlin, Heidelberg: \nSpringer. pp. 1–30. doi:10.1007/978-3-540-68677-4_1 (https://doi.org/10.1007%2F978-3-54 \n0-68677-4_1). ISBN 978-3-5402-3733-4. \n\nPinker, Steven (2007) [1994],*The Language Instinct*, Perennial Modern Classics, Harper, \n\nISBN 978-0-0613-3646-1 \n\nPoria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of \n\naffective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository. \nnapier.ac.uk/Output/1792429).*Information Fusion*.**37**: 98–125. \ndoi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003). \nhdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem \nanticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165 \n407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-of- \naffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23 \nMarch 2023. Retrieved 27 April 2021. \n\nRawlinson, Kevin (29 January 2015). \"Microsoft's Bill Gates insists AI is a threat\" (https://www.b \nbc.co.uk/news/31047780).*BBC News*. Archived (https://web.archive.org/web/20150129183 \n607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved \n30 January 2015. \n\nReisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering", + "page_start": 61, + "page_end": 61, + "source_file": "wikipedia3.pdf" + }, + { + "text": "population there exists a small group of frequent repeat users. 1,828 individuals (1.7% of this \npopulation) accounted for just over ten per cent of all positive tests (30,471 tests in total). These \nindividuals provided between 16 and 57 positive tests over the period 2004 to 2013. \n\n**Figure 4: Proportion of positive tests by number of times an individual tested positive.**", + "page_start": 12, + "page_end": 12, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "11 March 2023. \nWile, Bruce; Goss, John; Roesner, Wolfgang (2005).*Comprehensive Functional*\n*Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3. \nWillman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat \no.stanford.edu/entries/chinese-logic-language/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", + "page_start": 36, + "page_end": 36, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**Figure 5.**The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to \n2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to \n2018 (**b**). \n\nAs the climate change and global warming discourses evolved over the past years, their relative \nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people \nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of \n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame \npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times \nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 \nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into \ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were \n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. \n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable \nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and \n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP \nanalysis showed that the associations between the two discourses were correlated in the 10-year period \n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals \nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did \nnot show a rising trend with the correlation of nodes’ rank order. \n\n**Figure 6.**Rank order correlation between hashtags in the climate change and global warming discourses \nfrom 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global \nwarming discourse from 2009 to 2018 (**b**). \n\n**5. Discussion**\n\n5.1. Themes and Structure of the Two Discourses \n\n5.1.1. Phenomenon vs. Mechanism of Action \n\nClimate change and global warming have long been two competing frameworks shaping the \npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed10.pdf" + }, + { + "text": "F I N A N C I A L S**2014**", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog \ny.com/2022/11/19/hard-problem-of-consciousness-2/).*arabpsychology.com*. Retrieved \n2023-10-29. \n\n25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020 \nPhilPapers Survey\" (https://survey2020.philpeople.org).*Philosophers' Imprint*. \n\n26. Roberts, Tim S. (September 2007). \"*The Even Harder Problem of Consciousness*by \n\nRoberts. 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Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http \n\ns://philpapers.org/rec/CHAMFO).*Journal of Consciousness Studies*.**4**(1): 3–46.", + "page_start": 19, + "page_end": 19, + "source_file": "wikipedia2.pdf" + }, + { + "text": "Turing, Alan (October 1950). \"Computing Machinery and Intelligence\" (https://academic.oup.co \n\nm/mind/article/LIX/236/433/986238).*Mind*.**59**(236): 433–460. \ndoi:10.1093/mind/LIX.236.433 (https://doi.org/10.1093%2Fmind%2FLIX.236.433). \nISSN 1460-2113 (https://search.worldcat.org/issn/1460-2113). JSTOR 2251299 (https://ww \nw.jstor.org/stable/2251299). S2CID 14636783 (https://api.semanticscholar.org/CorpusID:146 \n36783). \n\n*UNESCO Science Report: the Race Against Time for Smarter Development*(https://unesdoc.un \nesco.org/ark:/48223/pf0000377433/PDF/377433eng.pdf.multi). Paris: UNESCO. 2021. \nISBN 978-9-2310-0450-6. 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Archived (https://we \nb.archive.org/web/20231125045938/https://analyticsindiamag.com/a-complete-guide-to-sha \np-shapley-additive-explanations-for-practitioners/) from the original on 25 November 2023. \nRetrieved 25 November 2023. \n\nVincent, James (7 November 2019). \"OpenAI has published the text-generating AI it said was \n\ntoo dangerous to share\" (https://www.theverge.com/2019/11/7/20953040/openai-text-genera \ntion-ai-gpt-2-full-model-release-1-5b-parameters).*The Verge*. Archived (https://web.archive. \norg/web/20200611054114/https://www.theverge.com/2019/11/7/20953040/openai-text-gene \nration-ai-gpt-2-full-model-release-1-5b-parameters) from the original on 11 June 2020. \nRetrieved 11 June 2020. \n\nVincent, James (15 November 2022). \"The scary truth about AI copyright is nobody knows what \nwill happen next\" (https://www.theverge.com/23444685/generative-ai-copyright-infringement \n-legal-fair-use-training-data).*The Verge*. Archived (https://web.archive.org/web/2023061905 \n5201/https://www.theverge.com/23444685/generative-ai-copyright-infringement-legal-fair-us \ne-training-data) from the original on 19 June 2023. Retrieved 19 June 2023. \n\nVincent, James (3 April 2023). \"AI is entering an era of corporate control\" (https://www.theverge. \ncom/23667752/ai-progress-2023-report-stanford-corporate-control).*The Verge*. Archived (ht \ntps://web.archive.org/web/20230619005803/https://www.theverge.com/23667752/ai-progres \ns-2023-report-stanford-corporate-control) from the original on 19 June 2023. Retrieved \n19 June 2023.", + "page_start": 64, + "page_end": 64, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic3.pdf", + "query": "For what reason a researcher's name is not a good tools to track back its works and affiliations ?", + "target_page": 1, + "target_passage": "Many people have the same name Names may change through marriage or other circumstances Individuals use different alphabets, abbreviations, or naming conventions People use different versions of their name during their career", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**An IDC Infographic, sponsored by ORCID | November 2018**\n\n**The Value of Using Unique Identifiers for Researchers**\n\n**Evidence of Institutional Value**\n**What’s in a Name?**\n**Most names are not unique**\n**Tackling Information Overload**\nExamples of time/staff savings achieved by implementing ORCID from around the world \n\nORCID is a non-profit organization, which provides a fully open and interoperable \nidentifier to reliably connect researchers with their research contributions. The \nORCID iD is a 16-digit identifier that researchers can register for and use for free. \n\n**UK:**0.2 – 0.4 FTEs per institution1 \n**Portugal:**100,000 researcher hours per year2 \n**Australia:**15-30 minutes per grant application3 \n\n**Enables recognition of**\n**all types of research**\n**contributions and**\n**innovation**\n**1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015**\n**2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017**\n**3. Australian Research Council governance meeting, September 2018**\n\n**Names may**\n**change through**\n**marriage or other**\n**circumstances**\n\n**Connects individuals and**\n**their professional**\n**contributions across**\n**disciplines,**\n**organizations, and time**\nMany people have \nthe same name People use different versions of \ntheir name during their career \n\n\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in \nreviewer identities, and helping editors find reviewers and check expertise.\" **Individuals use different alphabets,**\n**abbreviations, or naming conventions**\n**Helps research institutions, funders,**\n**publishers, and other organizations**\n**better track and support research work** **—Brooks Hanson, Executive Vice President, Science, American Geophysical Union**\n\n**Researchers are mobile!**\n\nFor example, \n**30% OF THE SCIENTISTS WHO GOT**\n**THEIR PhD IN THE UNITED**\n**KINGDOM NOW LIVE ELSEWHERE**\n**How Organizations and**\n**Researchers Benefit**\n\n**How ORCID Works**\n\n**It's a registry of unique persistent**\n**identifiers for researchers**\nSource: Science Magazine \n\n**RESEARCHERS**\nImprove recognition and \ndiscoverability of their \nresearch \n\n**It's a hub that connects researchers with their**\n**professional activities and contributions**\nResearch institutions and organizations therefore find it hard to \n\n**It's a global community that enables**\n**researchers to share their data with other**\n**individuals, organizations, and systems**\n**Benchmark their organization**\n**against others**\n\n**INSTITUTIONS**\n\nSave time and reduce errors \nwith automated \ninformation-sharing and \ncross-system interoperability \n\nSpend more time doing \nresearch, less time managing it \n\n**Identify, track, and report on**\n**researchers’ affiliations and**\n**contributions (publications, peer**\n**reviews, grants, and more)**\nManage your organization \nname and your researchers' \nconnections with it \n\nControl and manage a trusted \nand easily shareable record of \ntheir research activities and \naffiliations – for free \n**Why Connect with ORCID?**\n**Hundreds of members and systems use ORCID globally** Maintain links with your \nresearchers - past, \npresent, and future \n\n**Institutions Face a Rising**\n**Tide of Research**\n**5.5 MILLION+**\n**live ORCID iDs registered since its 2012 launch**\n\n**OVER 3 MILLION**\n**Three Ways to Get Involved**\n**scholarly articles published per year**\nSource: The STM Report, October 2018 \n\n**1. Encourage and support your researchers in getting, sharing, and**\n**using their ORCID iD**\n**2. Invest in integrating ORCID into your systems**\n**3. Connect data to and from your researchers’ ORCID records to**\n**support information use and reuse across organizations**\n\n**3.7 ORCID iDs created**\n**every minute**\n\n**193 different languages**\n**included in ORCID records**\n\n**73.6% of records have**\n**granted update permissions**\n\n**1.97 record updates**\n**made per second**", + "page_start": 0, + "page_end": 0, + "source_file": "infographic3.pdf" + }, + { + "text": "**Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \n\nThe benefits are relatively straightforward. Both categories, by definition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \n\nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \n\nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \n For instance, relying on books from before 1929 would not \ncontent available for AI training. \nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. \n\n30 \n\n 31 \n\n*5b. Limitations & Exceptions*\n\n**Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited specifically for AI \ntraining, it is an existence proof for what such a resource might look like. \n\n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable \n30 \nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate,*Here’s Proof You Can Train an AI Model Without Slurping*\n*Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai- \nwithout-slurping-copyrighted-content/. \n\n Our workshop discussion did note that some widely available datasets for AI training have also \n31 \npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.”*ArXiv (Cornell University)*, 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", + "page_start": 13, + "page_end": 13, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "As a part of careful data collection practices, researchers must \nadopt frameworks such as [13, 52, 86] to describe the uses for which \ntheir models are suited and benchmark evaluations for a variety of \nconditions. This involves providing thorough documentation on the \ndata used in model building, including the motivations underlying \ndata selection and collection processes. This documentation should \nreflect and indicate researchers’ goals, values, and motivations in \nassembling data and creating a given model. It should also make \nnote of potential users and stakeholders, particularly those that \nstand to be negatively impacted by model errors or misuse. We note \nthat just because a model might have many different applications \ndoesn’t mean that its developers don’t need to consider stakeholders. \nAn exploration of stakeholders for likely use cases can still be \ninformative around potential risks, even when there is no way to \nguarantee that all use cases can be explored. \n\nWe also advocate for a re-alignment of research goals: Where \nmuch effort has been allocated to making models (and their training \ndata) bigger and to achieving ever higher scores on leaderboards \noften featuring artificial tasks, we believe there is more to be gained \nby focusing on understanding how machines are achieving the \ntasks in question and how they will form part of socio-technical \nsystems. To that end, LM development may benefit from guided \nevaluation exercises such as pre-mortems [68]. Frequently used in \nbusiness settings before the deployment of new products or projects, \npre-mortem analyses center hypothetical failures and ask team \nmembers to reverse engineer previously unanticipated causes.25 \nCritically, pre-mortem analyses prompt team members to consider \nnot only a range of potential known and unknown project risks, but \nalso alternatives to current project plans. In this way, researchers \ncan consider the risks and limitations of their LMs in a guided \nway while also considering fixes to current designs or alternative \n\n6.3 Summary \nIn this section, we have discussed how the human tendency to \nattribute meaning to text, in combination with large LMs’ ability \nto learn patterns of forms that humans associate with various bi- \nases and other harmful attitudes, leads to risks of real-world harm, \nshould LM-generated text be disseminated. We have also reviewed \nrisks connected to using LMs as components in classification sys- \ntems and the risks of LMs memorizing training data. We note that \nthe risks associated with synthetic but seemingly coherent text are \ndeeply connected to the fact that such synthetic text can enter into \nconversations without any person or entity being accountable for it. \nThis accountability both involves responsibility for truthfulness and \nis important in situating meaning. As Maggie Nelson [92] writes: \n“Words change depending on who speaks them; there is no cure.” \nIn §7, we consider directions the field could take to pursue goals \nof creating language technology while avoiding some of the risks \nand harms identified here and above. \n\n7 PATHS FORWARD \nIn order to mitigate the risks that come with the creation of in- \ncreasingly large LMs, we urge researchers to shift to a mindset of \ncareful planning, along many dimensions, before starting to build \neither datasets or systems trained on datasets. We should consider", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "?customer ?relation ?relatedToCustomer.} \n\nThis would be much less intuitive than the user defined names. There are good reasons to use auto- \ngenerated names, especially for large ontologies that are implemented in multiple natural languages. \nHowever, for new users, especially those who plan to use SPARQL and SHACL, I think it is more \nintuitive to start with user supplied names and then progress to auto-generated names if and when the \nrequirements show a true need for them. This approach to developing software incrementally rather than \nto attempt to design the perfect system that can scale for all possible future requirements is known as the \nAgile approach to software development. In my experience Agile methods have proven themselves in \ncountless real-world projects to deliver better software on time and on budget than the alternative \nwaterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/ \n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot \nmore and if you are interested you should check out DuCharme’s book or some of the many SPARQL \ntools and tutorials on the web. Some of these are in the bibliography. \n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open \nWorld Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter \n4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that \nSPARQL is*not*subject to*either*of these restrictions. With SPARQL one can do non-monotonic \nreasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the \nvalue for a property on a specific instance exists or not and can take actions if that property does not exist.", + "page_start": 71, + "page_end": 71, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "INTRODUCTION \n\n∗Joint first authors \n\n\n\nJust as environmental impact scales with model size, so does \nthe difficulty of understanding what is in the training data. In §4, \nwe discuss how large datasets based on texts from the Internet \noverrepresent hegemonic viewpoints and encode biases potentially \ndamaging to marginalized populations. In collecting ever larger \ndatasets we risk incurring documentation debt. We recommend \nmitigating these risks by budgeting for curation and documentation \nat the start of a project and only creating datasets as large as can \nbe sufficiently documented. \n\nAs argued by Bender and Koller [14], it is important to under- \nstand the limitations of LMs and put their success in context. This \nnot only helps reduce hype which can mislead the public and re- \nsearchers themselves regarding the capabilities of these LMs, but \nmight encourage new research directions that do not necessarily \ndepend on having larger LMs. As we discuss in §5, LMs are not \nperforming natural language understanding (NLU), and only have \nsuccess in tasks that can be approached by manipulating linguis- \ntic form [14]. Focusing on state-of-the-art results on leaderboards \nwithout encouraging deeper understanding of the mechanism by \nwhich they are achieved can cause misleading results as shown \n\nThis work is licensed under a Creative Commons Attribution International 4.0 License. \nFAccT ’21, March 3–10, 2021, Virtual Event, Canada \nACM ISBN 978-1-4503-8309-7/21/03. \nhttps://doi.org/10.1145/3442188.3445922", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "existing] problem that is somewhere else. \n\nRegardless of the real probability of data alterations before they are published, the major problem \n\nhappens after. We already mentioned in the first report the fact that, while correct interpretation of \n\npublic data from*the majority of average citizens*is absolutely critical, the current situation, even in \n\ncountries with (theoretical) high alphabetization and Internet access rates, is one in which most \n\npeople still lack the skills needed for such analysis. Therefore, there surely is space for both \n\nintentional manipulation of PSI and for misunderstanding it. After the publication of the first report, \n\nwe've encountered several examples of this danger, which are reported in the rest of this paragraph. \n\nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the \n\nimpact on the general public (in terms of raising interest and enhancing participation) on the Open \n\nData activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there \n\nhas been no big increase in demagogy, more or less manipulated scandals and conflictual discussion \n\ncaused by Open Data. There has certainly been something of this in the Cablegate but that's not \n\nreally relevant because, as we've already explained, what Wikileaks did is intrinsically different \n\nfrom Open Data. So far, negative or at least controversial reactions by manipulation and \n\nmisunderstanding of Open Data haven't happened to such a scale to justify not opening PSI. \n\nThis said, let's look at some recent example of misunderstanding and/or manipulation based on \n\n(sometimes open) public digital data. \n\nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows \n\n[also]*\"mosques that are no longer in use, so as to convey the idea that Muslims were invading*\n\n*Russia.\"*\n\nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared \n\nin September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, \n\nas they had been doing for years. The reason was that, following the March 2009 earthquake in \n\nItaly, the data were being used to*\"come to conclusions without any basis at all\"*, both by the press, \n\nto sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing \n\nanti seismic construction codes. \n\nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a \n\nbig effort to explain to his readers the limits of the maps he publishes, and the potential for \n\nmisunderstanding if they are used without preparation, or with wrong expectations. This is a \n\nsynthesis of Belleri's explanation, also covered in other websites, that is applicable to any map-", + "page_start": 17, + "page_end": 17, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "***5. Examining approaches to building a books data***\n***commons***\n\nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n\n*5a. Public domain and permissively licensed books*\n\n**Existing Project Example : The Pile v2**\n27 \n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28 \n\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \n\nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \n 29 \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. \nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non-fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n\n This is an illustrative example, and there are also other projects of this ilk. For instance, see the \n\n27 \nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co/blog/Pclanglais/common-corpus; see also https://huggingface.co/datasets/ \nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”) \n\n See Gao et al, supra note 8. \n28 \n\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and \n29 \n“Substantially Better.”*VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai- \ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", + "page_start": 12, + "page_end": 12, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "A well-chosen name serves both as a label for an object and as a tool for tracking and \nmanaging the object. Choosing a meaningful name is important if you decide to use \nconfiguration backup and restore. \n\nWhen you choose a name for an object, apply the following naming rules: \n\n(cid:2) Names must begin with a letter. \n\n**Important**: Do not start names by using an underscore (_) character, even though it is \npossible. The use of the underscore as the first character of a name is a reserved \nnaming convention that is used by the system configuration restore process. \n\n(cid:2) The first character cannot be numeric. \n\n(cid:2) The name can be a maximum of 63 characters, but exceptions exist. The name can be a \nmaximum of 15 characters for Remote Copy relationships and groups. The**lsfabric**\ncommand displays long object names that are truncated to 15 characters for nodes and \nsystems. V5.1.0 systems display truncated volume names when they are partnered with a \nversion V6.1.0 or later system that has volumes with long object names \n(**lsrcrelationshipcandidate**or**lsrcrelationship**commands). \n\n(cid:2) Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), the \nunderscore (_) character, a period (.), a hyphen (-), and a space. \n\n(cid:2) Names must not begin or end with a space. \n\n(cid:2) Object names must be unique within the object type. For example, you can have a volume \ncalled ABC and an MDisk called ABC, but you cannot have two volumes called ABC. \n\n(cid:2) The default object name is valid (object prefix with an integer). \n\n(cid:2) Objects can be renamed to their current names.", + "page_start": 205, + "page_end": 205, + "source_file": "sg247938.pdf" + }, + { + "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \n\nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \n\n*Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n\n•**Defining and ensuring acceptable and ethical use:**Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. \n One can imagine more fine-grained \nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n\n39 \n\n•**Charging for use to support sustainability of the training corpus itself:**While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40 \n\n•**Ensuring benefits of AI are broadly shared, including with book authors or**\n**publishers:**The creation of a training resource might \nlower barriers to the \ndevelopment of AI tools, and in that way support broadly shared benefits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a significant challenge, \nAI might not look much different, and the benefits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n\n For examples of gated access to AI models, see https://huggingface.co/docs/hub/en/models-gated. \n39 \n\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume \n40 \ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/ \nwiki/Wikimedia_Enterprise.", + "page_start": 18, + "page_end": 18, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**4.3. Keep past and future separate**\nFor the same reason why it is important to always distinguishes between political and economical \n\nadvantages (or disadvantages) of Open Data, it is necessary to keep decisions about*future*data \n\n(those that will arrive in the future, due to new contracts, public services and so on) separate from \n\nthose about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that \n\nGovernment should publish everything non-private it can**now**is \"rather dangerous\", and that it \n\nwould be much better to release nothing until someone actually asked for it, and at that point doing \n\nit right, that is with an open license and so on. The first reasons for Steinberg's concern is that \n\nasking for everything as soon as possible would*\"stress the system too much, by spreading thin the*\n\n*finite amount of good will, money and political capital\"*. The second is that many existing old data \n\nand data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend \n\nresources in opening them. \n\nEven if these concerns were always true, it is important to realize that they apply (especially the \n\nsecond) to already existing data, not to future ones. The two classes of data have, or can have, very \n\ndifferent constraints. Existing data may still exist only in paper format and/or be locked by closed or \n\nunclear licenses, or not relevant anymore for future decisions. \n\nOpening*future*data, instead, is almost always more important, useful urgent, easier and cheaper \n\nthan digitizing or even only reformatting material that in many cases is already too old to make \n\nimmediate, concrete differences. While this argument is probably not always true when we look at \n\nOpen data for transparency, it probably is when it comes to economic development. \n\nTherefore, features and guidelines that should be present in all future data generation and \n\nmanagement processes include: \n\n• standardization: the less, obviously open, formats are used for data of the same type, the \n\neasier it is to merge and correlate them. The formats that have to be standardized are not \n\nonly those at the pure software level. Even more important is, for example, to adopt by law \n\nstandard identificators for government suppliers, names and machine-readable identifiers of \n\nbudget voices and so on \n\n• preparation for future digitization: new digital systems should explicitly be designed from \n\nthe beginning so that it will be possible, when non-digital records will be digitized, to add \n\nthem to the databases without modifying losses.", + "page_start": 27, + "page_end": 27, + "source_file": "Open_Data_Report.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic3.pdf", + "query": "What is an ORCID iD ?", + "target_page": 1, + "target_passage": "ORCID iD is a 16-digit identifier that researchers can register for and use for free.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**An IDC Infographic, sponsored by ORCID | November 2018**\n\n**The Value of Using Unique Identifiers for Researchers**\n\n**Evidence of Institutional Value**\n**What’s in a Name?**\n**Most names are not unique**\n**Tackling Information Overload**\nExamples of time/staff savings achieved by implementing ORCID from around the world \n\nORCID is a non-profit organization, which provides a fully open and interoperable \nidentifier to reliably connect researchers with their research contributions. The \nORCID iD is a 16-digit identifier that researchers can register for and use for free. \n\n**UK:**0.2 – 0.4 FTEs per institution1 \n**Portugal:**100,000 researcher hours per year2 \n**Australia:**15-30 minutes per grant application3 \n\n**Enables recognition of**\n**all types of research**\n**contributions and**\n**innovation**\n**1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015**\n**2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017**\n**3. Australian Research Council governance meeting, September 2018**\n\n**Names may**\n**change through**\n**marriage or other**\n**circumstances**\n\n**Connects individuals and**\n**their professional**\n**contributions across**\n**disciplines,**\n**organizations, and time**\nMany people have \nthe same name People use different versions of \ntheir name during their career \n\n\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in \nreviewer identities, and helping editors find reviewers and check expertise.\" **Individuals use different alphabets,**\n**abbreviations, or naming conventions**\n**Helps research institutions, funders,**\n**publishers, and other organizations**\n**better track and support research work** **—Brooks Hanson, Executive Vice President, Science, American Geophysical Union**\n\n**Researchers are mobile!**\n\nFor example, \n**30% OF THE SCIENTISTS WHO GOT**\n**THEIR PhD IN THE UNITED**\n**KINGDOM NOW LIVE ELSEWHERE**\n**How Organizations and**\n**Researchers Benefit**\n\n**How ORCID Works**\n\n**It's a registry of unique persistent**\n**identifiers for researchers**\nSource: Science Magazine \n\n**RESEARCHERS**\nImprove recognition and \ndiscoverability of their \nresearch \n\n**It's a hub that connects researchers with their**\n**professional activities and contributions**\nResearch institutions and organizations therefore find it hard to \n\n**It's a global community that enables**\n**researchers to share their data with other**\n**individuals, organizations, and systems**\n**Benchmark their organization**\n**against others**\n\n**INSTITUTIONS**\n\nSave time and reduce errors \nwith automated \ninformation-sharing and \ncross-system interoperability \n\nSpend more time doing \nresearch, less time managing it \n\n**Identify, track, and report on**\n**researchers’ affiliations and**\n**contributions (publications, peer**\n**reviews, grants, and more)**\nManage your organization \nname and your researchers' \nconnections with it \n\nControl and manage a trusted \nand easily shareable record of \ntheir research activities and \naffiliations – for free \n**Why Connect with ORCID?**\n**Hundreds of members and systems use ORCID globally** Maintain links with your \nresearchers - past, \npresent, and future \n\n**Institutions Face a Rising**\n**Tide of Research**\n**5.5 MILLION+**\n**live ORCID iDs registered since its 2012 launch**\n\n**OVER 3 MILLION**\n**Three Ways to Get Involved**\n**scholarly articles published per year**\nSource: The STM Report, October 2018 \n\n**1. Encourage and support your researchers in getting, sharing, and**\n**using their ORCID iD**\n**2. Invest in integrating ORCID into your systems**\n**3. Connect data to and from your researchers’ ORCID records to**\n**support information use and reuse across organizations**\n\n**3.7 ORCID iDs created**\n**every minute**\n\n**193 different languages**\n**included in ORCID records**\n\n**73.6% of records have**\n**granted update permissions**\n\n**1.97 record updates**\n**made per second**", + "page_start": 0, + "page_end": 0, + "source_file": "infographic3.pdf" + }, + { + "text": "**193 different languages**\n**included in ORCID records**\n\n**73.6% of records have**\n**granted update permissions**\n\n**1.97 record updates**\n**made per second**\n\n**Connections to ORCID records**\n6M \n5M \n4M \n3M \n2M \n1M \n\n2012 2013 2014 2015 2016 2017 2018 \n\n■**Live ORCID iDs**\n■**w/at least 1 education** ■**w/at least 1 employee**\n■**w/at least 1 work**\nSource: Orcid.org/statistics as of November 2018 \n\n42,500 ACTIVE \nSCHOLARLY PEER- \nREVIEWED JOURNALS \nSource: The STM Report, October 2018 \n\nSponsored by ORCID \n**To learn more go to https://orcid.org** **Institutions must increasingly recognize and demonstrate**\n**the impact of all types of research contributions**", + "page_start": 0, + "page_end": 0, + "source_file": "infographic3.pdf" + }, + { + "text": "*Figure 14-6 Adding a recipient list*\n\n**14.2.3 Adding a report ID**\n\nThe next step is to define the reports to ODF. The report ID identifies the application group \nand application to which the report belongs. Figure 14-7 shows the window where you add \nthe report ID.", + "page_start": 345, + "page_end": 345, + "source_file": "sg246915.pdf" + }, + { + "text": "*Table 6-1 Available macros*\n\n| Name | Description |\n|---|---|\n| Name | Description |\n| $ODUSERID | The user ID that is used to log in to Content Manager OnDemand. |\n| $ODALIAS | The alias that is defined to Content Manager OnDemand for the user’s session. |\n| $ODAGNAME | The application group name. |\n| $ODAGID | The application group internal identifier. |\n\n\nThe substitution does not include any necessary quotes for the macro, so you must ensure \nthat you use the correct quotation marks for the macro, if required, for example: \n\nWHERE ag_field in (SELECT value FROM where userid = '$ODUSERID') \n\nIf you log on to Content Manager OnDemand as USER1, the SQL changes to the following \nsyntax: \n\nWHERE ag_field in (SELECT value FROM where userid = 'USER1') \n\n**6.5.4 Annotations security**\n\nContent Manager OnDemand allows the secure creation and viewing of annotations (notes). \nThis capability is enabled through the Administrator Client window, as shown in Figure 6-10.", + "page_start": 168, + "page_end": 168, + "source_file": "sg246915.pdf" + }, + { + "text": "**Event ID**\nAn event ID is a value that is used to identify a unique error condition that was detected by the \nStorwize V7000. An event ID is used internally in the cluster to identify the error. \n\n**Excluded condition**\nThe excluded condition is a status condition. It describes an MDisk that the IBM Storwize \nV7000 decided is no longer sufficiently reliable to be managed by the cluster. The user must \nissue a command to include the MDisk in the cluster-managed storage. \n\n**Extent**\nAn extent is a fixed-size unit of data that is used to manage the mapping of data between \nMDisks and volumes. The size of the extent can range 16 MB - 8 GB. \n\n**External storage**\nExternal storage refers to MDisks that are SCSI logical units that are presented by storage \nsystems that are attached to and managed by the clustered system. \n\n**Failback**\nFailback is the restoration of an appliance to its initial configuration after the detection and \nrepair of a failed network or component. \n\n**Failover**\nFailover is an automatic operation that switches to a redundant or standby system or node in \na software, hardware, or network interruption. See also Failback. \n\n**Feature activation code**\nAn alphanumeric code that activates a licensed function on a product. \n\n**Fibre Channel port logins**\nFC port logins refer to the number of hosts that can see any one V7000 port. The IBM \nStorwize V7000 has a maximum limit per node port of FC logins that are allowed. \n\n**Field-replaceable unit**\nField-replaceable units (FRUs) are individual parts that are replaced entirely when any one of \nthe unit’s components fails. They are held as spares by the IBM service organization. \n\n**FlashCopy**\nFlashCopy refers to a point-in-time copy where a virtual copy of a volume is created. The \ntarget volume maintains the contents of the volume at the point in time when the copy was \nestablished. Any subsequent write operations to the source volume are not reflected on the \ntarget volume. \n\n**FlashCopy mapping**\nA FlashCopy mapping is a continuous space on a direct-access storage volume that is \noccupied by or reserved for a particular data set, data space, or file. \n\n**FlashCopy relationship**\nSee FlashCopy mapping.", + "page_start": 797, + "page_end": 797, + "source_file": "sg247938.pdf" + }, + { + "text": "**Vital product data**\nVital product data (VPD or VDP) is information that uniquely defines system, hardware, \nsoftware, and microcode elements of a processing system. \n\n**Volume**\nA volume is an IBM Storwize V7000 logical device that appears to host systems that are \nattached to the SAN as a SCSI disk. Each volume is associated with exactly one I/O Group. A \nvolume has a preferred node within the I/O Group. \n\n**Volume copy**\nA volume copy is a physical copy of the data that is stored on a volume. Mirrored volumes \nhave two copies. Non-mirrored volumes have one copy. \n\n**Volume protection**\nTo prevent active volumes or host mappings from inadvertent deletion, the system supports a \nglobal setting that prevents these objects from being deleted if the system detects that they \nhave recent I/O activity. When you delete a volume, the system checks to verify whether it is \npart of a host mapping, FlashCopy mapping, or remote-copy relationship. In these cases, the \nsystem fails to delete the volume, unless the**-force**parameter is specified. Using the**-force**\nparameter can lead to unintentional deletions of volumes that are still active. Active means \nthat the system detected recent I/O activity to the volume from any host.", + "page_start": 809, + "page_end": 809, + "source_file": "sg247938.pdf" + }, + { + "text": "**Application Group Identifier and the Application Group ID**\nThe Application Group Identifier and the Application Group ID (AGID) are unique identifiers \nthat are used by Content Manager OnDemand to identify the application group in system \ntables. \n\n**Migrate Data from Cache**\nThe Migrate Data from Cache value determines when documents and resources are migrated \nto archive storage. A storage set that is associated with a Tivoli Storage Manager client node \nmust be selected to enable migration to archive storage. \n\nThe following values are valid: \n\n(cid:2) No: Data is never migrated from cache. This option is unavailable when a storage set that \nis associated with a Tivoli Storage Manager client node is selected for the application \ngroup. \n\n(cid:2) When data is loaded: Data is migrated to archive storage when the data is loaded into the \napplication group. \n\n(cid:2) Next cache migration: Data is migrated to archive storage the next time that**ARSMAINT**is \nrun with the**-m**option. The**-m**option indicates that data and resources are copied from \ncache to archive storage. \n\n(cid:2) After__days in cache: This value specifies the number of days that data remains in cache \nstorage. After the prescribed number of days in cache storage are reached, the data is \ncopied to archive storage the next time that**ARSMAINT**is run with the**-m**option for data \nmigration. \n\n**5.2.7 IBM System Storage Archive Manager**\n\nCertain regulations require data to be stored in devices that are read only. In the past, \nphysical storage devices, such as tapes and optical disks that are Write Once Read Many \n(WORM), were used. \n\nWORM disks, such as the NetApp SnapLock or EMC Centera, can be used to store data in \nthe same manner as WORM tapes or optical platters. IBM System Storage Archive Manager \nallows critical data to be retained for a mandated period without the possibility of being \nrewritten or erased. \n\nIn this section, we describe System Storage Archive Manager and how Content Manager \nOnDemand can be configured to use this subsystem to support these WORM disk devices. \n\n**Note:**Verify support for any particular device on a particular platform through the Tivoli \nStorage Manager Device support matrix before you plan your implementation. \n\nFor more information about the Tivoli Storage Manager support of WORM disk devices, such \nas NetApp SnapLock, or EMC Centera, see the following IBM Knowledge Center documents: \n\n(cid:2)*Tivoli Storage Manager for AIX Administrator’s Guide*\n(cid:2)*Tivoli Storage Manager for Windows Administrator’s Guide*\n\nYou can obtain these documents from the IBM Tivoli Storage Manager Knowledge Center at \nthe following web address: \n\nhttp://www.ibm.com/support/knowledgecenter/SSGSG7/welcome?lang=en:", + "page_start": 127, + "page_end": 127, + "source_file": "sg246915.pdf" + }, + { + "text": "**The apka2e exit**\nThe**apka2e**exit translates data that is encoded in ASCII (code set IBM-850) into EBCDIC \n(code set IBM-037).*If you are converting line data to AFP, consider converting the data to*\n*EBCDIC.*A much wider selection of EBCDIC coded fonts is available than ASCII fonts. Many \ncustomers find that it is easier to use character sets and code pages that are supplied by IBM \nthan to create their own character sets and code pages. To use these predefined EBCDIC \ncoded fonts, the data must be in EBCDIC. \n\nWhen you use the**apka2e**exit, you must manually change your indexing parameters: \n\n(cid:2) Change an ASCII CPGID to an EBCIDIC CPGID; for example, change CPGID=850 to \nCPGID=500. \n\n(cid:2) Change the HEX codes for the triggers and index names from ASCII to EBCDIC. If you do \nnot, you receive ACIF return code 16, which states that it cannot find trigger1 or any fields. \n\nWe used a hex editor to determine the new EBCDIC values and typed them by keyboard edit \ninto the parameter file. If you do not have a hex editor, you can find conversion tables on the \nInternet. \n\nFor more information about how to update indexing parameters, see 11.2.6, “Debugging input \nuser exit programs” on page 247. \n\n**The asciinp exit**\nThe**asciinp**exit program is used when the data does not contain carriage controls. Instead, \nit contains “PC style” carriage returns and form feeds X'0D0A' and X'0D0C'. This program is \nprovided by IBM. The program transforms the ASCII data stream into a format that contains a \ncarriage control character in byte 0 of every record. \n\nThe**asciinp**exit performs the following actions: \n\n(cid:2) Inserts a new page command (X'31') at the top of the first page. \n\n(cid:2) Removes the ASCII carriage return (X'0D'). \n\n(cid:2) Inserts an ASCII new line (X'20') carriage control at byte 0 of each line, except the first \nline on a new page. \n\n(cid:2) Replaces the ASCII form feed (X'0C') with an ASCII new page command (X'31'). \n\n(cid:2) Leaves X'0A' in the file. \n\n**Note:**Because the**asciinp**exit inserts carriage control characters in byte 0 of your \ndocument, and leaves X'0A', it changes the position of the triggers and fields. If you use \nthis exit, you must add 1 to the column offsets for the triggers and fields. \n\n**The asciinpe exit**\nThe**asciinpe**exit combines the previous two exits. It converts the data from ASCII to \nEBCDIC and inserts EBCDIC carriage control characters. For full documentation about this \nsample program, see the asciinpe.c source code. \n\n**11.2.3 Index record exit**\n\nUse the index record exit to modify or ignore the records that ACIF writes in the index object \nfile. The program, which is specified in the ACIF*indxexit parameter*, receives control before a \nrecord is written to the index object file. The user-written program can instruct ACIF to use the \nrecord, to not use the record, or to edit the record before the record is inserted into the index \nobject file. \n\n**244** IBM Content Manager OnDemand Guide", + "page_start": 267, + "page_end": 267, + "source_file": "sg246915.pdf" + }, + { + "text": "The**idNode**member specifies the ID of the node. This member may not have a value of \n\n**0**. A value of**-1**indicates that child nodes do not use the**idNodeParent**member to \n\nspecify this node as their parent. Instead, this node can be a parent only by enclosing \n\nchild nodes in the EMF. Multiple nodes can have a ID of**-1**. If the ID is not**-1**, the value is \n\nunique across the document. \n\nThe**nodetype**specifies the type of structure node. This member is equal to one of the \n\nvalues from the**MSODOCEXSTRUCTTYPE**enumeration type. The following table lists \n\nexamples of document structure node types. \n\nTable 7. Document structure node types \n\n**Type Value** **Description**\n\nmsodocexStructTypePara \n\nA block of text within an article. Its parent node \nmust be an article. \n\nmsodocexStructTypeFigure \n\nA graphical element (for example, an image or \ncollection of shapes) that has a textual \n\nrepresentation. The textual representation is the \nalternate text used for reading or searching the \n\ndocument. \n\nmsodocexStructTypeArticle \n\nA group of nodes forming a single flow of text that \nshould be read or searched as a contiguous block \n\nof content. Some documents have a single article \nand others have multiple articles. \n\nmsodocexStructTypeHeading A heading in the text. \n\nmsodocexStructTypeTable A block of text forming a table. \n\nmsodocexStructTypeTR A block of text forming a single row of a table. \n\nmsodocexStructTypeTD A block of text forming a single cell in a table row. \n\nmsodocexStructTypeTH A block of text forming a single header cell in a \n\ntable row. \n\nmsodocexStructTypeList A block of text forming a list. \n\nmsodocexStructTypeListItem A block of text forming a list item.", + "page_start": 20, + "page_end": 20, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Chapter 14. Report distribution**\n\nIBM Content Manager OnDemand Distribution Facility (ODF) is an optional report distribution \nfeature for IBM Content Manager OnDemand. ODF provides an easy way to automatically \ngroup reports and portions of reports and distribute the reports to multiple users. ODF \ndistributions can be printed, created as an output file, or emailed as an attachment. \n\nODF can distribute reports that are stored in a Content Manager OnDemand server on any \nplatform that is supported by Content Manager OnDemand. \n\nIn this chapter, we cover the following topics: \n\n(cid:2) Introduction to Content Manager OnDemand Distribution Facility \n(cid:2) Defining the objects with the Administrator Client \n(cid:2) Defining the objects by using batch administration \n(cid:2) Customizable user exits \n(cid:2) Status and monitor tool", + "page_start": 338, + "page_end": 338, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2669.pdf", + "query": "What type of instability causes rims in ruptured polystyrene thin films to decay into small drops ?", + "target_page": 3, + "target_passage": " The rims may further decay into lines of small drops due to a Rayleigh-type instability", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "The patterns formed in dewetting processes have attracted strong interest since Reiter analysed the \n\nprocess quantitatively in the early nineties. In these experiments, that proved to be a paradigm in \n\nour understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is \n\ndeposited on a flat silicon oxide substrate is brought above the glass transition temperature. The \n\nfilm ruptures in several places, forming holes which subsequently grow, competing for space. As a \n\nresult, a random polygonal network of liquid rims emerges. The rims may further decay into lines \n\nof small drops due to a Rayleigh-type instability [1–3]. The related problems of retracting contact \n\nlines on partially wetting substrates and the opening of single holes in rather thick films have also \n\nbeen studied [4, 5]. \n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple \n\nnon-volatile liquids and polymers (for reviews see Refs. [6–8]). All stages of the dewetting of a \n\nfilm are studied: the initial film rupture via nucleation or a surface instability (called spinodal \n\ndewetting) [1, 9–13], the growth process of individual holes [14–16], the evolution of the resulting \n\nhole pattern [3, 13], and the stability of the individual dewetting fronts [17–19]. We note in \n\npassing, that descriptions of dewetting patterns may also be found in historic papers, particularly \n\nfor the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] \n\nconsidered turpentine on water and Marangoni [21, p. 352f] oil on water. \n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. How- \n\never, these systems have not yet been investigated in any great depth. Such systems are compli- \n\ncated because their behaviour is determined by the interplay between the various solute (or colloid) \n\nand solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one \n\nhas to distinguish between ‘normal’ convective dewetting and evaporative dewetting. A number \n\nof experiments have been performed employing (colloidal) solutions of polymers [22–25], macro- \n\nmolecules like collagen and DNA [26–31] and nanoparticles [32–40]. The latter are sometimes \n\nreferred to as ‘nanofluids’. The initial focus of much of the research in the field has been on \n\ninvestigating the structures that are formed which are similar to the ones observed in the ‘classi- \n\ncal’ dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from \n\nspinodal dewetting and heterogeneous nucleation and growth, respectively. They are ‘decorated’ \n\nwith the solute and therefore conserve the transient dewetting pattern as a dried-in structure when \n\nall the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2669.pdf" + }, + { + "text": "Benard instability,” Phys. Rev. Lett. 88, 164501 (2002). \n\n[50] J. Huang, F. Kim, A. R. Tao, S. Connor, and P. Yang, “Spontaneous formation of nanoparticle stripe \n\npatterns through dewetting,” Nat. Mater. 4, 896–900 (2005). \n\n[51] S. H. Lee, P. J. Yoo, S. J. Kwon, and H. H. Lee, “Solvent-driven dewetting and rim instability,” J. \n\nChem. Phys. 121, 4346–4351 (2004). \n\n[52] L. Xu, T. F. Shi, P. K. Dutta, and L. An, “Rim instability by solvent-induced dewetting,” J. Chem. \n\nPhys. 127, 144704 (2007). \n\n[53] L. Xu, T. F. Shi, and L. J. An, “The dewetting dynamics of the polymer thin film by solvent anneal- \n\ning,” J. Chem. Phys. 129, 044904 (2008). \n\n[54] M. Elbaum and S. G. Lipson, “How does a thin wetted film dry up?” Phys. Rev. Lett. 72, 3562–3565 \n\n(1994). \n\n[55] N. Samid-Merzel, S. G. Lipson, and D. S. Tannhauser, “Pattern formation in drying water films,” \n\nPhys. Rev. E 57, 2906–2913 (1998). \n\n[56] A. Padmakar, K. Kargupta, and A. Sharma, “Instability and dewetting of evaporating thin water films \n\non partially and completely wettable substrates,” J. Chem. Phys. 110, 1735–1744 (1999). \n\n[57] A. V. Lyushnin, A. A. Golovin, and L. M. Pismen, “Fingering instability of thin evaporating liquid \n\nfilms,” Phys. Rev. E 65, 021602 (2002). \n\n[58] L. M. Pismen, “Spinodal dewetting in a volatile liquid film,” Phys. Rev. E 70, 021601 (2004). \n\n[59] C. Poulard, O. Benichou, and A. M. Cazabat, “Freely receding evaporating droplets,” Langmuir 19, \n\n8828–8834 (2003). \n\n[60] Y. Gotkis, I. Ivanov, N. Murisic, and L. Kondic, “Dynamic structure formation at the fronts of volatile \n\nliquid drops,” Phys. Rev. Lett. 97, 186101 (2006). \n\n[61] E. Pauliac-Vaujour and P. Moriarty, “Meniscus-mediated organization of colloidal nanoparticles,” J. \n\nPhys. Chem. C 111, 16255–16260 (2007). \n\n[62] C. Gigault, K. Dalnoki-Veress, and J. R. Dutcher, “Changes in the morphology of self-assembled \n\npolystyrene microsphere monolayers produced by annealing,” J. Colloid Interface Sci. 243, 143–155 \n\n(2001). \n\n[63] A. Oron, S. H. Davis, and S. G. Bankoff, “Long-scale evolution of thin liquid films,” Rev. Mod. Phys. \n\n69, 931–980 (1997). \n\n[64] U. Thiele, “Thin film evolution equations from (evaporating) dewetting liquid layers to epitaxial", + "page_start": 28, + "page_end": 28, + "source_file": "1001.2669.pdf" + }, + { + "text": "[97] U. Thiele, M. G. Velarde, K. Neuffer, and Y. Pomeau, “Film rupture in the diffuse interface model \n\ncoupled to hydrodynamics,” Phys. Rev. E 64, 031602 (2001). \n\n[98] J. Heier, J. Groenewold, F. A. Castro, F. Nueesch, and R. Hany, “Enlarged bilayer interfaces from \n\nliquid-liquid dewetting for photovoltaic applications,” P Soc Photo-Opt Instrum Eng 6999, J9991– \n\nJ9991 (2008). \n\n[99] M. D. Haw, M. Gillie, and W. C. K. Poon, “Effects of phase behavior on the drying of colloidal \n\nsuspensions,” Langmuir 18, 1626–1633 (2002). \n\n[100] L. V. Govor, J. Parisi, G. H. Bauer, and G. Reiter, “Instability and droplet formation in evaporating \n\nthin films of a binary solution,” Phys. Rev. E 71, 051603 (2005). \n\n[101] L. V. Govor, G. Reiter, G. H. Bauer, and J. Parisi, “Self-assembled treelike patterns from an evapo- \n\nrating binary solution,” Phys. Rev. E 74, 061603 (2006). \n\n[102] M. Yamamura, T. Nishio, T. Kajiwara, and K. Adachi, “Evaporation-induced pattern formation in \n\npolymer films via secondary phase separation,” Chem. Eng. Sci. 57, 2901–2905 (2002). \n\n[103] P. M¨uller-Buschbaum, E. Bauer, S. Pfister, S. V. Roth, M. Burghammer, C. Riekel, C. David, and \n\nU. Thiele, “Creation of multi-scale stripe-like patterns in thin polymer blend films,” Europhys. Lett. \n\n73, 35–41 (2006). \n\n[104] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, and O. Gengelman, “Meso- \n\nscopic patterning in evaporated polymer solutions: New experimental data and physical mecha- \n\nnisms,” Langmuir 21, 9604–9609 (2005). \n\n[105] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, V. Z. Gaisin, R. Cohen, and \n\nO. V. Gendelman, “Mesoscopic patterning in thin polymer films formed under the fast dip-coating \n\nprocess,” Macromol. Mater. Eng. 290, 114–121 (2005). \n\n[106] J. B. Gibson, K. Zhang, K. Chen, S. Chynoweth, and C. W. Manke, “Simulation of colloid-polymer \n\nsystems using dissipative particle dynamics,” Mol. Simul. 23, 1–41 (1999). \n\n[107] K. Stratford and I. Pagonabarraga, “Parallel simulation of particle suspensions with the lattice Boltz- \n\nmann method,” Comput. Math. Appl. 55, 1585–1593 (2008). \n\n[108] G. Drazer, B. Khusid, J. Koplik, and A. Acrivos, “Wetting and particle adsorption in nanoflows,” \n\nPhys. Fluids 17, 017102 (2005). \n\n[109] J. Kromkamp, D. van den Ende, D. Kandhai, R. van der Sman, and R. Boom, “Lattice Boltzmann \n\nsimulation of 2d and 3d non-Brownian suspensions in Couette flow,” Chem. Eng. Sci. 61, 858–873 \n\n(2006).", + "page_start": 31, + "page_end": 31, + "source_file": "1001.2669.pdf" + }, + { + "text": "fast evaporation [104, 105]. These complex experimental systems all represent systems of high \n\npractical interest that the theories presented here are not (yet) able to describe. Such experiments \n\ndo, however, provide a strong motivation for further work to extend the theories presented here, as \n\nwell as to develop new approaches. \n\nLet us finally mention that several topics were entirely excluded from our discussion here. First, we \n\nfocused on a limited range of descriptions and did, for instance, not mention lattice Boltzmann, \n\nmolecular dynamics or dissipative particle dynamics approaches that may also be employed to \n\ndescribe fluid suspensions [106–109]. Second, we have only discussed spatially homogeneous \n\nsubstrates. Patterned substrates are widely used in dewetting experiments [38, 110–112]. Theoret- \n\nical descriptions are well developed for the dewetting of films of pure non-volatile liquids on such \n\nsubstrates [68, 113–119]. However, in the case of volatile liquids on heterogeneous substrates, \n\nmuch less work has been done. A third topic that we did not touch upon are possible continuum \n\nthin film approaches to demixing dewetting suspensions. We believe it is feasible to extend the \n\ndiffuse interface theories such as model-H [120] to include the influence of evaporation in dewet- \n\nting nanoparticle suspensions. For instance, such models have already been adapted to describe \n\ndemixing free surface films of polymer blends [121–123]. \n\nAJA and MJR gratefully acknowledge RCUK and EPSRC, respectively, for financial support. We \n\nacknowledge support by the European Union via the FP6 and FP7 Marie Curie schemes [Grants \n\nMRTN-CT-2004005728 (PATTERNS) and PITN-GA-2008-214919 (MULTIFLOW)]. \n\n[1] G. Reiter, “Dewetting of thin polymer films,” Phys. Rev. Lett. 68, 75–78 (1992). \n\n[2] G. Reiter, “Mobility of polymers in films thinner than their unperturbed size,” Europhys. Lett. 23, \n\n579–584 (1993). \n\n[3] A. Sharma and G. Reiter, “Instability of thin polymer films on coated substrates: Rupture, dewetting \n\nand drop formation,” J. Colloid Interface Sci. 178, 383–399 (1996). \n\n[4] P.-G. de Gennes, “Wetting: Statics and dynamics,” Rev. Mod. Phys. 57, 827–863 (1985).", + "page_start": 24, + "page_end": 24, + "source_file": "1001.2669.pdf" + }, + { + "text": "[110] L. Rockford, Y. Liu, P. Mansky, T. P. Russell, M. Yoon, and S. G. J. Mochrie, “Polymers on nanope- \n\nriodic, heterogeneous surfaces,” Phys. Rev. Lett. 82, 2602–2605 (1999). \n\n[111] A. Sehgal, V. Ferreiro, J. F. Douglas, E. J. Amis, and A. Karim, “Pattern-directed dewetting of \n\nultrathin polymer films,” Langmuir 18, 7041–7048 (2002). \n\n[112] M. Geoghegan and G. Krausch, “Wetting at polymer surfaces and interfaces,” Prog. Polym. Sci. 28, \n\n261–302 (2003). \n\n[113] P. Lenz and R. Lipowsky, “Morphological transitions of wetting layers on structured surfaces,” Phys. \n\nRev. Lett. 80, 1920–1923 (1998). \n\n[114] C. Bauer, S. Dietrich, and A. O. Parry, “Morphological phase transitions of thin fluid films on chem- \n\nically structured substrates,” Europhys. Lett. 47, 474–480 (1999). \n\n[115] R. Konnur, K. Kargupta, and A. Sharma, “Instability and morphology of thin liquid films on chemi- \n\ncally heterogeneous substrates,” Phys. Rev. Lett. 84, 931–934 (2000). \n\n[116] M. Brinkmann and R. Lipowsky, “Wetting morphologies on substrates with striped surface domains,” \n\nJ. Appl. Phys. 92, 4296–4306 (2002). \n\n[117] L. Brusch, H. K¨uhne, U. Thiele, and M. B¨ar, “Dewetting of thin films on heterogeneous substrates: \n\nPinning vs. coarsening,” Phys. Rev. E 66, 011602 (2002). \n\n[118] U. Thiele, L. Brusch, M. Bestehorn, and M. B¨ar, “Modelling thin-film dewetting on structured sub- \n\nstrates and templates: Bifurcation analysis and numerical simulations,” Eur. Phys. J. E 11, 255–271 \n\n(2003). \n\n[119] U. Thiele, “Open questions and promising new fields in dewetting,” Eur. Phys. J. E 12, 409–416 \n\n(2003). \n\n[120] D. M. Anderson, G. B. McFadden, and A. A. Wheeler, “Diffuse-interface methods in fluid mechan- \n\nics,” Ann. Rev. Fluid Mech. 30, 139–165 (1998). \n\n[121] U. Thiele, S. Madruga, and L. Frastia, “Decomposition driven interface evolution for layers of binary \n\nmixtures: I. Model derivation and stratified base states,” Phys. Fluids 19, 122106 (2007). \n\n[122] O. A. Frolovskaya, A. A. Nepomnyashchy, A. Oron, and A. A. Golovin, “Stability of a two-layer \n\nbinary-fluid system with a diffuse interface,” Phys. Fluids 20, 112105 (2008). \n\n[123] S. Madruga and U. Thiele, “Decomposition driven interface evolution for layers of binary mixtures:", + "page_start": 32, + "page_end": 32, + "source_file": "1001.2669.pdf" + }, + { + "text": "polymers which only result in fingers without side-branches [75] or fields of droplets left behind \n\n[18]. \n\nA quantitative analysis shows that the mean number of fingers depends only very weakly on the av- \n\nerage concentration of the nanoparticles ρav \nn ; only the mean finger width increases with increasing \n\nconcentration. However, decreasing the mobility (i.e., decreasing the diffusivity of the particles) \n\nleads to a much denser finger pattern and also causes the front instability to appear at an earlier \n\nstage, i.e., when the front instability is in its initial linear regime, it has a higher growth rate and a \n\nsmaller characteristic wavelength (cf. Fig. 2(c) and (d)). Decreasing the effective chemical poten- \n\ntial (increasing its absolute value) has a similar but less strong effect. For details see [41]. These \n\nfindings lead to the conclusion that the determining factor for the front instability is the ratio of \n\nthe time-scales of the different transport processes. In particular, the front becomes more unstable \n\nwhen the velocity of the dewetting front increases as compared to the mean diffusion velocity of \n\nthe nanoparticles. \n\nIf the particle diffusivity is low, the front ‘collects’ the particles, resulting in a build up of the \n\nparticles at the front that itself is slowed down. This makes the front unstable and any fluctuation \n\nalong the front will trigger a transverse instability that results in an evolving fingering pattern. This \n\nhappens even when the particle-liquid and particle-particle attractive interactions do not favour \n\nclustering (i.e. demixing of the liquid and the nanoparticles). In this regime, the instability is a \n\npurely dynamic effect and energetics plays no role in determining the number of fingers. We call \n\nthis the ‘transport regime’. \n\nTo illustrate the influence of energetics (characterized by the interaction parameters εij) on finger- \n\ning in Fig. 3 we display the dependence of the mean finger number on particle-liquid interaction \n\nstrength εnl. For εnl ≥ 1.5 the mean finger number < f > is nearly constant; this is the trans- \n\nport regime. However, on decreasing εnl below 1.5, we observe a marked increase in the value \n\nof < f >, indicating that energy plays an important role in determining the number of fingers in \n\nthis regime. In this parameter range, demixing of particles and liquid occurs at the moving front \n\nand increases its transverse instability. In this ‘demixing regime’, the wavelength of the fingering \n\ninstability is determined by the dynamics and the energetics of the system. Decreasing εnl further \n\n(below 1.4 in Fig. 3) one first observes in regime (iii) a slight decrease in the average finger num- \n\nber. This is a geometric effect resulting from our one-dimensional finger counting routine: The \n\nfingers increasingly break up and the dried-in pattern looks progressively isotropic. In regime (iv), \n\nthe measure (cid:104)f (cid:105) does not represent a finger number but instead indicates a decrease in the typical", + "page_start": 11, + "page_end": 11, + "source_file": "1001.2669.pdf" + }, + { + "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle \n\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can \n\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid \n\non the substrate where the nanoparticles are. \n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. \n\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be \n\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 \n\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger \n\nnumber remains constant, although new branches are continuously created and old branches join \n\neach other. In general, the results on fingering agree well with results obtained using the KMC \n\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor \n\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion \n\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the \n\nKMC for investigations of the early instability stages: they are more easy to discern without the \n\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of \n\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations \n\n(in analogy to the approach used in Refs. [19, 86, 87]). \n\nThe previous two sections focused on two approaches to describe the experimentally observed \n\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet- \n\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional \n\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to \n\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the \n\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach \n\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do \n\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface- \n\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of \n\nspreading particle solutions incorporating a structural disjoining pressure has also been considered \n\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91]. \n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", + "page_start": 17, + "page_end": 17, + "source_file": "1001.2669.pdf" + }, + { + "text": "[20] C. Tomlinson, “On the motion of certain liquids on the surface of water,” Phil. Mag. Ser. 4 39, 32–48 \n\n(1870). \n\n[21] C. G. Marangoni, “Ueber die Ausbreitung der Tropfen einer Fl¨ussigkeit auf der Oberfl¨ache einer \n\nanderen,” Ann. Phys. (Poggendorf) 143, 337–354 (1871). \n\n[22] O. Karthaus, L. Grasj¨o, N. Maruyama, and M. Shimomura, “Formation of ordered mesoscopic poly- \n\nmer arrays by dewetting,” Chaos 9, 308–314 (1999). \n\n[23] X. Gu, D. Raghavan, J. F. Douglas, and A. Karim, “Hole-growth instability in the dewetting of \n\nevaporating polymer solution films,” J. Polym. Sci. Pt. B-Polym. Phys. 40, 2825–2832 (2002). \n\n[24] S. W. Hong, J. F. Xia, and Z. Q. Lin, “Spontaneous formation of mesoscale polymer patterns in an \n\nevaporating bound solution,” Adv. Mater. 19, 1413–1417 (2007). \n\n[25] G. Liu, C. F. Zhang, J. Zhao, and Y. X. Zhu, “Study of the morphology of the three-phase contact \n\nline and its evolution by morphological examination after droplet evaporation of aqueous polymer \n\nsolutions,” Langmuir 24, 7923–7930 (2008). \n\n[26] M. Mertig, U. Thiele, J. Bradt, G. Leibiger, W. Pompe, and H. Wendrock, “Scanning force mi- \n\ncroscopy and geometrical analysis of two-dimensional collagen network formation,” Surface and \n\nInterface Analysis 25, 514–521 (1997). \n\n[27] M. Mertig, U. Thiele, J. Bradt, D. Klemm, and W. Pompe, “Dewetting of thin collagenous precursor \n\nfilms,” Appl. Phys. A 66, S565–S568 (1998). \n\n[28] U. Thiele, M. Mertig, and W. Pompe, “Dewetting of an evaporating thin liquid film: Heterogeneous \n\nnucleation and surface instability,” Phys. Rev. Lett. 80, 2869–2872 (1998). \n\n[29] H. Maeda, “An atomic force microscopy study of ordered molecular assemblies and concentric ring \n\npatterns from evaporating droplets of collagen solutions,” Langmuir 15, 8505–8513 (1999). \n\n[30] I. I. Smalyukh, O. V. Zribi, J. C. Butler, O. D. Lavrentovich, and G. C. L. Wong, “Structure and \n\ndynamics of liquid crystalline pattern formation in drying droplets of DNA,” Phys. Rev. Lett. 96, \n\n177801 (2006). \n\n[31] L. Zhang, S. Maheshwari, H. C. Chang, and Y. X. Zhu, “Evaporative self-assembly from complex \n\nDNA-colloid suspensions,” Langmuir 24, 3911–3917 (2008). \n\n[32] M. Maillard, L. Motte, A. T. Ngo, and M. P. Pileni, “Rings and hexagons made of nanocrystals: A \n\nMarangoni effect,” J. Phys. Chem. B 104, 11871–11877 (2000). \n\n[33] G. L. Ge and L. Brus, “Evidence for spinodal phase separation in two-dimensional nanocrystal self- \n\nassembly,” J. Phys. Chem. B 104, 9573–9575 (2000).", + "page_start": 26, + "page_end": 26, + "source_file": "1001.2669.pdf" + }, + { + "text": "also shift the spinodal and binodal lines as compared to the locations of these lines in the phase \n\ndiagram for the pure solvent [41]. As a consequence, the solute concentration influences the hole \n\nnucleation rate. More importantly, the solute particles may also destabilise the dewetting fronts. \n\nAs a result, one may find strongly ramified structures in all three systems [23, 25, 40, 42]. A \n\nselection of images exhibiting some of the possible structures is displayed in Fig.1. \n\nFor volatile solvents, the contact lines retract even for wetting fluids. It has been found that such \n\nevaporatively receding contact lines may deposit very regular line or ring patterns parallel to the \n\nmoving contact line [24, 43]. The deposition of a single ring of colloids from a evaporating \n\ndrop of colloidal suspension is well known as the ‘coffee stain effect’ [44]. Detailed investiga- \n\ntions reveal the emergence of rich structures including multiple irregular rings, networks, regular \n\ndroplet patterns, sawtooth patterns, Sierpinski carpets, and – in the case of DNA – liquid crys- \n\ntalline structures [22, 30, 45–49]. The deposition of regularly spaced straight lines orthogonal to \n\nthe moving contact line has also been reported [50]. Droplet patterns may as well be created em- \n\nploying solvent-induced dewetting of glassy polymer layers below the glass transition temperature \n\n[51–53]. \n\nNote that the dewetting of pure volatile liquids has also been studied experimentally [54] and \n\ntheoretically [55–58]. In this case, different contact line instabilities have been observed for evap- \n\norating liquid drops [59, 60]. \n\nIn the present article we review and preview the experiments and in particular the various mod- \n\nelling approaches for dewetting suspensions of (nano-)particles in volatile partially wetting sol- \n\nvents. After reviewing the basic experimental results in Section II, we discuss in Section III sev- \n\neral theoretical approaches. In particular, we present a kinetic Monte Carlo model in Section III A, \n\na dynamic density functional theory in Section III B, and a thin film evolution equation in Sec- \n\ntion III C. Finally, we conclude in Section IV by discussing advantages and shortcomings of the \n\nindividual approaches and future challenges to all of them. \n\nWe focus on experiments that use monodisperse colloidal suspensions of thiol-passivated gold \n\nnanoparticles in toluene [33, 34, 37–40, 61]. The gold core of 2 – 3 nm diameter is coated by a layer \n\nof alkyl-thiol molecules. The length of the carbon backbone of the thiol used in the experiments \n\nranges from 6 to 12 carbon atoms (C6 to C12) [40]. By varying the chain length, one can control", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2669.pdf" + }, + { + "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the \n\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an \n\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in \n\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen \n\nfrom processes in similar ultrathin ‘postcursor’ films. \n\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on \n\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how- \n\never, that at the moment there exists no explanation for its existence. A possible hypothesis is \n\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension \n\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso- \n\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration \n\nsuspension from the higher concentration suspension on the surface of the substrate. \n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro- \n\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions \n\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface \n\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness \n\nprofile h(x, y, t). In the case of volatile liquids one finds [55–58, 64] \n\n(cid:20) \nQc∇ \n\n(cid:21) \n\nδF \nδh δF \nδh \n− Qe \n, \n\nwith the mobility functions Qc(h) = h3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip \n\nat the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part \n\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory \n\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the \n\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the \n\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and \n\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates. \n\nFocusing on the influence of capillarity and wettability only, the energy functional F [h] is given \n\nby \n(cid:90) (cid:90) \n\n(cid:104) γ \n2 \n(cid:105) \n(∇h)2 + f (h) − µh F [h] = dx dy (2) \n\n7", + "page_start": 6, + "page_end": 6, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2669.pdf", + "query": "Concerning the dewetting of nanoparticle solutions, how does the concentration of nanoparticle affect the main finger's width ?", + "target_page": 12, + "target_passage": "A quantitative analysis shows that the mean number of fingers depends only very weakly on the av- erage concentration of the nanoparticles ; only the mean finger width increases with increasing concentration", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles \n\nin a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3), (b) medium (Ω = 2 × 10−6) \n\nand (c) low (Ω = 0.78 × 10−8) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length \nscale is (cid:96) = (cid:112)γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the \nvertical length scale is H = (cid:112)2SLW /κd0. The remaining dimensionless parameters are the evaporation \nnumber Ω = Qeη0(cid:96)2/H 3, the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical \n\npotential M = Hµ/κ = −0.0035. The system size is L = 19500(cid:96). Film thickness and hp in the plots are \n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the \n\ncoordinate x as the distance from the centre of the circular film. \n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film \n\ncontains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the \n\nfilm of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional \n\nholes can occur (even with noise the probability would be extremely low). Without evaporation the \n\nfilm dewets ‘classically’ by a retraction of the initially step-like front. After a short time, surface \n\ntension smoothes the profile of the receding front and a capillary rim forms that collects all the", + "page_start": 19, + "page_end": 19, + "source_file": "1001.2669.pdf" + }, + { + "text": "dewetted liquid. The front recedes until all liquid is collected in a central drop. Since no liquid \n\nevaporates [Qnc = 0 in Eq. (1)], the particle concentration does not change during the process. \n\nThe situation changes when allowing for evaporation (Qnc > 0). Now the front may retract \n\nby convection and/or evaporation. Evaporation leads to the possibility of a strong increase in \n\nthe particle concentration at the contact line as evaporation is strongest there. Due to the strong \n\nnonlinear dependence of the viscosity on the particle concentration, this may lead to a dramatic \n\ndecrease of the convective contribution to the front velocity. For moderate evaporation rates, this \n\nmay result in a (temporary) self-pinning of the front. Within the present basic model, the process \n\ncan (after complete dry-in) result in three different basic deposition patterns: (i) for very fast \n\nevaporation rates, all other processes occur over time scales that are much larger. In particular, the \n\neffects of convective redistribution of the liquid are neglectable. As a result one finds that a nearly \n\nhomogeneous film of nanoparticles of thickness hp = φ0h0 is deposited (see Fig. 6(a)). Convection \n\nonly results in the small heap of material visible at the left hand side of Fig. 6(a). The decrease \n\nin hp on the right side of Fig. 6(a) arises due to the diffusion of particles to the right of the initial \n\nfront position; (ii) for very low evaporation rates, the film dynamics is dominated by convective \n\ndewetting as this process acts on a much shorter time scale than evaporation. As a result, all the \n\nliquid is collected into a drop before evaporation slowly removes the remaining solvent. Under \n\nthese conditions most of the nanoparticles are deposited in a single heap (see Fig. 6(c)). Depending \n\non the diffusivity, the heap might be highest at the centre or show a depression there; (iii) at \n\nintermediate evaporation rates, one may observe the deposition of a nanoparticle ring around a \n\nregion with a nanoparticle film of much lower height. At the centre deposition might increase \n\nagain (see Fig. 6(b)). \n\nThe most intriguing feature is the ring formation that has been observed experimentally for sus- \n\npensions of very different particle sizes ranging from nanometers [32, 36, 46, 47] to hundreds of \n\nmicrometers. Pinning of the contact line and thermal Marangoni effects are often mentioned as \n\nnecessary conditions for the ring formation. The contact line pinning is often assumed to result \n\nfrom substrate heterogeneities. Film height and concentration profiles at various instants during \n\nthe dewetting process are displayed in Fig. 7. The profiles are from before, at and after self-pinning \n\nof the contact line. In Fig. 8 we display a space-time plot for the complete process. At first, the \n\nfront recedes in the same manner as when there is no evaporation, but now driven by convection \n\nand evaporation. A small capillary rim forms that collects all the dewetted liquid that does not \n\nevaporate. The particle concentration slowly increases at the contact line (Fig. 7(a) and regime", + "page_start": 20, + "page_end": 20, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 5: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles \n\nwith average density ρav \nn = 0.3 and with the liquid excluded from the region y < 0. The top row shows \n\nthe nanoparticle density profiles and bottom row the corresponding liquid density profiles at the times \n\nt/tl = 1000 (left), 10000 (middle) and 30000 (right), where tl = 1/kT M nc \nl σ2. The parameters are \n\nkT /εll = 0.8, εnl/εll = 0.6, εnn = 0, α = 0.2M nc \nl σ4, M c l = 0, ρl(t = 0) = 0.9 ± ξ (where ξ represents \n\nwhite noise of amplitude 0.05) and (µ − µcoex)/kT = −0.78. \n\nThis theory allows us to study the time evolution of the evaporating film of nanoparticle suspension \n\nwithout some of the restrictions of the kinetic Monte Carlo model. Here, however, we illustrate its \n\napplication in similar parameter regimes as used above for the KMC. We focus on two examples: \n\n(i) the spinodal dewetting of a initially flat film of nanoparticle suspension characterised by con- \n\nstant ρl and ρn (Fig. 4); and (ii) the retraction of a dewetting front that is unstable with respect to \n\na fingering instability (Fig. 5). \n\nFig. 4 presents two pairs of snapshots from a purely evaporative dewetting process deep inside the \n\nparameter region of the phase diagram where spinodal dewetting occurs. For small times the film \n\nbecomes unstable showing a typical spinodal labyrinthine pattern with a typical wavelength. The \n\nnanoparticles concentrate where the remaining liquid is situated. However, they are ‘slow’ in their \n\nreaction: when ρl already takes values in the range 0.08 – 0.83, the nanoparticle concentration \n\nhas only deviated by about 25% from its initial value. The film thins strongly forming many", + "page_start": 16, + "page_end": 16, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 7: (Colour online) A sequence of profiles during a dewetting process with competing evaporation and \n\nconvection that leads to the dried-in ring structure of nanoparticles displayed in Fig. 6(b). Profiles are at (a) \n\nbefore pinning (t = 0.08T ), (b) at self-pinning (t = 0.13T ), and (c) after depinning (t = 0.29T ), where \n\nT = 3 × 1010τ with τ = η0γH/κ2 (T is of order of 1s). The film thickness profiles h are the bold solid \n\nlines, the nanoparticle concentrations φ are the dotted lines and the nanoparticle layer height hp = hφ are \n\nthe dashed lines. The remaining parameters and scalings are as in Fig. 6(b). \n\n(i) in Fig. 8). The concentration increases further and when it approaches random close packing \n\nφc, the viscosity diverges and the front pins itself. When pinned, further retraction only occurs \n\nthrough evaporation (Fig. 7(b) and regime (ii) in Fig. 8). The front eventually depins and starts \n\nto move again, leaving a nanoparticle ring behind (Fig. 7(c) and regime (iii) in Fig. 8). However, \n\nthe velocity is not as large as at the beginning, owing to the fact that the mean concentration of \n\nparticles has increased. The remaining particles are transported to the centre and are deposited \n\nthere when the remaining solvent evaporates (regime (iv) in Fig. 8). \n\nThe simple model used here shows, (i) that the contact line stops due to self-pinning by the de- \n\nposited particles and (ii) the Marangoni effect is not necessary for the ring formation. The model \n\ncan easily be refined to account for solutal and/or thermal Marangoni effects [88] but self-pinning", + "page_start": 21, + "page_end": 21, + "source_file": "1001.2669.pdf" + }, + { + "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under \n\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled \n\nnon-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles \n\nper unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp \n\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The \n\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence \n\nof particle-independent capillarity and wettability only, the energy functional F [h] is given by \n\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. \n\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95] \n\n(cid:18) (cid:19)−2 \n\nφ \nφc \nη(φ) = η0 \n1 − (8) \n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle \n\nvolume per length hp = φh one obtains the following evolution equation: \n\n(cid:20) (cid:21) \n\nδF \nδh \n∂t(φh) = ∇ · φQc∇ \n+ ∇ · [D(φ)h∇φ] , (9) \n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by \n\nthe Einstein relation D(φ) = kT /6πRη(φ), where R is the radius of the nanoparticles [96]. \n\nWe illustrate results obtained employing this thin film theory using the single example of a re- \n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material \n\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting \n\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The \n\nexpression that we employ for the local free energy term in Eq. (2) is: \n\n(cid:18) d0 − h \nl0 \n\n(cid:19) \nSLW d2 \n0 \nf (h) = \nh2 + SP exp \n, (10) \n\nwhere the parameters characterising the interaction between the liquid film and the surface are \n\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the \n\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf (h) allows for a stable \n\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds \n\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of \n\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where \n\nthe profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. \n\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains \n\n19", + "page_start": 18, + "page_end": 18, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force \n\nMicroscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig \n\nand W. Pompe; see also Ref. [42]. Image size: 5µm×5µm); (b) poly(acrylic acid) in water spin-coated onto \n\na polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright \n\nJohn Wiley & Sons, Inc. 2002; Image size: 2.5µm×2.5µm); and in both (c) and (d), a solution of gold \n\nnanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in \n\npanels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the \n\nempty substrate.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2669.pdf" + }, + { + "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the \n\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an \n\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in \n\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen \n\nfrom processes in similar ultrathin ‘postcursor’ films. \n\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on \n\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how- \n\never, that at the moment there exists no explanation for its existence. A possible hypothesis is \n\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension \n\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso- \n\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration \n\nsuspension from the higher concentration suspension on the surface of the substrate. \n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro- \n\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions \n\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface \n\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness \n\nprofile h(x, y, t). In the case of volatile liquids one finds [55–58, 64] \n\n(cid:20) \nQc∇ \n\n(cid:21) \n\nδF \nδh δF \nδh \n− Qe \n, \n\nwith the mobility functions Qc(h) = h3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip \n\nat the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part \n\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory \n\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the \n\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the \n\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and \n\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates. \n\nFocusing on the influence of capillarity and wettability only, the energy functional F [h] is given \n\nby \n(cid:90) (cid:90) \n\n(cid:104) γ \n2 \n(cid:105) \n(∇h)2 + f (h) − µh F [h] = dx dy (2) \n\n7", + "page_start": 6, + "page_end": 6, + "source_file": "1001.2669.pdf" + }, + { + "text": "Modelling approaches to the dewetting of evaporating thin films of \n\nnanoparticle suspensions \n\nU. Thiele∗, I. Vancea, A. J. Archer, M. J. Robbins, L. Frastia \n\nDepartment of Mathematical Sciences, \n\nLoughborough University, Leicestershire LE11 3TU, UK \n\nA. Stannard, E. Pauliac-Vaujour, C. P. Martin, M. O. Blunt, P. J. Moriarty \n\nThe School of Physics and Astronomy, \n\nThe University of Nottingham, Nottingham NG7 2RD, UK \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\n] \nt \nf \no \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\n1 \nv \n9 \n6 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2669.pdf" + }, + { + "text": "FIG. 2: Typical KMC results for the final dried-in nanoparticle structures resulting from the evaporative \n\ndewetting processes of nanoparticle solutions (nanofluids) in the case of (a) a spinodal-like process at µ = \n\n−2.55, (b) nucleation and growth of holes at µ = −2.3, (c) unstable fronts at µ = −2.3 and low mobility \n\nM = 5, and (d) unstable fronts at µ = −2.3 and medium mobility M = 10. The starting configuration in \n\n(a) and (b) is a homogeneous liquid film with uniformly distributed particles whereas in (c) and (d) a hole \n\nat the center is nucleated ‘by hand’. The remaining parameters are (a,b) M = 50, (cid:15)nl = 2.0, (cid:15)nn = 1.5, \n\nn = 0.2, kT = 0.3, MC steps= 500, domain size 1200 × 1200; (c,d) εnn = 2.0, (cid:15)nl = 1.5, ρav \nρav n = 0.2,", + "page_start": 10, + "page_end": 10, + "source_file": "1001.2669.pdf" + }, + { + "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain \n\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally \n\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding \n\nexcess thiol one can also vary the properties of the solvent [40]. \n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin- \n\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the \n\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds \n\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo- \n\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For \n\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin- \n\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing \n\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by \n\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced \n\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the \n\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find \n\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched \n\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a \n\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the \n\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold \n\ncores. For short chains (C5 and C8) no formation of branched structures is observed. At similar \n\nconcentrations, well-developed branched structures are formed for longer chains (C10 and C12). \n\nFor even longer chains (C14), however, one again finds less branching. It also depends on the \n\namount of excess thiol in the solvent (for details see Ref. [40]). \n\nWhen following the evolution of the branched patterns in situ (see the complementary video \n\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght \n\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. \n\nThe macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly \n\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc- \n\ntures cover all the available substrate. However, when at a later stage the macroscopic front be- \n\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this \n\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all \n\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2669.pdf", + "query": "Which of ultrathin film or mesoscale hydrodynamics are best explained by kinetic Monte Carlo models ? ", + "target_page": 18, + "target_passage": "lthough both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle \n\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of \n\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright \n\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four \n\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, \n\n(iii) slow motion after depinning, and (iv) final evaporation from the center. \n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating \n\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of \n\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and \n\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics \n\non the mesoscale has been described as well as more microscopic models for the dynamics in the \n\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic \n\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film \n\nmodel. \n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to \n\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures \n\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic \n\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-", + "page_start": 22, + "page_end": 22, + "source_file": "1001.2669.pdf" + }, + { + "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the \n\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an \n\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in \n\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen \n\nfrom processes in similar ultrathin ‘postcursor’ films. \n\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on \n\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how- \n\never, that at the moment there exists no explanation for its existence. A possible hypothesis is \n\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension \n\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso- \n\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration \n\nsuspension from the higher concentration suspension on the surface of the substrate. \n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro- \n\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions \n\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface \n\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness \n\nprofile h(x, y, t). In the case of volatile liquids one finds [55–58, 64] \n\n(cid:20) \nQc∇ \n\n(cid:21) \n\nδF \nδh δF \nδh \n− Qe \n, \n\nwith the mobility functions Qc(h) = h3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip \n\nat the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part \n\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory \n\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the \n\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the \n\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and \n\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates. \n\nFocusing on the influence of capillarity and wettability only, the energy functional F [h] is given \n\nby \n(cid:90) (cid:90) \n\n(cid:104) γ \n2 \n(cid:105) \n(∇h)2 + f (h) − µh F [h] = dx dy (2) \n\n7", + "page_start": 6, + "page_end": 6, + "source_file": "1001.2669.pdf" + }, + { + "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle \n\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can \n\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid \n\non the substrate where the nanoparticles are. \n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. \n\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be \n\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 \n\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger \n\nnumber remains constant, although new branches are continuously created and old branches join \n\neach other. In general, the results on fingering agree well with results obtained using the KMC \n\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor \n\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion \n\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the \n\nKMC for investigations of the early instability stages: they are more easy to discern without the \n\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of \n\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations \n\n(in analogy to the approach used in Refs. [19, 86, 87]). \n\nThe previous two sections focused on two approaches to describe the experimentally observed \n\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet- \n\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional \n\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to \n\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the \n\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach \n\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do \n\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface- \n\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of \n\nspreading particle solutions incorporating a structural disjoining pressure has also been considered \n\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91]. \n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", + "page_start": 17, + "page_end": 17, + "source_file": "1001.2669.pdf" + }, + { + "text": "where γ is the liquid-gas surface tension and f (h) is a local free energy term that describes the \n\nwettability of the surface. Since µ corresponds to a chemical potential, the term µh may either bias \n\nthe system towards the liquid or towards the gas state. The variation of F w.r.t. h gives the pressure. \n\nIt contains the curvature (Laplace) pressure −γ∆h and the disjoining pressure Π(h) = −∂hf (h). \n\nMany different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]). \n\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanopar- \n\nticles are not taken into account. However, under certain conditions one can augment equation (1) \n\nfor the evolution of the film thickness by coupling it to an equation for the evolution of the mean \n\nparticle concentration. The resulting model is able to describe the behaviour of an evaporating so- \n\nlution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C. \n\nWe should expect such a model to describe the mesoscopic dewetting front discussed above. How- \n\never, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor \n\nfilm. \n\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a dis- \n\ncrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on \n\nevaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The va- \n\nlidity of this strong assumption regarding the relevant transport processes can be confirmed from \n\nan estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The \n\nconvective mobility is proportional to h3, i.e., it is large for thick films but decreases strongly with \n\nreduced film thickness. The evaporative mobility, however, is a constant, implying that evapora- \n\ntion will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57] \n\nand a small contact angle (≈ 0.01), the cross-over thickness is in the range of 1-5 nanometers. \n\nThis estimate justifies the neglect of convective transport in a description of the postcursor film \n\nand may explain why one has such good agreement between the experimentally observed patterns \n\nand the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model \n\n[35]. We introduce the KMC model below in Section III A. \n\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its po- \n\ntential applications. For instance, the thermodynamic chemical potential as well as any wetting \n\ninteraction of the solvent with the substrate are collected in a single parameter – an effective chem- \n\nical potential. This implies that any influence of a disjoining pressure is ‘smeared out’ over the \n\nwhole system and that no distinction between the short- and the long-range parts of the disjoining \n\npressure is possible. It is furthermore based on the assumption that evaporation/condensation is", + "page_start": 7, + "page_end": 7, + "source_file": "1001.2669.pdf" + }, + { + "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to \n\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the \n\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to \n\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term \n\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal \n\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three- \n\ndimensional models are also discussed in the literature [76, 77]. \n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related \n\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. \n\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid, \n\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to \n\ndistinguish between the influence of the short- and the long-range parts of the interactions with the \n\nsubstrate, as all such interactions are absorbed into the effective chemical potential. \n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model \n\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit \n\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to \n\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes \n\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities \n\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied \n\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond \n\nto number densities as we use the lattice spacing σ = 1 as our unit of length. \n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ρl, ρn], and \n\nsecondly, devise dynamical equations for both density fields that account for the conserved and the \n\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. \n\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) \n\napproximation for the free energy of the system [78, 84] which contains an entropic contribution \n\nand contributions from the interactions between the different species (nanoparticles and liquid). \n\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is \n\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", + "page_start": 13, + "page_end": 13, + "source_file": "1001.2669.pdf" + }, + { + "text": "Abstract \n\nWe review recent experiments on dewetting thin films of evaporating colloidal nanoparticle suspensions \n\n(nanofluids) and discuss several theoretical approaches to describe the ongoing processes including coupled \n\ntransport and phase changes. These approaches range from microscopic discrete stochastic theories to \n\nmesoscopic continuous deterministic descriptions. In particular, we focus on (i) a microscopic kinetic \n\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model. \n\nModels (i) and (ii) are employed to discuss the formation of polygonal networks, spinodal and branched \n\nstructures resulting from the dewetting of an ultrathin ‘postcursor film’ that remains behind a mesoscopic \n\ndewetting front. We highlight, in particular, the presence of a transverse instability in the evaporative \n\ndewetting front which results in highly branched fingering structures. The subtle interplay of decomposition \n\nin the film and contact line motion is discussed. \n\nFinally, we discuss a simple thin film model (iii) of the hydrodynamics on the mesoscale. We employ \n\ncoupled evolution equations for the film thickness profile and mean particle concentration. The model is \n\nused to discuss the self-pinning and de-pinning of a contact line related to the ‘coffee-stain’ effect. \n\nIn the course of the review we discuss the advantages and limitations of the different theories, as well as \n\npossible future developments and extensions. \n\nJ. Phys.-Cond. Mat. 21, 264016 (2009), The paper is published in: \n\nin the Volume “Nanofluids on solid substrates” and can be obtained at \n\nhttp://dx.doi.org/10.1088/0953-8984/21/26/264016", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2669.pdf" + }, + { + "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B \n\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the \n\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include \n\nother effects such as fluid diffusion, that the KMC does not incorporate. \n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed \n\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key \n\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice \n\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) \n\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent. \n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided \n\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con- \n\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively \n\nmaps the system onto a two-dimensional two-component lattice gas having two fields n and l. The \n\nresulting three possible states of a cell are: liquid (l = 1, n = 0), nanoparticle (l = 0, n = 1), \n\nand vapour (l = 0, n = 0, i.e., cell empty). The energy of an overall configuration is given by the \n\n(cid:88) (cid:88) \nE = − \nlilj − µ li \n\ni \n\nwhere (cid:80) \n\n denotes a sum over nearest neighbour pairs and εll, εnn and εnl are the liquid-liquid, \nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction \n\nstrength parameters εll, εnn, εnl and the effective chemical potential µ determines the equilibrium \n\nstate of the system. We choose εll as unit of energy – i.e. we set εll = 1. \n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How- \n\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle \n\nconfigurations do not necessarily represent equilibrium structures. This implies that the system \n\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their \n\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) \n\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility \n\nM corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", + "page_start": 8, + "page_end": 8, + "source_file": "1001.2669.pdf" + }, + { + "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion \n\nwithin the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquid- \n\nparticle and particle-particle interactions into account and therefore allows us to distinguish differ- \n\nent regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport \n\nregime where the instability is almost completely independent of the interaction strengths and \n\na demixing regime where particles and liquid demix at the receding front thereby increasing its \n\ntransverse instability. \n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of \n\nthe liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional \n\nhamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evapo- \n\nrating ultrathin film and also to investigate the influence of processes such as surface diffusion by \n\nthe liquid, which are not incorporated in the KMC model. However, it is straightforward to extend \n\nthe theory to consider a fully three-dimensional fluid film, in which one can distinguish between \n\nshort- and long-range interactions of solvent and/or solute with the substrate. We have, however, \n\nrestricted the examples given here to situations that can also be described using the KMC model. \n\nA further exploration will be presented elsewhere. \n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It \n\nresults from a long-wave approximation and consists of coupled evolution equations for the film \n\nthickness profile and the mean particle concentration. It has been used to discuss the self-pinning \n\nof receding contact lines that is related to the formation of rings of dried-in particles (coffee- \n\nstain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the \n\ncombined effects of convection and evaporation. \n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques \n\nthat allow one to produce hierarchically structured functional layers for a wide range of applica- \n\ntions such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly \n\ntowards increasingly complex systems. For example, there have been investigations of the influ- \n\nence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal \n\nparticles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evap- \n\norating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of \n\na secondary phase separation on evaporation-induced pattern formation in polymer films [102], \n\nand of the influence of an imposed flow on decomposition and deposition processes in a sliding \n\nridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", + "page_start": 23, + "page_end": 23, + "source_file": "1001.2669.pdf" + }, + { + "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under \n\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled \n\nnon-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles \n\nper unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp \n\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The \n\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence \n\nof particle-independent capillarity and wettability only, the energy functional F [h] is given by \n\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. \n\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95] \n\n(cid:18) (cid:19)−2 \n\nφ \nφc \nη(φ) = η0 \n1 − (8) \n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle \n\nvolume per length hp = φh one obtains the following evolution equation: \n\n(cid:20) (cid:21) \n\nδF \nδh \n∂t(φh) = ∇ · φQc∇ \n+ ∇ · [D(φ)h∇φ] , (9) \n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by \n\nthe Einstein relation D(φ) = kT /6πRη(φ), where R is the radius of the nanoparticles [96]. \n\nWe illustrate results obtained employing this thin film theory using the single example of a re- \n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material \n\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting \n\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The \n\nexpression that we employ for the local free energy term in Eq. (2) is: \n\n(cid:18) d0 − h \nl0 \n\n(cid:19) \nSLW d2 \n0 \nf (h) = \nh2 + SP exp \n, (10) \n\nwhere the parameters characterising the interaction between the liquid film and the surface are \n\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the \n\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf (h) allows for a stable \n\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds \n\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of \n\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where \n\nthe profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. \n\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains \n\n19", + "page_start": 18, + "page_end": 18, + "source_file": "1001.2669.pdf" + }, + { + "text": "[81] A. J. Archer and M. Rauscher, “Dynamical density functional theory for interacting brownian parti- \n\ncles: Stochastic or deterministic?” J. Phys. A-Math. Gen. 37, 9325–9333 (2004). \n\n[82] A. J. Archer and R. Evans, “Dynamical density functional theory and its application to spinodal \n\ndecomposition,” J. Chem. Phys. 121, 4246–4254 (2004). \n\n[83] P. A. Monson, “Mean field kinetic theory for a lattice gas model of fluids confined in porous materi- \n\nals,” J. Chem. Phys. 128, 084701 (2008). \n\n[84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics, Cambridge University \n\nPress (1997). \n\n[85] J. S. Langer, “An introduction to the kinetics of first-order phase transitions,” in C. Godreche, editor, \n\n“Solids far from Equilibrium,” pages 297–363, Cambridge University Press (1992). \n\n[86] M. A. Spaid and G. M. Homsy, “Stability of Newtonian and viscoelastic dynamic contact lines,” \n\nPhys. Fluids 8, 460–478 (1996). \n\n[87] U. Thiele and E. Knobloch, “Front and back instability of a liquid film on a slightly inclined plate,” \n\nPhys. Fluids 15, 892–907 (2003). \n\n[88] M. R. E. Warner, R. V. Craster, and O. K. Matar, “Surface patterning via evaporation of ultrathin \n\nfilms containing nanoparticles,” J. Colloid Interface Sci. 267, 92–110 (2003). \n\n[89] O. K. Matar, R. V. Craster, and K. Sefiane, “Dynamic spreading of droplets containing nanoparticles,” \n\nPhys. Rev. E 76, 056315 (2007). \n\n[90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, “Theory for shock dynamics in particle-laden \n\nthin films,” Phys. Rev. Lett. 94, 117803 (2005). \n\n[91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, “Shock solutions for particle-laden thin films,” SIAM J. \n\nAppl. Math. 68, 760–783 (2008). \n\n[92] R. V. Craster, O. K. Matar, and K. Sefiane, “Pinning, retraction, and terracing of evaporating droplets \n\ncontaining nanoparticles,” Langmuir (2009), online available. \n\n[93] D. Quemada, “Rheology of concentrated disperse systems and minimum energy-dissipation principle \n\nI. Viscosity-concentration relationship,” Rheol. Acta 16, 82–94 (1977). \n\n[94] D. Quemada and C. Berli, “Energy of interaction in colloids and its implications in rheological \n\nmodeling,” Adv. Colloid Interface Sci. 98, 51–85 (2002). \n\n[95] J. J. Stickel and R. L. Powell, “Fluid mechanics and rheology of dense suspensions,” Annu. Rev. \n\nFluid Mech. 37, 129–149 (2005).", + "page_start": 30, + "page_end": 30, + "source_file": "1001.2669.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed9.pdf", + "query": "What is AgMERRA ?", + "target_page": 2, + "target_passage": " historical daily weather data (1986–2005) are from the AgMERRA dataset. AgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications (MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily time-series data", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "s \ne \nc \nr \nu \no \ns \ne \nR \nl \n\na \nr \ne \nn \nM \nd \nn \na \ns \ne \nv \nr \ne \ns \ne \nR \ne \nr \nO \n\ni \n\n| Grade | | | | | | Contained Metal | | |\n|---|---|---|---|---|---|---|---|---|\n| Grade | | | | | | Contained Metal | | |\n| Gold (g/t) | Silver (g/t) | Lead (%) | Zinc (%) | Au Equiv (g/t) | Ag Equiv (g/t) | Gold (M oz) | Silver (M oz) | Au Equiv (M oz) |\n| 5.52 | – – | – | – – | 5.52 | 315 473 | 0.04 | – – | 0.04 |\n| 8.30 | | – | | 8.30 | | 0.06 | | 0.06 |\n| 6.82 | – | – | – | 6.82 | 389 | 0.10 | – | 0.10 |\n| 0.82 | 8.1 6.0 | – | – – | 0.90 | 94.2 87.9 | 1.44 | 14.17 2.86 | 1.58 |\n| 0.78 | | – | | 0.84 | | 0.37 | | 0.40 |\n| 0.81 | 7.6 | – | – | 0.88 | 92.9 | 1.82 | 17.04 | 1.98 |\n| 0.85 | 7.6 | – | – | 0.92 | 94.9 | 1.92 | 17.0 | 2.08 |\n\n\nNotes to the Ore Reserves and Mineral \nResources Table: \nSome rounding of figures may cause numbers \nto not add correctly. \n(1) Nueva Esperanza equivalent factors: \n\n Silver equivalent: AgEq (g/t) = Ag (g/t) \n+ Au(g/t) x 60; \n Gold Equivalent: AuEq (g/t) = Au (g/t) \n+ Ag (g/t) / 60; \n Calculated from prices of US$1,380/ \noz Au and US$21.50/oz Ag, and \nmetallurgical recoveries of 70% Au \nand 75% Ag estimated from test work \nby Kingsgate, and metallurgical \nrecoveries of 85% Au and 78% Ag \nestimated from test work by \nKingsgate and Laguna. \n(2) Bowdens equivalent factors: \n\n• \n\n• \n\n• \n\n Silver equivalent: AgEq (g/t) = Ag (g/t) \n+ 22.4 x Pb (%) + 25.5 x Zn (%); \n Gold equivalent: AuEq (g/t) = AgEq \n(g/t) /45 ; \n Calculated from prices of US$28/oz \nAg, US$1250/oz Au, US$2200/t Pb, \nUS$2200/t Zn and metallurgical \nrecoveries of 81% Ag, 73% Pb, and \n83% Zn estimated from test work by \nSilver Standard, and assuming \nconsistent metallurgical recoveries for \ngold and silver of 81%. \n(3) Chatree equivalent factors: \n\n• \n\n| Grade | | | | | | Contained Metal | | |\n|---|---|---|---|---|---|---|---|---|\n| Grade | | | | | | Contained Metal | | |\n| Gold (g/t) | Silver (g/t) | Lead (%) | Zinc (%) | Au Equiv (g/t) | Ag Equiv (g/t) | Gold (M oz) | Silver (M oz) | Au Equiv (M oz) |\n| 8.97 | – – – | – | – – – | 9.0 | 511 604 690 | 0.13 | – – – | 0.13 |\n| 10.6 | | – | | 10.6 | | 0.35 | | 0.35 |\n| 12.1 | | – | | 12.1 | | 0.26 | | 0.26 |\n| 10.7 | – | – | – | 10.7 | 612 | 0.75 | – | 0.75 |\n| 0.72 | 6.60 4.69 3.81 | – | – – – | 0.78 | 82.2 71.9 64.7 | 2.15 | 19.7 7.5 5.6 | 2.34 |\n| 0.64 | | – | | 0.68 | | 1.02 | | 1.10 |\n| 0.58 | | – | | 0.62 | | 0.85 | | 0.91 |\n| 0.66 | 5.42 | – | – | 0.72 | 75.2 | 4.03 | 32.8 | 4.34 |\n| 0.78 | 5.36 | – | – | 0.83 | 81.3 | 4.77 | 32.8 | 5.08 |\n\n\n| Grade | | | | | | Contained Metal | | |\n|---|---|---|---|---|---|---|---|---|\n| Grade | | | | | | Contained Metal | | |\n| Gold (g/t) | Silver (g/t) | Lead (%) | Zinc (%) | Au Equiv (g/t) | Ag Equiv (g/t) | Gold (M oz) | Silver (M oz) | Au Equiv (M oz) |\n| 0.01 | 101 88 68 | – | – 1.69 102 – 1.75 105 – 1.43 86 | | | 0.00 | | |\n| 0.28 | | – | | | | 0.19 | | |\n| 0.3 | | – | | | | 0.06 | | |\n| 0.27 | 84 | – | – 1.68 101 | | | 0.25 | | |\n| – | 56.6 48.0 41.0 | 0.31 | 0.41 1.64 74.5 0.36 1.40 63.6 0.40 1.27 58.0 | | | – | | |\n| – | | 0.27 | | | | – | | |\n| – | | 0.30 | | | | – | | |\n| – | 47.4 | 0.29 | 0.39 1.41 64.4 | | | – | | |\n| 0.07 | 57 | – | – 1.48 73 | | | 0.25 | | |\n\n\n• \n\n Chatree gold equivalent: AuEq/t = Au \n(g/t) + Ag (g/t) /105; \n Silver equivalent: AgEq g/t = Au (g/t) \nx 105 + Ag g/t; \n Calculated from prices of US$1480/oz \nAu and US$26/oz Ag and metallur- \ngical recoveries of 80.5% Au and \n43.6% silver based on metallurgical \ntestwork and plant performance. \n\n• \n\n• \n\n(4) Challenger equivalent factors: \n• \n\n Silver equivalent: AgEq/t = Au (g/t) \nx 57; \n Calculated from prices of US$1480/oz \nAu and US$26/oz Ag and consistent \nmetallurgical recoveries for gold and \nsilver. \n\n• \n\n(5)", + "page_start": 33, + "page_end": 33, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "130° \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nNUEVA \nNUEVA \nESPERANZA \nESPERANZA \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nW A \n\n\n\n\n\n\n\n\n\n\n\n\n\nCHATREE CHATREE \n\nKhon Kaen KhKh \n\nT H A I L A N D \n\nBangkok \n\nA MC A M B O D I A C A M B O D I A \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nChiang \nMai \n\n10° 10° \n\n\n\n\n\nN SW \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nSummary \n\nThe Nueva Esperanza Project is 100% owned \nby Kingsgate since February 2012. Nueva \nEsperanza is located in the Maricunga Gold Belt \nnear Copiapó, a regional mining centre in \nNorthern Chile. The silver-rich mineralisation is \nhosted by the Esperanza high-sulphidation \nepithermal alteration system associated with \nthe Cerros Bravos volcanic complex. \n\nThe project consists of three well-defined miner- \nalised deposits and a number of undeveloped \nexploration targets. The main deposits are \nArqueros, Chimberos and Teterita. Arqueros was \npreviously mined on a limited scale by under- \nground methods and Chimberos was exploited \nas an open pit mine, delivering about 40 million \nounces of silver in 1998/99. All three deposits \ncurrently have a combined Mineral Resources of \nabout 93 million ounces of silver equivalent or \n1.6 million ounces of gold equivalent (EQ60)1. \n\nA feasibility study for a decision to mine the \nArqueros portion of Nueva Esperanza was \ncompleted in late 2012, demonstrating that open \npit mining at two million tonnes per year and \nprocessing by milling and agitation leaching in \ncyanide was technically feasible. Work remained \nto integrate the Teterita and Chimberos deposits \ninto the project, as well as to test lower cost \noptions for processing. Continued metallurgical \ntestwork has shown that mineralisation from all \nthree deposits by heap leaching is technically and \neconomically feasible and the preferred alterna- \ntive for development. \n\n\n\n\n\n\n\n\n\n\n\n\n\nEnvironmental approvals to commence \nconstruction and mining at Nueva Esperanza \nwere granted in July 2013 for the original \nArqueros project. Work is underway to modify \nand update the environmental assessment to \nincorporate the heap leach process. \n\n\n\n\n\n\n\n1 \n\n Equivalence is based on gold/silver price ratio \nof 60. Gold equivalence = gold content plus \n(silver content*divided*by 60), whereas Silver \nequivalent silver content plus (gold content \nmultiplied by 60).", + "page_start": 28, + "page_end": 28, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "| Table name | Purpose | Description |\n|---|---|---|\n| Table name | Purpose | Description |\n| ARSUSRGRP | Users in group table | One row for each user that is assigned to a Content Manager OnDemand group |\n| ARSUSRGRPID | User group ID table | Maintains the association of users with user owners and their authority for groups |\n| Dynamic name | Application group data table | One row for each document that is stored in the application group |\n\n\n**Important:***Do not update*the tables by using SQL commands or DB2 system tools, such \nas SQL Processor Using File Input (SPUFI) or any other tools. The tables must be updated \nonly by the Content Manager OnDemand Administrator Client or Content Manager \nOnDemand commands. \n\n**4.2 Main data table structures**\n\nThe Content Manager OnDemand data tables can grow rapidly. You must understand the \nstructure of the data tables and the relationships between them. \n\nTwo important tables exist that you must examine here: the*segment table*(ARSSEG) and the \n*application group data table*(ag_internal_id). The segment table contains one row for each \nsegment of each application group data table. Table 4-2 shows the first four columns of the \nARSSEG table structure. \n\n*Table 4-2 ARSSEG table structure*\n\n| Column name | Description |\n|---|---|\n| Column name | Description |\n| agid | Application group ID |\n| table_name | Application group segment table name |\n| start_date | Segment start date |\n| stop_date | Segment stop date |\n\n\nThe ARSSEG table points to the application group data table name (second column of the \ntable, table_name). The application group data table is created or updated during the**arsload**\nprocess. The application group data table contains a row for each item that is stored in the \napplication group. \n\nThe name of the application group data table is ag_internal_id, which is the identifier that \nContent Manager OnDemand assigns to the application group when the application group is \ncreated with the Administrator Client. The three-digit application group identifier is listed in the \nStorage Management window of the Administrator Client, as shown in Figure 4-1 on page 81. \nIn this case, the application group identifier is WBA, AGID 5185.", + "page_start": 103, + "page_end": 103, + "source_file": "sg246915.pdf" + }, + { + "text": "of 60. Gold equivalence = gold content plus\n(silver content divided by 60), whereas Silver\nequivalent silver content plus (gold content\nmultiplied by 60). |\n|---|---|\n| 28 Projects Report u 7 0 ° P E R U B O L I V I A 2 0 ° Antofagasta NNUUEEVVAA EESSPPEERRAANNZZAA Chañaral CCOOPPIIAAPPOO La Serena 33 0 ° Santiago A R G E N T I N A 4 0 ° 5 0 ° www.kingsgate.com.au | Nueva Esperanza Project Chile Summary The Nueva Esperanza Project is 100% owned by Kingsgate since February 2012. Nueva Esperanza is located in the Maricunga Gold Belt near Copiapó, a regional mining centre in Northern Chile. The silver-rich mineralisation is hosted by the Esperanza high-sulphidation epithermal alteration system associated with the Cerros Bravos volcanic complex. The project consists of three well-defined miner- alised deposits and a number of undeveloped exploration targets. The main deposits are Arqueros, Chimberos and Teterita. Arqueros was previously mined on a limited scale by under- ground methods and Chimberos was exploited as an open pit mine, delivering about 40 million ounces of silver in 1998/99. All three deposits currently have a combined Mineral Resources of about 93 million ounces of silver equivalent or 1.6 million ounces of gold equivalent (EQ60)1. A feasibility study for a decision to mine the Arqueros portion of Nueva Esperanza was completed in late 2012, demonstrating that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible. Work remained to integrate the Teterita and Chimberos deposits into the project, as well as to test lower cost options for processing. Continued metallurgical testwork has shown that mineralisation from all three deposits by heap leaching is technically and economically feasible and the preferred alterna- tive for development. Environmental approvals to commence construction and mining at Nueva Esperanza were granted in July 2013 for the original Arqueros project. Work is underway to modify and update the environmental assessment to incorporate the heap leach process. 1 E\u0007quivalence is based on gold/silver price ratio of 60. Gold equivalence = gold content plus (silver content divided by 60), whereas Silver equivalent silver content plus (gold content multiplied by 60). |", + "page_start": 29, + "page_end": 29, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "We additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-*f*3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-*f*3 sta- \ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig. 2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured. \n\nWe next test the Twigstats time-restricted genealogy approach \non a range of empirical examples. First, we boost pairwise outgroup \n*f*3-statistics44 to quantify fine-scale population structure; we demon- \nstrate this improvement using a previously proposed simulation39 \n(Extended Data Fig. 5a). When applied to published genomes from \nNeolithic Europe (Methods and Supplementary Table 1), we can repli- \ncate the previously suggested fine-scale structure between individuals \nburied in megalithic structures in Ireland compared with others45, a \nrelationship that is not apparent from SNP data alone (Extended Data \nFig. 5b). For the well-studied example of three major ancestries contrib- \nuting to prehistoric Europe, that is, Mesolithic hunter-gatherers, early \nfarmers and steppe populations13–16, we obtain unbiased estimates and \nan approximately 20% improvement in standard errors in an already \nwell-powered qpAdm model46 (Extended Data Fig. 5c). \n\nFinally, we demonstrate that Twigstats can be used to resolve com- \npeting models of punctual admixture and long-standing gene flow, or \nconstrain the time of admixture. For instance, it has previously been \nsuggested that long-standing deep structure and gene flow between \nNeanderthals and early modern humans in Africa may produce genetic \npatterns that resemble a punctual admixture event some 60,000 years \nago47–49, casting doubt on the model of Neanderthal admixture into \nancestors of Eurasians49–51. However, whereas such long-standing deep \nsubstructure would confound SNP-based*f*-statistics to produce pat- \nterns similar to Neanderthal admixture, we demonstrate, in simula- \ntions, that Twigstats can clearly distinguish this history from recent \nadmixture (Extended Data Fig. 5d). Application of Twigstats on empiri- \ncal whole genomes produces results inconsistent with deep substruc- \nture alone, but consistent with punctual admixture. \n\n**Expansions of Scandinavian-like ancestry**\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing \nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup- \nplementary Table 3).", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "Silver equivalent: AgEq/t = Au (g/t) \nx 57; \n Calculated from prices of US$1480/oz \nAu and US$26/oz Ag and consistent \nmetallurgical recoveries for gold and \nsilver. \n\n• \n\n(5) \n\n Cut-off grade for Chatree is 0.35g/t Au; \nNueva Esperanza is 0.5g/t AuEq; \nBowdens is 30g/t AgEq. For Challenger it \nis 1.5 Au g/t for open cut resources, and \n5.0 g/t for undeground resources. \n It is the Company's opinion that all the \nelements included in the metal equiva- \nlents calculation have a reasonable \npotential to be recovered. \n\n| – | – | – | – | – | – | 5.02 | 246 | 10.64 |\n|---|---|---|---|---|---|---|---|---|\n| – | – | – | – | – | – | 5.02 | 246 | 10.64 |", + "page_start": 33, + "page_end": 33, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "First, we improved the database by splitting maize from the existing sector “other coarse grain”, following \nsimilar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old flows \nof data both at national and trade levels are allocated between the new flows using weights. The national weights \ninclude the division of each unsplit user’s use of the original split commodity among the new commodities; the \ndivision of unsplit inputs to the original industry between the new industries; the splitting of new industry’s use \nof each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.). \nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of \nbasic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. \nThe values for the national shares matrix were obtained from FAOSTAT. The trade shares matrix was calculated \nbased on the data from UN Comtrade Database. \n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors \nfor maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of \nproduction and both livestock and households are major users of maize. For regional aggregation, we kept the \ndetails for all the main producing, consuming, and trading regions, for maize.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Conclusions**\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica- \nble to*f*-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi- \ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world. \n\nInterestingly, we detect ancestry from Bronze and Iron Age sources \nfrom Eastern Europe (present-day Lithuania and Poland), concentrated \nin southeastern parts of Sweden, particularly the island of Gotland \n(14 individuals; Fig. 4a). This is consistent with previous genetic \nstudies6,7. We find that this ancestry is enriched in male individuals \n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. \nThe closest match tends to be Roman Iron Age Lithuanian genomes \nassociated with Balts, which would be consistent with mobility across \nthe Baltic Sea, but we caution that the geographical representation of \navailable genomes is still limited. \n\n**Online content**\nAny methods, additional references, Nature Portfolio reporting summa- \nries, source data, extended data, supplementary information, acknowl- \nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2. \n\n**Viking Age expansion from Scandinavia**\nTraditionally, historical perspectives on what is now often referred \nto as the Viking diaspora placed an emphasis on the movements and \nsettlements of population groups from various parts of Scandinavia67. \nOur explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10). \n\n1. \nLawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data.*PLoS Genet.***8**, 11–17 (2012). \n2. Hellenthal, G. et al. A genetic atlas of human admixture history.*Science***343**, 747–751 \n(2014). \n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British \n\nmigration history.*Nat. Commun.***7**, 10408 (2016). \nFlegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and \nNorth America.*Nature***570**, 236–240 (2019). \n4. \n\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high \nmobility.*eLife***13**, e79714 (2024). \n\nNature | Vol 637 | 2 January 2025 |**125**", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed3.pdf" + }, + { + "text": "M E R M A I D M A R I N E A U S T R A L I A L I M I T E D \n\nA . C . N . 0 8 3 1 8 5 6 9 3 \n\nC O R P O R AT E D I R E C TO RY \n\n***Directors***\n\nAlan Birchmore, Chairman \n\nMark Bradley, Director, CEO \n\nJames Carver, Executive Director \n\nDerrice Dillon, Executive Director \n\nJeff Mews, Non-Executive Director \n\nRichard Reid, Non-Executive Director \n\nR E G I S T E R E D O F F I C E \n\nEagle Jetty, \n\n20 Mews Road, \n\nFremantle, \n\nWestern Australia 6160. \n\nTelephone: 61 8 9431 7431 \n\nFacsimile: 61 8 9431 7432 \n\nEmail: corporate@mermaidmarine.com.au \n\nInternet Site: www.mermaidmarine.com.au", + "page_start": 1, + "page_end": 1, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Hunter-gatherers, early European farmers, and Yamnaya Steppe people46. \nWe show results for Twigstats-5000. Bias is measured as the difference in \nadmixture proportions obtained from Twigstats-5000 and all SNPs, and \nwe show standard errors of the latter. We plot two standard errors around \nthe mean. The standard error improvement shown is one minus the ratio of \nstandard errors obtained from Twigstats-5000 and using all SNPs.**d**, Neanderthal \nadmixture proportion inferred using an*f*4-ratio of the form*f*4(outgroup, Altai, \ntarget, Mbuti)/*f*4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic \nvariation data from the Simon’s Genome Diversity Project (SGDP)75 and use the \nhigh-coverage Altai and Vindija Neanderthals78,79. We also compute equivalent \n*f*4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years \nago and a second simulation involving no Neanderthal admixture but deep \nstructure that leads to a similar inference unless deep coalescences are ignored \nby Twigstats. We plot two standard errors around the mean. \n\n**Extended Data Fig. 5 | Three examples of applying Twigstats. a**Fine-scale \npopulation structure simulation emulating ref. 39 (see Methods for simulation \ndetails). First two principal components are computed from pairwise outgroup \n*f*3 statistics on the genotypes directly and on Relate trees inferred from the \n50 target individuals. Labels in plots show the average coordinates of members \nof that population. For each panel, we calculate a separation index (SI) as in39, \nwhich we define as the proportion of individuals for which the closest \nindividual (by the Euclidean distance in PC space) is in the same population. \n**b**, Fine-scale genetic structure in Neolithic Europe quantified using an MDS \ncalculated on a symmetric matrix that contains all pairwise outgroup*f*3 \nstatistics (outgroup: YRI) between individuals. These are either calculated \ndirectly on genotypes or calculated using Twigstats on Relate genealogies \nwith a cutoff of 1000 generations. Individuals were selected by filtering based \non Steppe and Western Hunter-gatherer ancestry (Methods).**c**, Admixture \nproportions inferred using qpAdm with three distal sources of Western", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed3.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed9.pdf", + "query": "In 2018, what was the global proportion of maize grown in the US ?", + "target_page": 5, + "target_passage": "According to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. The United States accounts for more than 32%", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Figure 5.**(continued) \n\nby 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, \nChina and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% \nin Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would \nbe increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield \nincreasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease \nby 11.4% under global warming by 2.0 °C. By comparing the maize production in different countries, it can be \nfound that the reduction trend of total maize production in the top five countries is more obvious, especially \nunder the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks. \nFrom the view of continents, there are different trends of maize yield changes in the 6 continents (except Ant- \narctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under \nglobal warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, \nEurope and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 con- \ntinents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight \nin Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield \nchange trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are different in 2 continents, including \nAsia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the \nmaize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively \n− 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in \nAfrica the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by \nIPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming \nscenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual \nmaize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under \nglobal warming by 2.0 °C than that under global warming by 1.5 °C. There would be an obvious crisis of food \nsupply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make \nfull preparation for adaptation to climate change in the whole world.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 3.**Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL- \nCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). The figure has been generated using ArcGIS \n10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com. \n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the \nwhole world under climate change. We should grasp the opportunities and expand the yield increasing poten- \ntials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the \nhigh-risk regions. \n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in \nthe world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. The area is 37.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low \nand middle latitude of South America and Asia, and the middle latitude of Africa and North America. The area \nis 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located \nin the low latitude of South America and the middle latitude of Asia and Europe. The area is 45.8% of the whole \nmaize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and \nNorth America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under \nRCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative \nto 1986–2005. There are opposite trends of maize yield under global warming by 1.5 °C, which are simulated \nby different global climate models. However, the spatial distributions of maize yield change are similar to each \nother. The difference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing \nare going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world \nwould increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their \nbest to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, \ngross maize production of the whole world would not be influenced so much by climate change, but the food", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 5.**Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C. \n\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should \nbe taken from now on. Food security would be a significant challenge in this century. \n\n**Yield change of maize in main countries.**There are huge differences in impacts on maize yield under \nclimate change, which would influence the food crisis in different regions. There are 159 countries in the whole \nworld which plant maize. The gross yield of maize the top 20 countries accounts for more than 90% of the total \nyield in the 159 countries. So, the changes in the top 20 countries under future scenarios would influence the \nfood security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming \nby 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become \n33.5%. There would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly \nincrease. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which \nthe mean yield loss rate is approximate to that under global warming by 1.5 °C. There would be 77 countries \nexperiencing yield increase; however, the mean yield increase is apparently smaller than that under global warm- \ning by 1.5 °C. Generally, the global maize yield would decrease. The results show that the adverse effect of warm- \ning up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to \ndevelop forward-looking adaptation measures to cope with future climate change. \n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize \nyield of the whole world. The United States accounts for more than 32%; China accounts for about 24%; Brazil, \nArgentina and Mexico account for about 23%. The fluctuation of maize production in these five top countries will \nhave a significant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, \nthe maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss \nrate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. \nHowever, there would be increasing trends in the United States and Mexico; the change in the United States \nwould not be significant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% \nin Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming \n\nhttps://doi.org/10.1038/s41598-022-22228-7 8", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 4.**Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: \nNorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). The figure has been generated using \nArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com. \n\nsecurity of the whole world would still be attacked violently. There are huge differences among the continents; \nSouth America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming \nby 1.5 °C. The changes in maize yield in different regions would influence the maize price and food trades. So, \nit should be cautious to cope with the maize changes under global warming by 1.5 °C. \n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in \nthe world between 2060 and 2079 would decrease by 18.7% relative to 1986–2005. The area is 41.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%. The area is 15.6% of the whole \nmaize planting regions, in which the yield loss would be more than 50%. The area is 42.7% of the whole maize \nplanting regions, in which the yield would increase. The distribution of maize yield change is similar to that under \nglobal warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the \ngross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986–2005. Comparing \nto the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield \nincreases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, \nthe gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M \nmodel. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would \ndecrease 10.8% relative to 1986–2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk \nof yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of \nglobal warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance \nbecome much bigger for all countries in the world, who will be facing the severe challenge of global temperature \nrise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Simulation of maize yield using DSSAT.**According to the data of global warming by 1.5 °C and 2.0 °C \nselected above, we simulated global maize yield changes compared with the average yield during 1986–2005 on \ngrid level using CERES-Maize, which is part of DSSAT version 4.649. \n\nThe inputs for DSSAT simulation include daily weather data, soil parameters, crop calendar data and man- \nagement information. All the inputs are formatted at a 0.5° × 0.5° grid resolution which are computed by high- \nperformance computers. Weather data is from the AgMERRA dataset, including maximum and minimum tem- \nperatures, precipitation, total radiation and humidity. Crop calendar data were from the Center for Sustainability \nand Global Environment (SAGE), in which the existing observations of crop planting and harvesting dates are \ngridded formatted at a resolution of 5 min50. For management information, fertilizer applications, irrigation \nand other management practices are required. A crop-specific gridded dataset of nitrogen fertilizer application \nfor the world was developed by integrating national and subnational fertilizer application data from a variety of \nsources, which is used to set up current fertilizer application rates for maize in each grid cell. Soil parameters \nare from the International Soil Profile Dataset (WISE), including soil texture, bulk density, pH, organic carbon \ncontent and fraction of calcium carbonate for each of five 20 cm thick soil layers51. All the soil data is allocated \nto be in accordance with the request of DSSAT simulation; the missing soil parameters for organic soils were \nadopted from FAO soil dataset. \n\nFirst maize yields across the world during the historical period 1986–2005 were simulated at the 0.5° × 0.5° \ngrid scale with two main production systems, including Spring maize and Summer maize. Historical national \nmaize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from \nthe gridded global dataset by combining two data products47. Second, genetic parameters of specific cultivars of \nmaize from previous works were adopted for the initial parameters; model parameters related to crop genotype \ncharacteristics were calibrated and tuned following the method in Xiong et al.52, in which the simulated yields \nfrom 1986–2005 were comparable to the statistical data. Third, maize yields across the world were simulated \nunder global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from grid- \nded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, \ncomparing maize yield average for 1986–2005. \n\n**Simulation of market price using GTAP.**The yield changes for maize from the DSSAT models under \n1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes \nin production, market price, and self-sufficiency ratio of maize at national and global levels53,54. For this study, we \nuse a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of \nthe major food crops under current economic conditions. Utilizing current economic conditions has the advan- \ntage of minimizing assumptions and model uncertainties related to future economic conditions55,56. \n\nThe original GTAP database doesn’t include maize as a separate sector, rather it is combined with other coarse \ngrains to form an “other coarse grain” sector. For this study, we updated the GTAP database by splitting maize \nfrom the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the \noriginal database. The detailed method is given as follows:", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 6.**Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C. \n\n**Market price of maize in main countries.**\nIn this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/ \nregion due to climate change. \n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline. \n\n**Discussion and conclusion**\n**Discussion.**Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm- \ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed9.pdf" + }, + { + "text": "**The impact of 1.5 °C and 2.0 °C**\n**global warming on global maize**\n**production and trade**\n\n**OPEN**\n\n**Kuo Li1** ***, Jie Pan1, Wei Xiong2, Wei Xie3 & Tariq Ali3**\n\n**Climate change is becoming more and more remarkable which has an obvious impact on crop yields**\n**all over the world. Future climate scenario data was simulated by 5 climate models recommended**\n**by ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C**\n**and 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the**\n**world under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at**\n**national and global levels were simulated. The results showed that, the risk of maize yield reduction**\n**under 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were**\n**separately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize**\n**production is obvious in the top five countries and the main producing regions of the world, especially**\n**under the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under**\n**1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all**\n**countries to pay enough attention to the risk of maize yield and take actions of mitigation and**\n**adaptation to climate change.**\n\nIn the past hundred years, the global climate has experienced great changes1–4. According to the sixth assess- \nment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and \nalmost all regions in the world experienced surface warming5. Due to global warming, the extreme climate events \nbecome more and more frequent, and the ecological environment problems caused by climate change are more \nand more serious, which restrict the sustainable development of human society and health6–10. Global warming \nhas gradually changed from a scientific issue to a major social issue of common concern to governments and \npeople of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate \nchange reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated \nthat it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels \nand pursue efforts to limit the temperature increase to 1.5 °C above pre-industrial levels.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 2.**(continued) \n\nis 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of \nNorthern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C. \n\nThere are apparent trends of humidification in most regions under global warming by 1.5 °C and 2.0 °C; but \nthe drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is \n73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; \nthe area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the \narea is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere \nand the middle regions of Northern Hemisphere. The distribution of precipitation under global warming by \n2.0 °C is similar with the situation under global warming by 1.5 °C. The drought-threatened area would increase \nby 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; \nthe area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the \nextreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than \nthose under global warming by 1.5 °C, which is what we should be pay more attention to. \n\n**Yield change of maize under global warming by 1.5 °C and 2.0 °C.**Maize production is affected \nby climate change apparently. According to the simulation results of CERES-maize, the yield of maize would \ndecrease in the worldwide relative to 1986–2005 under global warming by 2.0 °C; it would increase little under \nglobal warming by 1.5 °C. The distributions of maize yield loss under the two scenarios are similar to each other, \nmostly located in the middle and low latitude, which are the main regions for maize planting in the world. The \nloss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of \n1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize \nplanting area in the world, in which the climate situation would become more proper for maize under global", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed9.pdf" + }, + { + "text": "of flowering time. PNAS**115**(42), 10642–10647 (2018). \n 35. Yang, C. Y., Fraga, H., Ieperen, W. V. & Santos, J. A. Assessment of irrigated maize yield response to climate change scenarios in \nPortugal. Agric. Water Manag.**184**, 178–190 (2017). \n 36. Miller, S. A. & Moore, F. C. Climate and health damages from global concrete production. Nat. Clim. Change https:// doi. org/ 10. \n1038/ s41558- 020- 0733-0 (2020). \n 37. Kassie, B. T. et al. Exploring climate change impacts and adaptation options for maize production in the Central Rift Valley of \nEthiopia using different climate change scenarios and crop models. Clim. Change**129**, 145–158 (2015). \n 38. Tao, F. & Zhang, Z. Climate change, high-temperature stress, rice productivity, and water use in Eastern China: A new superensem- \nble-based probabilistic projection. J. Appl. Meteorol. Climatol.**52**, 531–551 (2013). \n\n 39. Glotter, M. & Elliott, J. Simulating US agriculture in a modern Dust Bowl drought. Nat. Plants**3**, 16193 (2016). \n 40. Challinor, A. J., Koehler, A. K., Ramirez-Villegas, J., Whitfield, S. & Das, B. Current warming will reduce yields unless maize \nbreeding and seed systems adapt immediately. Nat. Clim. Change**6**, 954–958 (2016). \n 41. Cammarano, D. et al. Using historical climate observations to understand future climate change crop yield impacts in the South- \neastern US. Clim. Change**134**, 311–326 (2016). \n\n 42. Etten, J. V. et al. Crop variety management for climate adaptation supported by citizen science. PNAS**116**(10), 4194–4199 (2019). \n 43. Urban, D. W., Sheffield, J. & Lobell, D. B. The impacts of future climate and carbon dioxide changes on the average and variability \nof US maize yields under two emission scenarios. Environ. Res. Lett.**10**, 045003 (2015). \n\n 44. IPCC. Summary for policymakers. In Global Warming of 1.5°C. An IPCC Special Report on the Impacts of Global Warming of 1.5°C \nAbove Pre-industrial Levels and Related Global Greenhouse Gas Emission Pathways, in the Context of Strengthening the Global \nResponse to the Threat of Climate Change, Sustainable Development, and Efforts to Eradicate Poverty 32 (World Meteorological \nOrganization, 2018). \n 45. Ruane, A. C., Goldberg, R. & Chryssanthacopoulos, J. Climate forcing datasets for agricultural modeling: Merged products for \ngap-filling and historical climate series estimation. Agr. For. Meteorol.**200**, 233–248 (2015). \n 46. Hempel, S., Frieler, K., Warszawski, L., Schewe, J. & Piontek, F. A trendpreserving bias correction-the ISI-MIP approach. Earth \nSyst. Dyn.**4**, 219–236 (2013). \n 47. Monfreda, C., Ramankutty, N. & Foley, J. A. Farming the planet: 2. Geographic distribution of crop areas, yields, physiological \n\ntypes, and net primary production in the year 2000. Glob. Biogeochem. Cycles**22**, 1022 (2008). \n\n 48. You, L.Z., et al. Spatial Production Allocation Model (SPAM) 2000 Version 3.2. http:// mapsp am. info (2015). \n 49. Hoogenboom, G., et al. Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6 (DSSAT Foundation, 2015). \nhttp:// dssat. net (2015). \n 50. Sacks, W. J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. Glob. Ecol. Biogeogr.**19**, \n607–620 (2010). \n 51. Batjes, H.N. A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profiles (Version \n1.0). Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995). \n\nhttps://doi.org/10.1038/s41598-022-22228-7", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed9.pdf" + }, + { + "text": "First, we improved the database by splitting maize from the existing sector “other coarse grain”, following \nsimilar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old flows \nof data both at national and trade levels are allocated between the new flows using weights. The national weights \ninclude the division of each unsplit user’s use of the original split commodity among the new commodities; the \ndivision of unsplit inputs to the original industry between the new industries; the splitting of new industry’s use \nof each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.). \nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of \nbasic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. \nThe values for the national shares matrix were obtained from FAOSTAT. The trade shares matrix was calculated \nbased on the data from UN Comtrade Database. \n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors \nfor maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of \nproduction and both livestock and households are major users of maize. For regional aggregation, we kept the \ndetails for all the main producing, consuming, and trading regions, for maize.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed9.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed9.pdf", + "query": "What would be the price increase resulting from maize production changes due to 1.5°C and 2°C global temperature increase ?", + "target_page": 10, + "target_passage": "In response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**The impact of 1.5 °C and 2.0 °C**\n**global warming on global maize**\n**production and trade**\n\n**OPEN**\n\n**Kuo Li1** ***, Jie Pan1, Wei Xiong2, Wei Xie3 & Tariq Ali3**\n\n**Climate change is becoming more and more remarkable which has an obvious impact on crop yields**\n**all over the world. Future climate scenario data was simulated by 5 climate models recommended**\n**by ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C**\n**and 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the**\n**world under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at**\n**national and global levels were simulated. The results showed that, the risk of maize yield reduction**\n**under 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were**\n**separately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize**\n**production is obvious in the top five countries and the main producing regions of the world, especially**\n**under the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under**\n**1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all**\n**countries to pay enough attention to the risk of maize yield and take actions of mitigation and**\n**adaptation to climate change.**\n\nIn the past hundred years, the global climate has experienced great changes1–4. According to the sixth assess- \nment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and \nalmost all regions in the world experienced surface warming5. Due to global warming, the extreme climate events \nbecome more and more frequent, and the ecological environment problems caused by climate change are more \nand more serious, which restrict the sustainable development of human society and health6–10. Global warming \nhas gradually changed from a scientific issue to a major social issue of common concern to governments and \npeople of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate \nchange reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated \nthat it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels \nand pursue efforts to limit the temperature increase to 1.5 °C above pre-industrial levels.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 6.**Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C. \n\n**Market price of maize in main countries.**\nIn this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/ \nregion due to climate change. \n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline. \n\n**Discussion and conclusion**\n**Discussion.**Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm- \ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed9.pdf" + }, + { + "text": "**30**\n\n**25**\n\n**20**\n\n**15**\n\n**e**\n**g**\n**n**\n**a**\n**h**\n**c**\n**%**\n\n**10**\n\n**5**\n\n**0**\n\n**-5**\n\n**-10**\n\n**-15**\n\n**-20**\n\n**In dia**\n\n**R est of W orld**\n**C a n a d a**\n\n**C hin a**\n**M exic o**\n\n**Arg e ntin a**\n**S o uth Africa**\n**R u ssia**\n**R est of Africa**\n\n**U krain e**\n**Ja p a n**\n**A U S/N Z L**\n**U S A**\n\n**Figure 7.**Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C. \n\n\n\nmeantime, the huge differences in yield changes in different regions provide a small chance for the world, espe- \ncially under global warming by 1.5 °C. In the near future, if the global temperature can be effectively controlled \nunder 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. \nAll regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the \npotentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the \nyield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by \n1.5 °C and 2.0 °C. \n\nMeanwhile, the risk of price fluctuations caused by global corn trade due to future climate change should be \npaid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, \nthe population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, \nthe supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify \nthe contradiction between supply and demand, which would threaten the food security and sustainable develop- \nment in the whole world. \n\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (The Inter-Sectoral Impact \nModel Intercomparison Project); compared with other climate models, the five models could more effectively \nsupport impact assessment in different sectors and provide more reliable results. Based on the simulation results", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 2.**(continued) \n\nis 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of \nNorthern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C. \n\nThere are apparent trends of humidification in most regions under global warming by 1.5 °C and 2.0 °C; but \nthe drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is \n73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; \nthe area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the \narea is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere \nand the middle regions of Northern Hemisphere. The distribution of precipitation under global warming by \n2.0 °C is similar with the situation under global warming by 1.5 °C. The drought-threatened area would increase \nby 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; \nthe area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the \nextreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than \nthose under global warming by 1.5 °C, which is what we should be pay more attention to. \n\n**Yield change of maize under global warming by 1.5 °C and 2.0 °C.**Maize production is affected \nby climate change apparently. According to the simulation results of CERES-maize, the yield of maize would \ndecrease in the worldwide relative to 1986–2005 under global warming by 2.0 °C; it would increase little under \nglobal warming by 1.5 °C. The distributions of maize yield loss under the two scenarios are similar to each other, \nmostly located in the middle and low latitude, which are the main regions for maize planting in the world. The \nloss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of \n1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize \nplanting area in the world, in which the climate situation would become more proper for maize under global", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 5.**(continued) \n\nby 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, \nChina and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% \nin Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would \nbe increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield \nincreasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease \nby 11.4% under global warming by 2.0 °C. By comparing the maize production in different countries, it can be \nfound that the reduction trend of total maize production in the top five countries is more obvious, especially \nunder the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks. \nFrom the view of continents, there are different trends of maize yield changes in the 6 continents (except Ant- \narctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under \nglobal warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, \nEurope and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 con- \ntinents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight \nin Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield \nchange trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are different in 2 continents, including \nAsia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the \nmaize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively \n− 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in \nAfrica the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by \nIPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming \nscenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual \nmaize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under \nglobal warming by 2.0 °C than that under global warming by 1.5 °C. There would be an obvious crisis of food \nsupply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make \nfull preparation for adaptation to climate change in the whole world.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 5.**Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C. \n\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should \nbe taken from now on. Food security would be a significant challenge in this century. \n\n**Yield change of maize in main countries.**There are huge differences in impacts on maize yield under \nclimate change, which would influence the food crisis in different regions. There are 159 countries in the whole \nworld which plant maize. The gross yield of maize the top 20 countries accounts for more than 90% of the total \nyield in the 159 countries. So, the changes in the top 20 countries under future scenarios would influence the \nfood security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming \nby 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become \n33.5%. There would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly \nincrease. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which \nthe mean yield loss rate is approximate to that under global warming by 1.5 °C. There would be 77 countries \nexperiencing yield increase; however, the mean yield increase is apparently smaller than that under global warm- \ning by 1.5 °C. Generally, the global maize yield would decrease. The results show that the adverse effect of warm- \ning up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to \ndevelop forward-looking adaptation measures to cope with future climate change. \n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize \nyield of the whole world. The United States accounts for more than 32%; China accounts for about 24%; Brazil, \nArgentina and Mexico account for about 23%. The fluctuation of maize production in these five top countries will \nhave a significant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, \nthe maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss \nrate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. \nHowever, there would be increasing trends in the United States and Mexico; the change in the United States \nwould not be significant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% \nin Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming \n\nhttps://doi.org/10.1038/s41598-022-22228-7 8", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 4.**Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: \nNorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). The figure has been generated using \nArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com. \n\nsecurity of the whole world would still be attacked violently. There are huge differences among the continents; \nSouth America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming \nby 1.5 °C. The changes in maize yield in different regions would influence the maize price and food trades. So, \nit should be cautious to cope with the maize changes under global warming by 1.5 °C. \n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in \nthe world between 2060 and 2079 would decrease by 18.7% relative to 1986–2005. The area is 41.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%. The area is 15.6% of the whole \nmaize planting regions, in which the yield loss would be more than 50%. The area is 42.7% of the whole maize \nplanting regions, in which the yield would increase. The distribution of maize yield change is similar to that under \nglobal warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the \ngross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986–2005. Comparing \nto the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield \nincreases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, \nthe gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M \nmodel. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would \ndecrease 10.8% relative to 1986–2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk \nof yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of \nglobal warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance \nbecome much bigger for all countries in the world, who will be facing the severe challenge of global temperature \nrise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 3.**Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL- \nCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). The figure has been generated using ArcGIS \n10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com. \n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the \nwhole world under climate change. We should grasp the opportunities and expand the yield increasing poten- \ntials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the \nhigh-risk regions. \n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in \nthe world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. The area is 37.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low \nand middle latitude of South America and Asia, and the middle latitude of Africa and North America. The area \nis 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located \nin the low latitude of South America and the middle latitude of Asia and Europe. The area is 45.8% of the whole \nmaize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and \nNorth America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under \nRCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative \nto 1986–2005. There are opposite trends of maize yield under global warming by 1.5 °C, which are simulated \nby different global climate models. However, the spatial distributions of maize yield change are similar to each \nother. The difference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing \nare going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world \nwould increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their \nbest to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, \ngross maize production of the whole world would not be influenced so much by climate change, but the food", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed9.pdf" + }, + { + "text": "**Figure 2.**Distribution of temperature and precipitation changes under global warming by 1.5 °C and 2.0 °C \n(**a**) temperature, 1.5 °C; (**b**) temperature, 2.0 °C; (**c**) precipitation, 1.5 °C; (**d**) precipitation, 2.0 °C. The figure \nhas been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear \nthdata. com. \n\nThird, yield shocks for maize were incorporated into the GTAP model via changes in land efficiency for the \nproduction of the respective in each region. \n\n**Results**\n**Climate change under global warming by 1.5 °C and 2.0 °C.**There are apparent change trends of \ntemperature and precipitation relative to the baseline (1986–2005) under global warming by 1.5 °C and 2.0 °C. \nThe most remarkable characteristics is the rising of mean temperature in the worldwide (Fig. 2a, b); meanwhile, \nthe rainfall would increase in most regions of the world. The distributions of temperature changes under global \nwarming by 1.5 °C and 2.0 °C are similar (Fig. 2c, d). There are few regions in which the temperature would go \ndown under the two scenarios; the temperature goes up more seriously in the Northern Hemisphere than the \nSouthern regions; especially in the high-latitude area the temperature rises more quickly than the other regions. \nUnder global warming by 1.5 °C the area is 54.4% in whole world in which the temperature would go up between \n1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 29.2% of the whole \nworld in which the temperature would go up more than 1.5 °C, most located in the high latitude regions of \nNorthern Hemisphere; the area is 16.4% of the whole world in which the temperature would go up between 0 \nand 1.0 °C , mostly located in the Southern Hemisphere and the low latitude regions of Northern Hemisphere. \nUnder global warming by 2.0 °C the area is 12.3% in which the temperature would go up between 1.0 and 1.5 °C \nthan the baseline, located in the middle and low latitude regions; the area is 69.8% in which the temperature \nwould go up between 1.5 and 3.0 °C than the baseline, located in the middle and high latitude regions; the area", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed9.pdf" + }, + { + "text": "There are also several uncertainties and limitations. Firstly, there is no unified understanding of how to cal- \nculate the temperature rise of 1.5 °C and 2.0 °C relative to pre-industrial levels in the worldwide. At present the \nresearch on climate prediction and impact assessment under global warming 1.5 °C and 2.0 °C usually adopts \nmulti-mode ensemble average methods61,62, which could obtain the warming response under the condition of \ninstantaneous change, rather than the warming process under the stable state expected by the long-term goal. If \nwe expect to obtain the accurate results, the model prediction test should be estimated to form proprietary sce- \nnarios for global warming by 1.5 °C and 2.0 °C63,64, which could support for the impacts assessment on different \nsectors. Some institutions are carrying out climate change predictions under the lower emission scenarios (global \nwarming 1.5 °C or 2.0 °C). At the same time, in order to achieve the goal of controlling temperature by 1.5 °C at \nthe end of the twenty-first century, it is urgent to take actions to reduce emissions and develop along the track \nof low energy consumption65,66; but it is a great challenge for human society to achieve this goal. \n\nSecondly, our methodological approach in this study also has some important limitations, including our use \nof a single crop model to estimate maize yields. There are some limitations for the DSSAT model to simulate \nyield loss caused by climate extreme events67, in which the impacts of pests and diseases are also ignored68. \nHowever, the DSSAT model has been applied in a lot of researches to simulate historical maize yield69–71, in \nwhich the results are reliable and credible72. The results of this research could be an important reference to the \nother studies which simulate global maize yield in the future, applying crop models such as APSIM, WOFOST, \nORYZA and so on. \n\nThirdly, there are relatively more researches on the prediction of climate change trend under the background \nof 1.5 °C and 2.0 °C; but the research on the impact assessment of the main grain crops including global trade in \nworldwide is few. In the meantime, we do not assess the effect of future changes on agriculture, such as increases \nin farm productivity due to new technology. The maize planting area in the future is assumed to be the same as \nthe current situation of maize cultivation in the world. \n\n**Conclusion.**According to the simulation results, the yield of maize under global warming by 2.0 °C would \ndecrease between 3.0 and 18.7% in the worldwide relative to 1986–2005; the maize yield would fluctuate between \n− 6.8 and 7.2% under global warming by 1.5 °C. From the spatial distribution, the gross maize yield in the top 5 \nhigh-yield countries (including the United States, China, Brazil, Argentina and Mexico) would decrease by 2% \nunder global warming by 1.5 °C and 11.4% under global warming by 2.0 °C. At the global level, the market price \nfor maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would \nvary quite largely among different countries and regions. So, it is urgent for all countries to pay enough attention \nto the loss risk of maize yield and take actions of mitigation and adaptation to climate change. The time left for \nchanging our minds and actions is becoming less and less.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed9.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia1.pdf", + "query": "What is a formal fallacy ?", + "target_page": 8, + "target_passage": "For formal fallacies, the source of the error is found in the form of the argument", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "burglar broke into the house last night, got hungry on the job, and had a midnight snack, would also \nexplain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely \nexplanation.[82][83] \n\n**Fallacies**\n\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually \nreferred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw \nwith the reasoning leading to this conclusion.[84] So the argument \"it is sunny today; therefore spiders \nhave eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill, \ngive a more restrictive definition of fallacies by additionally requiring that they appear to be correct.[85] \nThis way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness. \nThis explains why people tend to commit fallacies: because they have an alluring element that seduces \npeople into committing and accepting them.[86] However, this reference to appearances is controversial \nbecause it belongs to the field of psychology, not logic, and because appearances may be different for \ndifferent people.[87] \n\n\n\nYoung America's dilemma: Shall I be wise and great, or \nrich and powerful? (poster from 1901) This is an \nexample of a false dilemma: an informal fallacy using a \ndisjunctive premise that excludes viable alternatives. \n\nFallacies are usually divided into formal and \ninformal fallacies.[38] For formal fallacies, the \nsource of the error is found in the*form*of the \nargument. For example, denying the antecedent \nis one type of formal fallacy, as in \"if Othello is a \nbachelor, then he is male; Othello is not a \nbachelor; therefore Othello is not male\".[88] But \nmost fallacies fall into the category of informal \nfallacies, of which a great variety is discussed in \nthe academic literature. The source of their error \nis usually found in the*content*or the*context*of \nthe \nare \nsometimes categorized as fallacies of ambiguity, \nfallacies of presumption, or \nfallacies of \nthe \nrelevance. For \nambiguity and vagueness of natural language are \nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot \nbe dark\".[90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise.[91] \nIn the case of fallacies of relevance, the premises do not support the conclusion because they are not \nrelevant to it.[92] \n\nargument.[89] Informal fallacies \n\n**Definitory and strategic rules**\n\nThe main focus of most logicians is to study the criteria according to which an argument is correct or \nincorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known \nas*rules of inference*.[93] They are definitory rules, which determine whether an inference is correct or \nwhich inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which \ninferential moves are necessary to reach a given conclusion based on a set of premises. This distinction \ndoes not just apply to logic but also to games. In chess, for example, the definitory rules dictate that \nbishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed", + "page_start": 7, + "page_end": 7, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**Logic**\n\n**Logic**is the study of correct reasoning. It includes both formal and \ninformal logic. Formal logic is the study of deductively valid \ninferences or logical truths. It examines how conclusions follow \nfrom premises based on the structure of arguments alone, \nindependent of their topic and content. Informal logic is associated \nwith informal fallacies, critical thinking, and argumentation \ntheory. Informal logic examines arguments expressed in natural \nlanguage whereas formal logic uses formal language. When used \nas a countable noun, the term \"a logic\" refers to a specific logical \nformal system that articulates a proof system. Logic plays a \ncentral role in many fields, such as philosophy, mathematics, \ncomputer science, and linguistics. \n\nLogic studies valid forms of \ninference like*modus ponens*. \n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the \nargument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the \nconclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be \ntrue or false. An important feature of propositions is their internal structure. For example, complex \npropositions are made up of simpler propositions linked by logical vocabulary like \n(if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a \nproposition usually depends on the meanings of all of its parts. However, this is not the case for logically \ntrue propositions. They are true only because of their logical structure independent of the specific \nmeanings of the individual parts. \n\n (and) or \n\nArguments can be either correct or incorrect. An argument is correct if its premises support its \nconclusion. Deductive arguments have the strongest form of support: if their premises are true then their \nconclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new \ninformation not found in the premises. Many arguments in everyday discourse and the sciences are \nampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are \nstatistical generalization—such as inferring that all ravens are black, based on many individual \nobservations of black ravens.[2] Abductive arguments are inferences to the best explanation—for \nexample, when a doctor concludes that a patient has a certain disease, as the best explanation for the \nsymptoms that they are observed to suffer.[3] Arguments that fall short of the standards of correct \nreasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the \ncorrectness of arguments. \n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, \nand Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the \nmain system of logic in the Western world until it was replaced by modern formal logic, which has its \nroots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly \nused system is classical logic. It consists of propositional logic and first-order logic. Propositional logic \nonly considers logical relations between full propositions. First-order logic also takes the internal parts of", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/).*Internet Encyclopedia of*\n*Philosophy*. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla \ncy/) from the original on 29 April 2010. Retrieved 19 March 2021. \nvan Eemeren, Frans H.; Garssen, Bart (2009).*Pondering on Problems of Argumentation:*\n*Twenty Essays on Theoretical Issues*. Springer Science & Business Media. p. 191. \nISBN 978-1-4020-9165-0. \nvan Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. \nFrancisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe \nr.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1).*Handbook of*\n*Argumentation Theory*. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7- \n1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived \n(https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ \n10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved \n2 January 2022. \nvan Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, \nCharles A. (2013).*Fundamentals of Argumentation Theory: A Handbook of Historical*\n*Backgrounds and Contemporary Developments*. Routledge. p. 169. ISBN 978-1-136-68804- \n1. \nEmmanuel, Steven M. (2015).*A Companion to Buddhist Philosophy*. John Wiley & Sons. \npp. 320–2. ISBN 978-1-119-14466-3. \nEnderton, Herbert (2001).*A Mathematical Introduction to Logic*. Elsevier. ISBN 978-0-12- \n238452-3. \nEngel, S. Morris (1982).*With Good Reason an Introduction to Informal Fallacies*(https://phil \npapers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w \neb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original \non 1 March 2022. Retrieved 2 January 2022. \nEvans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.).*The*\n*Cambridge Handbook of Thinking and Reasoning*. Cambridge University Press. p. 169. \nISBN 978-0-521-82417-0. \nEwald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri \nes/logic-firstorder-emergence/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Retrieved 12 March 2023. \nFalguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http \ns://plato.stanford.edu/entries/abstract-objects/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 \n0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 \nJanuary 2021. Retrieved 7 January 2022. \nFalikowski, Anthony; Mills, Susan (2022).*Experiencing Philosophy*(2nd ed.). Broadview \nPress. p. 98. ISBN 978-1-77048-841-0. \nFisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005).*Handbook of Temporal*\n*Reasoning in Artificial Intelligence*. Elsevier. p. 119. ISBN 978-0-08-053336-0. \nFitch, G. W. (18 December 2014).*Saul Kripke*. Routledge. p. 17. ISBN 978-1-317-48917-7. \nFlotyński, Jakub (7 December 2020).*Knowledge-Based Explorable Extended Reality*\n*Environments*. Springer Nature. p. 39. ISBN 978-3-030-59965-2. \nFont, Josep Maria; Jansana, Ramon (2017).*A General Algebraic Semantics for Sentential*\n*Logics*. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1. \nFrede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). \n*Michigan Technological University*. Retrieved 1 November 2022. \nFriend, Michele (2014).*Introducing Philosophy of Mathematics*. Routledge. p. 101. \nISBN 978-1-317-49379-2.", + "page_start": 27, + "page_end": 27, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid \nthe principle of explosion: for them, it is not the case that anything follows from a contradiction.[139] \nThey are often motivated by dialetheism, the view that contradictions are real or that reality itself is \ncontradictory. Graham Priest is an influential contemporary proponent of this position and similar views \nhave been ascribed to Georg Wilhelm Friedrich Hegel.[140] \n\n**Informal**\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like \ninvestigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some \nframeworks of informal logic have also been presented that try to provide a systematic characterization of \nthe correctness of arguments.[141] \n\nThe*pragmatic*or*dialogical approach*to informal logic sees arguments as speech acts and not merely as \na set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a \ndialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas \nN. Walton understands a dialogue as a game between two players. The initial position of each player is \ncharacterized by the propositions to which they are committed and the conclusion they intend to prove. \nDialogues are games of persuasion: each player has the goal of convincing the opponent of their own \nconclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They \naffect to which propositions the players are committed. A winning move is a successful argument that \ntakes the opponent's commitments as premises and shows how one's own conclusion follows from them. \nThis is usually not possible straight away. For this reason, it is normally necessary to formulate a \nsequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's \nintended conclusion. Besides these positive arguments leading one closer to victory, there are also \nnegative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an \nargument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other \nhand, are violations of the standards of proper argumentative rules.[146] These standards also depend on \nthe type of dialogue. For example, the standards governing the scientific discourse differ from the \nstandards in business negotiations.[147] \n\nThe*epistemic approach*to informal logic, on the other hand, focuses on the epistemic role of \narguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this \nby linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at \nexpanding knowledge while fallacies are epistemic failures: they do not justify the belief in their \nconclusion.[150] For example, the fallacy of begging the question is a*fallacy*because it fails to provide \nindependent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical \nnormativity consists in epistemic success or rationality.[149] The Bayesian approach is one example of an \nepistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the \ndegree to which they believe it, the so-called*credence*. Degrees of belief are seen as subjective \nprobabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On \nthis view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", + "page_start": 12, + "page_end": 12, + "source_file": "wikipedia1.pdf" + }, + { + "text": "new formal systems have been proposed. \nThere are disagreements about what makes a \nformal system a logic.[22] For example, it has \nbeen suggested that only logically complete \nsystems, like first-order logic, qualify as \nlogics. For such reasons, some theorists deny \nthat higher-order logics are logics in the strict \nsense.[23] \n\nFormal logic needs to translate natural language \narguments into a formal language, like first-order logic, to \nassess whether they are valid. In this example, the letter \n\"c\" represents Carmen while the letters \"M\" and \"T\" stand \nfor \"Mexican\" and \"teacher\". The symbol \"∧\" has the \nmeaning of \"and\". \n**Informal logic**\n\nWhen understood in a wide sense, logic \nencompasses both formal and informal logic.[24] Informal logic uses non-formal criteria and standards to \nanalyze and assess the correctness of arguments. Its main focus is on everyday discourse.[25] Its \ndevelopment was prompted by difficulties in applying the insights of formal logic to natural language \narguments.[26] In this regard, it considers problems that formal logic on its own is unable to address.[27] \nBoth provide criteria for assessing the correctness of arguments and distinguishing them from \nfallacies.[28] \n\nMany characterizations of informal logic have been suggested but there is no general agreement on its \nprecise definition.[29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the \nlanguage used to express arguments. On this view, informal logic studies arguments that are in informal \nor natural language.[30] Formal logic can only examine them indirectly by translating them first into a \nformal language while informal logic investigates them in their original form.[31] On this view, the \nargument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is \n; (2) \nexamined by informal logic. But the formal translation \"(1) \n\" is studied by formal logic.[32] The study of natural language \narguments comes with various difficulties. For example, natural language expressions are often \nambiguous, vague, and context-dependent.[33] Another approach defines informal logic in a wide sense as \nthe normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes \nquestions about the role of rationality, critical thinking, and the psychology of argumentation.[34] \n\n; (3) \n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, \nit contrasts with deductive reasoning examined by formal logic.[35] Non-deductive arguments make their \nconclusion probable but do not ensure that it is true. An example is the inductive argument from the \nempirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are \nblack\".[36] \n\nA further approach is to define informal logic as the study of informal fallacies.[37] Informal fallacies are \nincorrect arguments in which errors are present in the content and the context of the argument.[38] A false \ndilemma, for example, involves an error of content by excluding viable options. This is the case in the \nfallacy \"you are either with us or against us; you are not with us; therefore, you are against us\".[39] Some \ntheorists state that formal logic studies the general form of arguments while informal logic studies \nparticular instances of arguments. Another approach is to hold that formal logic only considers the role of", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Vidyabhusana, Satis Chandra (1988).*A History of Indian Logic: Ancient, Mediaeval and*\n*Modern Schools*. Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1. \nVleet, Van Jacob E. (2010). \"Introduction\".*Informal Logical Fallacies: A Brief Guide*(https://p \nhilpapers.org/rec/VLEILF). Upa. pp. ix–x. ISBN 978-0-7618-5432-6. Archived (https://web.ar \nchive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28 \nFebruary 2022. Retrieved 2 January 2022. \nVäänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ \nentries/logic-higher-order/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ \nhttps://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. \nRetrieved 23 November 2021. \nWalton, Douglas N. (1987).*Informal Fallacies: Towards a Theory of Argument Criticisms*(htt \nps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http \ns://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the \noriginal on 2 March 2022. Retrieved 2 January 2022. \nWarren, Jared (2020).*Shadows of Syntax: Revitalizing Logical and Mathematical*\n*Conventionalism*(https://global.oup.com/academic/product/shadows-of-syntax-9780190086 \n152). Oxford University Press. ISBN 978-0-19-008615-2. \nWashell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r \nec/WASLLA-3).*Journal of the History of Ideas*.**34**(3): 445–50. doi:10.2307/2708963 (http \ns://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963). \nWasilewska, Anita (2018).*Logics for Computer Science: Classical and Non-Classical*. \nSpringer. pp. 145–6. ISBN 978-3-319-92591-2. \nWeber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/).*Internet Encyclopedia*\n*of Philosophy*. Retrieved 12 December 2021. \nWeddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". \n*Across the Lines of Disciplines*(https://www.degruyter.com/document/doi/10.1515/97831108 \n67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http \ns://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w \neb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 \n3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022. \nWesterståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp \napers.org/rec/WESASA).*Studia Logica*.**48**(4): 577–585. doi:10.1007/BF00370209 (https:// \ndoi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu \nsID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o \nrg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022. \nWilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp \nringer.com/article/10.1007/s10503-009-9131-5).*Argumentation*.**24**(1): 107–124. \ndoi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). \nISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap \ni.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 \n08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on \n8 January 2022. Retrieved 8 January 2022. \nWilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum \nLogic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi).*The Stanford*\n*Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved \n11 March 2023. \nWile, Bruce; Goss, John; Roesner, Wolfgang (2005).*Comprehensive Functional*\n*Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3.", + "page_start": 36, + "page_end": 36, + "source_file": "wikipedia1.pdf" + }, + { + "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts \nas a premise of later arguments. For a complex argument to be successful, each link of the chain has to be \nsuccessful.[43] \n\nArguments and inferences are either \ncorrect or incorrect. If they are correct \ntheir \ntheir premises support \nthen \nconclusion. In the incorrect case, this \nsupport \ntake \ndifferent forms corresponding to the \ndifferent types of reasoning.[62] The \nstrongest form of support corresponds \nto deductive reasoning. But even \narguments that are not deductively \nvalid may still be good arguments \ntheir premises offer non- \nbecause \ndeductive support to their conclusions. \nFor such cases, the term*ampliative*or \nused.[63] \n*inductive*\nDeductive arguments are associated \nwith formal logic in contrast to the \nrelation between ampliative arguments and informal logic.[64] \n\nis missing. It can \n\nArgument terminology used in logic \n\n**Deductive**\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For \ninstance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are \nfrogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the \nconclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) \ntherefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65] \n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) \nthey are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a \npriori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that \nthey hold by logical necessity for the given propositions, independent of any other circumstances.[66] \n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of \ninference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be \nstructured for the inference to be valid. Arguments that do not follow any rule of inference are \ndeductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"*p*; if*p*, then \n*q*; therefore*q*\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( \n), one \ncan use modus ponens to deduce that the streets are wet ( ).[70] \n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is \nimpossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often \nasserted that deductive inferences are uninformative since the conclusion cannot arrive at new \ninformation not already present in the premises.[72] But this point is not always accepted since it would \nmean, for example, that most of mathematics is uninformative. A different characterization distinguishes", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia1.pdf" + }, + { + "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions \nbehind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant \nlogics, on the other hand, reject certain classical intuitions and provide alternative explanations of the \nbasic laws of logic. \n\n**Definition**\n\nThe word \"logic\" originates from the Greek word*logos*, which has a variety of translations, such as \nreason, discourse, or language.[4] Logic is traditionally defined as the study of the laws of thought or \ncorrect reasoning,[5] and is usually understood in terms of inferences or arguments. Reasoning is the \nactivity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a \nset of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. \nwhether their premises support the conclusion.[7] These general characterizations apply to logic in the \nwidest sense, i.e., to both formal and informal logic since they are both concerned with assessing the \ncorrectness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict \nlogic to formal logic.[9] \n\n**Formal logic**\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal \napproach to study reasoning: it replaces concrete expressions with abstract symbols to examine the \nlogical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is \nonly concerned with the abstract structure of arguments and not with their concrete content.[10] \n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures \nthe truth of their conclusion. This means that it is impossible for the premises to be true and the \nconclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion \nfollows a pattern called a rule of inference.[12] For example, modus ponens is a rule of inference \naccording to which all arguments of the form \"(1)*p*, (2) if*p*then*q*, (3) therefore*q*\" are valid, independent \nof what the terms*p*and*q*stand for.[13] In this sense, formal logic can be defined as the science of valid \ninferences. An alternative definition sees logic as the study of logical truths.[14] A proposition is logically \ntrue if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible \nworlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is \nnot\".[15] These two definitions of formal logic are not identical, but they are closely related. For example, \nif the inference from*p*to*q*is deductively valid then the claim \"if*p*then*q*\" is a logical truth.[16] \n\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very \nlimited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to \nconstruct sentences, so-called well-formed formulas.[18] This simplicity and exactness of formal logic \nmake it capable of formulating precise rules of inference. They determine whether a given argument is \nvalid.[19] Because of the reliance on formal language, natural language arguments cannot be studied \ndirectly. Instead, they need to be translated into formal language before their validity can be assessed.[20] \n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense,*a logic*is \na logical formal system. Distinct logics differ from each other concerning the rules of inference they \naccept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia1.pdf" + }, + { + "text": "logical constants for correct inferences while informal logic also takes the meaning of substantive \nconcepts into account. Further approaches focus on the discussion of logical topics with or without formal \ndevices and on the role of epistemology for the assessment of arguments.[40] \n\n**Premises, conclusions, and truth**\n\n**Premises and conclusions**\n\n*Premises*and*conclusions*are the basic parts of inferences or arguments and therefore play a central role \nin logic. In the case of a valid inference or a correct argument, the conclusion follows from the premises, \nor in other words, the premises support the conclusion.[41] For instance, the premises \"Mars is red\" and \n\"Mars is a planet\" support the conclusion \"Mars is a red planet\". For most types of logic, it is accepted \nthat premises and conclusions have to be truth-bearers.[41][a] This means that they have a truth value: they \nare either true or false. Contemporary philosophy generally sees them either as*propositions*or as \n*sentences*.[43] Propositions are the denotations of sentences and are usually seen as abstract objects.[44] \nFor example, the English sentence \"the tree is green\" is different from the German sentence \"der Baum ist \ngrün\" but both express the same proposition.[45] \n\nPropositional theories of premises and conclusions are often criticized because they rely on abstract \nobjects. For instance, philosophical naturalists usually reject the existence of abstract objects. Other \narguments concern the challenges involved in specifying the identity criteria of propositions.[43] These \nobjections are avoided by seeing premises and conclusions not as propositions but as sentences, i.e. as \nconcrete linguistic objects like the symbols displayed on a page of a book. But this approach comes with \nnew problems of its own: sentences are often context-dependent and ambiguous, meaning an argument's \nvalidity would not only depend on its parts but also on its context and on how it is interpreted.[46] Another \napproach is to understand premises and conclusions in psychological terms as thoughts or judgments. \nThis position is known as psychologism. It was discussed at length around the turn of the 20th century \nbut it is not widely accepted today.[47] \n\n**Internal structure**\n\nPremises and conclusions have an internal structure. As propositions or sentences, they can be either \nsimple or complex.[48] A complex proposition has other propositions as its constituents, which are linked \nto each other through propositional connectives like \"and\" or \"if...then\". Simple propositions, on the other \nhand, do not have propositional parts. But they can also be conceived as having an internal structure: they \nare made up of subpropositional parts, like singular terms and predicates.[49][48] For example, the simple \nproposition \"Mars is red\" can be formed by applying the predicate \"red\" to the singular term \"Mars\". In \ncontrast, the complex proposition \"Mars is red and Venus is white\" is made up of two simple propositions \nconnected by the propositional connective \"and\".[49] \n\nWhether a proposition is true depends, at least in part, on its constituents. For complex propositions \nformed using truth-functional propositional connectives, their truth only depends on the truth values of \ntheir parts.[49][50] But this relation is more complicated in the case of simple propositions and their", + "page_start": 3, + "page_end": 3, + "source_file": "wikipedia1.pdf" + }, + { + "text": "274. \n\n27. Craig 1996, Formal and informal logic; Johnson 1999, p. 267. \n28. Blair & Johnson 2000, pp. 93–97; Craig 1996, Formal and informal logic. \n29. Johnson 1999, pp. 265–270; van Eemeren et al., pp. 1–45, Informal Logic. \n30. Groarke 2021, 1.1 Formal and Informal Logic; Audi 1999a, Informal logic; Honderich 2005, \n\nlogic, informal. \n\n31. Blair & Johnson 2000, pp. 93–107; Groarke 2021, lead section; 1.1 Formal and Informal \n\nLogic; van Eemeren et al., p. 169. \n\n32. Oaksford & Chater 2007, p. 47. \n33. Craig 1996, Formal and informal logic; Walton 1987, pp. 2–3, 6–8, 1. A new model of \n\nargument; Engel 1982, pp. 59–92, 2. The medium of language. \n\n34. Blair & Johnson 1987, pp. 147–51. \n35. Falikowski & Mills 2022, p. 98; Weddle 2011, pp. 383–8, 36. Informal logic and the eductive- \n\ninductive distinction; Blair 2011, p. 47. \n\n36. Vickers 2022; Nunes 2011, pp. 2066–9, Logical Reasoning and Learning. \n37. Johnson 2014, p. 181; Johnson 1999, p. 267; Blair & Johnson 1987, pp. 147–51. \n38. Vleet 2010, pp. ix–x, Introduction; Dowden; Stump. \n39. Maltby, Day & Macaskill 2007, p. 564; Dowden. \n40. Craig 1996, Formal and informal logic; Johnson 1999, pp. 265–270. \n41. Audi 1999b, Philosophy of logic; Honderich 2005, philosophical logic. \n42. Haack 1974, p. 51. \n43. Audi 1999b, Philosophy of logic. \n44. Falguera, Martínez-Vidal & Rosen 2021; Tondl 2012, p. 111. \n45. Olkowski & Pirovolakis 2019, pp. 65–66 (https://books.google.com/books?id=FhaGDwAAQ", + "page_start": 19, + "page_end": 19, + "source_file": "wikipedia1.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia1.pdf", + "query": "In early Chinese philosophy, what were the major influences regarding the philosophy of logic ?", + "target_page": 18, + "target_passage": "In Chinese philosophy, the School of Names and Mohism were particularly influential", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of \nNames focused on the use of language and on paradoxes. For example, Gongsun Long proposed the \nwhite horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism \nalso acknowledged the importance of language for logic and tried to relate the ideas in these fields to the \nrealm of ethics.[197] \n\nIn India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It \nwas not treated as a separate academic discipline and discussions of its topics usually happened in the \ncontext of epistemology and theories of dialogue or argumentation.[198] In Nyaya, inference is understood \nas a source of knowledge (pramāṇa). It follows the perception of an object and tries to arrive at \nconclusions, for example, about the cause of this object.[199] A similar emphasis on the relation to \nepistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the \nknowledge gained through other sources.[200] Some of the later theories of Nyaya, belonging to the \nNavya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense \nand reference and his definition of number.[201] \n\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when \ninterest in the foundations of mathematics stimulated the development of modern symbolic logic.[202] \nMany see Gottlob Frege's*Begriffsschrift*as the birthplace of modern logic. Gottfried Wilhelm Leibniz's \nidea of a universal formal language is often considered a forerunner. Other pioneers were George Boole, \nwho invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the \nlogic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these \ninsights in their work*Principia Mathematica*. Modern logic introduced novel concepts, such as functions, \nquantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language \nto precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on \nnatural language.[203] Of particular influence was the development of first-order logic, which is usually \ntreated as the standard system of modern logic.[204] Its analytical generality allowed the formalization of \nmathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model \ntheory possible and provided the foundation of modern mathematical logic.[205]", + "page_start": 17, + "page_end": 17, + "source_file": "wikipedia1.pdf" + }, + { + "text": "11 March 2023. \nWile, Bruce; Goss, John; Roesner, Wolfgang (2005).*Comprehensive Functional*\n*Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3. \nWillman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat \no.stanford.edu/entries/chinese-logic-language/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", + "page_start": 36, + "page_end": 36, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Rautenberg, Wolfgang (1 July 2010).*A Concise Introduction to Mathematical Logic*. \nSpringer. p. 15. ISBN 978-1-4419-1221-3. \nRendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri \nes/logic-epistemic/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. Retrieved 11 March 2023. \nRestall, Greg; Standefer, Shawn (2023).*Logical Methods*. MIT Press. p. 91. ISBN 978-0- \n262-54484-9. \nRichardson, Alan W. (1998).*Carnap's Construction of the World: The Aufbau and the*\n*Emergence of Logical Empiricism*. Cambridge University Press. p. 15. ISBN 978-0-521- \n43008-1. \nRini, Adriane (13 December 2010).*Aristotle's Modal Proofs: Prior Analytics A8-22 in*\n*Predicate Logic*. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5. \nRitola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d \noi.org/10.22329%2Fil.v28i4.2856).*Informal Logic*.**28**(4): 335. doi:10.22329/il.v28i4.2856 (h \nttps://doi.org/10.22329%2Fil.v28i4.2856). \nRocci, Andrea (8 March 2017).*Modality in Argumentation: A Semantic Investigation of the*\n*Role of Modalities in the Structure of Arguments with an Application to Italian Modal*\n*Expressions*. Springer. p. 26. ISBN 978-94-024-1063-1. \nRošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\".*Philosophy*\n*Compass*.**10**(5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222 \n6). \nRunco, Mark A.; Pritzker, Steven R. (1999).*Encyclopedia of Creativity*. Academic Press. \np. 155. ISBN 978-0-12-227075-8. \nRush, Penelope (2014). \"Introduction\".*The Metaphysics of Logic*(https://philpapers.org/rec/ \nRUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt \nps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the \noriginal on 7 December 2021. Retrieved 8 January 2022. \nSadegh-Zadeh, Kazem (2015).*Handbook of Analytic Philosophy of Medicine*. Springer. \np. 983. ISBN 978-94-017-9579-1. \nSagüillo, José M. (2014). \"Hintikka on Information and Deduction\".*Teorema: Revista*\n*Internacional de Filosofía*.**33**(2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/ \n0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609). \nSarukkai, Sundar; Chakraborty, Mihir Kumar (2022).*Handbook of Logical Thought in India*. \nSpringer Nature. pp. 117–8. ISBN 978-81-322-2577-5. \nSchagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic).*Encyclopædia*\n*Britannica*. Retrieved 23 September 2022. \nSchechter, Joshua. \"Epistemology of Logic – Bibliography\" (https://philpapers.org/browse/ep \nistemology-of-logic).*PhilPapers*. Retrieved 11 September 2022. \nSchlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001).*The Structure of*\n*Arguments*. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3. \nSchreiner, Wolfgang (2021).*Thinking Programs: Logical Modeling and Reasoning About*\n*Languages, Data, Computations, and Executions*. Springer Nature. p. 22. ISBN 978-3-030- \n80507-4. \nScott, John; Marshall, Gordon (2009). \"analytic induction\".*A Dictionary of Sociology*(https:// \nwww.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford \nUniversity Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010 \n8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661) \nfrom the original on 8 January 2022. Retrieved 8 January 2022. \nShapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e \nntries/logic-classical/#Sema).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Retrieved 19 July 2023.", + "page_start": 34, + "page_end": 34, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Top row: Aristotle, who established the canon of western philosophy;[108] and Avicenna, who replaced \nAristotelian logic in Islamic discourse.[180] Bottom row: William of Ockham, a major figure of medieval \nscholarly thought;[181] and Gottlob Frege, one of the founders of modern symbolic logic.[182] \n\nIbn Sina (Avicenna) was the founder of Avicennian logic, which replaced Aristotelian logic as the \ndominant system of logic in the Islamic world.[189] It influenced Western medieval writers such as \nAlbertus Magnus and William of Ockham.[190] Ibn Sina wrote on the hypothetical syllogism[191] and on \nthe propositional calculus.[192] He developed an original \"temporally modalized\" syllogistic theory, \ninvolving temporal logic and modal logic.[193] He also made use of inductive logic, such as his methods \nof agreement, difference, and concomitant variation, which are critical to the scientific method.[191] Fakhr \nal-Din al-Razi was another influential Muslim logician. He criticized Aristotelian syllogistics and \nformulated an early system of inductive logic, foreshadowing the system of inductive logic developed by \nJohn Stuart Mill.[194] \n\nDuring the Middle Ages, many translations and interpretations of Aristotelian logic were made. The \nworks of Boethius were particularly influential. Besides translating Aristotle's work into Latin, he also \nproduced textbooks on logic.[195] Later, the works of Islamic philosophers such as Ibn Sina and Ibn \nRushd (Averroes) were drawn on. This expanded the range of ancient works available to medieval \nChristian scholars since more Greek work was available to Muslim scholars that had been preserved in \nLatin commentaries. In 1323, William of Ockham's influential*Summa Logicae*was released. It is a \ncomprehensive treatise on logic that discusses many basic concepts of logic and provides a systematic \nexposition of types of propositions and their truth conditions.[196]", + "page_start": 16, + "page_end": 16, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Haack, Susan (1978). \"1. 'Philosophy of logics' \".*Philosophy of Logics*(https://philpapers.or \ng/rec/HAAPOL-2). London and New York: Cambridge University Press. pp. 1–10. ISBN 978- \n0-521-29329-7. Archived (https://web.archive.org/web/20211207200551/https://philpapers.o \nrg/rec/HAAPOL-2) from the original on 7 December 2021. Retrieved 29 December 2021. \nHaack, Susan (1996).*Deviant Logic, Fuzzy Logic: Beyond the Formalism*. University of \nChicago Press. ISBN 978-0-226-31133-3. \nHaaparanta, Leila (2009). \"1. Introduction\".*The Development of Modern Logic*. Oxford \nUniversity Press. pp. 4–6. ISBN 978-0-19-513731-6. \nHansen, Hans (2020). \"Fallacies\" (https://plato.stanford.edu/entries/fallacies/).*The Stanford*\n*Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (http \ns://web.archive.org/web/20210329182946/https://plato.stanford.edu/entries/fallacies/) from \nthe original on 29 March 2021. Retrieved 18 March 2021. \nHartmann, Stephan; Sprenger, Jan (2010). \"Bayesian Epistemology\".*The Routledge*\n*Companion to Epistemology*(https://philpapers.org/rec/BOVSIO). London: Routledge. \npp. 609–620. ISBN 978-0-415-96219-3. Archived (https://web.archive.org/web/2021051609 \n5047/https://philpapers.org/rec/BOVSIO) from the original on 16 May 2021. Retrieved \n4 January 2022. \nHasse, Dag Nikolaus (2008). \"Influence of Arabic and Islamic Philosophy on the Latin West\" \n(https://plato.stanford.edu/entries/arabic-islamic-influence/).*The Stanford Encyclopedia of*\n*Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023. \nHawthorne, James (2021). \"Inductive Logic\" (https://plato.stanford.edu/entries/logic-inductiv \ne/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford \nUniversity. Archived (https://web.archive.org/web/20220121081805/https://plato.stanford.ed \nu/entries/logic-inductive/) from the original on 21 January 2022. Retrieved 6 January 2022. \nHintikka, Jaakko J. (2019). \"Philosophy of logic\" (https://www.britannica.com/topic/philosoph \ny-of-logic).*Encyclopædia Britannica*. Archived (https://web.archive.org/web/2015042810173 \n2/http://www.britannica.com/EBchecked/topic/346240/philosophy-of-logic) from the original \non 28 April 2015. Retrieved 21 November 2021. \nHintikka, Jaakko J. (2023). \"Logical systems\" (https://www.britannica.com/topic/logic/Logical \n-systems).*Encyclopædia Britannica*. Archived (https://web.archive.org/web/2021120718465 \n6/https://www.britannica.com/topic/logic/Logical-systems) from the original on 7 December \n2021. Retrieved 4 December 2021. \nHintikka, Jaakko (1970). \"Information, Deduction, and the A Priori\".*Noûs*.**4**(2): 135–152. \ndoi:10.2307/2214318 (https://doi.org/10.2307%2F2214318). ISSN 0029-4624 (https://searc \nh.worldcat.org/issn/0029-4624). JSTOR 2214318 (https://www.jstor.org/stable/2214318). \nHintikka, Jaakko; Sandu, Gabriel (2006). \"What is Logic?\". In Jacquette, D. (ed.). \n*Philosophy of Logic*(https://philpapers.org/rec/JAAWIL). North Holland. pp. 13–39. \nISBN 978-0-444-51541-4. Archived (https://web.archive.org/web/20211207235525/https://ph \nilpapers.org/rec/JAAWIL) from the original on 7 December 2021. Retrieved 29 December \n2021. \nHintikka, Jaakko J.; Spade, Paul Vincent. \"History of logic\" (https://www.britannica.com/topi \nc/history-of-logic).*Encyclopædia Britannica*. Retrieved 23 September 2022. \nHonderich, Ted (2005).*The Oxford Companion to Philosophy*(https://philpapers.org/rec/HO \nNTOC-2). Oxford University Press. ISBN 978-0-19-926479-7. Archived (https://web.archive. \norg/web/20210129082636/https://philpapers.org/rec/HONTOC-2) from the original on 29 \nJanuary 2021. Retrieved 2 January 2022. \nHurley, Patrick J. (2015). \"4. Categorical Syllogisms\".*Logic: The Essentials*. Wadsworth. \npp. 189–237. ISBN 978-1-305-59041-0. \nIEP Staff. \"Deductive and Inductive Arguments\" (https://iep.utm.edu/ded-ind/). Archived (http \ns://web.archive.org/web/20100528032124/https://iep.utm.edu/ded-ind/) from the original on", + "page_start": 29, + "page_end": 29, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Marenbon, John (2021). \"Anicius Manlius Severinus Boethius\" (https://plato.stanford.edu/ent \nries/boethius/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. \nMcKeon, Matthew. \"Logical Consequence\" (https://iep.utm.edu/logcon/).*Internet*\n*Encyclopedia of Philosophy*. Archived (https://web.archive.org/web/20211112071437/https:// \niep.utm.edu/logcon/) from the original on 12 November 2021. Retrieved 20 November 2021. \nMichaelson, Eliot; Reimer, Marga (2019). \"Reference\" (https://plato.stanford.edu/entries/refe \nrence/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford \nUniversity. Archived (https://web.archive.org/web/20211207184705/https://plato.stanford.ed \nu/entries/reference/) from the original on 7 December 2021. Retrieved 4 December 2021. \nMills, Ethan (2018).*Three Pillars of Skepticism in Classical India: Nagarjuna, Jayarasi, and*\n*Sri Harsa*. Rowman & Littlefield. p. 121. ISBN 978-1-4985-5570-8. \"... for Nyāya all \ninference is ultimately rooted in perception ... Naiyāyikas typically accept four means of \nknowledge: perception, inference, comparison, and testimony.\" \nMonk, J. Donald (1976). \"Introduction\" (https://link.springer.com/chapter/10.1007/978-1-468 \n4-9452-5_1).*Mathematical Logic*. Springer. pp. 1–9. doi:10.1007/978-1-4684-9452-5_1 (http \ns://doi.org/10.1007%2F978-1-4684-9452-5_1). ISBN 978-1-4684-9452-5. Archived (https://w \neb.archive.org/web/20220109131251/https://link.springer.com/chapter/10.1007/978-1-4684- \n9452-5_1) from the original on 9 January 2022. Retrieved 9 January 2022. \nMoore, Kevin; Cromby, John (8 August 2016).*How Best to 'Go On'? Prospects for a*\n*'Modern Synthesis' in the Sciences of Mind*. Frontiers Media SA. p. 60. ISBN 978-2-88919- \n906-8. \nMoore, Terence; Carling, Christine (1982).*Understanding Language: Towards a Post-*\n*Chomskyan Linguistics*. Springer. p. 53. 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ISBN 978-0-19-852449-6. \nOlkowski, Dorothea; Pirovolakis, Eftichis (31 January 2019).*Deleuze and Guattari's*\n*Philosophy of Freedom: Freedom's Refrains*. Routledge. pp. 65–66. ISBN 978-0-429-66352- \n9. \nOlsson, Erik J. (2018). \"Bayesian Epistemology\".*Introduction to Formal Philosophy*(https:// \nphilpapers.org/rec/OLSBE). Springer. pp. 431–442. ISBN 978-3-030-08454-7. Archived (http \ns://web.archive.org/web/20210516095057/https://philpapers.org/rec/OLSBE) from the \noriginal on 16 May 2021. Retrieved 4 January 2022. \nOnline Etymology Staff. \"Logic\" (https://www.etymonline.com/word/logic?ref=etymonline_cro \nssreference).*etymonline.com*. Archived (https://web.archive.org/web/20211229134626/http \ns://www.etymonline.com/word/logic?ref=etymonline_crossreference) from the original on 29 \nDecember 2021. Retrieved 29 December 2021. \nPartee, Barbara H. (2016). Aloni, Maria; Dekker, Paul (eds.).*The Cambridge Handbook of*\n*Formal Semantics*. Cambridge University Press. 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Retrieved 2 January 2022. \nVäänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ \nentries/logic-higher-order/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ \nhttps://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. \nRetrieved 23 November 2021. \nWalton, Douglas N. (1987).*Informal Fallacies: Towards a Theory of Argument Criticisms*(htt \nps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http \ns://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the \noriginal on 2 March 2022. Retrieved 2 January 2022. \nWarren, Jared (2020).*Shadows of Syntax: Revitalizing Logical and Mathematical*\n*Conventionalism*(https://global.oup.com/academic/product/shadows-of-syntax-9780190086 \n152). Oxford University Press. ISBN 978-0-19-008615-2. \nWashell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r \nec/WASLLA-3).*Journal of the History of Ideas*.**34**(3): 445–50. doi:10.2307/2708963 (http \ns://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963). \nWasilewska, Anita (2018).*Logics for Computer Science: Classical and Non-Classical*. \nSpringer. pp. 145–6. ISBN 978-3-319-92591-2. \nWeber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/).*Internet Encyclopedia*\n*of Philosophy*. Retrieved 12 December 2021. \nWeddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". \n*Across the Lines of Disciplines*(https://www.degruyter.com/document/doi/10.1515/97831108 \n67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http \ns://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w \neb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 \n3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022. \nWesterståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp \napers.org/rec/WESASA).*Studia Logica*.**48**(4): 577–585. doi:10.1007/BF00370209 (https:// \ndoi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu \nsID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o \nrg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022. \nWilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp \nringer.com/article/10.1007/s10503-009-9131-5).*Argumentation*.**24**(1): 107–124. \ndoi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). \nISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap \ni.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 \n08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on \n8 January 2022. Retrieved 8 January 2022. \nWilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum \nLogic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi).*The Stanford*\n*Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved \n11 March 2023. \nWile, Bruce; Goss, John; Roesner, Wolfgang (2005).*Comprehensive Functional*\n*Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3.", + "page_start": 36, + "page_end": 36, + "source_file": "wikipedia1.pdf" + }, + { + "text": "sentence would be true or false. One of its central methodological \nassumptions is the principle of compositionality. It states that the \nmeaning of a complex expression is determined by the meanings \nof its parts and how they are combined. For example, the meaning \nof the verb phrase \"walk and sing\" depends on the meanings of the \nindividual expressions \"walk\" and \"sing\". Many theories in formal \nsemantics rely on model theory. This means that they employ set \ntheory to construct a model and then interpret the meanings of \nexpression in relation to the elements in this model. For example, \nthe term \"walk\" may be interpreted as the set of all individuals in \nthe model that share the property of walking. Early influential \ntheorists in this field were Richard Montague and Barbara Partee, \nwho focused their analysis on the English language.[173] \n\n **Epistemology of logic**\n\nConjunction (AND) is one of the \nbasic operations of Boolean logic. It \ncan be electronically implemented in \nseveral ways, for example, by using \ntwo transistors. \n\nThe epistemology of logic studies how one knows that an \nargument is valid or that a proposition is logically true.[174] This \nincludes questions like how to justify that modus ponens is a valid \nrule of inference or that contradictions are false.[175] The \ntraditionally dominant view \nlogical \nis \nunderstanding belongs to knowledge a priori.[176] In this regard, it \nis often argued that the mind has a special faculty to examine relations between pure ideas and that this \nfaculty is also responsible for apprehending logical truths.[177] A similar approach understands the rules \nof logic in terms of linguistic conventions. On this view, the laws of logic are trivial since they are true by \ndefinition: they just express the meanings of the logical vocabulary.[178] \n\nthat this form of \n\nSome theorists, like Hilary Putnam and Penelope Maddy, object to the view that logic is knowable a \npriori. They hold instead that logical truths depend on the empirical world. This is usually combined with \nthe claim that the laws of logic express universal regularities found in the structural features of the world. \nAccording to this view, they may be explored by studying general patterns of the fundamental sciences. \nFor example, it has been argued that certain insights of quantum mechanics refute the principle of \n is equivalent to \ndistributivity in classical logic, which states that the formula \n. This claim can be used as an empirical argument for the thesis that quantum logic \n\nis the correct logical system and should replace classical logic.[179] \n\n**History**\n\nLogic was developed independently in several cultures during antiquity. One major early contributor was \nAristotle, who developed*term logic*in his*Organon*and*Prior Analytics*.[183] He was responsible for the \nintroduction of the hypothetical syllogism[184] and temporal modal logic.[185] Further innovations include \ninductive logic[186] as well as the discussion of new logical concepts such as terms, predicables, \nsyllogisms, and propositions. Aristotelian logic was highly regarded in classical and medieval times, both \nin Europe and the Middle East. It remained in wide use in the West until the early 19th century.[187] It has \nnow been superseded by later work, though many of its key insights are still present in modern systems of \nlogic.[188]", + "page_start": 15, + "page_end": 15, + "source_file": "wikipedia1.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia1.pdf", + "query": "What is considered a deductively valid argument regarding logic ?", + "target_page": 6, + "target_passage": "A deductively valid argument is one whose premises guarantee the truth of its conclusion", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts \nas a premise of later arguments. For a complex argument to be successful, each link of the chain has to be \nsuccessful.[43] \n\nArguments and inferences are either \ncorrect or incorrect. If they are correct \ntheir \ntheir premises support \nthen \nconclusion. In the incorrect case, this \nsupport \ntake \ndifferent forms corresponding to the \ndifferent types of reasoning.[62] The \nstrongest form of support corresponds \nto deductive reasoning. But even \narguments that are not deductively \nvalid may still be good arguments \ntheir premises offer non- \nbecause \ndeductive support to their conclusions. \nFor such cases, the term*ampliative*or \nused.[63] \n*inductive*\nDeductive arguments are associated \nwith formal logic in contrast to the \nrelation between ampliative arguments and informal logic.[64] \n\nis missing. It can \n\nArgument terminology used in logic \n\n**Deductive**\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For \ninstance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are \nfrogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the \nconclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) \ntherefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65] \n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) \nthey are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a \npriori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that \nthey hold by logical necessity for the given propositions, independent of any other circumstances.[66] \n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of \ninference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be \nstructured for the inference to be valid. Arguments that do not follow any rule of inference are \ndeductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"*p*; if*p*, then \n*q*; therefore*q*\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( \n), one \ncan use modus ponens to deduce that the streets are wet ( ).[70] \n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is \nimpossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often \nasserted that deductive inferences are uninformative since the conclusion cannot arrive at new \ninformation not already present in the premises.[72] But this point is not always accepted since it would \nmean, for example, that most of mathematics is uninformative. A different characterization distinguishes", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**Logic**\n\n**Logic**is the study of correct reasoning. It includes both formal and \ninformal logic. Formal logic is the study of deductively valid \ninferences or logical truths. It examines how conclusions follow \nfrom premises based on the structure of arguments alone, \nindependent of their topic and content. Informal logic is associated \nwith informal fallacies, critical thinking, and argumentation \ntheory. Informal logic examines arguments expressed in natural \nlanguage whereas formal logic uses formal language. When used \nas a countable noun, the term \"a logic\" refers to a specific logical \nformal system that articulates a proof system. Logic plays a \ncentral role in many fields, such as philosophy, mathematics, \ncomputer science, and linguistics. \n\nLogic studies valid forms of \ninference like*modus ponens*. \n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the \nargument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the \nconclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be \ntrue or false. An important feature of propositions is their internal structure. For example, complex \npropositions are made up of simpler propositions linked by logical vocabulary like \n(if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a \nproposition usually depends on the meanings of all of its parts. However, this is not the case for logically \ntrue propositions. They are true only because of their logical structure independent of the specific \nmeanings of the individual parts. \n\n (and) or \n\nArguments can be either correct or incorrect. An argument is correct if its premises support its \nconclusion. Deductive arguments have the strongest form of support: if their premises are true then their \nconclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new \ninformation not found in the premises. Many arguments in everyday discourse and the sciences are \nampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are \nstatistical generalization—such as inferring that all ravens are black, based on many individual \nobservations of black ravens.[2] Abductive arguments are inferences to the best explanation—for \nexample, when a doctor concludes that a patient has a certain disease, as the best explanation for the \nsymptoms that they are observed to suffer.[3] Arguments that fall short of the standards of correct \nreasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the \ncorrectness of arguments. \n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, \nand Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the \nmain system of logic in the Western world until it was replaced by modern formal logic, which has its \nroots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly \nused system is classical logic. It consists of propositional logic and first-order logic. Propositional logic \nonly considers logical relations between full propositions. First-order logic also takes the internal parts of", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**Notes**\n\na. However, there are some forms of logic, like imperative logic, where this may not be the \n\ncase.[42] \n\nb. Conductive arguments present reasons in favor of a conclusion without claiming that the \n\nreasons are strong enough to decisively support the conclusion.", + "page_start": 18, + "page_end": 18, + "source_file": "wikipedia1.pdf" + }, + { + "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions \nbehind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant \nlogics, on the other hand, reject certain classical intuitions and provide alternative explanations of the \nbasic laws of logic. \n\n**Definition**\n\nThe word \"logic\" originates from the Greek word*logos*, which has a variety of translations, such as \nreason, discourse, or language.[4] Logic is traditionally defined as the study of the laws of thought or \ncorrect reasoning,[5] and is usually understood in terms of inferences or arguments. Reasoning is the \nactivity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a \nset of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. \nwhether their premises support the conclusion.[7] These general characterizations apply to logic in the \nwidest sense, i.e., to both formal and informal logic since they are both concerned with assessing the \ncorrectness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict \nlogic to formal logic.[9] \n\n**Formal logic**\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal \napproach to study reasoning: it replaces concrete expressions with abstract symbols to examine the \nlogical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is \nonly concerned with the abstract structure of arguments and not with their concrete content.[10] \n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures \nthe truth of their conclusion. This means that it is impossible for the premises to be true and the \nconclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion \nfollows a pattern called a rule of inference.[12] For example, modus ponens is a rule of inference \naccording to which all arguments of the form \"(1)*p*, (2) if*p*then*q*, (3) therefore*q*\" are valid, independent \nof what the terms*p*and*q*stand for.[13] In this sense, formal logic can be defined as the science of valid \ninferences. An alternative definition sees logic as the study of logical truths.[14] A proposition is logically \ntrue if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible \nworlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is \nnot\".[15] These two definitions of formal logic are not identical, but they are closely related. For example, \nif the inference from*p*to*q*is deductively valid then the claim \"if*p*then*q*\" is a logical truth.[16] \n\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very \nlimited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to \nconstruct sentences, so-called well-formed formulas.[18] This simplicity and exactness of formal logic \nmake it capable of formulating precise rules of inference. They determine whether a given argument is \nvalid.[19] Because of the reliance on formal language, natural language arguments cannot be studied \ndirectly. Instead, they need to be translated into formal language before their validity can be assessed.[20] \n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense,*a logic*is \na logical formal system. Distinct logics differ from each other concerning the rules of inference they \naccept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia1.pdf" + }, + { + "text": "and the eductive-inductive distinction; van Eemeren & Garssen 2009, p. 191. \n\n65. Evans 2005, 8. Deductive Reasoning, p. 169 (https://books.google.com/books?id=znbkHaC \n\n8QeMC&pg=PA169).", + "page_start": 20, + "page_end": 20, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid \nthe principle of explosion: for them, it is not the case that anything follows from a contradiction.[139] \nThey are often motivated by dialetheism, the view that contradictions are real or that reality itself is \ncontradictory. Graham Priest is an influential contemporary proponent of this position and similar views \nhave been ascribed to Georg Wilhelm Friedrich Hegel.[140] \n\n**Informal**\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like \ninvestigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some \nframeworks of informal logic have also been presented that try to provide a systematic characterization of \nthe correctness of arguments.[141] \n\nThe*pragmatic*or*dialogical approach*to informal logic sees arguments as speech acts and not merely as \na set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a \ndialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas \nN. Walton understands a dialogue as a game between two players. The initial position of each player is \ncharacterized by the propositions to which they are committed and the conclusion they intend to prove. \nDialogues are games of persuasion: each player has the goal of convincing the opponent of their own \nconclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They \naffect to which propositions the players are committed. A winning move is a successful argument that \ntakes the opponent's commitments as premises and shows how one's own conclusion follows from them. \nThis is usually not possible straight away. For this reason, it is normally necessary to formulate a \nsequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's \nintended conclusion. Besides these positive arguments leading one closer to victory, there are also \nnegative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an \nargument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other \nhand, are violations of the standards of proper argumentative rules.[146] These standards also depend on \nthe type of dialogue. For example, the standards governing the scientific discourse differ from the \nstandards in business negotiations.[147] \n\nThe*epistemic approach*to informal logic, on the other hand, focuses on the epistemic role of \narguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this \nby linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at \nexpanding knowledge while fallacies are epistemic failures: they do not justify the belief in their \nconclusion.[150] For example, the fallacy of begging the question is a*fallacy*because it fails to provide \nindependent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical \nnormativity consists in epistemic success or rationality.[149] The Bayesian approach is one example of an \nepistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the \ndegree to which they believe it, the so-called*credence*. Degrees of belief are seen as subjective \nprobabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On \nthis view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", + "page_start": 12, + "page_end": 12, + "source_file": "wikipedia1.pdf" + }, + { + "text": "burglar broke into the house last night, got hungry on the job, and had a midnight snack, would also \nexplain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely \nexplanation.[82][83] \n\n**Fallacies**\n\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually \nreferred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw \nwith the reasoning leading to this conclusion.[84] So the argument \"it is sunny today; therefore spiders \nhave eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill, \ngive a more restrictive definition of fallacies by additionally requiring that they appear to be correct.[85] \nThis way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness. \nThis explains why people tend to commit fallacies: because they have an alluring element that seduces \npeople into committing and accepting them.[86] However, this reference to appearances is controversial \nbecause it belongs to the field of psychology, not logic, and because appearances may be different for \ndifferent people.[87] \n\n\n\nYoung America's dilemma: Shall I be wise and great, or \nrich and powerful? (poster from 1901) This is an \nexample of a false dilemma: an informal fallacy using a \ndisjunctive premise that excludes viable alternatives. \n\nFallacies are usually divided into formal and \ninformal fallacies.[38] For formal fallacies, the \nsource of the error is found in the*form*of the \nargument. For example, denying the antecedent \nis one type of formal fallacy, as in \"if Othello is a \nbachelor, then he is male; Othello is not a \nbachelor; therefore Othello is not male\".[88] But \nmost fallacies fall into the category of informal \nfallacies, of which a great variety is discussed in \nthe academic literature. The source of their error \nis usually found in the*content*or the*context*of \nthe \nare \nsometimes categorized as fallacies of ambiguity, \nfallacies of presumption, or \nfallacies of \nthe \nrelevance. For \nambiguity and vagueness of natural language are \nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot \nbe dark\".[90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise.[91] \nIn the case of fallacies of relevance, the premises do not support the conclusion because they are not \nrelevant to it.[92] \n\nargument.[89] Informal fallacies \n\n**Definitory and strategic rules**\n\nThe main focus of most logicians is to study the criteria according to which an argument is correct or \nincorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known \nas*rules of inference*.[93] They are definitory rules, which determine whether an inference is correct or \nwhich inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which \ninferential moves are necessary to reach a given conclusion based on a set of premises. This distinction \ndoes not just apply to logic but also to games. In chess, for example, the definitory rules dictate that \nbishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed", + "page_start": 7, + "page_end": 7, + "source_file": "wikipedia1.pdf" + }, + { + "text": "**Bibliography**\n\nAloni, Maria; Dekker, Paul (7 July 2016).*The Cambridge Handbook of Formal Semantics*. \nCambridge University Press. pp. 22–23. ISBN 978-1-316-55273-5. \nAngell, Richard B. (1964).*Reasoning and Logic*. Ardent Media. p. 164. OCLC 375322 (http \ns://search.worldcat.org/oclc/375322). \nAudi, Robert (1999a). \"Informal logic\".*The Cambridge Dictionary of Philosophy*(https://philp \napers.org/rec/AUDTCD-2). Cambridge University Press. p. 435. ISBN 978-1-107-64379-6. \nArchived (https://web.archive.org/web/20210414132344/https://philpapers.org/rec/AUDTCD- \n2) from the original on 14 April 2021. Retrieved 29 December 2021. \nAudi, Robert (1999b). \"Philosophy of logic\".*The Cambridge Dictionary of Philosophy*(http \ns://philpapers.org/rec/AUDTCD-2). Cambridge University Press. pp. 679–681. ISBN 978-1- \n107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/ \nrec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021. \nBackmann, Marius (1 June 2019). \"Varieties of Justification—How (Not) to Solve the \nProblem of Induction\" (https://doi.org/10.1007%2Fs12136-018-0371-6).*Acta Analytica*.**34**\n(2): 235–255. doi:10.1007/s12136-018-0371-6 (https://doi.org/10.1007%2Fs12136-018-037 \n1-6). ISSN 1874-6349 (https://search.worldcat.org/issn/1874-6349). S2CID 125767384 (http \ns://api.semanticscholar.org/CorpusID:125767384). \nBagaria, Joan (2021). \"Set Theory\" (https://plato.stanford.edu/entries/set-theory/).*The*\n*Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. \nRetrieved 23 September 2022. \nBarnes, Jonathan (25 January 2007).*Truth, etc.: Six Lectures on Ancient Logic*. Clarendon \nPress. p. 274. ISBN 978-0-19-151574-3. \nBenthem, Johan van. \"Modal Logic: Contemporary View: 1. Modal Notions and Reasoning \nPatterns: a First Pass\" (https://iep.utm.edu/modal-lo/#H1).*Internet Encyclopedia of*\n*Philosophy*. Retrieved 11 March 2023. \nBerlemann, Lars; Mangold, Stefan (10 July 2009).*Cognitive Radio and Dynamic Spectrum*\n*Access*. John Wiley & Sons. p. 194. ISBN 978-0-470-75443-6. \nBerman, Harold J. (1 July 2009).*Law and Revolution, the Formation of the Western Legal*\n*Tradition*. Harvard University Press. ISBN 978-0-674-02085-6. \nBimbo, Katalin (2 April 2016).*J. Michael Dunn on Information Based Logics*. Springer. \npp. 8–9. ISBN 978-3-319-29300-4. \nBlackburn, Simon (1 January 2008). \"argument\".*The Oxford Dictionary of Philosophy*(http \ns://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356). Oxford \nUniversity Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 \n8194756/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356) \nfrom the original on 8 January 2022. Retrieved 8 January 2022. \nBlackburn, Simon (24 March 2016). \"rule of inference\".*The Oxford Dictionary of Philosophy*\n(https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990). Oxford \nUniversity Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 \n8194809/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990) \nfrom the original on 8 January 2022. Retrieved 8 January 2022. \nBlair, J. Anthony; Johnson, Ralph H. (1987). \"The Current State of Informal Logic\" (https://ph \nilpapers.org/rec/BLATCS).*Informal Logic*.**9**(2): 147–51. doi:10.22329/il.v9i2.2671 (https://d \noi.org/10.22329%2Fil.v9i2.2671). Archived (https://web.archive.org/web/20211230194638/ht \ntps://philpapers.org/rec/BLATCS) from the original on 30 December 2021. Retrieved \n2 January 2022.", + "page_start": 24, + "page_end": 24, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Rautenberg, Wolfgang (1 July 2010).*A Concise Introduction to Mathematical Logic*. \nSpringer. p. 15. ISBN 978-1-4419-1221-3. \nRendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri \nes/logic-epistemic/).*The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, \nStanford University. Retrieved 11 March 2023. \nRestall, Greg; Standefer, Shawn (2023).*Logical Methods*. MIT Press. p. 91. ISBN 978-0- \n262-54484-9. \nRichardson, Alan W. (1998).*Carnap's Construction of the World: The Aufbau and the*\n*Emergence of Logical Empiricism*. Cambridge University Press. p. 15. ISBN 978-0-521- \n43008-1. \nRini, Adriane (13 December 2010).*Aristotle's Modal Proofs: Prior Analytics A8-22 in*\n*Predicate Logic*. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5. \nRitola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d \noi.org/10.22329%2Fil.v28i4.2856).*Informal Logic*.**28**(4): 335. doi:10.22329/il.v28i4.2856 (h \nttps://doi.org/10.22329%2Fil.v28i4.2856). \nRocci, Andrea (8 March 2017).*Modality in Argumentation: A Semantic Investigation of the*\n*Role of Modalities in the Structure of Arguments with an Application to Italian Modal*\n*Expressions*. Springer. p. 26. ISBN 978-94-024-1063-1. \nRošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\".*Philosophy*\n*Compass*.**10**(5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222 \n6). \nRunco, Mark A.; Pritzker, Steven R. (1999).*Encyclopedia of Creativity*. Academic Press. \np. 155. ISBN 978-0-12-227075-8. \nRush, Penelope (2014). \"Introduction\".*The Metaphysics of Logic*(https://philpapers.org/rec/ \nRUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt \nps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the \noriginal on 7 December 2021. Retrieved 8 January 2022. \nSadegh-Zadeh, Kazem (2015).*Handbook of Analytic Philosophy of Medicine*. Springer. \np. 983. ISBN 978-94-017-9579-1. \nSagüillo, José M. (2014). \"Hintikka on Information and Deduction\".*Teorema: Revista*\n*Internacional de Filosofía*.**33**(2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/ \n0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609). \nSarukkai, Sundar; Chakraborty, Mihir Kumar (2022).*Handbook of Logical Thought in India*. \nSpringer Nature. pp. 117–8. ISBN 978-81-322-2577-5. \nSchagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic).*Encyclopædia*\n*Britannica*. Retrieved 23 September 2022. \nSchechter, Joshua. \"Epistemology of Logic – Bibliography\" (https://philpapers.org/browse/ep \nistemology-of-logic).*PhilPapers*. Retrieved 11 September 2022. \nSchlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001).*The Structure of*\n*Arguments*. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3. \nSchreiner, Wolfgang (2021).*Thinking Programs: Logical Modeling and Reasoning About*\n*Languages, Data, Computations, and Executions*. Springer Nature. p. 22. ISBN 978-3-030- \n80507-4. \nScott, John; Marshall, Gordon (2009). \"analytic induction\".*A Dictionary of Sociology*(https:// \nwww.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford \nUniversity Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010 \n8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661) \nfrom the original on 8 January 2022. Retrieved 8 January 2022. \nShapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e \nntries/logic-classical/#Sema).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Retrieved 19 July 2023.", + "page_start": 34, + "page_end": 34, + "source_file": "wikipedia1.pdf" + }, + { + "text": "new formal systems have been proposed. \nThere are disagreements about what makes a \nformal system a logic.[22] For example, it has \nbeen suggested that only logically complete \nsystems, like first-order logic, qualify as \nlogics. For such reasons, some theorists deny \nthat higher-order logics are logics in the strict \nsense.[23] \n\nFormal logic needs to translate natural language \narguments into a formal language, like first-order logic, to \nassess whether they are valid. In this example, the letter \n\"c\" represents Carmen while the letters \"M\" and \"T\" stand \nfor \"Mexican\" and \"teacher\". The symbol \"∧\" has the \nmeaning of \"and\". \n**Informal logic**\n\nWhen understood in a wide sense, logic \nencompasses both formal and informal logic.[24] Informal logic uses non-formal criteria and standards to \nanalyze and assess the correctness of arguments. Its main focus is on everyday discourse.[25] Its \ndevelopment was prompted by difficulties in applying the insights of formal logic to natural language \narguments.[26] In this regard, it considers problems that formal logic on its own is unable to address.[27] \nBoth provide criteria for assessing the correctness of arguments and distinguishing them from \nfallacies.[28] \n\nMany characterizations of informal logic have been suggested but there is no general agreement on its \nprecise definition.[29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the \nlanguage used to express arguments. On this view, informal logic studies arguments that are in informal \nor natural language.[30] Formal logic can only examine them indirectly by translating them first into a \nformal language while informal logic investigates them in their original form.[31] On this view, the \nargument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is \n; (2) \nexamined by informal logic. But the formal translation \"(1) \n\" is studied by formal logic.[32] The study of natural language \narguments comes with various difficulties. For example, natural language expressions are often \nambiguous, vague, and context-dependent.[33] Another approach defines informal logic in a wide sense as \nthe normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes \nquestions about the role of rationality, critical thinking, and the psychology of argumentation.[34] \n\n; (3) \n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, \nit contrasts with deductive reasoning examined by formal logic.[35] Non-deductive arguments make their \nconclusion probable but do not ensure that it is true. An example is the inductive argument from the \nempirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are \nblack\".[36] \n\nA further approach is to define informal logic as the study of informal fallacies.[37] Informal fallacies are \nincorrect arguments in which errors are present in the content and the context of the argument.[38] A false \ndilemma, for example, involves an error of content by excluding viable options. This is the case in the \nfallacy \"you are either with us or against us; you are not with us; therefore, you are against us\".[39] Some \ntheorists state that formal logic studies the general form of arguments while informal logic studies \nparticular instances of arguments. Another approach is to hold that formal logic only considers the role of", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia1.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed8.pdf", + "query": "What was the mean correctness score for LLM-generated handoff notes ?", + "target_page": 7, + "target_passage": "Correctness 4.52", + "chunk_present": { + "presence": true, + "index": 8 + } + }, + "top_chunk": [ + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nLLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 \n\nboard certified emergency medicine physician leaders with experience in formal quality and patient \n\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and \n\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of \n\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race \n\nbias; therefore, the model was trained to generate text without race-based assumptions. Although \n\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown \nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of \nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data \n\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used \n\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter \n\noptimization of the LLMs. \n\n**Models**\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred \nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter \nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and \ntechnology specifications is provided in detail in eAppendix 1 in Supplement 1. \n\n**Data Processing**\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both \nshorten the input size while maintaining content salience. First, we adopted a number of heuristic \n\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) \n\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency \n\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP \n\nhandoff notes. \n\n**Model Training and Inference**\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We \n\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional \n\ninformation about the model training and inference process is provided in eAppendix 1 in \n\nSupplement 1. \n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of \n\nheuristic rules, our summarization system produced ED handoff notes with various sections for \n\ndownstream clinical tasks. The inference process is shown in the**Figure**.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsubsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written \n\nnote and (2) the LLM-generated note. \n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the \n\ncompleteness, curation, readability, and correctness of the summary as shown in eTable 1 in \n\nSupplement 1. Physicians rated the usefulness of the summary, defined as the capability of the \n\nsummary being incorporated into a workflow where a physician would make edits before final \n\ncompletion, mitigating potential future self-referential learning loops and the downstream adverse \nconsequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated \nmodel errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no \n\nidentified patient safety risk for completeness, curation, readability, and the 4 subcategories within \n\ncorrectness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety \nrisk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 \nindicated that the LLM-generated summary likely demonstrated baseline acceptability for such a \n\nworkflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the \n\nLLM-generated summary as defined as the capability of the summary to fully replace a physician- \n\nwritten note (unmitigated). \n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the \n\nframework and evaluated 10 separate cases from the test dataset that were not included in the \n\nclinical evaluation results. Additionally, after independently scoring the summaries, they met to \n\nensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was \n\ncalculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for \n\nconsistency with the Pingouin statistical package version 0.5.4 in Python (Python Software \n\nFoundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity \n\nof the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 \nrepresents no agreement.52 Data were analyzed from October 2023 to March 2024. \n\n**Results**\n\n**Automated Tasks**\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In**Table 2**, \n\nROUGE and BERTScore compare the summaries with the testing set from our annotations, and \n\nSCALE score compares the summaries with the source notes. From automatic evaluation results, we \n\nobserved that LLM-generated summaries had better scores than the physician summaries, such that \n\nROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, \n\nsuggesting the LLM-generated summaries were more similar and more detailed than the physician \n\nsummaries. \n\n**Clinical Evaluation Tasks**\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are \n\nshown in**Table 3**and**Table 4**. The mean clinical quality scores of the automated summaries are in a \n\ncomparable range (4-5) to those of the physician summaries. However, the automated summaries \n\nwere observed to be of lower quality compared with the physician-written summaries with regards \n\nto mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]), \n\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written \n\nR-1a \n0.494 R-2a \n0.322 R-La \n0.391 \nSummary type BERT-p \nLLM-generated 0.859 \nPhysician-written 0.251 0.088 0.154 0.796", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed8.pdf" + }, + { + "text": "**Original Investigation | Emergency Medicine**\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine \nHandoff Notes \n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; \nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS \n\n**Key Points**\n\n**Question**Can a large language model \n\n(LLM) generate emergency medicine \n\n(EM)-to-inpatient (IP) handoff notes \n\nthat are useful and safe for EM care? \n\n**Findings**In this cohort study of 1600 \n\nEM patient medical records using a \n\nnovel evaluation framework, the \n\nLLM-generated EM-to-IP handoff notes \n\nhad a mean usefulness of 4.04 out of 5 \n\n(compared with 4.36 for \n\nphysician-written) and a mean patient \n\nsafety of 4.06 out of 5 (compared with \n\n4.50 for physician-written) with no \n\ncritical patient safety risks. \n\n**Abstract**\n\n**IMPORTANCE**An emergency medicine (EM) handoff note generated by a large language model \n\n(LLM) has the potential to reduce physician documentation burden without compromising the safety \n\nof EM-to-inpatient (IP) handoffs. \n\n**OBJECTIVE**To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and \n\nsafety compared with physician-written notes. \n\n**DESIGN, SETTING, AND PARTICIPANTS**This cohort study used EM patient medical records with \n\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical \n\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated \n\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented \n\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers \n\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) \n\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written \n\nnotes were compared. Data were analyzed from October 2023 to March 2024. \n**Meaning**These findings suggest the \n\nvalue of a manual, patient safety– \n**EXPOSURE**LLM-generated EM handoff notes. \nfocused clinical evaluation of LLM \n\nmodels and the potential of \n\nLLM-generated handoff notes to create \n\na new standard of care in EM. \n\n**MAIN OUTCOMES AND MEASURES**LLM-generated handoff notes were evaluated for (1) lexical \n\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with \n\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness, \n\nusefulness, and implications for patient safety using a novel framework. \n\n**RESULTS**In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 \n\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher \n\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), \n\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by \n\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) \n\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean \n\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). \n\nNone of the LLM-generated summaries were classified as a critical patient safety risk. \n\n**CONCLUSIONS AND RELEVANCE**In this cohort study of 1600 EM patient medical records, \n\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written \n\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness \n\n(continued) \n\n**Open Access.**This is an open access article distributed under the terms of the CC-BY License. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed8.pdf" + }, + { + "text": "EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\n**Evaluation**\nIt is critical to ensure that AI systems are safe, ethical, and without bias in the clinical domain. For the \n\nproposed approach, we performed comprehensive automatic evaluations and a novel, rigorous, \n\npatient safety-focused clinical evaluation. The unique clinical evaluation framework was designed to \n\n(1) screen for and identify the common, specific correctness issues in LLMs observed in longform \n\nclinical summarization and (2) assess the potential patient safety implications associated with any \n\nincorrectness identified using a modified version of the World Health Organization’s International \nClassification for Patient Safety.45 \n\n**Automated Evaluations**\nWe used the summarization evaluation metrics of recall-oriented understudy for gisting evaluation \n(ROUGE),46 bidirectional encoder representations from transformers score (BERTScore),47 and \nsource chunking approach for large-scale inconsistency evaluation (SCALE).48 ROUGE computes the \noverlap of n-grams between the generated and reference summaries. For longform document \n\nsummarization, the following ROUGE scores are considered to be close to the reference summaries: \nROUGE-1, above 0.4; ROUGE-2, above 0.2; and ROUGE-L, above 0.3.46 BERTScore leverages the \npretrained contextual embeddings from BERT and matches words to compute a similarity score for \neach token in the candidate sentence with each token in the reference sentence. We used SCALE,48 a \nnatural language inference–based approach, to measure the faithfulness between the source \n\ndocument and the generated text. Further background is provided about SCALE in eAppendix 2 in \n\nSupplement 1. \n\n**Statistical Analysis**\nBased on prior work, 3 board certified EM physician leaders (M.M., A.F., and P.S.) with experience in \n\nformal quality and patient safety review processes performed retrospective reviews of ED-based \nEHR records of 50 individual ED patient encounters, randomly selected from the test dataset.49 \nBased on prior published clinical evaluations of LLM, as well as the study feasibility of using EM \nphysician quality and patient safety leaders, 50 ED patient encounters were evaluated.50 Reviewers", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\n**Additional Contributions:**We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and \nCornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in \nhelping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey, \nMD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with \nphysician recruitment. None of them were compensated for their contributions. \n\n**REFERENCES**\n**1**. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an \nextensive review. Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480 \n\n**2**. Donaldson MS, Corrigan JM, Kohn LT. To err is human: building a safer health system. National Academy Press; \n2000. \n\n**3**. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement \nand Patient Safety. Improving Handoffs in the Emergency Department. Ann Emerg Med. 2010;55(2):171-180. doi:10. \n1016/j.annemergmed.2009.07.016 \n\n**4**. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners’ \nguide. Association of American Medical Colleges. 2017. Accessed October 23, 2024. https://www.aamc.org/media/ \n20196/download \n\n**5**. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among \nhospitalized children following implementation of a resident handoff bundle. JAMA. 2013;310(21):2262-2270. doi: \n10.1001/jama.2013.281961 \n\n**6**. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after \nimplementation of a handoff program. N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556 \n\n**7**. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating \nacross boundaries. Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009 \n\n**8**. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs. ED Manag. 2015;27(11): \n128-131. \n\n**9**. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic \nand community settings. Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026 \n\n**10**. Hoff TJ. How work context shapes physician approach to safety and error. Qual Manag Health Care. 2008;17 \n(2):140-153. doi:10.1097/01.QMH.0000316992.94415.34 \n\n**11**. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey \ndata and development of algorithm. West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004 \n\n**12**. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care \nTask Force. Handoff practices in emergency medicine: are we making progress? Acad Emerg Med. 2016;23(2): \n197-201. doi:10.1111/acem.12867 \n\n**13**. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine. Am J Med Qual. \n2014;29(5):408-414. doi:10.1177/1062860613503364 \n\n**14**. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department: \na survey of emergency medicine residency and pediatric emergency medicine fellowship program directors. Acad \nEmerg Med. 2007;14(2):192-196. \n\n**15**. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of \nfailures during the transition from emergency department to inpatient care. Ann Emerg Med. 2009;53(6): \n701-10.e4. doi:10.1016/j.annemergmed.2008.05.007", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsuperior performance. However, while the manual clinical evaluation demonstrated the majority of \n\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on \n\naverage, inferior to the clinician-written notes. \n\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and \n\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst- \n\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician \n\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance \nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. \nHowever, incompleteness and faulty logic identified in the automated summaries were not always \n\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to \n\ncreate significant patient safety risk compared with the physician-written summaries. These critical \n\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further \n\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model \n\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM \n\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see \n\neAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical \nin other recent work implementing LLMs into clinical workflows.29,53 \n\nWhile the automated methods of SCALE and MPNet-based sentence transformers \n\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation \n\nprovided the nuanced context of the true factuality of our system on a word by word level. When \n\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more \n\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended \n\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic \n\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source \n\nnotes, while physician-written summaries are often composed with additional knowledge that \n\ncannot be found from the source notes. \n\nThe divergence of the automated and clinical evaluation results of an LLM intended for \n\nintegration into a critical clinical workflow is an important finding. First, this observed finding \n\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to \ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to \nmeasure conventional model output quality categories (such as incorrectness domains and other \nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate \nanticipated patient safety implications for each individual category deficiency. \n\n**Limitations**\nThere were several limitations to the study that were primarily driven from constraints of \n\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location, \n\nthe data were required to remain on premise at all times and the infrastructure that was provided \n\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model \n\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable \ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study \nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study \n\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at \n\norganizations that are less open to integrating third-party LLMs.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nevaluation frameworks may not address the anticipated effect LLM performance limitations could \nhave on patient safety.38-41 \n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate \n\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care \n\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP \n\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in \n\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and \n\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the \n\ncorrectness of model generations and customized the summaries in a structured format designed \n\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel \n\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’ \n\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies. \n\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting \n\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient \n\n**Methods**\n\n**Data Collection**\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was \n\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with \n\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 \n\nindividual EM patient encounters leading to acute hospital admission were randomly selected from \n\nvisits occurring between April and September of 2023. We limited our analysis to EM patient \n\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time. \n\nEncounters before this date used an earlier version of the EM-handoff note that would have provided \n\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then \n\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), \n\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used \n\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of \n\nObservational Studies in Epidemiology (STROBE) reporting guidelines. \n\n**EM-to-IP Handoff Note Template**\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff \n\nnote structure used at the study site. The generated EM handoff note consists of components \n\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult \n\norders, and radiology impressions) and components generated by the trained abstractive \n\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans, \n\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage \n\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the \n\ntotal time of patient’s stay in the ED. \n\n**Data Curation for Automated ED Note Generation**\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule- \n\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail \n\nin eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM \n\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in**Table 1**: \n\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The \n\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\ncuration (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 \n\n[0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]). \n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on \n\npatient safety, the 3 expert clinicians determined none of the identified model performance issues \n\nwere anticipated to create a level 1 (life-threatening) safety event (see examples of worst case \n\nscenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the \n\nautomated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; \n\n13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create \n\na level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the \n\nphysician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 \n\nand 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no \n\npatient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) \n\ncompared with the physician-written notes (2.0%), although very few hallucinations. \n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, \n\nand 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, \n\ncuration, correctness, and usefulness and suggest fair reliability for readability among the 3 raters. \n\n**Discussion**\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, \n\npretrained LLM and rule-based approaches within an end user–developed note template. It is \n\nimportant to note that (largely due to time constraints within the EM care delivery model) the \n\nperformance of EM-to-IP handoff notes was not the current standard of care in EM. The study site’s \n\nunique electronic handoff process enabled a comparison between physician-written and \n\nLLM-generated handoff notes. Traditional automated evaluations of the model output suggested \n\n| Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n|---|---|---|---|---|\n| Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n| Criteria | LLM-generated Physician-written | | | |\n| | Mean score (SD) | Likert rating 1-5, No. (%)a | Mean score (SD) | Likert rating 1-5, No. (%)a |\n| | | 1 2 3 4 5 | | 1 2 3 4 5 |\n\n\nCompleteness 4.00 (0.88) 0 12 (8) 31 (20.7) 69 (46) 38 (25.3) 4.16 (0.84) 0 3 (2) 31 (20.7) 48 (32) 68 (45.3) \nCuration 4.24 (0.58) 0 1 (0.7) 13 (8.7) 0 \n0 \n0 \n0 \n\n85 (56.7) 51 (34) 4.76 (0.48) 0 6 (4) 39 (26) 105 (70) \n8 (5.3) 17 (11.3) 87 (58) 38 (25.3) 4.64 (0.49) 0 5 (3.3) 38 (25.3) 107 (71.3) \n0 13 (8.7) 39 (26) 98 (65.3) 4.90 (0.39) 0 2 (1.3) 12 (8) 136 (90.7) \n12 (8) 30 (20) 59 (39.3) 49 (32.7) 4.36 (0.71) 5 (3.3) 13 (8.7) 53 (35.3) 79 (52.7) \n\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results. \n\n| Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n|---|---|---|---|---|\n| Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n| Criteria | LLM-generated Physician-written | | | |\n| | Mean (SD) | Likert score 1-5, No. (%)a | Mean (SD) | Likert score 1-5, No. (%)a |\n| | | 1 2 3 4 5 | | 1 2 3 4 5 |\n\n\nCompleteness 4.20 (0.93) 0 13 (8.7) 19 (12.7) 58 (38.7) 60 (40) 4.50 (0.65) 0 0 17 (11.3) 43 (28.7) 90 (60) \nCuration 4.82 (0.32) 0 1 (0.7) 3 (2) 3 (2) 8 (5.3) 139 (92.7) \n0 10 (6.7) 140 (93.3) \n0 0 150 (100)", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nAbstract (continued) \n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in- \n\nloop implementation design for this model and demonstrates an effective strategy to measure \n\npreimplementation patient safety of LLM models. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 \n\n**Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of \nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint \nCommission, the Accreditation Council for Graduate Medical Education, and the Association of \n\nAmerican Medical Colleges have all recommended the development of high-quality and standardized \nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing \nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality \nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by \nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The \nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly \n\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff \nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with \nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high \n\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most \ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated \nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal \nmedicine leadership of the study site collaboratively developed and launched a mandatory, \n\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real- \n\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal \n\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured \n\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of \n\nthe handoff notes. \n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks \nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical \nnotes using natural language processing (NLP) have been overall shown to improve note completion \nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements \nin health care with the discovery of the transformer model architecture, the building block of large \nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology \nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels \nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large \nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is \ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with \nthe original source content.31 Much work has been done in health care to reduce hallucinations \nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine- \ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability \nby citing inferred content back to the reference source notes.34 For short-context length notes, using \nfew-shot prompt engineering approaches with large language models like GPT-4 can produce", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + } + ] + }, + { + "references": { + "source_file": "legal1_opengouvernementlicense.pdf", + "query": "What are the improvements made to possible to the HadGEM3 and CMIP5 climate change models by UKCP18 ?", + "target_page": 1, + "target_passage": "mprovements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW**\n\n\n\n\n\nWhat is UKCP18 \nand why do we need it? \n\nFollowing the historic Paris Agreement on Climate \nChange in December 2015, the Department of \nEnvironment, Food and Rural Affairs announced a \nmajor upgrade to the UK Climate Projections. \n\nThe UKCP18 project will build upon the current set \nof projections (UKCP09) to provide the most up-to- \ndate assessment of how the climate of the UK may \nchange over the 21st century. This information \nwill be essential to future Climate Change Risk \nAssessments1 and to equip the UK with information \nto help adapt to the challenges and opportunities of \nclimate change in line with the National Adaptation \nProgramme2. \n\nOrganisations and individual users will use UKCP18 \nto inform risk assessments and adaptation plans \nto ensure they are resilient to extreme weather \nand climate change. Some organisations will use \nUKCP18 in responding to the Adaptation Reporting \nPower3 for example. \n\nWhat improvements \ndoes UKCP18 deliver? \n\nUKCP18 will benefit from a range of developments \nsince the release of UKCP09, including: \n• Greater understanding of user needs as a result \nof the adaptation community’s use of UKCP09 \nprojections and the subsequent feedback – user \nworkshops indicated that users supported the \ncontinued use of probabilistic projections and the \nimportance of spatially coherent information4. \n• Advances in climate models in recent years, such \nas the Met Office Hadley Centre HadGEM35 model \nand the CMIP56 set of models. Improvements \ninclude better representation of the past \nclimate, the inclusion of more cloud and aerosol \nprocesses and the ability to model important \nclimate phenomena such as the El-Niño Southern \nOscillation (ENSO). \n• Groundbreaking Met Office research on \nmodelling of extreme events in high resolution \nregional climate models7. \n• The increased quantity and range of observations \navailable since 2009. \n• Use of the new Met Office supercomputer, \nenabling a credible range of climate projections to \nbe generated in greater spatial detail. \n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of \nclimate change on their operations and present proposals for adaptation.**https://www.gov.uk/government/collections/climate-change-**\n**adaptationreporting-second-round-reports**\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the \nCommittee on Climate Change (ASC):**https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/**\n3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate \nchange on their operations and present proposals for adaptation:**https://www.gov.uk/government/collections/climate-change-adaptation-**\n**reporting-second-round-reports**\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate \nchange to be assessed consistently over larger study areas. \n5**http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n6 Coupled model intercomparison project phase 5, see**http://cmip-pcmdi.llnl.gov/cmip5/**\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, \n5791–5806 (2012)**http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", + "page_start": 0, + "page_end": 0, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "The high-resolution simulations were performed using the HadGEM3A Global Atmosphere \n(GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with \ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of \nthe HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of \nclimate models [12]. This represents the third generation of HadGEM configurations, leading \non from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. \nKey improvements over the previous model, HadGEM2, include increased vertical levels in the \natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. \nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met \nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution \nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher \nresolution [18,19]. \n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for \nan improved representation of atmospheric and land surface processes including extremes by \nusing higher spatial resolution [11]. \n\n**4**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK \nMet Office Unified Model (MetUM) which has been developed for use for both climate research \nand weather prediction applications. It is the result of converging the development of the Met \nOffice’s weather and climate global atmospheric model components so that, where possible, \natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and \ntimescales. \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nWe ran the model using only its atmosphere and land components, with time-varying sea- \nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This \napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications \nof the higher resolution for projections of climate extremes and impacts—an atmosphere- \nonly simulation requires considerably less computing time than a coupled ocean–atmosphere \ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in \nregional climate changes by using SSTs and SICs from different climate models. To explore these \nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric \nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 \nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial \ninfluence on regional patterns of climate change over land, so using a range of SST and SIC \npatterns in a single atmosphere model goes some way towards representing the range of regional \nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This \napproach will not capture the full range of uncertainty affecting regional climate changes over \nland, because it still relies on one atmosphere model and one land surface scheme, so responses \nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions \nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that \nour experimental design avoids the reliance on one single realization of climate and hence allows \nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + }, + { + "text": "What can users expect from UKCP18? \n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty. \n\n**OBSERVATIONS**\n**Annual report: State of the UK Climate. Downloadable data.**\nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi- \ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year. \n\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \n\n**MARINE PROJECTIONS**\n**Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events. \n\n8 The latest update can be found at**http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n9**http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10**https://www.ipcc.ch/report/ar5/**", + "page_start": 1, + "page_end": 1, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**60KM GLOBAL PROJECTIONS**\n**20 plausible climate futures. Latest Hadley Centre climate model. Simulations**\n**of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models. \n\n**25KM PROBABILISTIC PROJECTIONS**\n**Captures natural variability and climate change . Updated models and**\n**observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP0911. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided12. \n\n**DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n**Downscaled versions of the global model for the UK. For the most spatially**\n**detailed downscaling this includes hourly data. Simultaneous impacts captured**\n**at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.", + "page_start": 2, + "page_end": 2, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "2. Murphy JM*et al.*2009*UK climate projections science report: climate change projections*. Exeter, UK: \n**26**\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk. \n\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in \nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference \nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ \n11a01.pdf. \n\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, \n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of \nthe Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ \n10a01.pdf. \n\n5. Hewitson B*et al.*2014 Regional context. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment*\n*report of the Intergovernmental Panel on Climate Change*(eds VR Barros*et al.*), pp. 1133–1197. \nCambridge, UK: Cambridge University Press. \n\n6. Dankers R*et al.*2013 First look at changes in flood hazard in the inter-sectoral impact model \nintercomparison project ensemble.*Proc. Natl Acad. Sci. USA***111**, 3257–3261. (doi:10.1073/ \npnas.1302078110) \n\n7. IPCC. 2014 Summary for policymakers. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth*\n*Assessment Report of the Intergovernmental Panel on Climate Change*(eds CB Field*et al.*), pp. \n1–32. Cambridge, UK: Cambridge University Press. \n8. Schewe J*et al.*2014 Multimodel assessment of water scarcity under climate change.*Proc. Natl*\n*Acad. Sci. USA***111**, 3245–3250. (doi:10.1073/pnas.1222460110) \n\n9. Schleussner C-F*et al.*2015 Differential climate impacts for policy-relevant limits to global \nwarming: the case of 1.5°C and 2°C.*Earth Syst. Dynam. Discuss.***6**, 2447–2505. (doi:10.5194/ \nesdd-6-2447-2015) \n\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a- \ndegree difference: a review of methods for identifying regional climate responses to global \nwarming targets.*WIREs Clim Change***8**, e457. (doi:10.1002/wcc.457) \n11. Haarsma RJ*et al.*2016 High resolution model intercomparison project (HighResMIP v1.0) for \nCMIP6.*Geosci. Model Dev.***9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016) \n\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke \nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation \nMet Office climate modelling system.*Geosci. Model Dev.***4**, 223–253. (doi:10.5194/gmd-4- \n223-2011). \n13. Martin GM*et al.*2011 The HadGEM2 family of met office unified model climate \n\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C, \nBetts R. 2013 The importance of population, climate change and CO2 plant physiological \nforcing in determining future global water stress.*Glob. Environ. Change***23**, 1083–1097. \n(doi:10.1016/j.gloenvcha.2013.06.005) \n\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change \nimpact on European runoff and low flows – exploring the effects of forcing biases.*Hydrol.*\n*Earth Syst. Sci.***20**, 1785–1808. (doi:10.5194/hess-20-1785) \n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying.*Nat. Clim.*\n*Change***6**, 946–949. (doi:10.1038/nclimate3046) \n\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing \nCO2 reduce estimates of climate impacts on drought severity.*Proc. Natl Acad. Sci. USA***113**, \n10 019–10 024. (doi:10.1073/pnas.1604581113) \n34. Betts RA*et al.*2007 Projected increase in future river runoff through plant responses to carbon \ndioxide rise.*Nature***448**, 1037–1042. (doi:10.1038/nature06045)", + "page_start": 25, + "page_end": 25, + "source_file": "pubmed11.pdf" + }, + { + "text": "| | | | Land | | | |\n|---|---|---|---|---|---|---|\n| | | | Land | | | |\n| | Observations (UK State of the Climate) | Marine and coastal projections | Global projections | Probabilistic projections | High resolution projections | |\n| Characteristics | Observed trends; long-term climatologies; weather events for the preceding year | Updated sea level rise and surge projections based on operational storm surge model (CS3) using CMIP5, EURO-CORDEX‡ | Ensemble of ~20 spatially coherent time series of the Met Office Hadley Centre model and a similar number of CMIP5 models | Updated probability density functions presented as 30- year and monthly time series based on Met Office models (HadCM3, ESPPE) and CMIP5 | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP4.5, RCP8.5 ++ H | RCP8.5; additional lower scenario (for Met Office Hadley Centre model only) | SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | RCP8.5 | RCP8.5 |\n| Variables available++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |\n\n\n*Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see**http://www.ntslf.org/**\n**data/uk-network-real-time**). \n‡An ensemble of regional climate model results over Europe (see**http://www.euro-cordex.net**). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels. \n\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website. \n\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users. \n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*\n\n*July 2017*", + "page_start": 3, + "page_end": 3, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**11**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 4.**Simulated changes in the number of consecutive dry days relative to 1981–2010, at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\nGFDL- \nESM2M \n2.8 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.9 MIRC-ESM- \nCHEM \n2.4 ensemble \nmean \n2.6 ACCESS1-0 \n2.8 2.5 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\n**Table 5.**Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n2.1 \n\n20.1 \n−3.0 \n3.5 \n\n24.3 \n\n24.9 \n−3.4 \n6.9 29.0 \n−5.7 \n6.8 23.5 \n−2.0 \n6.0 25.0 \n−2.9 \n5.9 \n\n0.9 \n\n5.4 \n\n0.76 0.89 n.a. 0.38 0.38 0.61 \n\n0.83 0.82 n.a. 0.75 0.73 0.78 \n\n2.1 3.4 5.0 3.0 5.3 4.0 \n\n2.4 \n−2.0 \n\n6.5 8.1 4.4 8.6 5.8 \n\n3.8 11.2 8.0 9.4 5.9", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with \nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a \nrange of outcomes for future climate change, including high and low climate sensitivity, different \nbiases in baseline precipitation climatology, and different global patterns of precipitation change. \nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global \nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global \nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, \nwhich means that the results here may be sensitive to systematic errors arising from biases in the \npresent-day SST patterns. \n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 \nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol \nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse \ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + }, + { + "text": "**9**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n –2 –1 0 1 \n2 \n°C \n3 4 5 6 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 2.**Simulated changes in annual daily maximum temperature relative to 1981–2010 at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n**Table 4.**Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven \nby different sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data \nis applied to the HCVI calculation and JULES simulations. \n\n1.5°C \n2024 2.0°C \n2035 \n\ndriving SSTs \n\nIPSL-CM5A-LR \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nGFDL-ESM2M 2036 2051 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nHadGEM2-ES 2019 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nIPSL-CM5A-MR 2023 2036 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nMIROC-ESM-CHEM 2020 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nACCESS1-0 2026 2040 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "Research \n\n**Cite this article:**Betts RA et al. 2018 Changes \nin climate extremes, fresh water availability \nand vulnerability to food insecurity projected \nat 1.5°C and 2°C global warming with a \nhigher-resolution global climate model. Phil. \nTrans. R. Soc. A**376**: 20160452. \nhttp://dx.doi.org/10.1098/rsta.2016.0452 \n\nAccepted: 13 February 2018 \n\nOne contribution of 20 to a theme issue ‘The \nParis Agreement: understanding the physical \nand social challenges for a warming world of \n1.5°C above pre-industrial levels’. \n\n**Subject Areas:**\nclimatology, hydrology \n\n**Keywords:**\n1.5°C, Paris Agreement, 2°C, global climate \nimpacts, water resources, terrestrial \necosystems \n\n**Author for correspondence:**\nRichard A. Betts \ne-mail: richard.betts@metoffice.gov.uk \n\n\n\nChanges in climate extremes, \nfresh water availability and \nvulnerability to food insecurity \nprojected at 1.5°C and 2°C \nglobal warming with a \nhigher-resolution global \nclimate model \nRichard A. Betts1,2, Lorenzo Alfieri3, Catherine \nBradshaw2, John Caesar2, Luc Feyen3, Pierre \nFriedlingstein4, Laila Gohar2, Aristeidis Koutroulis5, \nKirsty Lewis2, Catherine Morfopoulos1, Lamprini \nPapadimitriou5,6, Katy J. Richardson2, Ioannis Tsanis5 \nand Klaus Wyser7 \n\n1College of Life and Environmental Sciences, University of Exeter, \nExeter EX4 4PS, UK \n2Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK \n3European Commission – Joint Research Centre, 21027 Ispra, Italy \n4College of Engineering, Mathematics and Physical Sciences, \nUniversity of Exeter, Exeter EX4 4QE, UK \n5School of Environmental Engineering, Technical University of \nCrete—TUC, Chania 73100, Greece \n6Cranfield Water Science Institute, Cranfield University, Cranfield \nMK43 0AL, UK \n7Rossby Centre, SMHI, 601 76 Norrköping, Sweden \n\nRAB, 0000-0002-4929-0307 \n\nextremes, \nin weather \nWe \nhydrological \nimpacts and vulnerability to food \ninsecurity at global warming of 1.5°C and 2°C relative \nto pre-industrial, using a new global atmospheric \ngeneral circulation model HadGEM3A-GA3.0 driven \nby patterns of sea-surface temperatures and sea \nthe 5th Coupled \nice from selected members of \n\nprojected changes \n\n2018 The Authors. Published by the Royal Society under the terms of the \nCreative Commons Attribution License http://creativecommons.org/licenses/ \nby/4.0/, which permits unrestricted use, provided the original author and \nsource are credited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "legal1_opengouvernementlicense.pdf", + "query": "Which causes of the rise of sea level will be considered by UKCP18 ?", + "target_page": 2, + "target_passage": "Sea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "What can users expect from UKCP18? \n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty. \n\n**OBSERVATIONS**\n**Annual report: State of the UK Climate. Downloadable data.**\nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi- \ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year. \n\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \n\n**MARINE PROJECTIONS**\n**Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events. \n\n8 The latest update can be found at**http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n9**http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10**https://www.ipcc.ch/report/ar5/**", + "page_start": 1, + "page_end": 1, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW**\n\n\n\n\n\nWhat is UKCP18 \nand why do we need it? \n\nFollowing the historic Paris Agreement on Climate \nChange in December 2015, the Department of \nEnvironment, Food and Rural Affairs announced a \nmajor upgrade to the UK Climate Projections. \n\nThe UKCP18 project will build upon the current set \nof projections (UKCP09) to provide the most up-to- \ndate assessment of how the climate of the UK may \nchange over the 21st century. This information \nwill be essential to future Climate Change Risk \nAssessments1 and to equip the UK with information \nto help adapt to the challenges and opportunities of \nclimate change in line with the National Adaptation \nProgramme2. \n\nOrganisations and individual users will use UKCP18 \nto inform risk assessments and adaptation plans \nto ensure they are resilient to extreme weather \nand climate change. Some organisations will use \nUKCP18 in responding to the Adaptation Reporting \nPower3 for example. \n\nWhat improvements \ndoes UKCP18 deliver? \n\nUKCP18 will benefit from a range of developments \nsince the release of UKCP09, including: \n• Greater understanding of user needs as a result \nof the adaptation community’s use of UKCP09 \nprojections and the subsequent feedback – user \nworkshops indicated that users supported the \ncontinued use of probabilistic projections and the \nimportance of spatially coherent information4. \n• Advances in climate models in recent years, such \nas the Met Office Hadley Centre HadGEM35 model \nand the CMIP56 set of models. Improvements \ninclude better representation of the past \nclimate, the inclusion of more cloud and aerosol \nprocesses and the ability to model important \nclimate phenomena such as the El-Niño Southern \nOscillation (ENSO). \n• Groundbreaking Met Office research on \nmodelling of extreme events in high resolution \nregional climate models7. \n• The increased quantity and range of observations \navailable since 2009. \n• Use of the new Met Office supercomputer, \nenabling a credible range of climate projections to \nbe generated in greater spatial detail. \n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of \nclimate change on their operations and present proposals for adaptation.**https://www.gov.uk/government/collections/climate-change-**\n**adaptationreporting-second-round-reports**\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the \nCommittee on Climate Change (ASC):**https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/**\n3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate \nchange on their operations and present proposals for adaptation:**https://www.gov.uk/government/collections/climate-change-adaptation-**\n**reporting-second-round-reports**\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate \nchange to be assessed consistently over larger study areas. \n5**http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n6 Coupled model intercomparison project phase 5, see**http://cmip-pcmdi.llnl.gov/cmip5/**\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, \n5791–5806 (2012)**http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", + "page_start": 0, + "page_end": 0, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "| | | | Land | | | |\n|---|---|---|---|---|---|---|\n| | | | Land | | | |\n| | Observations (UK State of the Climate) | Marine and coastal projections | Global projections | Probabilistic projections | High resolution projections | |\n| Characteristics | Observed trends; long-term climatologies; weather events for the preceding year | Updated sea level rise and surge projections based on operational storm surge model (CS3) using CMIP5, EURO-CORDEX‡ | Ensemble of ~20 spatially coherent time series of the Met Office Hadley Centre model and a similar number of CMIP5 models | Updated probability density functions presented as 30- year and monthly time series based on Met Office models (HadCM3, ESPPE) and CMIP5 | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP4.5, RCP8.5 ++ H | RCP8.5; additional lower scenario (for Met Office Hadley Centre model only) | SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | RCP8.5 | RCP8.5 |\n| Variables available++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |\n\n\n*Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see**http://www.ntslf.org/**\n**data/uk-network-real-time**). \n‡An ensemble of regional climate model results over Europe (see**http://www.euro-cordex.net**). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels. \n\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website. \n\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users. \n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*\n\n*July 2017*", + "page_start": 3, + "page_end": 3, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "2. Murphy JM*et al.*2009*UK climate projections science report: climate change projections*. Exeter, UK: \n**26**\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk. \n\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in \nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference \nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ \n11a01.pdf. \n\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, \n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of \nthe Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ \n10a01.pdf. \n\n5. Hewitson B*et al.*2014 Regional context. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment*\n*report of the Intergovernmental Panel on Climate Change*(eds VR Barros*et al.*), pp. 1133–1197. \nCambridge, UK: Cambridge University Press. \n\n6. Dankers R*et al.*2013 First look at changes in flood hazard in the inter-sectoral impact model \nintercomparison project ensemble.*Proc. Natl Acad. Sci. USA***111**, 3257–3261. (doi:10.1073/ \npnas.1302078110) \n\n7. IPCC. 2014 Summary for policymakers. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth*\n*Assessment Report of the Intergovernmental Panel on Climate Change*(eds CB Field*et al.*), pp. \n1–32. Cambridge, UK: Cambridge University Press. \n8. Schewe J*et al.*2014 Multimodel assessment of water scarcity under climate change.*Proc. Natl*\n*Acad. Sci. USA***111**, 3245–3250. (doi:10.1073/pnas.1222460110) \n\n9. Schleussner C-F*et al.*2015 Differential climate impacts for policy-relevant limits to global \nwarming: the case of 1.5°C and 2°C.*Earth Syst. Dynam. Discuss.***6**, 2447–2505. (doi:10.5194/ \nesdd-6-2447-2015) \n\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a- \ndegree difference: a review of methods for identifying regional climate responses to global \nwarming targets.*WIREs Clim Change***8**, e457. (doi:10.1002/wcc.457) \n11. Haarsma RJ*et al.*2016 High resolution model intercomparison project (HighResMIP v1.0) for \nCMIP6.*Geosci. Model Dev.***9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016) \n\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke \nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation \nMet Office climate modelling system.*Geosci. Model Dev.***4**, 223–253. (doi:10.5194/gmd-4- \n223-2011). \n13. Martin GM*et al.*2011 The HadGEM2 family of met office unified model climate \n\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C, \nBetts R. 2013 The importance of population, climate change and CO2 plant physiological \nforcing in determining future global water stress.*Glob. Environ. Change***23**, 1083–1097. \n(doi:10.1016/j.gloenvcha.2013.06.005) \n\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change \nimpact on European runoff and low flows – exploring the effects of forcing biases.*Hydrol.*\n*Earth Syst. Sci.***20**, 1785–1808. (doi:10.5194/hess-20-1785) \n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying.*Nat. Clim.*\n*Change***6**, 946–949. (doi:10.1038/nclimate3046) \n\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing \nCO2 reduce estimates of climate impacts on drought severity.*Proc. Natl Acad. Sci. USA***113**, \n10 019–10 024. (doi:10.1073/pnas.1604581113) \n34. Betts RA*et al.*2007 Projected increase in future river runoff through plant responses to carbon \ndioxide rise.*Nature***448**, 1037–1042. (doi:10.1038/nature06045)", + "page_start": 25, + "page_end": 25, + "source_file": "pubmed11.pdf" + }, + { + "text": "land surface sees an increase in annual daily maximum temperature which is similar to the global \nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially \nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By \ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases \nin annual daily maximum temperature larger than the global mean warming. Much of the mid- \nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more \nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the \nMIROC and ACCESS models. \n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase \nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global \nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days \nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "**9**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n –2 –1 0 1 \n2 \n°C \n3 4 5 6 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 2.**Simulated changes in annual daily maximum temperature relative to 1981–2010 at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n**Table 4.**Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven \nby different sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data \nis applied to the HCVI calculation and JULES simulations. \n\n1.5°C \n2024 2.0°C \n2035 \n\ndriving SSTs \n\nIPSL-CM5A-LR \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nGFDL-ESM2M 2036 2051 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nHadGEM2-ES 2019 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nIPSL-CM5A-MR 2023 2036 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nMIROC-ESM-CHEM 2020 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nACCESS1-0 2026 2040 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "**60KM GLOBAL PROJECTIONS**\n**20 plausible climate futures. Latest Hadley Centre climate model. Simulations**\n**of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models. \n\n**25KM PROBABILISTIC PROJECTIONS**\n**Captures natural variability and climate change . Updated models and**\n**observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP0911. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided12. \n\n**DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n**Downscaled versions of the global model for the UK. For the most spatially**\n**detailed downscaling this includes hourly data. Simultaneous impacts captured**\n**at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.", + "page_start": 2, + "page_end": 2, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "27.9 \n−5.5 \n6.7 \n\n0.66 \n\n0.78 \n\n2.9 \n\n4.9 \n\n5.1 \n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India \nand Bangladesh, for which such increases are projected in all ensemble members to some extent. \nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although \nthe magnitude and location within the country varied between members. Similar increases are \nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members. \nThe HCVI calculated for 2°C global warming showed very large geographical variability \n(figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the \nclimate change simulated in different ensemble members leads to some variation in the HCVI at", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "Research \n\n**Cite this article:**Betts RA et al. 2018 Changes \nin climate extremes, fresh water availability \nand vulnerability to food insecurity projected \nat 1.5°C and 2°C global warming with a \nhigher-resolution global climate model. Phil. \nTrans. R. Soc. A**376**: 20160452. \nhttp://dx.doi.org/10.1098/rsta.2016.0452 \n\nAccepted: 13 February 2018 \n\nOne contribution of 20 to a theme issue ‘The \nParis Agreement: understanding the physical \nand social challenges for a warming world of \n1.5°C above pre-industrial levels’. \n\n**Subject Areas:**\nclimatology, hydrology \n\n**Keywords:**\n1.5°C, Paris Agreement, 2°C, global climate \nimpacts, water resources, terrestrial \necosystems \n\n**Author for correspondence:**\nRichard A. Betts \ne-mail: richard.betts@metoffice.gov.uk \n\n\n\nChanges in climate extremes, \nfresh water availability and \nvulnerability to food insecurity \nprojected at 1.5°C and 2°C \nglobal warming with a \nhigher-resolution global \nclimate model \nRichard A. Betts1,2, Lorenzo Alfieri3, Catherine \nBradshaw2, John Caesar2, Luc Feyen3, Pierre \nFriedlingstein4, Laila Gohar2, Aristeidis Koutroulis5, \nKirsty Lewis2, Catherine Morfopoulos1, Lamprini \nPapadimitriou5,6, Katy J. Richardson2, Ioannis Tsanis5 \nand Klaus Wyser7 \n\n1College of Life and Environmental Sciences, University of Exeter, \nExeter EX4 4PS, UK \n2Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK \n3European Commission – Joint Research Centre, 21027 Ispra, Italy \n4College of Engineering, Mathematics and Physical Sciences, \nUniversity of Exeter, Exeter EX4 4QE, UK \n5School of Environmental Engineering, Technical University of \nCrete—TUC, Chania 73100, Greece \n6Cranfield Water Science Institute, Cranfield University, Cranfield \nMK43 0AL, UK \n7Rossby Centre, SMHI, 601 76 Norrköping, Sweden \n\nRAB, 0000-0002-4929-0307 \n\nextremes, \nin weather \nWe \nhydrological \nimpacts and vulnerability to food \ninsecurity at global warming of 1.5°C and 2°C relative \nto pre-industrial, using a new global atmospheric \ngeneral circulation model HadGEM3A-GA3.0 driven \nby patterns of sea-surface temperatures and sea \nthe 5th Coupled \nice from selected members of \n\nprojected changes \n\n2018 The Authors. Published by the Royal Society under the terms of the \nCreative Commons Attribution License http://creativecommons.org/licenses/ \nby/4.0/, which permits unrestricted use, provided the original author and \nsource are credited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed11.pdf" + }, + { + "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with \nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a \nrange of outcomes for future climate change, including high and low climate sensitivity, different \nbiases in baseline precipitation climatology, and different global patterns of precipitation change. \nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global \nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global \nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, \nwhich means that the results here may be sensitive to systematic errors arising from biases in the \npresent-day SST patterns. \n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 \nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol \nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse \ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "legal1_opengouvernementlicense.pdf", + "query": "What perdiod is covered by the 12 km resolution projection data of the UKCP18 ?", + "target_page": 4, + "target_passage": "1981-2080", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "What can users expect from UKCP18? \n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty. \n\n**OBSERVATIONS**\n**Annual report: State of the UK Climate. Downloadable data.**\nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi- \ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year. \n\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \n\n**MARINE PROJECTIONS**\n**Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events. \n\n8 The latest update can be found at**http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n9**http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10**https://www.ipcc.ch/report/ar5/**", + "page_start": 1, + "page_end": 1, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW**\n\n\n\n\n\nWhat is UKCP18 \nand why do we need it? \n\nFollowing the historic Paris Agreement on Climate \nChange in December 2015, the Department of \nEnvironment, Food and Rural Affairs announced a \nmajor upgrade to the UK Climate Projections. \n\nThe UKCP18 project will build upon the current set \nof projections (UKCP09) to provide the most up-to- \ndate assessment of how the climate of the UK may \nchange over the 21st century. This information \nwill be essential to future Climate Change Risk \nAssessments1 and to equip the UK with information \nto help adapt to the challenges and opportunities of \nclimate change in line with the National Adaptation \nProgramme2. \n\nOrganisations and individual users will use UKCP18 \nto inform risk assessments and adaptation plans \nto ensure they are resilient to extreme weather \nand climate change. Some organisations will use \nUKCP18 in responding to the Adaptation Reporting \nPower3 for example. \n\nWhat improvements \ndoes UKCP18 deliver? \n\nUKCP18 will benefit from a range of developments \nsince the release of UKCP09, including: \n• Greater understanding of user needs as a result \nof the adaptation community’s use of UKCP09 \nprojections and the subsequent feedback – user \nworkshops indicated that users supported the \ncontinued use of probabilistic projections and the \nimportance of spatially coherent information4. \n• Advances in climate models in recent years, such \nas the Met Office Hadley Centre HadGEM35 model \nand the CMIP56 set of models. Improvements \ninclude better representation of the past \nclimate, the inclusion of more cloud and aerosol \nprocesses and the ability to model important \nclimate phenomena such as the El-Niño Southern \nOscillation (ENSO). \n• Groundbreaking Met Office research on \nmodelling of extreme events in high resolution \nregional climate models7. \n• The increased quantity and range of observations \navailable since 2009. \n• Use of the new Met Office supercomputer, \nenabling a credible range of climate projections to \nbe generated in greater spatial detail. \n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of \nclimate change on their operations and present proposals for adaptation.**https://www.gov.uk/government/collections/climate-change-**\n**adaptationreporting-second-round-reports**\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the \nCommittee on Climate Change (ASC):**https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/**\n3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate \nchange on their operations and present proposals for adaptation:**https://www.gov.uk/government/collections/climate-change-adaptation-**\n**reporting-second-round-reports**\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate \nchange to be assessed consistently over larger study areas. \n5**http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n6 Coupled model intercomparison project phase 5, see**http://cmip-pcmdi.llnl.gov/cmip5/**\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, \n5791–5806 (2012)**http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", + "page_start": 0, + "page_end": 0, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**60KM GLOBAL PROJECTIONS**\n**20 plausible climate futures. Latest Hadley Centre climate model. Simulations**\n**of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models. \n\n**25KM PROBABILISTIC PROJECTIONS**\n**Captures natural variability and climate change . Updated models and**\n**observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP0911. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided12. \n\n**DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n**Downscaled versions of the global model for the UK. For the most spatially**\n**detailed downscaling this includes hourly data. Simultaneous impacts captured**\n**at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.", + "page_start": 2, + "page_end": 2, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "| | | | Land | | | |\n|---|---|---|---|---|---|---|\n| | | | Land | | | |\n| | Observations (UK State of the Climate) | Marine and coastal projections | Global projections | Probabilistic projections | High resolution projections | |\n| Characteristics | Observed trends; long-term climatologies; weather events for the preceding year | Updated sea level rise and surge projections based on operational storm surge model (CS3) using CMIP5, EURO-CORDEX‡ | Ensemble of ~20 spatially coherent time series of the Met Office Hadley Centre model and a similar number of CMIP5 models | Updated probability density functions presented as 30- year and monthly time series based on Met Office models (HadCM3, ESPPE) and CMIP5 | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP4.5, RCP8.5 ++ H | RCP8.5; additional lower scenario (for Met Office Hadley Centre model only) | SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | RCP8.5 | RCP8.5 |\n| Variables available++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |\n\n\n*Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see**http://www.ntslf.org/**\n**data/uk-network-real-time**). \n‡An ensemble of regional climate model results over Europe (see**http://www.euro-cordex.net**). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels. \n\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website. \n\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users. \n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*\n\n*July 2017*", + "page_start": 3, + "page_end": 3, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "FIG. 2: Crab light curve. Horizontal scale is in modified \nJulian days over the 490 day GBM exposure period. Ver- \ntical scale is in photons/cm2/sec/keV averaged over daily \nintervals. Horizontal lines show the average flux in each of \nfive energy bands increasing from top to bottom \n\nThe shape of the individual occultation steps de- \npends on energy and occultation angle. Transmis- \nsion as a function of time is modeled as T (t) = \nexp[−µ(E)A(h)], where µ(E) is the mass attenuation \ncoefficient of gamma rays at energy E in air and A(h) \nis the air mass along the line of sight at a given alti- \ntude h(t). Account is taken of the detector response \nas it changes as a function of angle across the fit win- \ndow. For each source, occultation times are predicted. \nEach step is fit over a 4-minute window along with a \nquadratic background and using an assumed spectrum \nto determine the detector count rate due to the source. \nThe instrument response is used to convert the count \nrate to a flux. Up to 31 steps are possible for a given \nsource in a day, and these steps are summed to get a \nsingle daily average flux. The GBM occultation sensi- \ntivity exceeds that of BATSE at energies below ∼ 25 \nkeV and above ∼ 1.5 MeV [5]. \n\neral sources over the same time intervals in ref. [2], \nwhere it is seen that the results measured by the two \ninstruments compare well. At energies above the up- \nper energy limit of ∼ 195 keV of the Swift 22-month \ncatalog [6], however, the GBM observations provide \nthe only wide-field monitor available of the low en- \nergy gamma ray sky. \n\nThis work uses the GBM CTIME data, with its \n8 broad energy channels and 0.256-second resolution, \nrebinned to 2-second resolution. The occultation tech- \nnique relies on an input catalog of known sources. \nCurrently, we are monitoring 64 sources. Of these \n64 sources, 6 steady sources are detected above 100 \nkeV with a significance of at least 5σ after ∼ 490 days \nof observations, and one transient source. \n\nA. Steady Sources \n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, and GRS 1915+105 are detected by \nGBM at energies above 100 keV. We show GBM light \ncurves generated from the Earth occultation analysis \nin several energy bands with one day resolution for \nthese six sources in Figures 2 - 7. \n\nIII. RESULTS \n\nTable I gives the fluxes and significances averaged \nover all the days from Aug. 12, 2008 (the beginning of \nscience operations) to Dec. 15, 2009, approximately \n490 days. \n\nThe results presented here are preliminary. We \nhave not completed the fine tuning of our algorithms, \nthough the average fluxes are not expected to change \nmuch. Future work will \ninclude using the GBM \nCSPEC data, with its finer energy binning, to exam- \nine the detailed spectra for these sources. \n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low \nenergy gamma-ray region can be described by a bro- \nken power law, with the spectrum steepening at 100 \nkeV and then hardening at 650 keV [7, 8]. While the \nGBM CTIME data do not have the spectral resolution The measured 20 - 50 keV GBM light curves are \ncompared to Swift’s 15 - 50 keV light curves for sev- \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0955.pdf" + }, + { + "text": "The high-resolution simulations were performed using the HadGEM3A Global Atmosphere \n(GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with \ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of \nthe HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of \nclimate models [12]. This represents the third generation of HadGEM configurations, leading \non from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. \nKey improvements over the previous model, HadGEM2, include increased vertical levels in the \natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. \nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met \nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution \nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher \nresolution [18,19]. \n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for \nan improved representation of atmospheric and land surface processes including extremes by \nusing higher spatial resolution [11]. \n\n**4**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK \nMet Office Unified Model (MetUM) which has been developed for use for both climate research \nand weather prediction applications. It is the result of converging the development of the Met \nOffice’s weather and climate global atmospheric model components so that, where possible, \natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and \ntimescales. \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nWe ran the model using only its atmosphere and land components, with time-varying sea- \nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This \napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications \nof the higher resolution for projections of climate extremes and impacts—an atmosphere- \nonly simulation requires considerably less computing time than a coupled ocean–atmosphere \ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in \nregional climate changes by using SSTs and SICs from different climate models. To explore these \nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric \nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 \nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial \ninfluence on regional patterns of climate change over land, so using a range of SST and SIC \npatterns in a single atmosphere model goes some way towards representing the range of regional \nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This \napproach will not capture the full range of uncertainty affecting regional climate changes over \nland, because it still relies on one atmosphere model and one land surface scheme, so responses \nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions \nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that \nour experimental design avoids the reliance on one single realization of climate and hence allows \nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + }, + { + "text": "2. Murphy JM*et al.*2009*UK climate projections science report: climate change projections*. Exeter, UK: \n**26**\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk. \n\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in \nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference \nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ \n11a01.pdf. \n\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, \n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of \nthe Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ \n10a01.pdf. \n\n5. Hewitson B*et al.*2014 Regional context. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment*\n*report of the Intergovernmental Panel on Climate Change*(eds VR Barros*et al.*), pp. 1133–1197. \nCambridge, UK: Cambridge University Press. \n\n6. Dankers R*et al.*2013 First look at changes in flood hazard in the inter-sectoral impact model \nintercomparison project ensemble.*Proc. Natl Acad. Sci. USA***111**, 3257–3261. (doi:10.1073/ \npnas.1302078110) \n\n7. IPCC. 2014 Summary for policymakers. In*Climate change 2014: impacts, adaptation, and*\n*vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth*\n*Assessment Report of the Intergovernmental Panel on Climate Change*(eds CB Field*et al.*), pp. \n1–32. Cambridge, UK: Cambridge University Press. \n8. Schewe J*et al.*2014 Multimodel assessment of water scarcity under climate change.*Proc. Natl*\n*Acad. Sci. USA***111**, 3245–3250. (doi:10.1073/pnas.1222460110) \n\n9. Schleussner C-F*et al.*2015 Differential climate impacts for policy-relevant limits to global \nwarming: the case of 1.5°C and 2°C.*Earth Syst. Dynam. Discuss.***6**, 2447–2505. (doi:10.5194/ \nesdd-6-2447-2015) \n\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a- \ndegree difference: a review of methods for identifying regional climate responses to global \nwarming targets.*WIREs Clim Change***8**, e457. (doi:10.1002/wcc.457) \n11. Haarsma RJ*et al.*2016 High resolution model intercomparison project (HighResMIP v1.0) for \nCMIP6.*Geosci. Model Dev.***9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016) \n\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke \nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation \nMet Office climate modelling system.*Geosci. Model Dev.***4**, 223–253. (doi:10.5194/gmd-4- \n223-2011). \n13. Martin GM*et al.*2011 The HadGEM2 family of met office unified model climate \n\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C, \nBetts R. 2013 The importance of population, climate change and CO2 plant physiological \nforcing in determining future global water stress.*Glob. Environ. Change***23**, 1083–1097. \n(doi:10.1016/j.gloenvcha.2013.06.005) \n\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change \nimpact on European runoff and low flows – exploring the effects of forcing biases.*Hydrol.*\n*Earth Syst. Sci.***20**, 1785–1808. (doi:10.5194/hess-20-1785) \n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying.*Nat. Clim.*\n*Change***6**, 946–949. (doi:10.1038/nclimate3046) \n\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing \nCO2 reduce estimates of climate impacts on drought severity.*Proc. Natl Acad. Sci. USA***113**, \n10 019–10 024. (doi:10.1073/pnas.1604581113) \n34. Betts RA*et al.*2007 Projected increase in future river runoff through plant responses to carbon \ndioxide rise.*Nature***448**, 1037–1042. (doi:10.1038/nature06045)", + "page_start": 25, + "page_end": 25, + "source_file": "pubmed11.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n|---|---|---|---|---|---|---|---|---|---|\n| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n| | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\n\n\n\n\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod- \nified Julian days. FIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale \nis in modified Julian days. \n\nsource while it is in the hard state, with longer obser- \nvations potentially verifying significant emission above \n300 keV. \nwill use the GBM CSPEC data with their finer energy \nbins to obtain a fit to the spectrum and compare the \npower law index to that measured by Integral. \n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with \nthe compact object likely being a black hole. Swift \ndiscovered this source when it observed a large flare \nin July of 2005. The source did not return to qui- \nescence but settled into a low intensity hard state \n[14]. BATSE occultation measurements from 1991- \n2000 showed no significant emission from this source \nabove 25 keV [15]. The GBM results show that this \nsource is still in a hard state, with significant emis- \nsion above 100 keV. We will continue to monitor this \n\nB. Transient Source \n\nThe new transient black hole candidate XTE \nJ1752-223 rose from undetectable on 2009 October \n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab \n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and \n330 ± 100 mCrab (100 - 300 keV) on 2009 November \n2 [2, 16]. The light curve is variable, especially in the", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0955.pdf" + }, + { + "text": "SURFACE TUFT PHOTOGRAHS FOR \nA SWEPT, TAPERED WlNG \n60° DELTA, AR=2.31, A=0 \n\n\n\n\n\n\n\n\n\na = 0 DEGEES \n\n\n\n\n\n\n\n\n\n\n\n/STALL \n\n d \n. \n\na =32 DEGREES \n\nFROM NACA TN 2674", + "page_start": 102, + "page_end": 102, + "source_file": "00-80T-80.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv4.pdf", + "query": "How many articles compose the Syntec French collective bargaining agreement ?", + "target_page": 2, + "target_passage": "The Syntec French collective bargaining agree- ment comprises around 90 articles", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Syntec \n100 queries \n90 documents \n\nSummEvalFr \n100 texts \n1100 human summaries \n1600 machine summaries \nTranslation from English \nto French with Deepl of \nthe SummEval dataset. \n\nScraping of Syntec col- \nlective bargaining agree- \nment with articles as doc- \numents. Writing queries \ncorresponding to articles. \n\nScraping of HAL arti- \ncles with id, title and do- \nmain. Further cleaning \nwith deduplication, \nlan- \nguage filtering and class \nsubsampling. \nAnnotations provided by \nauthors when submitting \ntheir paper. They choose \nthe domain between exist- \ning academic fields. \n\n4 annotators divided into \n2 groups. Each group was \ngiven half of the articles \nand asked to choose an ar- \nticle and ask a question \nabout it. Each annotator \nwrote 25 questions. \nHuman verification of an- \nnotations. \n\nDetailed annotation pro- \ncess provided in Fabbri \net al. (2021). \n\nBaseline models for clas- \nsification and topic model- \ning. \n\nbetween \nCorrelation \nROUGE \nBLEU and \nscores of \nthe French \nand the original English \ndatasets. LLM as-a-judge \ntranslation \nand \nrating \nhuman verification. \n\nlyMail dataset. Each article has 11 human-written \nsummaries and 16 machine-generated summaries \nannotated by 8 people with a score for coherence, \nconsistency, fluency, and relevance. We trans- \nlated it from English to French using DeepL API6. \nSince MTEB evaluation is based on the embedding \nsimilarity between machine-generated and human- \ngenerated summaries, we propose to compute the \nROUGE (Lin, 2004) and BLEU (Papineni et al., \n2002) metrics between machine and human sum- \nmaries for both French and English version. In Ta- \nble 2, we report the average of the scores as well as \ntheir correlations between the two languages. The \ncorrelation is high (above 0.7), showing that the \nword and n-gram overlap between human and ma- \nchine summaries is highly preserved in the French \nversion. One may argue that computing the met- \nric on fully translated texts (human and machine \nsummaries are both translated from English) may \nintroduce biases and not assess the quality of the \ntranslations. For this purpose, we ensure the French \nhuman summaries are correctly translated from En- \nglish. We use an LLM as-a-judge (Zheng et al., \n\n• Samples belonging to domain classes with \nless than 500 samples were removed, which \nleads us to keep only 10 classes. \n\n• Subsampling was performed on 2 classes con- \ntaining more than 10k samples each to lower \nthe number of samples and mitigate the unbal- \nance of the dataset. \n\nMore details about this process are provided in the \nappendix A.2 along with some extracts in Figure \n6. We make the dataset publicly available in both \ntheir raw and clean versions. We use this dataset in \na clustering setup to cluster publications by their \ntitle and use the domain as ground truth. To ensure \nthe quality of this dataset, we run 3 baseline mod- \nels for classification: TF-IDF + SVM, a fine-tuned \nCamembert (Martin et al., 2019) and GPT-4 lever- \naging In-Context Learning (ICL). Furthermore, we \nrun one baseline model for topic modeling: Latent \nDirichlet Allocation (LDA) (Blei et al., 2003) and \nreport scores in the appendix A.2. \n\n3.1.3 SummEvalFr (Summarization) \nThe original SummEval dataset (Fabbri et al., 2021) \nconsists of 100 news articles from the CNN/Dai-", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv4.pdf" + }, + { + "text": "Federation) \nSME \nhttps://www.smeunited.eu/policies/policies/employment/health-safety , EFBWW European Federation of \nBuilding and Woodworkers (Trade Union), https://efbww.eu/activities/occupational-health-and-safety \n400 OSHWiki: Section ‘OSH System at national level’, descriptions of the social dialogue in each EU Member State \n\n Two of \n\nhttps://oshwiki.eu/wiki/Category:OSH_systems_at_national_level \n\n401 DG Employment: Website on ‘Social Dialogue’, https://ec.europa.eu/social/main.jsp?catId=329&langId=en \n402 \n Eurofound ‘Database of wages, working time and collective disputes’, see: \n\nhttps://www.eurofound.europa.eu/data/database-of-wages-working-time-and-collective-disputes \n403 E.g.: Prevent (Sweden), DGUV (Germany) AUVA (Austria), see for all EU Member Stress the OSHWiki article \non ‘OSH-systems at national level’ https://oshwiki.eu/wiki/Category:OSH_systems_at_national_level \n404 European Agency for Safety and Health at Work, 2021: Improving compliance with occupational safety and \nhealth regulations: an overarching review - Executive summary, https://osha.europa.eu/en/publications/summary- \nimproving-compliance-occupational-safety-and-health-regulations-overarching \nEuropean Agency for Safety and Health at Work, 2021: Improving compliance with occupational safety and health \nregulations: an overarching review, Literature review; Chapter 3: Societal norms, social reporting, corporate social \nresponsibility and support for securing compliance, https://osha.europa.eu/en/publications/literature-review- \nimproving-compliance-occupational-safety-and-health-regulations-0 \nPodgorski, D., 2015: Measuring operational performance of OSH management systems – A demonstration of \nAHP-based selection of leading key performance indicators, in Safety Science, Vol. 73, March 2015, p146-166, \nhttps://doi.org/10.1016/j.ssci.2014.11.018", + "page_start": 155, + "page_end": 155, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "| | STSBenchmarkMultilingual\nFlores_fr-en Flores_en-fr DiaBla_fr-en SummEvalFr\nSICKFr\nSTS22\nBitextMining STS Summarization |\n|---|---|\n| | STSBenchmarkMultilingual Flores_fr-en Flores_en-fr DiaBla_fr-en SummEvalFr SICKFr STS22 BitextMining STS Summarization |\n\n\n1.00 \n0.92 \n0.92 \n0.63 \n0.99 \n0.96 \n1.00 \n1.00 \n1.00 \n0.97 \n0.95 \n0.26 \n0.90 \n0.99 \n1.00 \n1.00 \n0.31 \n0.25 \n0.15 \n1.00 \n1.00 \n1.00 \n1.00 \n0.75 \n0.50 \n1.00 \n1.00 \n1.00 \n1.00 \n1.00 \n1.00 \n0.71 \n0.62 \n1.00 \n0.55 \n1.00 \n1.00 \n0.97 \n0.99 \n0.99 \n1.00 \n0.99 \n1.00 \n1.00 \n0.99 \n1.00 \n1.00 \n1.00 \n0.70 \n0.65 \n\nbge-m3 \ndistilbert-base-25lang-cased \ndistilbert-base-en-fr-cased \ndistilbert-base-fr-cased \nsentence-camembert-large \nsentence-flaubert-base \nSolon-embeddings-base-0.1 \nSolon-embeddings-large-0.1 \nsentence-croissant-llm-base \nbert-base-multilingual-cased \nbert-base-multilingual-uncased \ncamembert-base \nsentence-camembert-base \nsentence-camembert-large \nembed-multilingual-light-v3.0 \nembed-multilingual-v3.0 \nflaubert_base_cased \nflaubert_base_uncased \nflaubert_large_cased \ne5-mistral-7b-instruct \nmultilingual-e5-base \nmultilingual-e5-large \nmultilingual-e5-small \nudever-bloom-1b1 \nudever-bloom-560m \nlaser2 \nbge-m3-custom-fr \nsentence_croissant_alpha_v0.2 \nsentence_croissant_alpha_v0.3 \nmistral-embed \nLaBSE \nall-MiniLM-L12-v2 \nall-MiniLM-L6-v2 \ndistiluse-base-multilingual-cased-v2 \nmulti-qa-MiniLM-L6-cos-v1 \nparaphrase-multilingual-MiniLM-L12-v2 \nparaphrase-multilingual-mpnet-base-v2 \nsentence-t5-base \nsentence-t5-large \nsentence-t5-xl \nsentence-t5-xxl \ntext2vec-base-multilingual \ntext-embedding-3-large \ntext-embedding-3-small \ntext-embedding-ada-002 \nvoyage-code-2 \nuniversal-sentence-encoder-multilingual-3 \nuniversal-sentence-encoder-multilingual-large-3 \nxlm-roberta-base \nxlm-roberta-large \n\n1.00 \n0.91 \n0.91 \n0.65 \n1.00 \n0.97 \n1.00 \n1.00 \n1.00 \n0.98 \n0.98 \n0.25 \n0.90 \n1.00 \n1.00 \n1.00 \n0.36 \n0.08 \n0.17 \n1.00 \n1.00 \n1.00 \n1.00 \n0.78 \n0.37 \n1.00 \n1.00 \n1.00 \n1.00 \n1.00 \n1.00 \n0.62 \n0.56 \n1.00 \n0.50 \n1.00 \n1.00 \n0.96 \n0.99 \n0.99 \n1.00 \n0.99 \n1.00 \n1.00 \n0.99 \n0.99 \n1.00 \n1.00 \n0.53 \n0.26 0.85 \n0.11 \n0.11 \n0.06 \n0.70 \n0.47 \n0.85 \n0.87 \n0.74 \n0.30 \n0.36 \n0.04 \n0.36 \n0.68 \n0.66 \n0.83 \n0.02 \n0.03 \n0.01 \n0.85 \n0.85 \n0.85 \n0.82 \n0.03 \n0.08 \n0.86 \n0.83 \n0.75 \n0.77 \n0.75 \n0.88 \n0.10 \n0.03 \n0.83 \n0.09 \n0.78 \n0.81 \n0.55 \n0.71 \n0.76 \n0.83 \n0.78 \n0.88 \n0.86 \n0.86 \n0.60 \n0.82 \n0.84 \n0.21 \n0.13 \n\n0.82 \n0.57 \n0.57 \n0.57 \n0.86 \n0.86 \n0.79 \n0.80 \n0.79 \n0.52 \n0.55 \n0.55 \n0.82 \n0.86 \n0.76 \n0.82 \n0.37 \n0.33 \n0.16 \n0.83 \n0.81 \n0.83 \n0.79 \n0.50 \n0.37 \n0.70 \n0.81 \n0.73 \n0.78 \n0.80 \n0.75 \n0.67 \n0.65 \n0.77 \n0.64 \n0.80 \n0.85 \n0.74 \n0.78 \n0.79 \n0.81 \n0.83 \n0.83 \n0.81 \n0.78 \n0.79 \n0.75 \n0.78 \n0.46 \n0.42 0.82 \n0.41 \n0.42 \n0.43 \n0.82 \n0.74 \n0.81 \n0.83 \n0.79 \n0.39 \n0.56 \n0.61 \n0.78 \n0.82 \n0.83 \n0.83 \n0.65 \n0.55 \n0.49 \n0.76 \n0.78 \n0.80 \n0.80 \n0.77 \n0.61 \n0.65 \n0.82 \n0.79 \n0.81 \n0.83 \n0.78 \n0.70 \n0.77 \n0.76 \n0.75 \n0.71 \n0.74 \n0.78 \n0.75 \n0.77 \n0.77 \n0.74 \n0.82 \n0.81 \n0.81 \n0.80 \n0.78 \n0.71 \n0.57 \n0.55 \n\n0.31 \n0.31 \n0.31 \n0.31 \n0.31 \n0.31 \n0.31 \n0.30 \n0.29 \n0.29 \n0.31 \n0.30 \n0.29 \n0.31 \n0.31 \n0.31 \n0.31 \n0.29 \n0.29 \n0.31 \n0.31 \n0.31 \n0.32 \n0.29 \n0.24 \n0.31 \n0.30 \n0.30 \n0.31 \n0.31 \n0.30 \n0.27 \n0.28 \n0.28 \n0.28 \n0.29 \n0.30 \n0.30 \n0.30 \n0.32 \n0.30 \n0.29 \n0.30 \n0.30 \n0.30 \n0.28 \n0.28 \n0.28 \n0.29 \n0.29 \n\n0.78 \n0.62 \n0.62 \n0.62 \n0.78 \n0.78 \n0.75 \n0.77 \n0.70 \n0.59 \n0.58 \n0.54 \n0.74 \n0.78 \n0.76 \n0.79 \n0.54 \n0.42 \n0.35 \n0.79 \n0.76 \n0.79 \n0.76 \n0.60 \n0.55 \n0.65 \n0.76 \n0.69 \n0.72 \n0.76 \n0.70 \n0.63 \n0.62 \n0.72 \n0.62 \n0.75 \n0.76 \n0.72 \n0.73 \n0.75 \n0.77 \n0.77 \n0.79 \n0.76 \n0.76 \n0.74 \n0.71 \n0.74 \n0.49 \n0.50 \n\nTable 12: Performance of each model for Bitext Mining, Semantic Textual Similarity (STS) and Summarization.", + "page_start": 23, + "page_end": 23, + "source_file": "arxiv4.pdf" + }, + { + "text": "71. \"Statistiques locales - Métropole de Lyon : Intercommunalité-Métropole - Population municipale (historique \n\ndepuis 1876)\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo= \n200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024. \n\n72. \"IMG1B - Population immigrée par sexe, âge et pays de naissance en 2020 − Recensement de la population \n\n– Résultats pour toutes les communes, départements, régions, intercommunalités... −Étrangers - Immigrés en \n2020 | Insee\" (https://www.insee.fr/fr/statistiques/7633127?sommaire=7633727&geo=COM-69123).", + "page_start": 23, + "page_end": 23, + "source_file": "wikipedia4.pdf" + }, + { + "text": "77. \"Eurolines - Lyon Tourist Office\" (https://en.visiterlyon.com/stay/access-come-and-move-in-lyon/transport-and- \ntransfers/eurolines).*en.visiterlyon.com*. Retrieved 28 January 2024. \n\n78. \"Le réseau TCL | TCL\" (https://www.tcl.fr/a-propos-de-tcl/le-reseau-tcl).*www.tcl.fr*. Retrieved 28 January 2024. \n79. \"Plan interactif - Carte de Lyon et ses environs | TCL\" (https://www.tcl.fr/se-deplacer/plan-interactif). \n*www.tcl.fr*. Retrieved 28 January 2024. \n\n80. \"Discover the service | Rhônexpress\" (https://www.rhonexpress.fr/en_GB/discover-the-service). \n*www.rhonexpress.fr*. Retrieved 28 January 2024. \n\n81. \"RhônExpress\" (https://www.railway-technology.com/projects/rhonexpress/).*Railway Technology*. Retrieved \n28 January 2024. \n\n82. \"Lyon Public Transportation Statistics\" (https://moovitapp.com/insights/en/Moovit_Insights_Public_Transit_Ind \nex_France_Lyon-3483). Global Public Transit Index by Moovit. Retrieved 19 June 2017. \n Material was \ncopied from this source, which is available under a Creative Commons Attribution 4.0 International License (ht \ntps://creativecommons.org/licenses/by/4.0/). \n\n83. Council of Europe (2011). \"Intercultural city: Lyon, France\" (http://www.coe.int/t/dg4/cultureheritage/culture/Citi \nes/lyon_en.asp).*coe.int*. Retrieved 22 May 2011. \n\n84. \"Jumelage\" (http://www.economie.grandlyon.com/tous-les-partenariats-internationaux-villes.html). \n*economie.grandlyon.com*(in French). Grand Lyon économie. Retrieved 14 November 2019. \n\n85. \"World Trade Center Saint Louis\" (https://worldtradecenter-stl.com/st-louis-sister-cities-program/lyon-france/). \n*worldtradecenter-stl.com*. World Trade Center Saint Louis. Retrieved 18 May 2020. \n\n**External links**\n\nOfficial website (http://www.lyon.fr)(in French) \nVisit Lyon, the official website for tourism in France (https://en.visiterlyon.com/) \nLyon’s English Language News and Information (https://thisislyon.fr/) \nRues de Lyon (https://www.ruesdelyon.net/) Streets, Places, Monuments (in French) \n\nOld maps of Lyon (http://historic-cities.huji.ac.il/france/lyon/lyon.html) Archived (https://web.archive.org/we \nb/20210116220537/http://historic-cities.huji.ac.il/france/lyon/lyon.html) 16 January 2021 at the Wayback \nMachine, Historic cities site (http://historic-cities.huji.ac.il/historic_cities.html) Archived (https://web.archive. \norg/web/20220325051637/http://historic-cities.huji.ac.il/historic_cities.html) 25 March 2022 at the Wayback \nMachine, The National Library of Israel \n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Lyon&oldid=1267625203\"", + "page_start": 24, + "page_end": 24, + "source_file": "wikipedia4.pdf" + }, + { + "text": "*453 European Centre for Disease Prevention and Control, https://www.ecdc.europa.eu/en*\n454 European Maritime Safety Agency EMSA (http://www.emsa.europa.eu/ ), Section on Safety and Security \nhttp://www.emsa.europa.eu/we-do/safety.html \n455 Fundamental Rights Agency FRA, https://fra.europa.eu/en, Section on ‘Trafficking and labour exploitation, e.g \nthe report from June 2021 titled: Protecting migrants in an irregular situation from labour exploitation – Role of the \nEmployers Sanctions Directive \n456 European Monitoring Centre for Drugs and Drug Addiction EMCDDA (https://www.emcdda.europa.eu/), \nSection ‘Best practice’, Policy and practice briefings: Work places, https://www.emcdda.europa.eu/best- \npractice/briefings/workplace_en \nQuite unknown and difficult to estimate: between one and nine percent of the employees take so-called neuro \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n158", + "page_start": 157, + "page_end": 157, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "3.1 New Datasets \n\nWe identified 7 datasets relevant to French in the ex- \nisting MTEB, which we assume are of good quality. \nWe complemented these with 8 external relevant \ndatasets proposed in the literature, such as BSARD \n(Louis and Spanakis, 2022) and Alloprof (Lefebvre- \nBrossard et al., 2023), which are proven to be good \nquality. We created 3 new ones presented in Table 1 \nand assessed their quality with various procedures \nand metrics. In addition to all performed checks, \nwe run multiple models on these datasets and pro- \nvide results to show that they are neither trivial nor \nimpossible to solve (see Tables 10, 11, 12 and 13). \nTherefore, as of today, our French MTEB \nruns on 18 datasets. Some datasets are framed \ndifferently according to the task category they \nare used with. For example, MasakhaNEWS \ndataset \nis used for \nboth Classification (MasakhaNEWSClassification) \nand Clustering (MasakhaNEWSClusteringS2S and \n\n• Duplicates are eliminated, retaining unique \n\npublications for each field. \n\n• Irrelevant titles (due to API indexing mistakes) \nor titles in languages other than French have \nbeen manually removed. \n(Adelani et al., 2023) \n\n3https://www.syntec.fr/convention-collective/ \n4https://huggingface.co/datasets/lyon-nlp/ \nmteb-fr-retrieval-syntec-s2p \n5https://huggingface.co/datasets/lyon-nlp/ \n2Models on the HuggingFace hub: sentence-camebert, \nsentence_croissant_alpha_v0.3, Solon-embeddings-large-0.1. \nclustering-hal-s2s \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv4.pdf" + }, + { + "text": "| | Document |\n|---|---|\n| id | article-14 |\n| url | https://www.syntec.fr/convention- collective/resiliation-du-contrat- de-travail/#article-14 |\n| title | Article 14 : Préavis pendant la péri- ode d’essai |\n| section | Résiliation du contrat de travail |\n| content | Modification Avenant n° 7 du 5/07/1991 Au cours de cette péri- ode, les deux parties peuvent se sé- parer avec un préavis d’une journée de travail pendant le premier mois. Après le premier mois, le temps de préavis réciproque sera d’une semaine par mois complet passé dans l’entreprise. Après le pre- mier mois, le temps de préavis ré- ciproque sera d’une semaine par mois passé dans l’entreprise. Le préavis donne droit au salarié de s’absenter pour la recherche d’un emploi dans les conditions fixées à l’article 16. Le salarié sera payé au prorata du temps passé pendant la période d’essai. |\n\n\n| | Query |\n|---|---|\n| article | article-14 |\n| question | Quel est le préavis en période d’essai ? |\n\n\n\"\"\" \nYou will be given a couple of texts in \nEnglish and their translation in French. \n\nYour task is to provide a 'rating' score on \nhow well the system translated the \nEnglish text into French. \n\nGive your answer as a float on a scale of 0 \n\nto 10, where 0 means that the \nsystem_translation is bad and does not \nrepresent what is being said in the \noriginal English text, and 10 means that \nthe translation is good and represents \nthe original English text. \nFigure 5: Extracts of Syntec dataset. \n\nNo need to mind the quality of the text as \noriginal English text may be of bad \nquality. \n\nProvide your feedback as follows: \n\n| hal_id | Domain | Title |\n|---|---|---|\n| hal_id | Domain | Title |\n| hal-02899209 | shs | La transformation digitale du manage- ment des ressources humaines et de ses enjeux pour les entreprises |\n| tel-03993881 | math | Sur l’approximation numérique de quelques problèmes en mécanique des fluides |\n\n\nFeedback::: \nTotal rating: (your rating, as a float \nbetween 0 and 10) \n\nNow here are the English and French texts. \n\nOriginal text in English: {english_text} \nTranslation in French: {french_translation} \n\nFeedback::: \nTotal rating: \n\"\"\" \n\nFigure 8: Prompt used for LLM as-judge evaluation of \nSummEval dataset translation. \nFigure 6: Extracts of HAL dataset.", + "page_start": 14, + "page_end": 14, + "source_file": "arxiv4.pdf" + }, + { + "text": "Assessment).396 Many good examples of support for micro and small enterprises (MSEs) are available \nas identified in the comprehensive EU-OSHA reports on OSH in MSEs.397 \n\nOften, guidance documents show the difference between good practice in prevention and risky \npractices, for example, the SLIC guidance on measures against exposure to respirable crystalline silica \nat construction sites.398 There are many of these good or best practice examples in literature, but there \nis rarely a**quantitative estimate of the occurrence of good**(or moderate)**versus poor practice**\n**before and after**the publication and promotion of such guidance documents, which would be crucial to \nestimate the impact of guidance and tools. \n\nOften the support of a proper implementation is done by European national, sectoral and regional \nemployers’ and workers’ associations. They contribute to supervision and implementation by \nconsultation or participation in steering committees and so on. Some of them produce specific OSH \ninformation or guidance for their members, adapted to the main topics of the organisation. 399 They \nparticipate in the development of national strategic approaches or OSH campaigns. In all EU Member \nStates there exist fora for social dialogue at regional, sectoral or national level (overview in OSHWiki \narticles on OSH national systems400). At EU level more than 40 sectoral Social Dialogue Committees \nand a cross-industry social dialogue committee is working on topics of EU-wide relevance.401 \n\nIn the frame of social dialogue, employer federations and trade unions agree on the regulation of \n**working conditions in collective agreements**without intervention or close reference to state \nregulations, for example, on working time or telework rules. The Eurofound ‘Database of wages, working \ntime and collective disputes’ provides an EU-wide overview on such agreements.402 \n\nIn some countries,**employers’ and workers’ associations are governing widely independent OSH**\n**institutions**(e.g. Austrian AUVA or German Berufsgenossenschaften) that act in the frame of state \nregulation but with quite considerable independent decision power.403 In some cases they dispose of \nsignificant resources and are major players for some areas, like training of OSH professionals, or \ncompensation of occupational diseases. They can even implement financial incentives to initiate better \nOSH practices.404 \n\n**Management systems**and policies contribute to better prevention; they include ethical considerations \n(corporate responsibility programmes, sustainability and environmental reports), or quality objectives \n(quality management) particularly in global and large companies. Most of them cover all aspects of the \nbusiness activities and**OSH is one of these aspects**. Well known are the standards of the International \nOrganisation for Standardization (ISO), namely ISO 9001, Quality management systems, ISO 14001 \nEnvironmental management systems - Requirements with guidance for use, and ISO 31000, Risk \nmanagement - Principles and guidelines. 405 \n\nIf the OSH aspects in such systems are not sufficiently covered, enterprises can introduce**specific OSH**\n**management**systems. ISO published the global standard ISO 45.000-2018*Occupational health and*\n*safety management systems - Requirements with guidance for use*developed by ISO. According to ISO, \nthese systems have the following function: \n*‘OH&S management controls the conditions and factors that affect, or could affect, the health and safety*\n*of workers (including temporary workers and contractor personnel), visitors, or any other person in the*\n*workplace, to avoid their ill health and/or injury.’406*", + "page_start": 125, + "page_end": 125, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Table 33: EU Directives on Occupational Safety and Health**", + "page_start": 119, + "page_end": 119, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv4.pdf", + "query": "In the context of research publication, what is HAL ?", + "target_page": 3, + "target_passage": "Hyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Reporting for specific materials, systems and methods \n\nWe require information from authors about some types of materials, experimental systems and methods used in many studies. Here, indicate whether each material, \nsystem or method listed is relevant to your study. If you are not sure if a list item applies to your research, read the appropriate section before selecting a response.", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed4.pdf" + }, + { + "text": "Paulson, Lawrence C. (February 2018). \"Computational Logic: Its Origins and Applications\" \n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832843).*Proceedings of the Royal Society*\n*A: Mathematical, Physical and Engineering Sciences*.**474**(2210): 1–14. arXiv:1712.04375 \n(https://arxiv.org/abs/1712.04375). Bibcode:2018RSPSA.47470872P (https://ui.adsabs.harv \nard.edu/abs/2018RSPSA.47470872P). doi:10.1098/rspa.2017.0872 (https://doi.org/10.109 \n8%2Frspa.2017.0872). PMC 5832843 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832 \n843). PMID 29507522 (https://pubmed.ncbi.nlm.nih.gov/29507522). 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Retrieved 5 October 2024.", + "page_start": 39, + "page_end": 39, + "source_file": "wikipedia3.pdf" + }, + { + "text": "***Acknowledgements***\n\nAuthored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello \n(Proteus Strategies) in collaboration with Creative Commons. \n\nWe are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; \nJonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet \nArchive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/ \nNYU Engelberg Center, Nicholas P. Garcia, Public Knowledge; Sayeed Choudhury; Erik \nStallman, UC Berkeley School of Law. The paper represents the views of the authors, \nhowever, and should not be attributed to the workshop as a whole. All mistakes or errors are \nthe authors’. \n\nThis report is published under the terms of the Creative Commons Attribution \nLicense.", + "page_start": 21, + "page_end": 21, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and \n\nSearch\" (https://doi.org/10.1145%2F360018.360022).*Communications of the ACM*.**19**(3): \n113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022). \n\nNicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\" \n(https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1 \n518020478).*The Wall Street Journal*. ISSN 0099-9660 (https://search.worldcat.org/issn/009 \n9-9660). Archived (https://web.archive.org/web/20241005171230/https://www.wsj.com/articl \nes/how-youtube-drives-viewers-to-the-internets-darkest-corners-1518020478) from the \noriginal on 5 October 2024. 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(2010). \"On the impact of robotics in behavioral and cognitive sciences: from \n\ninsect navigation to human cognitive development\" (http://www.pyoudeyer.com/IEEETAMD \nOudeyer10.pdf) (PDF).*IEEE Transactions on Autonomous Mental Development*.**2**(1): 2– \n16. doi:10.1109/tamd.2009.2039057 (https://doi.org/10.1109%2Ftamd.2009.2039057). \nS2CID 6362217 (https://api.semanticscholar.org/CorpusID:6362217). Archived (https://web. \narchive.org/web/20181003202543/http://www.pyoudeyer.com/IEEETAMDOudeyer10.pdf) \n(PDF) from the original on 3 October 2018. Retrieved 4 June 2013. \n\nPennachin, C.; Goertzel, B. (2007). \"Contemporary Approaches to Artificial General \n\nIntelligence\".*Artificial General Intelligence*. Cognitive Technologies. Berlin, Heidelberg: \nSpringer. pp. 1–30. doi:10.1007/978-3-540-68677-4_1 (https://doi.org/10.1007%2F978-3-54 \n0-68677-4_1). ISBN 978-3-5402-3733-4. \n\nPinker, Steven (2007) [1994],*The Language Instinct*, Perennial Modern Classics, Harper, \n\nISBN 978-0-0613-3646-1 \n\nPoria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of \n\naffective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository. \nnapier.ac.uk/Output/1792429).*Information Fusion*.**37**: 98–125. \ndoi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003). \nhdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem \nanticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165 \n407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-of- \naffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23 \nMarch 2023. Retrieved 27 April 2021. \n\nRawlinson, Kevin (29 January 2015). \"Microsoft's Bill Gates insists AI is a threat\" (https://www.b \nbc.co.uk/news/31047780).*BBC News*. Archived (https://web.archive.org/web/20150129183 \n607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved \n30 January 2015. \n\nReisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering", + "page_start": 61, + "page_end": 61, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Law Library of Congress (U.S.). Global Legal Research Directorate, issuing body. (2019). \n\n*Regulation of artificial intelligence in selected jurisdictions*. LCCN 2019668143 (https://lccn.l \noc.gov/2019668143). OCLC 1110727808 (https://search.worldcat.org/oclc/1110727808).", + "page_start": 58, + "page_end": 58, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \n\nThe benefits are relatively straightforward. Both categories, by definition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \n\nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \n\nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \n For instance, relying on books from before 1929 would not \ncontent available for AI training. \nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. \n\n30 \n\n 31 \n\n*5b. Limitations & Exceptions*\n\n**Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited specifically for AI \ntraining, it is an existence proof for what such a resource might look like. \n\n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable \n30 \nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate,*Here’s Proof You Can Train an AI Model Without Slurping*\n*Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai- \nwithout-slurping-copyrighted-content/. \n\n Our workshop discussion did note that some widely available datasets for AI training have also \n31 \npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.”*ArXiv (Cornell University)*, 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", + "page_start": 13, + "page_end": 13, + "source_file": "creative_common_ai.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv4.pdf", + "query": "What is the effect of embedding dimension on embedding representation quality ?", + "target_page": 6, + "target_passage": "we observe a performance correla- tion with the embedding dimension and the model’s number of parameters, which are often correlated themselves", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "In line with the third objective, we explicit below \nthe studied characteristics of embedding models \nthat will be discussed with the results. \n\n7SummEvalFr available at: https://huggingface.co/ \ndatasets/lyon-nlp/summarization-summeval-fr-p2p \nhttps: \n8SyntecReranking \n\nat: \n//huggingface.co/datasets/lyon-nlp/ \nmteb-fr-reranking-syntec-s2p \ning available at: \nlyon-nlp/mteb-fr-reranking-alloprof-s2p \n\navailable \n\nand AlloprofRerank- \nhttps://huggingface.co/datasets/ \n\n• Embedding dimension: This critical element \ninfluences the expressiveness of the represen-", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv4.pdf" + }, + { + "text": "tation and, in practical applications, the under- \nlying storage and compute costs. We selected \nmodels with embedding dimensions ranging \nfrom 384 to 4096. \n\net al., 2019), their variants optimized for semantic \nsimilarity (Reimers and Gurevych, 2019), numer- \nous multilingual models performing at the top on \nMTEB (e.g E5 and T5), Bloom variants (Zhang \net al., 2023), models based on very recent power- \nful LLMs (Wang et al., 2023; Faysse et al., 2024) \nand finally the proprietary models of OpenAI, Co- \nhere and Voyage. Certain models were selected in \nmultiple sizes to isolate the dimensionality effect \neffectively. We provide information on the mod- \nels’ licenses as reported in the Hugging Face hub10. \nHowever, we encourage readers to conduct further \nresearch before utilizing a model. \n• Sequence length: Being the number of to- \nkens that a model can consider as input, the \nsequence length is important as it impacts the \nunit that can be encoded (sentence, paragraph, \ndocument). However, encoding overly long \nsequences requires efficiently storing the rele- \nvant information into a single vector. Among \nthe selected methods, this criterion varies \nfrom 128 tokens to 32768. \n\n3.3 Evaluation \n\n• Model parameters: Often correlated with the \ntwo first characteristics, parameter count is im- \nportant for practical applications as it affects \nusability on resource-efficient machines. The \nselected models have a number of parameters \nranging from 20 million (∼100Mb in float32) \nto 7 billion (∼28Gb). \n\nFor the sake of homogeneity, models are evalu- \nated using the same metrics per task as in MTEB \n(Muennighoff et al., 2022): Classification (Accu- \nracy), Bitext mining (F1 score), Pair classification \n(AP), Clustering (V measure), Reranking (MAP), \nRetrieval (NDCG@10), Summarization and STS \n(Spearman correlation based on cosine similarity). \nBitextMining tasks are excluded from the aver- \nage performance scores and therefore the figures, \nas this task evaluates 2 languages instead of one, \nand this benchmark focuses only on one language \n(French). We present the results for both DiaBlaBi- \ntextMining and FloresBitextMining in Table 12. \n\n• Language: This is a major feature of lan- \nguage models. Some are monolingual, and \nothers are multilingual. Language is usually \nacquired during pre-training, but sometimes, \nmodels familiarize themselves with new lan- \nguages at tuning. For the benchmark, we \nselected French models, as well as bilingual \nor multilingual models. We also included a \nfew ones that claimed to be English (e.g. all- \nMiniLM-L12-v29). \n\nUsing the overall benchmark results, our goal \nwill be to answer the following research questions: \nQ1: Is a model outstanding on all tasks? \nAs we are trying to find out whether one embed- \nding model is statistically better than the others for \nFrench, the objective will also be to analyze the \nperformance of the models by tasks to facilitate \nmodel choice for specific applications. \nQ2: Are there any links between the model charac- \nteristics and performance? \nIn section 3.2, we undertook the substantial task of \ngathering the characteristics of all evaluated mod- \nels. The goal here will be to analyze their impact \non performance and draw conclusions about, for \nexample, the relationship between embedding di- \nmension and model ranking on the benchmark. \nQ3: Do monolingual models have multilingual ca- \npabilities? \nWe interrogate the ability of a model trained exclu- \nsively in one language to perform well in another \nlanguage. \nQ4: Are there any correlations between datasets", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv4.pdf" + }, + { + "text": "ies) insufficient (Warstadt et al., 2019). A given \nmethod might also favor one model over another, \ne.g., RoBERTa trails BERT with one tree extraction \nmethod, but leads with another (Htut et al., 2019). \nThe choice of linguistic formalism also matters \n(Kuznetsov and Gurevych, 2020). \n\nSeveral studies reported that distilled contex- \ntualized embeddings better encode lexical se- \nmantic information (i.e. \nthey are better at tra- \nditional word-level tasks such as word similarity). \nThe methods to distill a contextualized represen- \ntation into static include aggregating the informa- \ntion across multiple contexts (Akbik et al., 2019; \nBommasani et al., 2020), encoding \"semantically \nbleached\" sentences that rely almost exclusively on \nthe meaning of a given word (e.g. \"This is <>\") \n(May et al., 2019), and even using contextualized \nembeddings to train static embeddings (Wang et al., \n2020d). \n\nIn view of all that, the alternative is to focus on \nidentifying what BERT actually relies on at infer- \nence time. This direction is currently pursued both \nat the level of architecture blocks (to be discussed \nin detail in subsection 6.3), and at the level of in- \nformation encoded in model weights. Amnesic \nprobing (Elazar et al., 2020) aims to specifically \nremove certain information from the model and see \nhow it changes performance, finding, for example, \nthat language modeling does rely on part-of-speech \ninformation. \n\nBut this is not to say that there is no room for \nimprovement. Ethayarajh (2019) measure how \nsimilar the embeddings for identical words are in \nevery layer, reporting that later BERT layers pro- \nduce more context-specific representations3. They \nalso find that BERT embeddings occupy a narrow \ncone in the vector space, and this effect increases \nfrom the earlier to later layers. That is, two ran- \ndom words will on average have a much higher \ncosine similarity than expected if embeddings \nwere directionally uniform (isotropic). Since \nisotropy was shown to be beneficial for static word \nembeddings (Mu and Viswanath, 2018), this might \nbe a fruitful direction to explore for BERT. \n\nAnother direction is information-theoretic prob- \ning. Pimentel et al. (2020) operationalize prob- \ning as estimating mutual information between the \nlearned representation and a given linguistic prop- \nerty, which highlights that the focus should be not \non the amount of information contained in a rep- \nresentation, but rather on how easily it can be ex- \ntracted from it. Voita and Titov (2020) quantify \nthe amount of effort needed to extract information \nfrom a given representation as minimum descrip- \ntion length needed to communicate both the probe \nsize and the amount of data required for it to do \nwell on a task. \n\nSince BERT embeddings are contextualized, an \ninteresting question is to what extent they cap- \nture phenomena like polysemy and homonymy. \nThere is indeed evidence that BERT’s contextu- \nalized embeddings form distinct clusters corre- \nsponding to word senses (Wiedemann et al., 2019; \nSchmidt and Hofmann, 2020), making BERT suc- \ncessful at word sense disambiguation task. How- \never, Mickus et al. (2019) note that the representa- \ntions of the same word depend on the position \nof the sentence in which it occurs, likely due to \nthe NSP objective. This is not desirable from the \nlinguistic point of view, and could be a promising \n\n3Voita et al. (2019a) look at the evolution of token embed- \ndings, showing that in the earlier Transformer layers, MLM \nforces the acquisition of contextual information at the expense \nof the token identity, which gets recreated in later layers. \n\n4 Localizing linguistic knowledge \n\n4.1 BERT embeddings", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Results of this comparison are reported in Table 1 and \nindicate that predicting in feature space provides a con- \nsistent performance improvement over pixel space pre- \ndiction in both frozen evaluation of the video backbone, \nas well as end-to-end fine-tuning. \n\n4 What Matters for Learning Represen- \n\ntations from Video? \n4.2 Pretraining Data Distribution \n\nIn this section we isolate the contributions of several de- \nsign choices, including: a) the use of a feature prediction Next we study the impact of the pretraining data dis- \ntribution in Table 2. Leveraging large scale datasets \n\n5", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv3.pdf" + }, + { + "text": "the other models. However, other models should be \nconsidered for their performance on specific tasks, \nbeing open source or having a small embedding \ndimension. \n\nThis work opens several doors for future im- \nprovements. By examining dataset diversity in \nterms of topics and model ranking, we observe \nthat the benchmark would benefit from additional \ndatasets that introduce higher diversity. Beyond \nclassification, many tasks focus on semantic simi- \nlarity, explaining the strong performance of models \ntrained for similarity. Exploring novel tasks in the \ngenerative spectrum or evaluating token embed- \ndings (contextualized or not) on tasks like Named \nEntity Recognition could be an interesting path \nfor future exploration. There are also opportuni- \nties for improvements on the model side. With \nnumerous existing models that could be added to \nthe leaderboard and many new proposals awaiting. \nFor instance, we can already see the promising ca- \npabilities of early variants of recent models (Faysse \net al., 2024) and expect that future proposals will \ncome to compete strongly with closed-source mod- \nels. Ultimately, we hope to see the emergence of \nother language-specific MTEB variants (e.g. for \nhigh-resource languages like Spanish and German), \nenabling a more comprehensive evaluation of mul- \ntilingual model performance. \n\nThe datasets correlation w.r.t model ranking are \npresented in appendix Figure 12. Except for \ntwo datasets (MasakhaNEWSClusteringP2P, Sum- \nmEvalFr), the correlations, on average, are high. \nThere is still enough diversity to make each dataset \ninteresting for the French MTEB benchmark. Two \ngroups (SyntecReranking/ SyntecRetrieval, Mas- \nsiveScenarioClassification/ MTOPDomainClassi- \nfication/ MassiveIntentClassification) exhibit no- \ntably high correlations (∼0.97). It is interesting \nto point out some sub-diagonal correlation blocks. \nThe datasets being arranged by task indicate that \nmodels behave slightly more similarly within the \nsame task than between two different tasks. This \nunderscores the importance of having multiple \ntasks in the benchmark to select general-purpose \nmodels. For readers interested in specific tasks, \nit is more relevant to examine task-specific rank- \nings rather than the overall one. The complemen- \ntary results of model correlations w.r.t to strengths \nand weaknesses on datasets are displayed in ap- \npendix Figure 11. Strong correlations in behavior \nemerge among the variants of the same models \n(e.g. DistilBERT, sentence-croissant, sentence-t5, \ne5, etc.). Correlations are also generally observed \namong numerous models trained using the sentence \ntransformers framework (Reimers and Gurevych, \n2019), as well as proprietary models, e.g. from \nCohere and OpenAI. Conversely, these models fine- \ntuned for sentence similarity, show minimal cor- \nrelation with pre-trained models for which token- \nembedding pooling techniques are employed.", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv4.pdf" + }, + { + "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All \nmodels are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We \nexamine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single \ncenter view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide \na consistent improvement over pixel space prediction. \n\nFrozen Evaluation Fine-Tuning \n\nK400 \n(16×1×1) SSv2 \n(16×1×1) \nIN1K \nK400-ft \n(16×5×3) Target Arch. \n\n| Features ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n|---|---|---|---|---|\n| Features ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\n\nTable 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate \ndownstream performance of the frozen backbones with an attentive probe using a single center view. Average performance \nacross tasks increases with the pretraining dataset size. \n\nFrozen Evaluation \n\nK400 \n(16×1×1) SSv2 \n(16×1×1) \nIN1K Avg. \nArch. #Samples \n\nViT-L/16 \n\n| 73.7 | 66.2 | 74.8 | 71.5 |\n|---|---|---|---|\n| 73.7 | 66.2 | 74.8 | 71.5 |\n\n\n| VideoMix2M 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n|---|---|---|---|---|\n| VideoMix2M 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\n\nversus pixel prediction objective, b) the construction of \nthe pretraining data distribution, c) the feature pooling \nstrategy for leveraging the model’s representations in \ndownstream tasks, and d) the masking strategy, towards \nidentifying: what to predict from what? \n\nEvaluations. Pretrained models are evaluated on \ndownstream video and image tasks. On video tasks, \nwe use a subset of the VideoGLUE benchmark (Yuan \net al., 2023) to test for various capabilities; specif- \nically, we investigate action recognition on Kinetics- \n400 (K400) (Kay et al., 2017), motion classification on \nSomething-Something-v2 (SSv2) (Goyal et al., 2017), \nand action localization on AVA (Gu et al., 2018). Action \nclassification on Kinetics evaluates the appearance-based \nunderstanding of the model, as many action classes in \nthe dataset can be inferred from the presence of specific \nobjects in the video (Sevilla-Lara et al., 2021). Motion \nclassification on Something-Something-v2 evaluates the \ntemporal understanding of the model, as action classes \nin the dataset are decoupled from the appearance/pres- \nence of specific objects in the video (Goyal et al., 2017). \nFinally, action localization on AVA evaluates the ability \nof the model to understand and localize motions in the \nvideo. We follow standard practice and report accu- \nracy on K400 and SSv2 by sampling several spatial and \ntemporal views. For static image tasks, we explore ob- \nject recognition on ImageNet (Russakovsky et al., 2015), \nscene classification on Places205 (Zhou et al., 2014), and \nfine-grained recognition on iNaturalist 2021 (Van Horn \net al., 2018). \n\n4.1 Predicting Representations versus Pixels \n\nWe first ablate the effect of computing the prediction \nloss in representation space. We train a pair of ViT-L/16 \nmodels using either a V-JEPA feature prediction loss, \nor a mean-squared error loss with the normalized pixel \nvalues, as in masked autoencoders (He et al., 2021), and \nperform a sweep over the learning rate and weight decay \nschedules for both approaches. All models are pretrained \non VideoMix2M for 90K iterations with a batch size of \n3072 using multi-block masking. We examine perfor- \nmance on Kinetics-400 (K400), Something-Something-v2 \n(SSv2), and ImageNet-1K (IN1K), using a frozen back- \nbone with an attentive probe, and report top-1 accuracy \nusing a single center view. We also examine end-to-end \nfine-tuning performance of the models on Kinetics-400.", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv3.pdf" + }, + { + "text": "with respect to model ranking? \nTo go further than the correlation analysis among \ndatasets regarding their topics (see section 3.1.5), \nsubsequent analysis will be conducted regarding \nhow they rank models. Additionally, complemen- \ntary insights will be derived from examining cor- \nrelations of models relative to their strengths and \nweaknesses across different datasets. \n\nfollowing: \n\n• Tuned for sentence similarity: 0.727 \n\n• Finetuned vs pretrained: 0.544 \n\n• Model number of parameters: 0.49 \n\n• Embedding dimension: 0.452 \n\n4 Results and discussion • Closed source: 0.449 \n\nIn this section, we present the results through the \nprism of our research questions. \n• Max sequence length: 0.336 \n\n• Multilingual: 0.103 \n\n• English: 0.025 \n\n• English but tuned on other languages: -0.025 \n\n• French: -0.134 \n\n• Bilingual: -0.135 \n\nAdditionally, all cross-correlations between charac- \nteristics are reported in appendix Figure 10. \n\nQ1: Is there a model that outstands on all \ntasks? \n\nModels performances for each task are presented \nin appendix Tables 9, 10, 11, 12 and 13. Figure \n1 shows the critical difference diagram of average \nscore ranks. \n\nAs in MTEB (Muennighoff et al., 2022), no \nmodel claims state-of-the-art in all tasks even if \nthe text-embedding-3-large model is in first place \nIt ranks \non average on all tasks (see Table 9). \nfirst for the classification and reranking tasks. For \nthe clustering task, text-embedding-ada-002 is the \nbest model. The models voyage-code-2, \ntext- \nembedding-3-small and mistral-embed share the \ntop positions in the retrieval task ranking. For the \npair classification task, laser2 is ahead of its com- \npetitors. Finally, sentence-camembert-large leads \non the STS task and multilingual-e5-small has the \nbest results for summarization. \nAs expected, the score most strongly correlates \nwith whether the evaluated models were trained on \na sentence similarity task. Of course, this criterion \nis connected to the more general Finetuned one. \nThe only top-performing models solely pre-trained \nare from the E5 family, where the pre-training is, \nin fact, contrastive and optimized for similarity. \nConversely, models pre-trained on token-level tasks \nand generating embeddings via pooling appear less \nwell-suited for the benchmark tasks. \n\nFigure 1 shows a global model comparison \nacross all datasets. The models are arranged hori- \nzontally according to their performance, with the \nbest models on the left. The black bars repre- \nsent the statistical equivalence between the mod- \nels’ performances. The statistically equivalent \ntop performers for this benchmark are OpenAI’s \nmodels text-embedding-3-large, text-embedding-3- \nsmall and text-embedding-ada-002. Interestingly, \nmany models do not show a significant perfor- \nmance gap between their base and large flavours. \nSome French models stand out among the multi- \nlingual models, such as Solon-embeddings-large- \n0.1, sentence_croissant_alpha_v0.3 and sentence- \ncamembert-large. \nFurthermore, we observe a performance correla- \ntion with the embedding dimension and the model’s \nnumber of parameters, which are often correlated \nthemselves. This appears very clearly on the rela- \ntive ranking of E5 and T5 models (see Figure 1). \nHowever, some small models perform very well \non the benchmark, such as the standard version \nof the multilingual universal sentence encoder or \nSolon-embeddings-base-1.0. Notably, the maxi- \nmum sequence length, while an important criterion \nfor generative tasks with LLMs, is less correlated \nwith performance than the other dimensions. This \ncan be explained by many datasets containing rel- \natively small texts (see appendix Table 3 showing \nthat 14 datasets have less than 50 tokens). \n\nQ2: Are there any links between model \ncharacteristics and performance?", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv4.pdf" + }, + { + "text": "Niklas Muennighoff, Nouamane Tazi, Loic Magne, and \nNils Reimers. 2022. Mteb: Massive text embedding \nbenchmark. In Conference of the European Chapter \nof the Association for Computational Linguistics. \n\nLiang Wang, Nan Yang, Xiaolong Huang, Binxing \nJiao, Linjun Yang, Daxin Jiang, Rangan Majumder, \nand Furu Wei. 2022. Text embeddings by weakly- \nsupervised contrastive pre-training. arXiv preprint \narXiv:2212.03533. \n\nTomas Mikolov, Kai Chen, Gregory S. Corrado, and \nJeffrey Dean. 2013. Efficient estimation of word \nrepresentations in vector space. In International Con- \nference on Learning Representations. \nAlex Wang, Amanpreet Singh, Julian Michael, Felix \nHill, Omer Levy, and Samuel R. Bowman. 2018. \nGlue: A multi-task benchmark and analysis plat- \nform for natural language understanding. In Black- \nboxNLP@EMNLP. \nNiklas Muennighoff. 2022. \n\nSgpt: Gpt sentence \nembeddings for semantic search. arXiv preprint \narXiv:2202.08904. \n\nKexin Wang, Nils Reimers, and Iryna Gurevych. 2021. \nTSDAE: Using transformer-based sequential denois- \ning auto-encoderfor unsupervised sentence embed- \nIn Findings of the Association for \nding learning. \nComputational Linguistics: EMNLP 2021, pages \n671–688, Punta Cana, Dominican Republic. Associa- \ntion for Computational Linguistics. \n\nUsman Naseem, Imran Razzak, Shah Khalid Khan, \nand Mukesh Prasad. 2021. A comprehensive survey \non word representation models: From classical to \nstate-of-the-art word representation language models. \nTransactions on Asian and Low-Resource Language \nInformation Processing, 20(5):1–35. \n\nLiang Wang, Nan Yang, Xiaolong Huang, Linjun Yang, \nRangan Majumder, and Furu Wei. 2023. Improving \ntext embeddings with large language models. arXiv \npreprint arXiv:2401.00368. \n\nArvind Neelakantan, Tao Xu, Raul Puri, Alec Rad- \nford, Jesse Michael Han, Jerry Tworek, Qiming Yuan, \nNikolas Tezak, Jong Wook Kim, Chris Hallacy, et al. \n2022. Text and code embeddings by contrastive pre- \ntraining. arXiv preprint arXiv:2201.10005. \n\nSilvan Wehrli, Bert Arnrich, and Christopher Irrgang. \n2024. German text embedding clustering benchmark. \n\nJianmo Ni, Gustavo Hernández Ábrego, Noah Constant, \nJi Ma, Keith B. Hall, Daniel Cer, and Yinfei Yang. \n2021. Sentence-t5: Scalable sentence encoders from \npre-trained text-to-text models. \n\nShitao Xiao, Zheng Liu, Peitian Zhang, Niklas Muen- \nnighoff, Defu Lian, and Jian-Yun Nie. 2024. C-pack: \nPackaged resources to advance general chinese em- \nbedding. \n\nKishore Papineni, Salim Roukos, Todd Ward, and Wei- \nJing Zhu. 2002. Bleu: a method for automatic evalu- \nation of machine translation. In Proceedings of the \n40th Annual Meeting of the Association for Compu- \ntational Linguistics, pages 311–318, Philadelphia, \nPennsylvania, USA. Association for Computational \nLinguistics. \n\nYinfei Yang, Yuan Zhang, Chris Tar, and Jason \nBaldridge. 2019. PAWS-X: A cross-lingual adversar- \nial dataset for paraphrase identification. In Proceed- \nings of the 2019 Conference on Empirical Methods \nin Natural Language Processing and the 9th Inter- \nnational Joint Conference on Natural Language Pro- \ncessing (EMNLP-IJCNLP), pages 3687–3692, Hong \nKong, China. Association for Computational Linguis- \ntics. \n\nNils Reimers and Iryna Gurevych. 2019. Sentence-bert: \nSentence embeddings using siamese bert-networks. \nIn Conference on Empirical Methods in Natural Lan- \nguage Processing. \n\nXin Zhang, Zehan Li, Yanzhao Zhang, Dingkun Long, \nPengjun Xie, Meishan Zhang, and Min Zhang. 2023. \nLanguage models are universal embedders. ArXiv, \nabs/2310.08232. \n\nStephen E. Robertson and Karen Spärck Jones. 1976. \nRelevance weighting of search terms. J. Am. Soc. Inf. \nSci., 27:129–146. \n\nLianmin Zheng, Wei-Lin Chiang, Ying Sheng, Siyuan \nZhuang, Zhanghao Wu, Yonghao Zhuang, Zi Lin, \nZhuohan Li, Dacheng Li, Eric P. Xing, Hao Zhang, \nJoseph E. Gonzalez, and Ion Stoica. 2023. Judging \nllm-as-a-judge with mt-bench and chatbot arena.", + "page_start": 10, + "page_end": 10, + "source_file": "arxiv4.pdf" + }, + { + "text": "computed from another part of the video, x. The pre- \ndictor network Pϕ( \n), which maps the representation of \n· \nx to the representation of y, is trained simultaneously \nwith the encoder, and is provided specification of the \nspatio-temporal positions of y through the conditioning \nvariable z \n\nFeature Prediction versus Pixel Reconstruction. \nApproaches that predict in pixel space must dedicate \nsignificant model capacity and compute to capture all \nthe low-level detail in the visual input. By contrast, ap- \nproaches that predict in latent space have the flexibility \nto eliminate irrelevant or unpredictable pixel-level details \nfrom the target representation (Vondrick et al., 2016). \nPredicting in representation space has been shown to \nlead to versatile representations that perform well across \nmany downstream tasks through linear probing or low- \nshot adaptation (Assran et al., 2023; Oquab et al., 2023; \nAssran et al., 2022), while demonstrating an efficiency \ngain during pretraining compared to pixel level recon- \nstruction (Assran et al., 2023; Baevski et al., 2022b,a). \nThe works of Baevski et al. (2022a,b) additionally show \nthat predicting in representation space results in compet- \nitive end-to-end fine-tuning performance in the image, \naudio and text domains. In this work, we extend these \nfindings to the video modality. \n\n∆y. \n← \nNaively implementing the objective using the regression \n\nminimizeθ,ϕ \nPϕ(Eθ(x), ∆y) \n∥ 1, \nEθ(y) \n∥ − \n\nwould admit a trivial solution, where the encoder out- \nputs a constant representation, regardless of its input. \nIn practice, we use the following modified objective to \nprevent representation collapse, \n\nminimizeθ,ϕ sg(Eθ(y)) \n(1) \nPϕ(Eθ(x), ∆y) \n1, \n∥ ∥ − \n\n) denotes a stop-gradient operation, which \nwhere sg( \n· \ndoes not backpropagate through its argument, and Eθ( \n) \n· \n). \nis an exponential moving average of the network Eθ( \n· \nThe use of an exponential-moving average feature ex- \ntractor along with a stop-gradient and a predictor has \nbeen used as a collapse prevention strategy for image pre- \ntraining (Grill et al., 2020), and studied empirically (Xie \net al., 2021) and theoretically (Tian et al., 2021). In \nfact, the objective in equation (1) is similar to the loss \nof Assran et al. (2023) used for image pretraining, but \nwe modify it to use an ℓ1 regression, which we found to \nbe more stable. \n\nTheoretical motivation. A theoretical motivation for \nthe effectiveness of this collapse prevention strategy was \nproposed in Grill et al. (2020) for the BYOL method. We \nprovide a simple adaptation of their analysis for our ℓ1 \nloss. For ease of exposition, we will disregard the effect of \nthe conditioning variable z and consider one dimensional \nrepresentations. Denote the representation Eθ(y) by \na random variable Y . The optimal predictor under \nequation (1) is thus given by the following functional \nexpression, \n\nFigure 2 Joint-Embedding Predictive Architectures are \ntrained to predict the representation of an input y from \nthe representation of another input x. The additional vari- \nable z provides the predictor with information about the \ntransformation that computes y from x. \n\nOur goal is to explore the effectiveness of feature pre- \ndiction as a stand-alone objective for learning visual \nrepresentations from video. To that end, we use a \njoint-embedding predictive architecture (JEPA) (LeCun, \n2022); see Figure 2. The main idea behind a JEPA is \nto learn by predicting the representation of an input y \nfrom the representation of another input x. The basic \narchitecture is made up of an encoder, Eθ( \n), which com- \n· \nputes the representation of the inputs, and a predictor, \n), which predicts the representation of y from the \nPϕ( \n· \nrepresentation of x, conditioned on a variable z indicat- \ning the transformation (or corruption) between x and \ny. Conditioning on z enables the generation of distinct \npredictions for various transformations of x. \n\nP ⋆(Eθ(x)) = argmin", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 9 Frozen Evaluation hyper-parameters. \n\nHyper-parameter K400 \n\ndata \nnum_clips \nN.A. \nnum_frames \nN.A. \ntemporal_stride \nN.A. \nhorizontal_flip \ntrue \n(0.08, 1.0) \nrandom_resize_scale \nrandom_resize_aspect_ratio (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) \nauto_augment \n\n8 \n16 \n4 \ntrue \n(0.08, 1.0) 1 \n16 \n4 \ntrue \n(0.08, 1.0) N.A. \nN.A. \nN.A. \ntrue \n(0.08, 1.0) N.A. \nN.A. \nN.A. \ntrue \n(0.08, 1.0) \n\nfalse false true true true \n\noptimization \nbatch_size \nepochs \nlr \nfinal_lr \nweight_decay 256 \n20 \n1e-3 \n0 \n0.01 256 \n20 \n1e-3 \n0 \n0.01 1024 \n20 \n1e-3 \n0 \n0.01 1024 \n20 \n1e-3 \n0 \n0.01 1024 \n20 \n1e-3 \n0 \n0.01 \n\nWeight-decay is also linearly increased from 0.04 to 0.4 throughout pretraining. The y-encoder weights are initialized \nidentically to the x-encoder, and subsequently updated as an exponential moving average (EMA) (Tarvainen and \nValpola, 2017) of the x-encoder weights using a momentum value which starts at 0.998 and is linearly increased to \n1.0 during training (Caron et al., 2021; Assran et al., 2022). We scale all hyper-parameter schedules 25% beyond \nthe actual training schedule. Specifically, the learning rate schedule, weight-decay schedule, and EMA schedule \nare computed assuming a training length of 112,500 iterations, even though we only train our model for 90,000 \niterations. We found the last 25% of the default scheduler period to update hyper-parameters too aggressively, and \nsimply truncating the schedulers improved performance. \n\nMasking. As described in Section 3, we propose a 3D Multi-Block masking strategy. We use two type of masks: \nshort-range masks, where we take the union of 8 randomly sampled target blocks with a spatial scale of 0.15, and \nlong-range masks, where we take the union of 2 randomly sampled target blocks with a spatial scale of 0.7. In both \ncases, the aspect ratio for all sampled blocks is randomly chosen in the range (0.75, 1.5). \n\nD Evaluation details \n\nD.1 Frozen classification \n\nAttentive Probing. Given an input video, xL, the V-JEPA target encoder Eθ( \n) outputs a sequence of L tokens, \nRd. To pool this sequence of tokens into a single feature vector, we apply a \nEθ(xL) = (s1, . . . , sL), where si \nlightweight non-linear cross-attention block which replace the self-attention operation of a transformer block with \ncross attention. Specifically, the cross-attention performs the following computation: \n\n· \n\nL \n(cid:88) \n\nexp(q⊤Wksi) \nj exp(q⊤Wksj) \n(cid:80) \ni=1 \n\nwhere Wk, Wv \nRd is a learnable query token. The output of the \ncross-attention is then added back to the query token (residual connection), and then fed into two-layer MLP with a \nsingle GeLU activation, followed by a LayerNorm, and finally a linear classifier. The parameters of the cross-attention \nblock are jointly learned with that of the linear classifier for the downstream task, while the encoder parameters \nare kept frozen. Note that, in practice, we actually use an attentive probe with 12 heads, each of dimension 12. In \nAppendix E we show that baselines benefit from the attentive probing protocol. \n\nRd×d are the key and value matrices, and q \n∈ ∈ \n\nOptimization. For all the tasks, we use AdamW optimizer with a cosine scheduler (no warmup) that decays the \nlearning rate from 0.001 to 0. We use a fixed weight-decay of 0.01 and apply simple data augmentations (random \nresized crops and horizontal flips) during training of the attentive probe, except on image tasks, where we apply \nAutoAugment (Dogus Cubuk et al., 2019). Table 9 reports the hyperparameters for each downstream evaluation. \n\nExtension to multiple clips. Unless stated otherwise, our attentive probe takes 8 clips of 16 frames as input on \nKinetics, and 2 clips of 16 frames on Something-Somethingv2 to increase the temporal coverage of the video. \n\n18", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv3.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Draft FWC for services 0142.pdf", + "query": "What is the maximum amount covered by the FWC of the europeean chemical agency ?", + "target_page": 6, + "target_passage": "The maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is EUR 1 000 000 (one million)", + "chunk_present": { + "presence": true, + "index": 8 + } + }, + "top_chunk": [ + { + "text": "HAVE AGREED \n\n**I.1.1.1.1.**Article 1 Subject matter \n\n**1.1**\n\nThis specific contract implements framework contract (FWC) No ECHA/2019/355 \nsigned by the parties on [*complete date*]*.*\n\n**1.2**\n\n| their | | ] annex[ | es | ], wh |\n|---|---|---|---|---|\n| their | | ] annex[ | es | ], wh |\n| e [ | following services | | | |\n\n\n**I.1.1.1.2.**Article 2 Entry into force and duration \n\n**2.1** This specific contract enters into force on the date on which the last party signs it. \n\n**2.2**\nThe provision of the services starts from the date of entry into force of this specific \ncontract. \n\n**2.3**\n\nThe provision of the services must not exceed [*complete*]**[**days] [months**]**. The \nparties may extend the duration by written agreement before it elapses and before \nexpiry of the FWC. \n\n**I.1.1.1.3.**Article 3 Price \n\n**3.1**\n\nThe price payable under this specific contract excluding reimbursement of expenses \nis EUR [*amount in figures and in words*]. \n\n| [ | The maximum amount covering all services to be provided under this specific | |\n|---|---|---|\n| [ | The maximum amount covering all services to be provided under this specific | |\n| contract including reimbursement of expenses and excluding price revision is EUR | | |\n| [ | amount in figures and in words | ].] |\n\n\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n|---|---|---|---|---|---|---|---|\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n| maximum amount, up to EUR | | [ | amount in figures and in words | ] | is earmarked for | | |\n| expenses, which must be reimbursed in accordance with the FWC] | | | | | . | | |\n\n\n**3.2**\n\n***\n\n**I.1.1.1.4.**Article 4 communication details \n\nFor the purpose of this specific contract, communications must be sent to the following \naddresses: \n\nContracting authority:", + "page_start": 43, + "page_end": 43, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**No [*complete*]**\n\n**implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this specific contract by [*forename, surname, function,*\n*department of authorising officer*], \n\nand \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n|---|---|---|\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n| tender | | ] |\n\n\n[*repeat these data as many times as there are contractors in case of joint tender and*\n*continue numbering*] \n\n| collectively | ] \"the contractor\"), represented for the purposes of |\n|---|---|\n| collectively | ] \"the contractor\"), represented for the purposes of |\n| ntract by [ | forename, surname and function of legal representative |", + "page_start": 42, + "page_end": 42, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "(a) travel, subsistence, accommodation and shipment expenses; and \n(b) any other expenses provided for in the tender specifications. \n\nThe daily subsistence allowance referred to in Article II.22.4 (d) and the accommodation \nflat-rate ceiling referred to in Article II.22.4(e) are listed in Annex IV \n\n**I.6. Payment arrangements**\n\n**I.6.1. Pre-financing**\n\nPre-financing is not applicable to this FWC. \n\n**I.6.2. Interim payments**\n\nInterim payment is not applicable to this FWC, unless it is provided for under a specific \ncontract. \n\nIf provided for, the contractor (or leader in the case of a joint tender) may claim the interim \npayment equal to the amount specified in the relevant specific contract in accordance with \nArticle II.21.6. \n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format \nor via*e-PRIOR*for the interim payment as provided for in the tender specifications, \naccompanied by the following: \n\n a list of all*pre-existing rights*to the*results*or parts of the*results*or a declaration stating \n\nthat there are no such*pre-existing rights*, as provided for in Article II.13.4; \n\n the relevant progress report or deliverable accepted by ECHA \n\n statements of reimbursable expenses in accordance with Article II.22. \n\nThe contracting authority must approve the submitted documents or deliverables and pay \nwithin 30 days from receipt of the invoice. \n\n**I.6.3. Payment of the balance**\n\n1. The contractor (or leader in the case of a joint tender) may claim the payment of the \nbalance in accordance with Article II.21.6. \n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format \nor via*e-PRIOR*for payment of the balance due under a specific contract, as provided for \nin the tender specifications and accompanied by the following: \n\n a list of all*pre-existing rights*to the*results*or parts of the*results*or a declaration stating \n\nthat there are no such*pre-existing rights*, as provided for in Article II.13.4; \n\n document of acceptance by ECHA of the deliverables as defined in the*tender*\n\n*specifications or specific contract*\n\n statements of reimbursable expenses in accordance with Article II.22. \n\n2. The contracting authority must approve the submitted documents and pay within 30 \ndays from receipt of the invoice. \n\n3. The contracting authority may suspend the time limit for payment specified in point 2 \nin accordance with Article II.21.7. Once the suspension is lifted, the contracting authority \nshall give its approval and pay within the remainder of the time-limit indicated in point 2 \nunless it rejects partially or fully the submitted documents. \n\n**I.6.4. Performance guarantee**\n\nPerformance guarantee is not applicable to this FWC. \n\n**I.6.5. Retention money guarantee**\n\nRetention money guarantee is not applicable to this FWC. \n\n**I.7. Bank account**\n\nPayments must be made to the contractor’s (or leader’s in the case of a joint tender) bank \naccount denominated in euro, identified as follows: \n\nName of bank: \n\nFull address of branch: \n\nExact denomination of account holder: \n\nFull account number including bank codes: \n\n[IBAN1 code:] \n\n**I.8. Communication details**\n\nFor the purpose of this FWC, communications must be sent to the following addresses: \n\nContracting authority: \n\nEuropean Chemicals Agency \nDirectorate and Unit D3, Risk Management I \nTelakkakatu 6 \n00150 Helsinki \nFinland \nE-mail: [insert functional mailbox]", + "page_start": 6, + "page_end": 6, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**I. Special Conditions**\n\n**I.1. Order of priority of provisions**\n\nIf there is any conflict between different provisions in this FWC, the following rules must \nbe applied: \n\n(a) The provisions set out in the special conditions take precedence over those in the \n\nother parts of the FWC. \n\n(b) The provisions set out in the general conditions take precedence over those in the \n\n*order form*and specific contract (Annex III) \n\n(c) The provisions set out in the*order form*and specific contract (Annex III) take \n\nprecedence over those in the other annexes. \n\n(d) The provisions set out in the tender specifications (Annex I) take precedence over \n\nthose in the tender (Annex II). \n\n(e) The provisions set out in the FWC take precedence over those in the specific \n\ncontracts. \n\n(f) The provisions set out in the specific contracts take precedence over those in the \n\nrequests for services. \n\nAny reference to specific contracts applies also to order forms. \n\n**I.2. Subject matter**\n\nThe subject matter of the FWC is scientific support to ECHA for work on restrictions, \ndose-response functions, Annex XIV, POPs and dossier evaluation. \n\n**I.3. Entry into force and duration of the FWC**\n\n**I.3.1**The FWC enters into force on the date on which the last party signs it. \n\n**I.3.2**The*implementation of the FWC*cannot start before its entry into force. \n\n**I.3.3**The FWC is concluded for a period of 24 months with effect from the date of its \n\nentry into force. \n\n**I.3.4**The parties must sign any specific contract before the FWC expires. \n\nThe FWC continues to apply to such specific contracts after its expiry. The services \nrelating to such specific contracts must be performed no later than six months after \nthe expiry of the FWC. \n\n**I.3.5**Renewal of the FWC \n\nThe FWC is renewed automatically 2 times for 12 months each, unless one of the parties \nreceives*formal notification*to the contrary at least three months before the end of the \nongoing duration. Renewal does not change or postpone any existing obligations. \n\n**I.4. Appointment of the contractor and implementation of the FWC**\n\nI.4.1. Appointment of the contractor \n\nThe contracting authority appoints the contractor for a multiple FWC in cascade in \n[*complete*] position.", + "page_start": 4, + "page_end": 4, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n**NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this framework contract by [*forename, surname, function,*\n*directorate of authorising officer*], \n\nof the one part and \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n|---|---|---|\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n| joint tender | | ] |\n\n\n[*For joint tenders,*r*epeat these data as many times as there are contractors and continue*\n*numbering*] \n\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n|---|---|---|\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n| company in the case of a joint tender | | ], |\n\n\non the other part, \n\nto the**special conditions,**the**general conditions for framework contracts**for \nservices and the following annexes: \n\n**Annex I –** Tender specifications (reference No [*complete*] of [*insert date*]) \n\n**Annex II**– Contractor’s tender (reference No [*complete*] of [*insert date*]) \n\n**Annex III –**[Model for order forms] [and] [model for specific contracts] \n\n1", + "page_start": 0, + "page_end": 0, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "Commission and published on the website indicated below, applicable on the day when it \nissues the payment order. \n\nThe contractor makes any conversion between the euro and another currency at the \nmonthly accounting exchange rate, established by the Commission and published on the \nwebsite indicated below, applicable on the date of the invoice. \n\nhttp://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/inforeuro_en.cfm \n\n**II.21.4. Costs of transfer**\n\nThe costs of the transfer are borne as follows: \n\n(a) the contracting authority bears the costs of dispatch charged by its bank; \n(b) the contractor bears the costs of receipt charged by its bank; \n(c) the party causing repetition of the transfer bears the costs for repeated transfer. \n\nII.21.5. Pre-financing, performance and money retention guarantees \n\nIf, as provided for in Article I.6*,*a financial guarantee is required for the payment of pre- \nfinancing, as performance guarantee or as retention money guarantee, it must fulfil the \nfollowing conditions: \n\n(a) the financial guarantee is provided by a bank or a financial institution approved by \nthe contracting authority or, at the request of the contractor and with the \nagreement of the contracting authority, by a third party; and \n\n(b) the guarantee shall have the effect of making the bank or financial institution or the \nthird party provide irrevocable collateral security, or stand as first-call guarantor of \nthe contractor's obligations without requiring that the contracting authority has \nrecourse against the principal debtor (the contractor). \n\nThe contractor bears the cost of providing such guarantee. \n\nPre-financing guarantees must remain in force until the pre-financing is cleared against \ninterim payments or payment of the balance. Where the payment of the balance takes the \nform of a debit note, the pre-financing guarantee must remain in force for three months \nafter the debit note is sent to the contractor. The contracting authority must release the \nguarantee within the following month. \n\nPerformance guarantees cover compliance with substantial contractual obligations until the \ncontracting authority has given its final approval for the service. The performance \nguarantee must not exceed 10 % of the total price of the specific contract. The contracting \nauthority must release the guarantee fully after final approval of the service, as provided \nfor in the specific contract. \n\nRetention money guarantees cover full delivery of the service in accordance with the \nspecific contract including during the contract liability period and until its final approval by \nthe contracting authority. The retention money guarantee must not exceed 10 % of the \ntotal price of the specific contract. The contracting authority must release the guarantee \nafter the expiry of the contract liability period as provided for in the specific contract. \n\nThe contracting authority must not request a retention money guarantee for a specific \ncontract where it has requested a performance guarantee.", + "page_start": 33, + "page_end": 33, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "quality or continuity of the services. The parties may agree to draw up a transition plan \ndetailing the contractor’s assistance unless such plan is already detailed in other \ncontractual documents or in the tender specifications. The contractor must provide such \nassistance at no additional cost, except if it can demonstrate that it requires substantial \nadditional resources or means, in which case it must provide an estimate of the costs \ninvolved and the parties will negotiate an arrangement in good faith. \n\n**II.18.4. Effects of termination**\n\nThe contractor is liable for damage incurred by the contracting authority as a result of the \ntermination of the FWC or a specific contract, including the additional cost of appointing \nand contracting another contractor to provide or complete the services, except if the \ndamage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article \nII.18.2. The contracting authority may claim compensation for such damage. \n\nThe contractor is not entitled to compensation for any loss resulting from the termination \nof the FWC or a specific contract, including loss of anticipated profits, unless the loss was \ncaused by the situation specified in Article II.18.2. \n\nThe contractor must take all appropriate measures to minimise costs, prevent damage and \ncancel or reduce its commitments. \n\nWithin 60 days of the date of termination, the contractor must submit any report, \ndeliverable or*result*and any invoice required for services that were provided before the \ndate of termination. \n\nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific \ncontract with each member of the group separately on the basis of points (d), (e) or (g) \nof Article II.18.1, under the conditions set out in Article II.11.2 \n\n**II.19. Invoices, value added tax and e-invoicing**\n\n**II.19.1. Invoices and value added tax**\n\nInvoices must contain the contractor’s (or leader’s in the case of a joint tender) \nidentification data, the amount, the currency and the date, as well as the FWC reference \nand reference to the specific contract. \n\nInvoices must indicate the place of taxation of the contractor (or leader in the case of a \njoint tender) for value added tax (VAT) purposes and must specify separately amounts not \nincluding VAT and amounts including VAT. \n\nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance \nwith Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European \nUnion on the privileges and immunities of the European Union. \n\nThe contractor (or leader in the case of a joint tender) must complete the necessary \nformalities with the relevant authorities to ensure that the supplies and services required \nfor*implementation of the FWC*are exempt from taxes and duties, including VAT. \n\n**II.19.2. E-invoicing**\n\nIf provided for in the special conditions, the contractor (or leader in the case of a joint \ntender) submits invoices in electronic format if the conditions regarding electronic \nsignature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", + "page_start": 31, + "page_end": 31, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "OLAF’s own staff or by any outside body authorised to do so on its behalf. \n\nSuch checks and audits may be initiated at any moment during the provision of \nthe services and up to five years starting from the payment of the balance of the \nlast specific contract issued under this FWC \n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent \nby the contracting authority. Audits are carried out on a confidential basis. \n\n**II.24.2**The contractor must keep all original documents stored on any appropriate \nmedium, including digitised originals if authorised under national law, for a period \nof five years starting from the payment of the balance of the last specific contract \nissued under this FWC. \n\n**II.24.3**The contractor must grant the contracting authority’s staff and outside personnel \nauthorised by the contracting authority the appropriate right of access to sites and \npremises where the FWC is implemented and to all the information, including \ninformation in electronic format, needed to conduct such checks and audits. The \ncontractor must ensure that the information is readily available at the moment of \nthe check or audit and, if so requested, that information is handed over in an \nappropriate format. \n\n**II.24.4**On the basis of the findings made during the audit, a provisional report is drawn \nup. The contracting authority or its authorised representative must send it to the \ncontractor, who has 30 days following the date of receipt to submit observations. \nThe contractor must receive the final report within 60 days following the expiry of \nthe deadline to submit observations. \n\nOn the basis of the final audit findings, the contracting authority may recover all \nor part of the payments made in accordance with Article II.23 and may take any \nother measures which it considers necessary. \n\n**II.24.5**In accordance with Council Regulation (Euratom, EC) No 2185/96 of \n11 November 1996 concerning on-the-spot checks and inspection carried out by \nthe Commission in order to protect the European Communities’ financial interests \nagainst*fraud*and other*irregularities*and Regulation (EU, Euratom) No 883/2013 \nof the European Parliament and of the Council of 11 September 2013 concerning \ninvestigations conducted by the European Anti-Fraud Office, the European Anti- \nFraud Office may carry out investigations, including on the spot checks and \ninspections, to establish whether there has been*fraud*, corruption or any other \nillegal activity under the contract affecting the financial interests of the Union. \nFindings arising from an investigation may lead to criminal prosecution under \nnational law. \n\nThe investigations may be carried out at any moment during the provision of the \nservices and up to five years starting from the payment of the balance of the last \nspecific contract issued under this FWC. \n\n**II.24.6**The Court of Auditors, the European Public Prosecutor’s Office established by \nCouncil Regulation (EU) 2017/193977 (‘the EPPO’) and, for the processing of \npersonal data, the European Data Protection Supervisor have the same rights as \nthe contracting authority, particularly right of access, for the purpose of checks,", + "page_start": 37, + "page_end": 37, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "I.4.2. Period of provision of the services \n\nThe period for the provision of the services starts to run from the date on which the specific \ncontract is signed by the last party. \n\nI.4.3. Implementation of FWC in cascade \n\nThe FWC is implemented as follows: the contracting authority orders services by sending \na request for offer for a specific contract to the contractor who is ranked first in the cascade. \n\nWithin 5 working days (unless otherwise stated in the request for offer), the contractor \nmust either: \n\n(a) send the specific tender back to the contracting authority; or \n(b) send an explanation of why it cannot accept the order. \n\nIf the contractor does not accept the order or fails to observe the deadline or to submit an \nacceptable offer for the Agency, or if it is in a situation of conflicting interests that may \nnegatively affect the*performance of the specific contract*(see Article II.7), the contracting \nauthority may place the order with the next contractor on the cascade. \n\nIf the contractor repeatedly refuses to accept requests for offer or repeatedly fails to send \nthem back on time, the contractor may be considered in breach of its obligations under \nthis FWC as set out in Article II.18.1 (c). \n\nWithin a maximum of 5 working days of a specific contract or order form being sent by the \nAgency to the contractor, the Agency shall receive it back, duly signed and dated. The \nperiod allowed for the execution of the tasks shall start to run on the date of signature of \nthe specific contract or order form by both parties. \n\n**I.5. Prices**\n\n**I.5.1. Maximum amount of the FWC and maximum prices**\n\nThe maximum amount covering all purchases under this FWC, including all renewals and \nreimbursement of expenses is**EUR 1 000 000**(one million). However, this does not bind \nthe contracting authority to purchase for the maximum amount. \n\nThe maximum unit prices of the services are: \n\nSenior experts: \nExperts: [ ] EUR per man-day \n[ ] EUR per man-day \n\n**I.5.2. Price revision index**\n\nPrice revision is determined by the formula set out in Article II.20 and using the trend in \nthe harmonised indices of consumer prices (HICP) ‘Euro area (19 countries)’ published at \nhttp://ec.europa.eu/eurostat/web/hicp/data/database under HICP (2015 = 100) - monthly \ndata (index) (prc_hicp_midx).]", + "page_start": 5, + "page_end": 5, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "electronic signature or through electronic data interchange. \n\nReception of invoices by standard format (pdf) or email is not accepted. \n\n**II.20. Price revision**\n\nIf a price revision index is provided in Article I.5.2, this Article applies to it. \n\nPrices are fixed and not subject to revision during the first year of the FWC. \n\nAt the beginning of the second and every following year of the FWC, each price may be \nrevised upwards or downwards at the request of one of the parties. \n\nA party may request a price revision in writing no later than three months before the \nanniversary date of entry into force of the FWC. The other party must acknowledge the \nrequest within 14 days of receipt. \n\nAt the anniversary date, the contracting authority must communicate the final index for \nthe month in which the request was received, or failing that, the last provisional index \navailable for that month. The contractor establishes the new price on this basis and \ncommunicates it as soon as possible to the contracting authority for verification. \n\nThe contracting authority purchases on the basis of the prices in force at the date on which \nthe specific contract enters into force. \n\nThe price revision is calculated using the following formula: \n\nIr \n\nPr = Po x ( — ) \n\nIo \nwhere: Pr = revised price; \n\nPo = price in the tender; \n\nIo = index for the month in which the FWC enters into force; \n\nIr = index for the month in which the request to revise prices is received. \n\n**II.21. Payments and guarantees**\n\n**II.21.1. Date of payment**\n\nThe date of payment is deemed to be the date on which the contracting authority's account \nis debited. \n\n**II.21.2. Currency**\n\nPayments are made in euros, unless another currency is provided for in Article I.7. \n\n**II.21.3. Conversion**\n\nThe contracting authority makes any conversion between the euro and another currency \nat the daily euro exchange rate published in the Official Journal of the European Union, or \nfailing that, at the monthly accounting exchange rate, as established by the European", + "page_start": 32, + "page_end": 32, + "source_file": "EN-Draft FWC for services 0142.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Draft FWC for services 0142.pdf", + "query": "How can I get compensation if the european chemical agency terminates a contract we have ?", + "target_page": 11, + "target_passage": "If the FWC or a specific contract is terminated: a) neither party is entitled to compensation", + "chunk_present": { + "presence": true, + "index": 9 + } + }, + "top_chunk": [ + { + "text": "**No [*complete*]**\n\n**implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this specific contract by [*forename, surname, function,*\n*department of authorising officer*], \n\nand \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n|---|---|---|\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n| tender | | ] |\n\n\n[*repeat these data as many times as there are contractors in case of joint tender and*\n*continue numbering*] \n\n| collectively | ] \"the contractor\"), represented for the purposes of |\n|---|---|\n| collectively | ] \"the contractor\"), represented for the purposes of |\n| ntract by [ | forename, surname and function of legal representative |", + "page_start": 42, + "page_end": 42, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "*a specific contract*or any part of it: \n\n(a) if the procedure for awarding the FWC or a specific contract or the*implementation of*\n*the FWC*proves to have been subject to*irregularities, fraud or breach of obligations*; \n\n(b) in order to verify whether the presumed*irregularities, fraud*or*breach of obligations*\nhave actually occurred. \n\nThe contracting authority must*formally notify*the contractor of the suspension and the \nreasons for it. Suspension takes effect on the date of*formal notification*, or at a later date \nif the*formal notification*so provides. \n\nThe contracting authority must*notify*the contractor as soon as the verification is \ncompleted whether: \n\n(a) it is lifting the suspension; or \n(b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or \n(j). \n\nThe contractor is not entitled to compensation for suspension of any part of the FWC or a \nspecific contract. \n\nThe contracting authority may in addition suspend the time allowed for payments in \naccordance with Article II.21.7. \n\n**II.18. Termination of the FWC**\n\n**II.18.1. Grounds for termination by the contracting authority**\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the \nfollowing circumstances: \n\n(a) if provision of the services under an on-going specific contract has not actually \nstarted within 15 days of the scheduled date and the contracting authority considers \nthat the new date proposed, if any, is unacceptable, taking into account \nArticle II.11.2; \n\n(b) if the contractor is unable, through its own fault, to obtain any permit or licence \n\nrequired for*implementation of the FWC*; \n\n(c) if the contractor does not implement the FWC or perform the specific contract in \naccordance with the tender specifications or*request for service*or is in breach of \nanother substantial contractual obligation or repeatedly refuses to sign specific \ncontracts. Termination of three or more specific contracts in these circumstances \nalso constitutes grounds for termination of the FWC; \n\n(d) if the contractor or any person that assumes unlimited liability for the debts of the \ncontractor is in one of the situations provided for in points (a) and (b) of Article \n136(1) of the Financial Regulation6; \n\n(e) if the contractor or any*related person*is in one of the situations provided for in \npoints (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation; \n(f) if the procedure for awarding the FWC or the*implementation of the FWC*prove to \n\nhave been subject to*irregularities*,*fraud*or*breach of obligations*; \n\n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the \nfinancial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) \nNo 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No \n223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No \n966/2012, \nhttps://eur-lex.europa.eu/legal- \ncontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG \nOJ", + "page_start": 29, + "page_end": 29, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "quality or continuity of the services. The parties may agree to draw up a transition plan \ndetailing the contractor’s assistance unless such plan is already detailed in other \ncontractual documents or in the tender specifications. The contractor must provide such \nassistance at no additional cost, except if it can demonstrate that it requires substantial \nadditional resources or means, in which case it must provide an estimate of the costs \ninvolved and the parties will negotiate an arrangement in good faith. \n\n**II.18.4. Effects of termination**\n\nThe contractor is liable for damage incurred by the contracting authority as a result of the \ntermination of the FWC or a specific contract, including the additional cost of appointing \nand contracting another contractor to provide or complete the services, except if the \ndamage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article \nII.18.2. The contracting authority may claim compensation for such damage. \n\nThe contractor is not entitled to compensation for any loss resulting from the termination \nof the FWC or a specific contract, including loss of anticipated profits, unless the loss was \ncaused by the situation specified in Article II.18.2. \n\nThe contractor must take all appropriate measures to minimise costs, prevent damage and \ncancel or reduce its commitments. \n\nWithin 60 days of the date of termination, the contractor must submit any report, \ndeliverable or*result*and any invoice required for services that were provided before the \ndate of termination. \n\nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific \ncontract with each member of the group separately on the basis of points (d), (e) or (g) \nof Article II.18.1, under the conditions set out in Article II.11.2 \n\n**II.19. Invoices, value added tax and e-invoicing**\n\n**II.19.1. Invoices and value added tax**\n\nInvoices must contain the contractor’s (or leader’s in the case of a joint tender) \nidentification data, the amount, the currency and the date, as well as the FWC reference \nand reference to the specific contract. \n\nInvoices must indicate the place of taxation of the contractor (or leader in the case of a \njoint tender) for value added tax (VAT) purposes and must specify separately amounts not \nincluding VAT and amounts including VAT. \n\nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance \nwith Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European \nUnion on the privileges and immunities of the European Union. \n\nThe contractor (or leader in the case of a joint tender) must complete the necessary \nformalities with the relevant authorities to ensure that the supplies and services required \nfor*implementation of the FWC*are exempt from taxes and duties, including VAT. \n\n**II.19.2. E-invoicing**\n\nIf provided for in the special conditions, the contractor (or leader in the case of a joint \ntender) submits invoices in electronic format if the conditions regarding electronic \nsignature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", + "page_start": 31, + "page_end": 31, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n**NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this framework contract by [*forename, surname, function,*\n*directorate of authorising officer*], \n\nof the one part and \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n|---|---|---|\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n| joint tender | | ] |\n\n\n[*For joint tenders,*r*epeat these data as many times as there are contractors and continue*\n*numbering*] \n\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n|---|---|---|\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n| company in the case of a joint tender | | ], |\n\n\non the other part, \n\nto the**special conditions,**the**general conditions for framework contracts**for \nservices and the following annexes: \n\n**Annex I –** Tender specifications (reference No [*complete*] of [*insert date*]) \n\n**Annex II**– Contractor’s tender (reference No [*complete*] of [*insert date*]) \n\n**Annex III –**[Model for order forms] [and] [model for specific contracts] \n\n1", + "page_start": 0, + "page_end": 0, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "(g) if the contractor does not comply with applicable obligations under environmental, \nsocial and labour law established by Union law, national law, collective agreements \nor by the international environmental, social and labour law provisions listed in \nAnnex X to Directive 2014/24/EU; \n\n(h) if the contractor is in a situation that could constitute a*conflict of interest*or a \n\n*professional conflicting interest*as referred to in Article II.7; \n\n(i) if a change to the contractor’s legal, financial, technical, organisational or ownership \nsituation is likely to substantially affect the*implementation of the FWC*or \nsubstantially modify the conditions under which the FWC was initially awarded; \n(j) in the event of*force majeure*, where either resuming implementation is impossible \nor the necessary ensuing amendments to the FWC or a specific contract would mean \nthat the tender specifications are no longer fulfilled or result in unequal treatment \nof tenderers or contractors; \n\n(k) if the needs of the contracting authority change and it no longer requires new \nservices under the FWC; in such cases ongoing specific contracts remain unaffected; \n(l) if the termination of the FWC with one or more of the contractors means that the \nmultiple FWC with reopening of competition no longer has the minimum required \nlevel of competition; \n\n(m) if the contractor is in breach of the data protection obligations resulting from \n\nArticle II.9.2; \n\n(n) if the contractor does not comply with the applicable data protection obligations \nresulting from Regulation (EU) 2016/679. \n\n**II.18.2. Grounds for termination by the contractor**\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting \nauthority fails to comply with its obligations, in particular the obligation to provide the \ninformation needed for the contractor to implement the FWC or to perform a specific \ncontract as provided for in the tender specifications. \n\n**II.18.3. Procedure for termination**\n\nA party must*formally notify*the other party of its intention to terminate the FWC or a \nspecific contract and the grounds for termination. \n\nThe other party has 30 days following the date of receipt to submit observations, including \nthe measures it has taken or will take to continue fulfilling its contractual obligations. \nFailing that, the decision to terminate becomes enforceable the day after the time limit for \nsubmitting observations has elapsed. \n\nIf the other party submits observations, the party intending to terminate must*formally*\n*notify*it either of the withdrawal of its intention to terminate or of its final decision to \nterminate. \n\nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in \nArticle II.18.2, the date on which the termination takes effect must be specified in the \n*formal notification*. \n\nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes \neffect on the day following the date on which the contractor receives*notification*of \ntermination. \n\nIn addition, at the request of the contracting authority and regardless of the grounds for \ntermination, the contractor must provide all necessary assistance, including information, \ndocuments and files, to allow the contracting authority to complete, continue or transfer \nthe services to a new contractor or internally, without interruption or adverse effect on the", + "page_start": 30, + "page_end": 30, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "I am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] \nconcerning intellectual property rights and exploitation of the results and I confirm that I \ntransferred all the relevant rights to [*insert name of contractor or other intermediary right*\n*holder*]. \n\nI declare that [I have received full remuneration] [I agreed to receive remuneration by \n[*insert date*]]. \n\n[As creator, I also confirm that I do not object to the following: \n\n(a) that my name be mentioned or not mentioned when the results are presented to \n\nthe public; \n\n(b) that the results be divulged or not after they have been delivered in their final \n\nversion to the contracting authority; \n\n(c) that the results be adapted, provided that this is done in a manner which is not \nprejudicial to my honour or reputation.] \n\nDate, place, signature", + "page_start": 48, + "page_end": 48, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**II.16. Reduction in price**\n\n**II.16.1. Quality standards**\n\nIf the contractor fails to provide the service in accordance with the FWC or a specific \ncontract (‘unperformed obligations’) or if it fails to provide the service in accordance with \nthe expected quality levels specified in the tender specifications (‘low quality delivery’), the \ncontracting authority may reduce or recover payments proportionally to the seriousness of \nthe unperformed obligations or low quality delivery. This includes in particular cases where \nthe contracting authority cannot approve a*result*, report or deliverable as defined in Article \nI.6 after the contractor has submitted the required additional information, correction or \nnew version. \n\nA reduction in price may be imposed together with liquidated damages under the conditions \nof Article II.15. \n\n**II.16.2. Procedure**\n\nThe contracting authority must*formally notify*the contractor of its intention to reduce \npayment and the corresponding calculated amount. \n\nThe contractor has 30 days following the date of receipt to submit observations. Failing \nthat, the decision becomes enforceable the day after the time limit for submitting \nobservations has elapsed. \n\nIf the contractor submits observations, the contracting authority, taking into account the \nrelevant observations, must*notify*the contractor: \n\n(a) of the withdrawal of its intention to reduce payment; or \n\n(b) of its final decision to reduce payment and the corresponding amount,. \n\n**II.16.3. Claims and liability**\n\nAny reduction in price does not affect the contractor’s actual or potential liability or the \ncontracting authority’s rights under Article II.18. \n\n**II.17. Suspension of the implementation of the FWC**\n\n**II.17.1. Suspension by the contractor**\n\nIf the contractor is affected by*force majeure*, it may suspend the provision of the services \nunder a specific contract. \n\nThe contractor must immediately*notify*the contracting authority of the suspension. The \n*notification*must include a description of the*force majeure*and state when the contractor \nexpects to resume the provision of services. \n\nThe contractor must*notify*the contracting authority as soon as it is able to resume \n*performance of the specific contract*, unless the contracting authority has already \nterminated the FWC or the specific contract. \n\n**II.17.2. Suspension by the contracting authority**\n\nThe contracting authority may suspend the*implementation of the FWC*or*performance of*", + "page_start": 28, + "page_end": 28, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**II.21.6. Interim payments and payment of the balance**\n\nThe contractor (or leader in the case of a joint tender) must send an invoice for interim \npayment, as provided for in Article I.6 or in the tender specifications or in the specific \ncontract. \n\nThe contractor (or leader in the case of a joint tender) must send an invoice for payment \nof the balance within 60 days of the end of the period of provision of the services, as \nprovided for in Article I.6, in the tender specifications or in the specific contract. \n\nPayment of the invoice and approval of documents does not imply recognition of the \nregularity, authenticity, completeness and correctness of the declarations and information \nthey contain. \n\nPayment of the balance may take the form of recovery. \n\n**II.21.7. Suspension of the time allowed for payment**\n\nThe contracting authority may suspend the payment periods specified in Article I.6 at any \ntime by*notifying*the contractor (or leader in the case of a joint tender) that its invoice \ncannot be processed. The reasons the contracting authority may cite for not being able to \nprocess an invoice are: \n\n(a) because it does not comply with the FWC; \n(b) because the contractor has not produced the appropriate documents or \n\ndeliverables; or \n\n(c) because the contracting authority has observations on the documents or \ndeliverables submitted with the invoice. \n\nThe contracting authority must*notify*the contractor (or leader in the case of joint tender) \nas soon as possible of any such suspension, giving the reasons for it. In cases b) and c) \nreferred above, the contracting authority shall notify the contractor (or leader in case of a \njoint tender) the time limits to submit additional information or corrections or a new version \nof the documents or deliverables if the contracting authority requires it. \n\nSuspension takes effect on the date the contracting authority sends the*notification*. The \nremaining payment period resumes from the date on which the requested information or \nrevised documents are received or the necessary further verification, including on-the-spot \nchecks, is carried out. Where the suspension period exceeds two months, the contractor \n(or leader in the case of a joint tender) may request the contracting authority to justify the \ncontinued suspension. \n\nWhere the payment periods have been suspended following rejection of a document \nreferred to in the first paragraph of this Article and the new document produced is also \nrejected, the contracting authority reserves the right to terminate the specific contract in \naccordance with Article II.18.1(c)*.*\n\n**II.21.8. Interest on late payment**\n\nOn expiry of the payment periods specified in Article I.6, the contractor (or leader in the \ncase of a joint tender) is entitled to interest on late payment at the rate applied by the \nEuropean Central Bank for its main refinancing operations in euros (the reference rate) \nplus eight points. The reference rate is the rate in force, as published in the C series of the \n*Official Journal of the European Union,*on the first day of the month in which the payment \nperiod ends.", + "page_start": 34, + "page_end": 34, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "HAVE AGREED \n\n**I.1.1.1.1.**Article 1 Subject matter \n\n**1.1**\n\nThis specific contract implements framework contract (FWC) No ECHA/2019/355 \nsigned by the parties on [*complete date*]*.*\n\n**1.2**\n\n| their | | ] annex[ | es | ], wh |\n|---|---|---|---|---|\n| their | | ] annex[ | es | ], wh |\n| e [ | following services | | | |\n\n\n**I.1.1.1.2.**Article 2 Entry into force and duration \n\n**2.1** This specific contract enters into force on the date on which the last party signs it. \n\n**2.2**\nThe provision of the services starts from the date of entry into force of this specific \ncontract. \n\n**2.3**\n\nThe provision of the services must not exceed [*complete*]**[**days] [months**]**. The \nparties may extend the duration by written agreement before it elapses and before \nexpiry of the FWC. \n\n**I.1.1.1.3.**Article 3 Price \n\n**3.1**\n\nThe price payable under this specific contract excluding reimbursement of expenses \nis EUR [*amount in figures and in words*]. \n\n| [ | The maximum amount covering all services to be provided under this specific | |\n|---|---|---|\n| [ | The maximum amount covering all services to be provided under this specific | |\n| contract including reimbursement of expenses and excluding price revision is EUR | | |\n| [ | amount in figures and in words | ].] |\n\n\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n|---|---|---|---|---|---|---|---|\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n| maximum amount, up to EUR | | [ | amount in figures and in words | ] | is earmarked for | | |\n| expenses, which must be reimbursed in accordance with the FWC] | | | | | . | | |\n\n\n**3.2**\n\n***\n\n**I.1.1.1.4.**Article 4 communication details \n\nFor the purpose of this specific contract, communications must be sent to the following \naddresses: \n\nContracting authority:", + "page_start": 43, + "page_end": 43, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**I.10.3. Provision of list of pre-existing rights and documentary evidence**\n\nThe contractor must provide the contracting authority with a list of*pre-existing rights*as \nset out in Article II.13.4 together with the invoice for payment of the balance at the latest. \n\n**I.11. Termination by either party2**\n\nEither party may terminate the FWC and/or the FWC and specific contracts by sending \n*formal notification*to the other party with three months written notice. \n\nIf the FWC or a specific contract is terminated: \n\na) neither party is entitled to compensation; \n\nb) the contractor is entitled to payment only for the services provided before \ntermination takes effect. \n\nThe second, third and fourth paragraphs of Article II.18.4 apply. \n\n**I.12. Applicable law and settlement of disputes**\n\n**I.12.1**The FWC is governed by Union law, complemented, where necessary, by the law of \n\nFinland. \n\n**I.12.2**The courts of Finland have exclusive jurisdiction over any dispute regarding the \n\ninterpretation, application or validity of the FWC. \n\n**I.13. Interinstitutional FWC**\n\nNot applicable \n\n**I.14. Service provided on the premises of the contracting authority**\n\nNot applicable. \n\n**I.15. Other special conditions**\n\nElectronic documents exchange \n\nIt is intended that the documents exchange (e.g. invoices, deliverables) between the \nAgency and the Contractor will have to be carried out via electronic means. \n\nAt the request of the Agency, the use of such electronic applications will become \nmandatory, upon mutual agreement, during the performance of the contract, at no \nadditional cost for the Agency.", + "page_start": 10, + "page_end": 10, + "source_file": "EN-Draft FWC for services 0142.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Draft FWC for services 0142.pdf", + "query": "According to the european chemical agency contracts, what is considers a grave professional misconduct ?", + "target_page": 14, + "target_passage": "'Grave professional misconduct': a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Union budget, ii) the non-disclosure of information in violation of a specific obligation, with \nthe same effect or iii) the misapplication of such funds or assets for purposes other than \nthose for which they were originally granted, which damages the Union's financial interests; \n\n**'Grave professional misconduct':**a violation of applicable laws or regulations or ethical \nstandards of the profession to which a contractor or a related person belongs, including \nany conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of \nthe contractor or a related person which has an impact on its professional credibility where \nsuch conduct denotes wrongful intent or gross negligence. \n\n**‘Implementation of the FWC’**: the purchase of services envisaged in the FWC through \nthe signature and*performance of specific contracts*; \n\n**‘Interface control document’**: the guideline document which lays down the technical \nspecifications, message standards, security standards, checks of syntax and semantics, \netc. to facilitate machine-to-machine connection. This document is updated on a regular \nbasis; \n\n**‘Irregularity’**: any infringement of a provision of Union law resulting from an act or \nomission by an economic operator, which has, or would have, the effect of prejudicing the \nUnion’s budget. \n\n**‘Notification’**(or ‘notify’): form of communication between the parties made in writing \nincluding by electronic means; \n\n**‘Order form’**: a simplified form of specific contract by which the contracting authority \norders services under this FWC; \n\n**‘Performance of a specific contract’**: the execution of tasks and delivery of the \npurchased services by the contractor to the contracting authority; \n\n**‘Personnel’**: persons employed directly or indirectly or contracted by the contractor to \nimplement the FWC; \n\n**‘Pre-existing material’**: any material, document, technology or know-how which exists \nprior to the contractor using it for the production of a*result*in the*implementation of the*\n*FWC*; \n\n**‘Pre-existing right’**: any industrial and intellectual property right on*pre-existing*\n*material*; it may consist in a right of ownership, a licence right and/or right of use belonging \nto the contractor, the*creator*, the contracting authority as well as to any other third \nparties; \n\n**‘Professional conflicting interest’**: a situation in which the contractor’s previous or \nongoing professional activities affect its capacity to implement the FWC or to perform a \nspecific contract to an appropriate quality standard. \n\n**‘Related person’**: any natural or legal person who is a member of the administrative, \nmanagement or supervisory body of the contractor, or who has powers of representation, \ndecision or control with regard to the contractor; \n\n**‘Request for services’**: a document from the contracting authority requesting that the \ncontractors in a multiple FWC with re-opening of competition provide a specific tender for \nservices whose terms are not entirely defined under the FWC;", + "page_start": 13, + "page_end": 13, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**No [*complete*]**\n\n**implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this specific contract by [*forename, surname, function,*\n*department of authorising officer*], \n\nand \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n|---|---|---|\n| [ | appointed as leader of the group by the members of the group that submitted the joint | |\n| tender | | ] |\n\n\n[*repeat these data as many times as there are contractors in case of joint tender and*\n*continue numbering*] \n\n| collectively | ] \"the contractor\"), represented for the purposes of |\n|---|---|\n| collectively | ] \"the contractor\"), represented for the purposes of |\n| ntract by [ | forename, surname and function of legal representative |", + "page_start": 42, + "page_end": 42, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n**NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this framework contract by [*forename, surname, function,*\n*directorate of authorising officer*], \n\nof the one part and \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n|---|---|---|\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n| joint tender | | ] |\n\n\n[*For joint tenders,*r*epeat these data as many times as there are contractors and continue*\n*numbering*] \n\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n|---|---|---|\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n| company in the case of a joint tender | | ], |\n\n\non the other part, \n\nto the**special conditions,**the**general conditions for framework contracts**for \nservices and the following annexes: \n\n**Annex I –** Tender specifications (reference No [*complete*] of [*insert date*]) \n\n**Annex II**– Contractor’s tender (reference No [*complete*] of [*insert date*]) \n\n**Annex III –**[Model for order forms] [and] [model for specific contracts] \n\n1", + "page_start": 0, + "page_end": 0, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "OLAF’s own staff or by any outside body authorised to do so on its behalf. \n\nSuch checks and audits may be initiated at any moment during the provision of \nthe services and up to five years starting from the payment of the balance of the \nlast specific contract issued under this FWC \n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent \nby the contracting authority. Audits are carried out on a confidential basis. \n\n**II.24.2**The contractor must keep all original documents stored on any appropriate \nmedium, including digitised originals if authorised under national law, for a period \nof five years starting from the payment of the balance of the last specific contract \nissued under this FWC. \n\n**II.24.3**The contractor must grant the contracting authority’s staff and outside personnel \nauthorised by the contracting authority the appropriate right of access to sites and \npremises where the FWC is implemented and to all the information, including \ninformation in electronic format, needed to conduct such checks and audits. The \ncontractor must ensure that the information is readily available at the moment of \nthe check or audit and, if so requested, that information is handed over in an \nappropriate format. \n\n**II.24.4**On the basis of the findings made during the audit, a provisional report is drawn \nup. The contracting authority or its authorised representative must send it to the \ncontractor, who has 30 days following the date of receipt to submit observations. \nThe contractor must receive the final report within 60 days following the expiry of \nthe deadline to submit observations. \n\nOn the basis of the final audit findings, the contracting authority may recover all \nor part of the payments made in accordance with Article II.23 and may take any \nother measures which it considers necessary. \n\n**II.24.5**In accordance with Council Regulation (Euratom, EC) No 2185/96 of \n11 November 1996 concerning on-the-spot checks and inspection carried out by \nthe Commission in order to protect the European Communities’ financial interests \nagainst*fraud*and other*irregularities*and Regulation (EU, Euratom) No 883/2013 \nof the European Parliament and of the Council of 11 September 2013 concerning \ninvestigations conducted by the European Anti-Fraud Office, the European Anti- \nFraud Office may carry out investigations, including on the spot checks and \ninspections, to establish whether there has been*fraud*, corruption or any other \nillegal activity under the contract affecting the financial interests of the Union. \nFindings arising from an investigation may lead to criminal prosecution under \nnational law. \n\nThe investigations may be carried out at any moment during the provision of the \nservices and up to five years starting from the payment of the balance of the last \nspecific contract issued under this FWC. \n\n**II.24.6**The Court of Auditors, the European Public Prosecutor’s Office established by \nCouncil Regulation (EU) 2017/193977 (‘the EPPO’) and, for the processing of \npersonal data, the European Data Protection Supervisor have the same rights as \nthe contracting authority, particularly right of access, for the purpose of checks,", + "page_start": 37, + "page_end": 37, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "(g) if the contractor does not comply with applicable obligations under environmental, \nsocial and labour law established by Union law, national law, collective agreements \nor by the international environmental, social and labour law provisions listed in \nAnnex X to Directive 2014/24/EU; \n\n(h) if the contractor is in a situation that could constitute a*conflict of interest*or a \n\n*professional conflicting interest*as referred to in Article II.7; \n\n(i) if a change to the contractor’s legal, financial, technical, organisational or ownership \nsituation is likely to substantially affect the*implementation of the FWC*or \nsubstantially modify the conditions under which the FWC was initially awarded; \n(j) in the event of*force majeure*, where either resuming implementation is impossible \nor the necessary ensuing amendments to the FWC or a specific contract would mean \nthat the tender specifications are no longer fulfilled or result in unequal treatment \nof tenderers or contractors; \n\n(k) if the needs of the contracting authority change and it no longer requires new \nservices under the FWC; in such cases ongoing specific contracts remain unaffected; \n(l) if the termination of the FWC with one or more of the contractors means that the \nmultiple FWC with reopening of competition no longer has the minimum required \nlevel of competition; \n\n(m) if the contractor is in breach of the data protection obligations resulting from \n\nArticle II.9.2; \n\n(n) if the contractor does not comply with the applicable data protection obligations \nresulting from Regulation (EU) 2016/679. \n\n**II.18.2. Grounds for termination by the contractor**\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting \nauthority fails to comply with its obligations, in particular the obligation to provide the \ninformation needed for the contractor to implement the FWC or to perform a specific \ncontract as provided for in the tender specifications. \n\n**II.18.3. Procedure for termination**\n\nA party must*formally notify*the other party of its intention to terminate the FWC or a \nspecific contract and the grounds for termination. \n\nThe other party has 30 days following the date of receipt to submit observations, including \nthe measures it has taken or will take to continue fulfilling its contractual obligations. \nFailing that, the decision to terminate becomes enforceable the day after the time limit for \nsubmitting observations has elapsed. \n\nIf the other party submits observations, the party intending to terminate must*formally*\n*notify*it either of the withdrawal of its intention to terminate or of its final decision to \nterminate. \n\nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in \nArticle II.18.2, the date on which the termination takes effect must be specified in the \n*formal notification*. \n\nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes \neffect on the day following the date on which the contractor receives*notification*of \ntermination. \n\nIn addition, at the request of the contracting authority and regardless of the grounds for \ntermination, the contractor must provide all necessary assistance, including information, \ndocuments and files, to allow the contracting authority to complete, continue or transfer \nthe services to a new contractor or internally, without interruption or adverse effect on the", + "page_start": 30, + "page_end": 30, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "*a specific contract*or any part of it: \n\n(a) if the procedure for awarding the FWC or a specific contract or the*implementation of*\n*the FWC*proves to have been subject to*irregularities, fraud or breach of obligations*; \n\n(b) in order to verify whether the presumed*irregularities, fraud*or*breach of obligations*\nhave actually occurred. \n\nThe contracting authority must*formally notify*the contractor of the suspension and the \nreasons for it. Suspension takes effect on the date of*formal notification*, or at a later date \nif the*formal notification*so provides. \n\nThe contracting authority must*notify*the contractor as soon as the verification is \ncompleted whether: \n\n(a) it is lifting the suspension; or \n(b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or \n(j). \n\nThe contractor is not entitled to compensation for suspension of any part of the FWC or a \nspecific contract. \n\nThe contracting authority may in addition suspend the time allowed for payments in \naccordance with Article II.21.7. \n\n**II.18. Termination of the FWC**\n\n**II.18.1. Grounds for termination by the contracting authority**\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the \nfollowing circumstances: \n\n(a) if provision of the services under an on-going specific contract has not actually \nstarted within 15 days of the scheduled date and the contracting authority considers \nthat the new date proposed, if any, is unacceptable, taking into account \nArticle II.11.2; \n\n(b) if the contractor is unable, through its own fault, to obtain any permit or licence \n\nrequired for*implementation of the FWC*; \n\n(c) if the contractor does not implement the FWC or perform the specific contract in \naccordance with the tender specifications or*request for service*or is in breach of \nanother substantial contractual obligation or repeatedly refuses to sign specific \ncontracts. Termination of three or more specific contracts in these circumstances \nalso constitutes grounds for termination of the FWC; \n\n(d) if the contractor or any person that assumes unlimited liability for the debts of the \ncontractor is in one of the situations provided for in points (a) and (b) of Article \n136(1) of the Financial Regulation6; \n\n(e) if the contractor or any*related person*is in one of the situations provided for in \npoints (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation; \n(f) if the procedure for awarding the FWC or the*implementation of the FWC*prove to \n\nhave been subject to*irregularities*,*fraud*or*breach of obligations*; \n\n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the \nfinancial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) \nNo 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No \n223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No \n966/2012, \nhttps://eur-lex.europa.eu/legal- \ncontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG \nOJ", + "page_start": 29, + "page_end": 29, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "Print ISBN 978-92-9479-934-0 doi: 10.2802/26873 \n\nPDF ISBN 978-92-9479-935-7 doi: 10.2802/56459 \n\n© European Agency for Safety and Health at Work, 2023 \n\nReproduction is authorised provided the source is acknowledged. \n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and \nHealth at Work, permission must be sought directly from the copyright holders. \n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or \ncompliance with legislative requirements. \n\nFor one-click access to websites and references please consult the online version of this publication \nhttps://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", + "page_start": 1, + "page_end": 1, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "The contractor shall assist the controller for the fulfilment of its obligations pursuant to \nArticle 33 to 41 under Regulation (EU) 2018/1725 to: \n\n(a) ensure compliance with its data protection obligations regarding the security of the \nprocessing, and the confidentiality of electronic communications and directories of users; \n(b) notify a personal data breach to the European Data Protection Supervisor; (c) \ncommunicate a personal data breach without undue delay to the data subject, where \napplicable; (d) carry out data protection impact assessments and prior consultations as \nnecessary. \n\nThe contractor shall maintain a record of all data processing operations carried on behalf \nof the controller, transfers of personal data, security breaches, responses to requests for \nexercising rights of people whose personal data is processed and requests for access to \npersonal data by third parties. \n\nThe contracting authority is subject to Protocol 7 of the Treaty on the Functioning of the \nEuropean Union on the privileges and immunities of the European Union, particularly as \nregards the inviolability of archives (including the physical location of data and services as \nset out in Article I.9.2) and data security, which includes personal data held on behalf of \nthe contracting authority in the premises of the contractor or subcontractor. \n\nThe contractor shall notify the contracting authority without delay of any legally binding \nrequest for disclosure of the personal data processed on behalf of the contracting authority \nmade by any national public authority, including an authority from a third country. The \ncontractor may not give such access without the prior written authorisation of the \ncontracting authority. \n\nThe duration of processing of personal data by the contractor will not exceed the period \nreferred to in Article II.24.2. Upon expiry of this period, the contractor shall, at the choice \nof the controller, return, without any undue delay in a commonly agreed format, all \npersonal data processed on behalf of the controller and the copies thereof or shall \neffectively delete all personal data unless Union or national law requires a longer storage \nof personal data. \n\nFor the purpose of Article II.10, if part or all of the processing of personal data is \nsubcontracted to a third party, the contractor shall pass on the obligations referred to in \nArticles I.9.2 and II.9.2 in writing to those parties, including subcontractors. At the request \nof the contracting authority, the contractor shall provide a document providing evidence of \nthis commitment. \n\n**II.10. Subcontracting**\n\n**II.10.1**The contractor must not subcontract and have the FWC implemented by third \nparties beyond the third parties already mentioned in its tender without prior \nwritten authorisation from the contracting authority. \n\n**II.10.2**Even if the contracting authority authorises subcontracting, the contractor remains \nbound by its contractual obligations and is solely responsible for the \n*implementation of the FWC*. \n\n**II.10.3**The contractor must ensure that the subcontract does not affect the rights of the \ncontracting authority under this FWC, particularly those under Articles II.8, II.13 \nand II.24. \n\n**II.10.4**The contracting authority may request the contractor to replace a subcontractor \n\n22", + "page_start": 21, + "page_end": 21, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "particularly dangerous work environments like road maintenance, combined with better organisational \nmeasures; quality systems that promote continuous repair and maintenance of tools; regular instructions \nby safety representatives and safety coordinators, and guarantee of minimum safety standards of \nmachines and products by European standards like CE and CEE. \n\n\n\nk \nc \no \nt \nS \ne \nb \no \nd \nA \n\n/ \nt \na \nw \na \nn \na \nT \n© \n\nIf an accident takes place, the technical and organisational measures were either not perfect for all \nconceivable situations or not fully implemented. Based on ESAW, Eurostat analysed the**physical**\n**activities per sector**that trigger non-fatal and fatal accidents at work in the EU27 (in 2019).127 \n\n**Table 14: Accidents at work by physical activity 2019 – Eurostat**", + "page_start": 62, + "page_end": 62, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "HAVE AGREED \n\n**I.1.1.1.1.**Article 1 Subject matter \n\n**1.1**\n\nThis specific contract implements framework contract (FWC) No ECHA/2019/355 \nsigned by the parties on [*complete date*]*.*\n\n**1.2**\n\n| their | | ] annex[ | es | ], wh |\n|---|---|---|---|---|\n| their | | ] annex[ | es | ], wh |\n| e [ | following services | | | |\n\n\n**I.1.1.1.2.**Article 2 Entry into force and duration \n\n**2.1** This specific contract enters into force on the date on which the last party signs it. \n\n**2.2**\nThe provision of the services starts from the date of entry into force of this specific \ncontract. \n\n**2.3**\n\nThe provision of the services must not exceed [*complete*]**[**days] [months**]**. The \nparties may extend the duration by written agreement before it elapses and before \nexpiry of the FWC. \n\n**I.1.1.1.3.**Article 3 Price \n\n**3.1**\n\nThe price payable under this specific contract excluding reimbursement of expenses \nis EUR [*amount in figures and in words*]. \n\n| [ | The maximum amount covering all services to be provided under this specific | |\n|---|---|---|\n| [ | The maximum amount covering all services to be provided under this specific | |\n| contract including reimbursement of expenses and excluding price revision is EUR | | |\n| [ | amount in figures and in words | ].] |\n\n\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n|---|---|---|---|---|---|---|---|\n| [ | Reimbursement of expenses is not applicable to this specific contract | | | | | .] [ | Within the |\n| maximum amount, up to EUR | | [ | amount in figures and in words | ] | is earmarked for | | |\n| expenses, which must be reimbursed in accordance with the FWC] | | | | | . | | |\n\n\n**3.2**\n\n***\n\n**I.1.1.1.4.**Article 4 communication details \n\nFor the purpose of this specific contract, communications must be sent to the following \naddresses: \n\nContracting authority:", + "page_start": 43, + "page_end": 43, + "source_file": "EN-Draft FWC for services 0142.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_GLW_2002.pdf", + "query": "What or Corning's corporate values ?", + "target_page": 12, + "target_passage": "Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "C O R P O R A T E V A L U E S : \nCorning’s Values provide an unchanging moral and ethical \ncompass that guides the actions of everyone in the company. The \ncorporate values are: Quality, Integrity, Performance, Leadership, \nInnovation, Independence, and The Individual. \n\nT O T A L Q U A L I T Y : \nIn alignment with the quality policy of the corporation, our policy is \nto achieve Total Quality performance. Total Quality performance \nmeans understanding who the customer is, what the requirements \nare, and meeting those requirements better than anyone else, \nwithout error, on time, every time.", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| S C I E N C E & | |\n|---|---|\n| S C I E N C E & | |\n| | Corning’s long history of extraordinary innovation continues in the context of managing the sensitive balance between the near-term alignment of R&D and business objectives, and longer-range discovery research and new opportunity creation. Over the past year, we adjusted our R&D spending to align with business conditions. At the same time, we carefully preserved our core technology capabilities to ensure our capacity to lead our markets and create life-changing innovations. We have tightened our focus on high-impact projects and have streamlined our processes to develop and commercialize promising opportunities more quickly and efficiently. We have emphasized our patent processes to ensure strong competitive positions from the critical intellectual assets of our scientific organization. Our R&D organization is aligned with our operating goals and plays a critical role in meeting them. Our scientists and engineers are closely linked to our operations and are focused not only on new product development, but also new process development. They are discovering new ways to manufacture innovative products with lowered cost and increased quality performance. Innovation is one of Corning’s core Values. It is the everyday language and mindset of the company. Even in the face of difficult economic conditions, we will pursue our tradition of developing breakthrough technologies for the markets we serve — from telecommunications to environmental — and will capitalize on the creation of new market opportunities made possible by our strong commitment to research and development. |\n| C R I T I C A L T E C H N O L O G I E S : C | |\n| | |\n| M A T E R I A L S R E S E A R C H | |", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| | | | C H N O L O G I E S | | | |\n|---|---|---|---|---|---|---|\n| | | | Corning’s historical success stems from its foundation as an inno- vative technology company. Our diverse portfolio of businesses spans a wide range of markets, and this is one of the main reasons we are weathering the downturn in the telecommunications sector. The businesses we classify as Corning Technologies — led by our liquid-crystal display (LCD) glass, environmental, and semicon- ductor optics operations — were strong and profitable in 2002, with aggressive plans for significant growth during 2003. Our LCD glass business has been a star performer, posting year-over-year volume gains of more than 45 percent. We are the leading producer in this market. Our sales of glass for desktop monitors have doubled over the past year alone — and there’s still | | | |\n| | | | plenty of room for more growth, since only about a quarter of desktop displays sold in 2002 were LCD. And, LCD TVs are just beginning to gain popularity — we consider this one of our next big opportunities, as the number of LCD TVs sold annually more than doubled in 2002. Our EAGLE 2000™ glass substrates and other product and process innovations are enabling manufac- turers to produce lighter, larger, thinner and higher-resolution displays more affordably — exactly what the market is demanding. | | | |\n| | | | | | | |\n| F L A T P A N E L D I S P L A Y G | | | L A S S : L C D T E L E V I S I O N S | | | |\n| | | | | | | |\n| D E S K T O P M O N I T | | | O R S A N D L A P T O P S | | | |\n| | | | | | | |\n| | | | | | | |", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| W E N D E L L P . W E E K S | J A M E S B . F L A W S | |\n\n\nV I C E C H A I R M A N P R E S I D E N T \nA N D C H I E F F I N A N C I A L O F F I C E R A N D C H I E F O P E R A T I N G O F F I C E R \n\nWe take great pride in saying that Corning continues to be \n\na financially sound company, thanks to the aggressive \n\nstrategies we executed throughout 2002. Although it has \n\nbeen a very painful process, we have dramatically slowed \n\nthe rate at which we are spending cash. We ended the year \n\nwith a balance of cash and short-term investments of \n\n$2.1 billion. And we have access to $2 billion in credit \n\nthat we haven’t touched — and don’t plan to. We also \n\ncontinue to pay down debt each quarter. This, combined \n\nwith our plan to return to profitability in 2003, gives us \n\na high degree of confidence in our ability to meet any \n\nfuture financial obligations. So, we feel very good about our \n\nliquidity position right now. \n\nThe ongoing economic weakness and uncertainty in world \n\nevents continue to make the overall business environment \n\na volatile one. Still, we have greatly improved our ability \n\nto forecast revenues and expenses quarter-to-quarter, and \n\nwe are encouraged by the near-term growth potential of \n\nour non-telecommunications businesses — especially our \n\nliquid-crystal display, environmental and semiconductor \n\nbusinesses. If these markets continue to grow as we expect, \n\nwe are confident that we will be able to meet our goals. \n\nWe know that our shareholders are most eager to see a \n\ngreater return on their investment with Corning, and of \n\ncourse our return to profitability will be key to building back \n\nWall Street’s confidence. We are 100 percent committed \n\nto reaching that goal of profitability in 2003 — and doing \n\nso within the rigorous compliance rules by which we \n\nhave always been guided. Integrity characterizes all our \n\nrelationships, both inside and outside of Corning, and we \n\nwill never compromise that foundation of our reputation. \n\nIn our business operations during 2002 we invested \n\na great deal of energy aligning our cost structure and \n\nbusiness plans with our priority of restoring profitability. \n\nAfter massive restructuring — following restructuring \n\nefforts we launched in 2001—we feel we now have our \n\ncost structure and growth strategies in place to accomplish \n\nthis goal. \n\nWe have re-balanced the company to take advantage of \n\nour broad and diverse set of businesses. And in charting \n\nour strategies, we have focused on ensuring that both our \n\nsegments have solid business plans in place, enabling \n\nthem to grow. Our people are rigorously committed to \n\nexecuting against these plans. \n\nAs you saw earlier in this report, our Corning \n\nTechnologies businesses are in markets with solid growth \n\npotential. We have leading market positions in attractive \n\nbusinesses … we are ready to capitalize on that position of \n\nstrength. Meanwhile, we are making these businesses \n\neven more cost-effective through significant manufactur- \n\ning efficiency gains. \n\nIn telecommunications, we are not planning on a market \n\nrecovery in 2003. We have aligned our cost structure to \n\nmeet current demand levels after two very tough years \n\nof ongoing restructuring. \n\nWithin the context of our financial realities, however, we \n\nhave not lost our sense of self. We will meet our \n\ngoals … but the path we are taking to get there has been, \n\nand will continue to be, consistent with our Values. \n\nIntegrity … quality … treating individuals with dignity \n\nand respect … these are the guiding principles of the \n\ndecisions we make. We know that in adhering to our \n\nValues, solid business performance will follow.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "2002 \nWORLDWIDE REVENUES \n\n| | | 48% CORNING TECHNOLOGIES |\n|---|---|---|\n| | | 48% CORNING TECHNOLOGIES |\n| | | 52% CORNING TELECOMMUNICATIONS |\n| | | |\n\n\nThe optical components market remains very weak and as \na result our photonic technologies business will need to take \nfurther action to reduce costs. In this challenging environment, \nwe have narrowed our product focus and continue to explore \nseveral strategic options. \n\nhave more than 1,000 scientists and researchers in our \nlaboratories. They are at the heart of our innovation engine, \nand they’re going to stay that way! \n\noperations throughout the world. These actions are key to \nreaching this goal of profitability. The optical fiber and cable \nbusiness remains challenging for the short term, but there is \nstill a great deal of long-term value to be realized in this \nbusiness. We believe our cost structure is coming in line with \nour current reduced revenue expectations. \n\nAnd in investing in our future, we are talking about more than \njust our scientific labs. We are continuing to invest in our \npeople — all 23,200 of them, in plants and offices throughout \nthe world — who are continuing to move us forward toward \nour goals. They have been through a lot during this downturn, \nand we have done our best to set a tone of open, honest \ncommunication, even when the news hasn’t been good. In the \nyear ahead, I’ve told our managers to place special emphasis \non our Value of*The Individual*… knowing that, in the end, \nthe commitment and contribution of all our employees will \ndetermine our success. \nLastly, we are continuing to drive down costs in our adminis- \ntrative and staff functions by standardizing processes and \ncentralizing activities wherever possible. \n\n**L O O K I N G A H E A D**\n\nAnd as we reach that goal of profitability — as a smaller, more \nfocused, yet highly diverse and balanced company — we are \nconfident that you, our shareholders, will experience greater \nreturns on your investments. \nAs a company, we have been through an extraordinarily diffi- \ncult time. We continue to face some formidable challenges. \nBut we are facing them with some equally formidable strengths. \n\n**I N V E S T I N G I N O U R F U T U R E**\n\nWe are one company with a proud history of innovation \nspanning more than 150 years. That legacy has created a \ndiverse business portfolio and strong market leadership. \n\nCorning Incorporated is more than the sum of its parts—much \nmore than a commercial enterprise. \n\nI continue to be extremely excited about the future opportunities \nemerging from our 152-year legacy of scientific innovations. \nWe are concentrating our efforts on high-impact, near-term \ngrowth initiatives with emphasis on our liquid-crystal display, \ndiesel filter, and chemical processing projects. \n\nWe have a time-tested set of Values and we rely on them \nto guide our every action. We also hold dear the pride of \nassociation that all who touch our corporation feel. \nShareholders, customers and employees understand that your \ncorporation has, for more than 150 years, produced useful \nand industry-creating products that have changed the lives \nof mankind. \n\nAnd we are certainly not giving up on optical communica- \ntions. We have the biggest share of the optical fiber market, \nby far, and continue to be the low-cost producer for anyone \nneeding to move information from place to place. So while \nwe’ve scaled back on production of fiber and other optical \nproducts, we certainly believe that they will continue to be \nan important part of our product mix again in the future. The \noptical communications industry is still in its infancy and we \nwill capitalize on our leadership position to grow both our \nearnings and return on shareholder equity. \n\nIn our long history, we’ve always come together in the face \nof a tough challenge — and you can count on us to continue \ndoing exactly that. I thank you for your continued confidence \nand assure you that we will succeed!", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "We will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated’s \n\nlong history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors, \n\nI returned to the company as Chairman and Chief Executive Officer. \n\nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and \n\nfilled with opportunity. \n\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in \n\nrevenue. You, our shareholders — along with our employees and our friends in the communities we serve — felt the pain. We all \n\nwatched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder \n\nwhat bad news would be next as our stock value continued its seemingly relentless decline. \n\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep \n\nup the costly infrastructure of facilities and staff we had in place. Put simply, we couldn’t spend more than we were making. \n\nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a \n\ntelecommunications company. Rather, we are a technology company, with the materials and process expertise to create \n\nlife-changing products. That’s what we’ve been for all of our 152 years; that’s what we’ll continue to be. \n\nAnd we knew something else … that our Values, the historic strength of our company, were alive and well. Quality, Integrity, \n\nPerformance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us \n\napart from other companies— especially those caught in the accounting scandals that marred the business world this past year.", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "2001 \nWORLDWIDE REVENUES \n\n| CORNING TECHNOLOGIES 26% | | |\n|---|---|---|\n| CORNING TECHNOLOGIES 26% | | |\n| CORNING TELECOMMUNICATIONS 74% | | |\n| | | |\n\n\n**W H A T W E D I D**\n\nDuring 2002, we relied on our Values to set the context in \nwhich we operated. From there, we focused relentlessly on a \nvery clear plan with three priorities: \n\nWe haven’t touched our $2 billion in credit — and we don’t \nintend to. We maintain our access to this credit by keeping our \ndebt-to-capital ratio lower than 60 percent. Our ratio at year \nend was 46.7 percent, well within the compliance range in our \ncredit agreement. And as we execute on our plan to pay down \ndebt, that ratio will drop even further. \n\nSo, armed with full recognition of both our challenges and our \nstrengths, we set out to re-shape the company, adjusting to the \nnew realities of the market. \n\npayments. Beyond severance, our actual cash usage for our \noperations has become very low. We have also added to our \ncash reserves through such actions as our preferred stock \noffering in July, and the sale of our Ohio-based precision lens \nbusiness to 3M late in the year. As a result of all these actions, \nwe were able to end the year with about $2.1 billion in cash \nand short-term investments. \n\nn TO PRESERVE THE FINANCIAL HEALTH OF THE COMPANY; \nn TO RETURN TO PROFITABILITY IN 2003; \nn TO CONTINUE TO INVEST IN OUR FUTURE. \n\nIn keeping with this strategy, we also continue to pay down \ndebt each quarter. Over the course of 2002 and the first month \nof this year, we repaid about $975 million in debt, including \ncommercial paper. \n\nDuring the course of the year — with a recovery in the \ntelecommunications industry still nowhere in sight — we \nrestructured the company and dramatically lowered our cost \nstructure. Meanwhile, we focused our research and develop- \nment efforts and recommitted ourselves to building those \nbusinesses which presented the most attractive near-term \nopportunities for growth — a large part of which are outside \nthe telecommunications segment. Our diverse portfolio and \nwealth of skills across a wide variety of markets had never \nbeen more important. \n\nAll that said, we are preserving what we believe is a strong \nliquidity position. And our balance sheet will continue to \nimprove in 2003 as we gain more benefits from last year’s \nrestructuring actions. We will continue to maintain our focus \non improving our cash flow and reducing our debt levels as \nwe look ahead to our longer-term goal of regaining an invest- \nment-grade debt rating. \n\nThe plan — painful though it is — is working. \n\n**P R E S E R V I N G O U R F I N A N C I A L H E A L T H**\n\nNow, let’s take a look at our financial picture. Our 2002 sales \nfrom continuing operations were $3.2 billion, a significant \ndecline from 2001 sales of $6.1 billion. Losses in our \ntelecommunications segment and significant restructuring \nand impairment charges drove a net loss of $1.3 billion or \n$1.39 per share in 2002. \n\n**R E T U R N I N G T O P R O F I T A B I L I T Y**\n\nIn 2003, we will focus our energy on the plan to return to \nprofitability. We are on track to reach that goal, and let me \nexplain a few of the reasons why. \n\nDespite these lowered revenues and net loss, I take great \npride in saying that Corning continues to be a financially \nsound company. We developed a three-part plan for achieving \nthis goal: maintaining significant cash balances; using excess \ncash to reduce our debt; and continuing to have access to our \n$2 billion revolving line of credit. And we have achieved \nsignificant success in each of these areas.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "A N N U A L M E E T I N G \nThe annual meeting of shareholders will be held on \nThursday, April 24, 2003, in Corning, NY. A formal notice \nof the meeting together with a proxy statement will be mailed \nto shareholders on or about March 12, 2003. The proxy state- \nment can also be accessed electronically through the Investor \nRelations category of the Corning home page on the Internet \nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon \nwritten request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. \n\n“ S a f e H a r b o r ” S t a t e m e n t u n d e r t h e P r i v a t e \nS e c u r i t i e s L i t i g a t i o n R e f o r m A c t o f 1 9 9 5 \nThe statements in this annual report that are not historical \nfacts or information are forward-looking statements. These \nforward-looking statements involve risks and uncertainties \nthat may cause the outcome to be materially different. Such \nrisks and uncertainties include, but are not limited to: \n\n— global economic and political conditions, \n— currency fluctuations, \n— product demand and industry capacity, \n— competitive products and pricing, \n— sufficiency of manufacturing capacity and efficiencies, \n— cost reductions, \n— availability and costs of critical materials, \n— new product development and commercialization, \n— attracting and retaining key personnel, \n— order activity and demand from major customers, \n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments, \nA D D I T I O N A L I N F O R M AT I O N \nA copy of Corning’s 2002 Annual Report on Form 10-K filed \nwith the Securities and Exchange Commission is available \nupon written request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. The Annual Report on Form 10-K can \nalso be accessed electronically through the Investor Relations \ncategory of the home page on the Internet at: \nwww.corning.com \n\n— financial condition of customers, \n— changes in the mix of sales between premium \nand non-premium products, \n\n— facility expansions and new plant start-up costs, \n— adverse litigation or regulatory developments, including \n\nC O M M O N S T O C K \nCorning Incorporated common stock is listed on the \nNew York Stock Exchange and the SWX Swiss Exchange. \nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The \nabbreviated ticker symbol for Corning Incorporated is “GLW.” \n\nI N V E S T O R I N F O R M AT I O N \nInvestment analysts who need additional information may \ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations, \nCorning Incorporated, HQ-E2-25, Corning, NY 14831; \nTelephone 607.974.9000 \n\nfuture or pending tax legislation, \n— adequacy and availability of insurance, \n— capital resource and cash flow activities, \n— capital spending, \n— equity company activities, \n— interest costs, \n— acquisition and divestiture activity, \n— the rate of technology change, \n— the ability to enforce patents, \n— product performance issues, \n— stock price fluctuations, and \n— other risks detailed in Corning’s SEC filings. \n\nTRANSFER AGENT AND REGISTRAR \nComputershare Investor Services LLC \nP.O. Box A-3504 \nChicago, IL 60690-3504 \nTelephone: 800.255.0461 \nWebsite: www.computershare.com \nNeither this report nor any statement contained herein is \nfurnished in connection with any offering of securities or for \nthe purpose of promoting or influencing the sale of securities. \n\nCHANGE OF ADDRESS \nReport change of address to Computershare \nInvestor Services at the above address. \nCorning is an equal opportunity employer. \nPrinted in USA \n\n© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| B A L A N C E | | | | Corning Annual Report 20 02 |\n|---|---|---|---|---|\n| B A L A N C E | | | | Corning Annual Report 20 02 |\n| | B A L A N C E | | | Corning Annual Report 20 02 |\n| | | | | |\n| | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_GLW_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_GLW_2002.pdf", + "query": "As a Corning's investor, how can I get a summary of the annual meeting of shareholders ?", + "target_page": 11, + "target_passage": "A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "A N N U A L M E E T I N G \nThe annual meeting of shareholders will be held on \nThursday, April 24, 2003, in Corning, NY. A formal notice \nof the meeting together with a proxy statement will be mailed \nto shareholders on or about March 12, 2003. The proxy state- \nment can also be accessed electronically through the Investor \nRelations category of the Corning home page on the Internet \nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon \nwritten request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. \n\n“ S a f e H a r b o r ” S t a t e m e n t u n d e r t h e P r i v a t e \nS e c u r i t i e s L i t i g a t i o n R e f o r m A c t o f 1 9 9 5 \nThe statements in this annual report that are not historical \nfacts or information are forward-looking statements. These \nforward-looking statements involve risks and uncertainties \nthat may cause the outcome to be materially different. Such \nrisks and uncertainties include, but are not limited to: \n\n— global economic and political conditions, \n— currency fluctuations, \n— product demand and industry capacity, \n— competitive products and pricing, \n— sufficiency of manufacturing capacity and efficiencies, \n— cost reductions, \n— availability and costs of critical materials, \n— new product development and commercialization, \n— attracting and retaining key personnel, \n— order activity and demand from major customers, \n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments, \nA D D I T I O N A L I N F O R M AT I O N \nA copy of Corning’s 2002 Annual Report on Form 10-K filed \nwith the Securities and Exchange Commission is available \nupon written request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. The Annual Report on Form 10-K can \nalso be accessed electronically through the Investor Relations \ncategory of the home page on the Internet at: \nwww.corning.com \n\n— financial condition of customers, \n— changes in the mix of sales between premium \nand non-premium products, \n\n— facility expansions and new plant start-up costs, \n— adverse litigation or regulatory developments, including \n\nC O M M O N S T O C K \nCorning Incorporated common stock is listed on the \nNew York Stock Exchange and the SWX Swiss Exchange. \nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The \nabbreviated ticker symbol for Corning Incorporated is “GLW.” \n\nI N V E S T O R I N F O R M AT I O N \nInvestment analysts who need additional information may \ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations, \nCorning Incorporated, HQ-E2-25, Corning, NY 14831; \nTelephone 607.974.9000 \n\nfuture or pending tax legislation, \n— adequacy and availability of insurance, \n— capital resource and cash flow activities, \n— capital spending, \n— equity company activities, \n— interest costs, \n— acquisition and divestiture activity, \n— the rate of technology change, \n— the ability to enforce patents, \n— product performance issues, \n— stock price fluctuations, and \n— other risks detailed in Corning’s SEC filings. \n\nTRANSFER AGENT AND REGISTRAR \nComputershare Investor Services LLC \nP.O. Box A-3504 \nChicago, IL 60690-3504 \nTelephone: 800.255.0461 \nWebsite: www.computershare.com \nNeither this report nor any statement contained herein is \nfurnished in connection with any offering of securities or for \nthe purpose of promoting or influencing the sale of securities. \n\nCHANGE OF ADDRESS \nReport change of address to Computershare \nInvestor Services at the above address. \nCorning is an equal opportunity employer. \nPrinted in USA \n\n© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| B A L A N C E | | | | Corning Annual Report 20 02 |\n|---|---|---|---|---|\n| B A L A N C E | | | | Corning Annual Report 20 02 |\n| | B A L A N C E | | | Corning Annual Report 20 02 |\n| | | | | |\n| | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 25 – ISSUED CAPITAL**\n\nTotal ordinary shares issued and outstanding at each period end are fully paid. All shares issued are authorized. \nShares have no par value. \n\n**a) Ordinary Shares**\n\n**Total shares issued and outstanding at 31 December 2012**\nShares issued during the year \n**Total shares issued and outstanding at 31 December 2013**\nShares issued during the year \n**Total shares issued and outstanding at 31 December 2014**\n\n**Number of Shares**\n\n 278,765,141 \n184,408,527 \n463,173,668 \n 86,122,171 \n549,295,839 \n\nOrdinary shares participate in dividends and the proceeds on winding up of the Parent Company in proportion to \nthe number of shares held. At shareholders’ meetings each ordinary share is entitled to one vote when a poll is \ncalled, otherwise each shareholder has one vote on a show of hands. \n\n**2014**\n**US$’000** **2013**\n**US$’000** **Year ended 31 December**\n\n**b)**\n\n**Issued Capital**\nBeginning of the period \nShares issued in connection with: \n Merger with Texon \n Private placement \n Exercise of stock options \nTotal shares issued during the period \nCost of capital raising during the period, net of tax benefit \n**Closing balance at end of period**\n\n 237,008 \n\n- \n72,178 \n 260 \n72,438 \n (2,593) \n 306,853 132,092 \n47,398 \n 813 \n 180,303 \n (1,989) \n 237,008 \n\n**c) Options on Issue**\n\nDetails of the share options outstanding as at 31 December: \n\n**2014**\n**No. of options**\n- \n- \n500,000 \n30,000 \n1,200,000 \n1,000,000 \n- \n- \n- \n - \n 2,730,000 \n\n**Grant Date**\n02 Dec 2010 \n02 Mar 2011 \n03 Jun 2011 \n06 Jun 2011 \n06 Sep 2011 \n05 Dec 2011 \n01 Nov 2012 \n03 Dec 2012 \n01 Apr 2013 \n24 Sept 2013 \nTotal share options outstanding \n\n**Expiry Date**\n01 Dec 2015 \n30 Jun 2014 \n15 Jan 2016 \n01 Sep 2015 \n31 Dec 2018 \n05 Mar 2019 \n01 Feb 2020 \n03 Mar 2020 \n01 Jul 2020 \n23 Dec 2020 **Exercise Price A$**\n0.37 \n0.95 \n0.65 \n0.95 \n0.95 \n0.95 \n1.15 \n1.15 \n1.25 \n1.40 \n\n**2013**\n**No. of options**\n291,666 \n30,000 \n500,000 \n30,000 \n1,200,000 \n 1,000,000 \n350,000 \n350,000 \n350,000 \n 950,000 \n 5,051,666", + "page_start": 90, + "page_end": 90, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| W E N D E L L P . W E E K S | J A M E S B . F L A W S | |\n\n\nV I C E C H A I R M A N P R E S I D E N T \nA N D C H I E F F I N A N C I A L O F F I C E R A N D C H I E F O P E R A T I N G O F F I C E R \n\nWe take great pride in saying that Corning continues to be \n\na financially sound company, thanks to the aggressive \n\nstrategies we executed throughout 2002. Although it has \n\nbeen a very painful process, we have dramatically slowed \n\nthe rate at which we are spending cash. We ended the year \n\nwith a balance of cash and short-term investments of \n\n$2.1 billion. And we have access to $2 billion in credit \n\nthat we haven’t touched — and don’t plan to. We also \n\ncontinue to pay down debt each quarter. This, combined \n\nwith our plan to return to profitability in 2003, gives us \n\na high degree of confidence in our ability to meet any \n\nfuture financial obligations. So, we feel very good about our \n\nliquidity position right now. \n\nThe ongoing economic weakness and uncertainty in world \n\nevents continue to make the overall business environment \n\na volatile one. Still, we have greatly improved our ability \n\nto forecast revenues and expenses quarter-to-quarter, and \n\nwe are encouraged by the near-term growth potential of \n\nour non-telecommunications businesses — especially our \n\nliquid-crystal display, environmental and semiconductor \n\nbusinesses. If these markets continue to grow as we expect, \n\nwe are confident that we will be able to meet our goals. \n\nWe know that our shareholders are most eager to see a \n\ngreater return on their investment with Corning, and of \n\ncourse our return to profitability will be key to building back \n\nWall Street’s confidence. We are 100 percent committed \n\nto reaching that goal of profitability in 2003 — and doing \n\nso within the rigorous compliance rules by which we \n\nhave always been guided. Integrity characterizes all our \n\nrelationships, both inside and outside of Corning, and we \n\nwill never compromise that foundation of our reputation. \n\nIn our business operations during 2002 we invested \n\na great deal of energy aligning our cost structure and \n\nbusiness plans with our priority of restoring profitability. \n\nAfter massive restructuring — following restructuring \n\nefforts we launched in 2001—we feel we now have our \n\ncost structure and growth strategies in place to accomplish \n\nthis goal. \n\nWe have re-balanced the company to take advantage of \n\nour broad and diverse set of businesses. And in charting \n\nour strategies, we have focused on ensuring that both our \n\nsegments have solid business plans in place, enabling \n\nthem to grow. Our people are rigorously committed to \n\nexecuting against these plans. \n\nAs you saw earlier in this report, our Corning \n\nTechnologies businesses are in markets with solid growth \n\npotential. We have leading market positions in attractive \n\nbusinesses … we are ready to capitalize on that position of \n\nstrength. Meanwhile, we are making these businesses \n\neven more cost-effective through significant manufactur- \n\ning efficiency gains. \n\nIn telecommunications, we are not planning on a market \n\nrecovery in 2003. We have aligned our cost structure to \n\nmeet current demand levels after two very tough years \n\nof ongoing restructuring. \n\nWithin the context of our financial realities, however, we \n\nhave not lost our sense of self. We will meet our \n\ngoals … but the path we are taking to get there has been, \n\nand will continue to be, consistent with our Values. \n\nIntegrity … quality … treating individuals with dignity \n\nand respect … these are the guiding principles of the \n\ndecisions we make. We know that in adhering to our \n\nValues, solid business performance will follow.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "• compliance with debt covenants, availability and cost of credit, changes in interest rates, and trends in debt repayment patterns, \npersonal bankruptcies and bad debt write-offs, and \n• the timing and amounts of share repurchases by the company, if any, or any share issuances by the company, including issuances \nassociated with option exercises or other matters. \n\nThese and other factors, including those factors described in Item 1A: Risk Factors, could affect our financial results and cause actual results \nto differ materially from any forward-looking information we may provide. We undertake no obligation to update or revise any forward-looking \nstatements to reflect subsequent events, new information or future circumstances. \n\n**SEC FILINGS**\nWe file annual, quarterly and current reports, proxy statements and other documents with the Securities and Exchange Commission (“SEC”). \nAll material we file with the SEC is publicly available at the SEC’s Public Reference Room at 100 F Street NE, Washington, DC 20549. You \nmay obtain information on the operation of the Public Reference Room by calling the SEC at 1-800-SEC-0330. In addition, the SEC \nmaintains a website at www.sec.gov that contains reports, proxy and information statements and other information regarding issuers that file \nelectronically with the SEC. \n\n**WEBSITE ACCESS**\nOur website address is Nordstrom.com. Our annual and quarterly reports on Form 10-K and Form 10-Q (including related filings in \neXtensible Business Reporting Language (“XBRL”) format), current reports on Form 8-K, proxy statements, our executives’ statements of \nchanges in beneficial ownership of securities on Form 4 and amendments to those reports filed or furnished pursuant to Section 13(a) or 15 \n(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are available for free on or through our website as soon as \nreasonably practicable after we electronically file the report with or furnish it to the SEC. Interested parties may also access a webcast of \nquarterly earnings conference calls and other financial events through our website. \n\n**CORPORATE GOVERNANCE**\nWe have a long-standing commitment to upholding a high level of ethical standards. In addition, as the listing standards of the New York \nStock Exchange (“NYSE”) and the rules of the SEC require, we have adopted Codes of Business Conduct and Ethics for our employees, \nofficers and directors (“Codes of Ethics”) and Corporate Governance Guidelines. Our Codes of Ethics, Corporate Governance Guidelines \nand Committee Charters for the Audit, Compensation, Corporate Governance and Nominating, Finance and Technology Committees are \nposted on our website. Any amendments to these documents, or waivers of the requirements they contain, will also be available on our \nwebsite. \n\nFor printed versions of these items or any other inquiries, please contact: \n\nNordstrom Investor Relations \nPO Box 2737 \nSeattle, Washington 98111 \n(206) 303-3200 \ninvrelations@nordstrom.com \n\n**Item 1A. Risk Factors.**\n\nOur business faces many risks. We believe the risks described below outline the items of most concern to us. \n\n**RISKS DUE TO STRATEGIC AND OPERATIONAL FACTORS**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Form 10-K**\nThe Company’s Annual Report on Form 10-K \nfor the year ended January 31, 2015 will be \nprovided to shareholders upon request to: \n\nNordstrom Investor Relations \nPO Box 2737 \nSeattle, Washington 98111 \n(206) 303-3200 \ninvrelations@nordstrom.com \n\n**Transfer Agent and Registrar**\nComputershare \nPO Box 30170 \nCollege Station, Texas 77842 \nTelephone (800) 318-7045 \nTDD for Hearing Impaired (800) 952-9245 \nForeign Shareholders (201) 680-6578 \nTDD Foreign Shareholders (781) 575-4592 \ncomputershare.com/investor \n\n**Shareholder Information**\nAdditional shareholder information, including \nNordstrom’s Corporate Governance Guidelines \nand Code of Business Conduct and Ethics, is \navailable online at investor.nordstrom.com \n(Investor Relations, Corporate Governance). \nThe Company intends to provide disclosure \nof any amendments or waivers to its Code of \nBusiness Conduct and Ethics online within \nfour business days following the date of \namendment or waiver. In addition, the \nCompany is always willing to discuss matters \nof concern to shareholders. Shareholders may \ncontact the Company at: \n(206) 303-3200 \ninvrelations@nordstrom.com \n\n**Annual Meeting**\nMay 5, 2015 at 11:00 a.m. \nPacific Standard Time \nNordstrom Downtown Seattle Store \nJohn W. Nordstrom Room, fifth floor \n1617 Sixth Avenue \nSeattle, Washington 98101 \n\n**Certifications**\nWe have filed the required certifications under \nSection 302 of the Sarbanes-Oxley Act of 2002 \nregarding the quality of our public disclosures \nas Exhibits 31.1 and 31.2 to our annual report on \nForm 10-K for the year ended January 31, 2015. \nAfter our 2015 Annual Meeting of Shareholders, \nwe intend to file with the New York Stock \nExchange the CEO certification regarding \nour compliance with the NYSE’s corporate \ngovernance listing standards as required \nby NYSE Rule 303A.12(a).", + "page_start": 93, + "page_end": 93, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**Investor Relations**\nThe Hartford Financial \nServices Group, Inc. \nHartford Plaza, HO-1-01 \nHartford, Connecticut 06115 \nAttn: Investor Relations \n860-547-2537 \n\n**Media Inquiries**\nThe Hartford Financial \nServices Group, Inc. \nMedia Relations \nHartford Plaza, T-12-56 \nHartford, CT 06115 \n860-547-5200 \n\n**Common Stock and Dividend Information**\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share. \n\n**Corporate Headquarters**\nThe Hartford Financial \nServices Group, Inc. \n690 Asylum Avenue \nHartford, Connecticut 06115 \n860-547-5000 \n\n**Internet Address**\nhttp://www.thehartford.com \n\n**Annual Meeting**\nShareholders are cordially invited to attend The Hartford’s \nAnnual Meeting of Shareholders, which will be held on \nThursday, April 18, 2002 at 9:00 a.m. in the Wallace Stevens \nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut. \nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting. \n\n**Form 10-K and Other Information**\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the \nSecurities and Exchange Commission for the year ended \nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \n\n**Transfer Agent/Shareholder Records**\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent: \n\nThe Bank of New York \nShareholder Relations Department–11E \nP.O. Box 11258 \nChurch Street Station \nNew York, NY 10286 \n800-254-2823 \n\nCommon Stock Price Dividends \nHigh Low Declared \n\n**2001**\nFirst quarter $ 67.75 $ 55.15 $0.25 \n\nSecond quarter 70.46 56.88 0.25 \n\nThird quarter 69.28 50.10 0.25 \n\nFourth quarter \n**2000**\n\n62.83 53.91 0.26 \n\nFirst quarter $ 52.75 $ 29.38 $0.24 \n\nSecond quarter 64.00 44.25 0.24 \n\nThird quarter 73.75 56.38 0.24 \n\nFourth quarter 79.31 65.44 0.25 \n\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford. \n\nTo send certificates for transfer and address changes: \n\nThe Bank of New York \nReceive and Deliver Department–11W \nP.O. Box 11002 \nChurch Street Station \nNew York, NY 10286 \n\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to: \n\nThe Bank of New York \nDividend Reinvestment Department \nP.O. Box 1958 \nNewark, NJ 07101-9774 \n\nE-mail: shareowner-svcs@bankofny.com \n\nInternet address: www.stockbny.com", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "2002 \nWORLDWIDE REVENUES \n\n| | | 48% CORNING TECHNOLOGIES |\n|---|---|---|\n| | | 48% CORNING TECHNOLOGIES |\n| | | 52% CORNING TELECOMMUNICATIONS |\n| | | |\n\n\nThe optical components market remains very weak and as \na result our photonic technologies business will need to take \nfurther action to reduce costs. In this challenging environment, \nwe have narrowed our product focus and continue to explore \nseveral strategic options. \n\nhave more than 1,000 scientists and researchers in our \nlaboratories. They are at the heart of our innovation engine, \nand they’re going to stay that way! \n\noperations throughout the world. These actions are key to \nreaching this goal of profitability. The optical fiber and cable \nbusiness remains challenging for the short term, but there is \nstill a great deal of long-term value to be realized in this \nbusiness. We believe our cost structure is coming in line with \nour current reduced revenue expectations. \n\nAnd in investing in our future, we are talking about more than \njust our scientific labs. We are continuing to invest in our \npeople — all 23,200 of them, in plants and offices throughout \nthe world — who are continuing to move us forward toward \nour goals. They have been through a lot during this downturn, \nand we have done our best to set a tone of open, honest \ncommunication, even when the news hasn’t been good. In the \nyear ahead, I’ve told our managers to place special emphasis \non our Value of*The Individual*… knowing that, in the end, \nthe commitment and contribution of all our employees will \ndetermine our success. \nLastly, we are continuing to drive down costs in our adminis- \ntrative and staff functions by standardizing processes and \ncentralizing activities wherever possible. \n\n**L O O K I N G A H E A D**\n\nAnd as we reach that goal of profitability — as a smaller, more \nfocused, yet highly diverse and balanced company — we are \nconfident that you, our shareholders, will experience greater \nreturns on your investments. \nAs a company, we have been through an extraordinarily diffi- \ncult time. We continue to face some formidable challenges. \nBut we are facing them with some equally formidable strengths. \n\n**I N V E S T I N G I N O U R F U T U R E**\n\nWe are one company with a proud history of innovation \nspanning more than 150 years. That legacy has created a \ndiverse business portfolio and strong market leadership. \n\nCorning Incorporated is more than the sum of its parts—much \nmore than a commercial enterprise. \n\nI continue to be extremely excited about the future opportunities \nemerging from our 152-year legacy of scientific innovations. \nWe are concentrating our efforts on high-impact, near-term \ngrowth initiatives with emphasis on our liquid-crystal display, \ndiesel filter, and chemical processing projects. \n\nWe have a time-tested set of Values and we rely on them \nto guide our every action. We also hold dear the pride of \nassociation that all who touch our corporation feel. \nShareholders, customers and employees understand that your \ncorporation has, for more than 150 years, produced useful \nand industry-creating products that have changed the lives \nof mankind. \n\nAnd we are certainly not giving up on optical communica- \ntions. We have the biggest share of the optical fiber market, \nby far, and continue to be the low-cost producer for anyone \nneeding to move information from place to place. So while \nwe’ve scaled back on production of fiber and other optical \nproducts, we certainly believe that they will continue to be \nan important part of our product mix again in the future. The \noptical communications industry is still in its infancy and we \nwill capitalize on our leadership position to grow both our \nearnings and return on shareholder equity. \n\nIn our long history, we’ve always come together in the face \nof a tough challenge — and you can count on us to continue \ndoing exactly that. I thank you for your continued confidence \nand assure you that we will succeed!", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "**Additional Information**compiled as at 12 March 2015 \n\n**Shareholding**\n\n**Substantial Shareholders**\nThe names of the substantial shareholders in the Company, the number of equity securities to which each substantial \nshareholder and substantial holder’s associates have a relevant interest, as disclosed in substantial holding notices \ngiven to the Company: \n\n**Units**\n305,667 \n3,651,522 \n5,828,311 \n43,133,168 \n 496,432,559 \n 549,351,227 \n\n**% Issued Capital**\n\n**Unlisted Options**\n- \n- \n- \n1 \n 3 \n 4 **Unlisted RSUs**\n1 \n12 \n10 \n20 \n 10 \n 53 0.06 \n0.66 \n1.06 \n7.85 \n 90.37 \n 100.00 \n\n**Name**\n\n**%_**\n6.76 \n5.73 IOOF HOLDINGS LIMITED \nACORN CAPITAL LIMITED \n\n**Distribution of Equity Securities**\n\n**Size of Holding**\n\n**Range**\n1-1,000 \n 1,001-5,000 \n5,001-10,000 \n10,001-100,000 \n100,001-9,999,999 \nTotal **Total Holders**\n673 \n1,196 \n723 \n1,344 \n 240 \n 4,176 \n\nThere are 525 shareholders with less than a marketable parcel of shares. \n\n**Voting Rights**\n*Fully paid ordinary shares*\nAt meetings of members or classes of members: \na) \nb) \n\nEach member entitled to vote may vote in person or by proxy, attorney or representative; \non a show of hands, every person present who is a member or proxy, attorney or representative of a member \nhas one vote; and, \non a poll, every person present who is a member or a proxy, attorney or representative of a member has: c) \n\ni) \n\nfor each fully paid share held by him, or in respect of which he is appointed a proxy, attorney or \nrepresentative, one vote for the share; and, \nfor each partly paid share, only the fraction of one vote which the amount paid (not credited) on \nthe share bears to the total amounts paid and payable on the share (excluding amounts credited) \nsubject to any rights or restrictions attached to any shares or class or classes of shares.", + "page_start": 110, + "page_end": 110, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "**SHAREHOLDER INFORMATION**\n\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most \nfinancial listings as “AppliedIndlTch.” \n\n**RESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:**\n\n**BB&T CAPITAL MARKETS** **KEYBANC CAPITAL MARKETS** **STEPHENS INC.**\nHolden Lewis, 703/471-3894 Jeffrey D. Hammond, 216/689-0236 Matt Duncan, 501/377-3723 \n\n**CJS SECURITIES** **SIDOTI & CO.** **WELLS FARGO SECURITIES, LLC**\nJonathan Tanwanteng, 914/287-7600 Joseph Mondillo, 212/894-3339 Allison Poliniak-Cusic, 212/214-5062 \n\n**CLEVELAND RESEARCH COMPANY** **GREAT LAKES REVIEW – Division of** **WUNDERLICH SECURITIES**\nAdam Uhlman, 216/649-7241 **Wellington Shields & Co.** Brent D. Rakers, 901/251-2236 \nElliott Schlang, 216/767-1340 \n\n**SHAREHOLDER INQUIRIES**\n\nRequests to transfer Applied Industrial \nTechnologies, Inc. shares and all \ncorrespondence regarding address change \ninformation, duplicate mailings, missing \ncertificates, failure to receive dividend \nchecks in a timely manner or to participate \nin the Company’s direct stock purchase \nprogram should be directed to the \nCompany’s transfer agent and registrar: \n\n**COMPUTERSHARE TRUST COMPANY, N.A.**\n250 Royall Street \nCanton, MA 02021 \n800/988-5291 \n\n**INVESTOR RELATIONS INQUIRIES SHOULD** **ANNUAL REPORT ON FORM 10-K**\n\n**BE DIRECTED TO:** **The Applied Industrial Technologies, Inc.**\n**Annual Report on Form 10-K for the fiscal**\n**MARK O. EISELE**\n**year ended June 30, 2012, including the**\nVice President – Chief Financial Officer \n**financial statements and schedules thereto,**\n & Treasurer \n**is available at our website at**\nApplied Industrial Technologies \n**www.Applied.com. It is also available**\n1 Applied Plaza \n**without charge upon written request to the**\nCleveland, OH 44115-5014 \n**Vice President – Chief Financial Officer &**\nTelephone: 216/426-4000, Fax: 216/426-4845 \n**Treasurer at the address shown.**\n\n**ANNUAL MEETING**\nThe Annual Meeting of Shareholders will be held \nat 10:00 a.m., Tuesday, October 23, 2012, at the \nCorporate Headquarters of Applied Industrial \nTechnologies, 1 Applied Plaza, East 36th and \nEuclid Avenue, Cleveland, Ohio 44115. \n\n**COMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN**\n\nApplied Industrial Technologies, Inc., Standard & Poor’s 500, and Peer Group \n\n(Performance Results from 7/1/2007 through 6/30/2012) \n\nAssumes $100 invested at the close of trading 6/30/07 in \nApplied Industrial Technologies, Inc. common stock, Standard \n& Poor’s 500, and Peer Group. \n\n| Applied Industr\nStandard & Po\nPeer Group | | | | |\n|---|---|---|---|---|\n| Applied Industr Standard & Po Peer Group | | | | |\n| | ial Technologies, Inc. or's 500 | | | |\n| | | | | |\n\n\nCumulative total return assumes reinvestment of dividends. \n\nThe returns of the companies in the Peer Group are weighted \nbased on the companies’ relative stock market capitalization. \n\nPeer Group companies selected on a line-of-business basis \ninclude: DXP Enterprises, Inc.; Fastenal Company; Genuine \nParts Company; W. W. Grainger, Inc.; Kaman Corporation; \nLawson Products, Inc.; MSC Industrial Direct Co., Inc.; and \nWESCO International, Inc.", + "page_start": 46, + "page_end": 46, + "source_file": "NYSE_AIT_2012.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_GLW_2002.pdf", + "query": "How many employees did Corning company count at the end of 2002 ?", + "target_page": 5, + "target_passage": "We are continuing to invest in our people — all 23,200 of them", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "2002 \nWORLDWIDE REVENUES \n\n| | | 48% CORNING TECHNOLOGIES |\n|---|---|---|\n| | | 48% CORNING TECHNOLOGIES |\n| | | 52% CORNING TELECOMMUNICATIONS |\n| | | |\n\n\nThe optical components market remains very weak and as \na result our photonic technologies business will need to take \nfurther action to reduce costs. In this challenging environment, \nwe have narrowed our product focus and continue to explore \nseveral strategic options. \n\nhave more than 1,000 scientists and researchers in our \nlaboratories. They are at the heart of our innovation engine, \nand they’re going to stay that way! \n\noperations throughout the world. These actions are key to \nreaching this goal of profitability. The optical fiber and cable \nbusiness remains challenging for the short term, but there is \nstill a great deal of long-term value to be realized in this \nbusiness. We believe our cost structure is coming in line with \nour current reduced revenue expectations. \n\nAnd in investing in our future, we are talking about more than \njust our scientific labs. We are continuing to invest in our \npeople — all 23,200 of them, in plants and offices throughout \nthe world — who are continuing to move us forward toward \nour goals. They have been through a lot during this downturn, \nand we have done our best to set a tone of open, honest \ncommunication, even when the news hasn’t been good. In the \nyear ahead, I’ve told our managers to place special emphasis \non our Value of*The Individual*… knowing that, in the end, \nthe commitment and contribution of all our employees will \ndetermine our success. \nLastly, we are continuing to drive down costs in our adminis- \ntrative and staff functions by standardizing processes and \ncentralizing activities wherever possible. \n\n**L O O K I N G A H E A D**\n\nAnd as we reach that goal of profitability — as a smaller, more \nfocused, yet highly diverse and balanced company — we are \nconfident that you, our shareholders, will experience greater \nreturns on your investments. \nAs a company, we have been through an extraordinarily diffi- \ncult time. We continue to face some formidable challenges. \nBut we are facing them with some equally formidable strengths. \n\n**I N V E S T I N G I N O U R F U T U R E**\n\nWe are one company with a proud history of innovation \nspanning more than 150 years. That legacy has created a \ndiverse business portfolio and strong market leadership. \n\nCorning Incorporated is more than the sum of its parts—much \nmore than a commercial enterprise. \n\nI continue to be extremely excited about the future opportunities \nemerging from our 152-year legacy of scientific innovations. \nWe are concentrating our efforts on high-impact, near-term \ngrowth initiatives with emphasis on our liquid-crystal display, \ndiesel filter, and chemical processing projects. \n\nWe have a time-tested set of Values and we rely on them \nto guide our every action. We also hold dear the pride of \nassociation that all who touch our corporation feel. \nShareholders, customers and employees understand that your \ncorporation has, for more than 150 years, produced useful \nand industry-creating products that have changed the lives \nof mankind. \n\nAnd we are certainly not giving up on optical communica- \ntions. We have the biggest share of the optical fiber market, \nby far, and continue to be the low-cost producer for anyone \nneeding to move information from place to place. So while \nwe’ve scaled back on production of fiber and other optical \nproducts, we certainly believe that they will continue to be \nan important part of our product mix again in the future. The \noptical communications industry is still in its infancy and we \nwill capitalize on our leadership position to grow both our \nearnings and return on shareholder equity. \n\nIn our long history, we’ve always come together in the face \nof a tough challenge — and you can count on us to continue \ndoing exactly that. I thank you for your continued confidence \nand assure you that we will succeed!", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "2001 \nWORLDWIDE REVENUES \n\n| CORNING TECHNOLOGIES 26% | | |\n|---|---|---|\n| CORNING TECHNOLOGIES 26% | | |\n| CORNING TELECOMMUNICATIONS 74% | | |\n| | | |\n\n\n**W H A T W E D I D**\n\nDuring 2002, we relied on our Values to set the context in \nwhich we operated. From there, we focused relentlessly on a \nvery clear plan with three priorities: \n\nWe haven’t touched our $2 billion in credit — and we don’t \nintend to. We maintain our access to this credit by keeping our \ndebt-to-capital ratio lower than 60 percent. Our ratio at year \nend was 46.7 percent, well within the compliance range in our \ncredit agreement. And as we execute on our plan to pay down \ndebt, that ratio will drop even further. \n\nSo, armed with full recognition of both our challenges and our \nstrengths, we set out to re-shape the company, adjusting to the \nnew realities of the market. \n\npayments. Beyond severance, our actual cash usage for our \noperations has become very low. We have also added to our \ncash reserves through such actions as our preferred stock \noffering in July, and the sale of our Ohio-based precision lens \nbusiness to 3M late in the year. As a result of all these actions, \nwe were able to end the year with about $2.1 billion in cash \nand short-term investments. \n\nn TO PRESERVE THE FINANCIAL HEALTH OF THE COMPANY; \nn TO RETURN TO PROFITABILITY IN 2003; \nn TO CONTINUE TO INVEST IN OUR FUTURE. \n\nIn keeping with this strategy, we also continue to pay down \ndebt each quarter. Over the course of 2002 and the first month \nof this year, we repaid about $975 million in debt, including \ncommercial paper. \n\nDuring the course of the year — with a recovery in the \ntelecommunications industry still nowhere in sight — we \nrestructured the company and dramatically lowered our cost \nstructure. Meanwhile, we focused our research and develop- \nment efforts and recommitted ourselves to building those \nbusinesses which presented the most attractive near-term \nopportunities for growth — a large part of which are outside \nthe telecommunications segment. Our diverse portfolio and \nwealth of skills across a wide variety of markets had never \nbeen more important. \n\nAll that said, we are preserving what we believe is a strong \nliquidity position. And our balance sheet will continue to \nimprove in 2003 as we gain more benefits from last year’s \nrestructuring actions. We will continue to maintain our focus \non improving our cash flow and reducing our debt levels as \nwe look ahead to our longer-term goal of regaining an invest- \nment-grade debt rating. \n\nThe plan — painful though it is — is working. \n\n**P R E S E R V I N G O U R F I N A N C I A L H E A L T H**\n\nNow, let’s take a look at our financial picture. Our 2002 sales \nfrom continuing operations were $3.2 billion, a significant \ndecline from 2001 sales of $6.1 billion. Losses in our \ntelecommunications segment and significant restructuring \nand impairment charges drove a net loss of $1.3 billion or \n$1.39 per share in 2002. \n\n**R E T U R N I N G T O P R O F I T A B I L I T Y**\n\nIn 2003, we will focus our energy on the plan to return to \nprofitability. We are on track to reach that goal, and let me \nexplain a few of the reasons why. \n\nDespite these lowered revenues and net loss, I take great \npride in saying that Corning continues to be a financially \nsound company. We developed a three-part plan for achieving \nthis goal: maintaining significant cash balances; using excess \ncash to reduce our debt; and continuing to have access to our \n$2 billion revolving line of credit. And we have achieved \nsignificant success in each of these areas.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "We will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated’s \n\nlong history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors, \n\nI returned to the company as Chairman and Chief Executive Officer. \n\nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and \n\nfilled with opportunity. \n\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in \n\nrevenue. You, our shareholders — along with our employees and our friends in the communities we serve — felt the pain. We all \n\nwatched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder \n\nwhat bad news would be next as our stock value continued its seemingly relentless decline. \n\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep \n\nup the costly infrastructure of facilities and staff we had in place. Put simply, we couldn’t spend more than we were making. \n\nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a \n\ntelecommunications company. Rather, we are a technology company, with the materials and process expertise to create \n\nlife-changing products. That’s what we’ve been for all of our 152 years; that’s what we’ll continue to be. \n\nAnd we knew something else … that our Values, the historic strength of our company, were alive and well. Quality, Integrity, \n\nPerformance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us \n\napart from other companies— especially those caught in the accounting scandals that marred the business world this past year.", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| B A L A N C E | | | | Corning Annual Report 20 02 |\n|---|---|---|---|---|\n| B A L A N C E | | | | Corning Annual Report 20 02 |\n| | B A L A N C E | | | Corning Annual Report 20 02 |\n| | | | | |\n| | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| W E N D E L L P . W E E K S | J A M E S B . F L A W S | |\n\n\nV I C E C H A I R M A N P R E S I D E N T \nA N D C H I E F F I N A N C I A L O F F I C E R A N D C H I E F O P E R A T I N G O F F I C E R \n\nWe take great pride in saying that Corning continues to be \n\na financially sound company, thanks to the aggressive \n\nstrategies we executed throughout 2002. Although it has \n\nbeen a very painful process, we have dramatically slowed \n\nthe rate at which we are spending cash. We ended the year \n\nwith a balance of cash and short-term investments of \n\n$2.1 billion. And we have access to $2 billion in credit \n\nthat we haven’t touched — and don’t plan to. We also \n\ncontinue to pay down debt each quarter. This, combined \n\nwith our plan to return to profitability in 2003, gives us \n\na high degree of confidence in our ability to meet any \n\nfuture financial obligations. So, we feel very good about our \n\nliquidity position right now. \n\nThe ongoing economic weakness and uncertainty in world \n\nevents continue to make the overall business environment \n\na volatile one. Still, we have greatly improved our ability \n\nto forecast revenues and expenses quarter-to-quarter, and \n\nwe are encouraged by the near-term growth potential of \n\nour non-telecommunications businesses — especially our \n\nliquid-crystal display, environmental and semiconductor \n\nbusinesses. If these markets continue to grow as we expect, \n\nwe are confident that we will be able to meet our goals. \n\nWe know that our shareholders are most eager to see a \n\ngreater return on their investment with Corning, and of \n\ncourse our return to profitability will be key to building back \n\nWall Street’s confidence. We are 100 percent committed \n\nto reaching that goal of profitability in 2003 — and doing \n\nso within the rigorous compliance rules by which we \n\nhave always been guided. Integrity characterizes all our \n\nrelationships, both inside and outside of Corning, and we \n\nwill never compromise that foundation of our reputation. \n\nIn our business operations during 2002 we invested \n\na great deal of energy aligning our cost structure and \n\nbusiness plans with our priority of restoring profitability. \n\nAfter massive restructuring — following restructuring \n\nefforts we launched in 2001—we feel we now have our \n\ncost structure and growth strategies in place to accomplish \n\nthis goal. \n\nWe have re-balanced the company to take advantage of \n\nour broad and diverse set of businesses. And in charting \n\nour strategies, we have focused on ensuring that both our \n\nsegments have solid business plans in place, enabling \n\nthem to grow. Our people are rigorously committed to \n\nexecuting against these plans. \n\nAs you saw earlier in this report, our Corning \n\nTechnologies businesses are in markets with solid growth \n\npotential. We have leading market positions in attractive \n\nbusinesses … we are ready to capitalize on that position of \n\nstrength. Meanwhile, we are making these businesses \n\neven more cost-effective through significant manufactur- \n\ning efficiency gains. \n\nIn telecommunications, we are not planning on a market \n\nrecovery in 2003. We have aligned our cost structure to \n\nmeet current demand levels after two very tough years \n\nof ongoing restructuring. \n\nWithin the context of our financial realities, however, we \n\nhave not lost our sense of self. We will meet our \n\ngoals … but the path we are taking to get there has been, \n\nand will continue to be, consistent with our Values. \n\nIntegrity … quality … treating individuals with dignity \n\nand respect … these are the guiding principles of the \n\ndecisions we make. We know that in adhering to our \n\nValues, solid business performance will follow.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| | | | C H N O L O G I E S | | | |\n|---|---|---|---|---|---|---|\n| | | | Corning’s historical success stems from its foundation as an inno- vative technology company. Our diverse portfolio of businesses spans a wide range of markets, and this is one of the main reasons we are weathering the downturn in the telecommunications sector. The businesses we classify as Corning Technologies — led by our liquid-crystal display (LCD) glass, environmental, and semicon- ductor optics operations — were strong and profitable in 2002, with aggressive plans for significant growth during 2003. Our LCD glass business has been a star performer, posting year-over-year volume gains of more than 45 percent. We are the leading producer in this market. Our sales of glass for desktop monitors have doubled over the past year alone — and there’s still | | | |\n| | | | plenty of room for more growth, since only about a quarter of desktop displays sold in 2002 were LCD. And, LCD TVs are just beginning to gain popularity — we consider this one of our next big opportunities, as the number of LCD TVs sold annually more than doubled in 2002. Our EAGLE 2000™ glass substrates and other product and process innovations are enabling manufac- turers to produce lighter, larger, thinner and higher-resolution displays more affordably — exactly what the market is demanding. | | | |\n| | | | | | | |\n| F L A T P A N E L D I S P L A Y G | | | L A S S : L C D T E L E V I S I O N S | | | |\n| | | | | | | |\n| D E S K T O P M O N I T | | | O R S A N D L A P T O P S | | | |\n| | | | | | | |\n| | | | | | | |", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| | | O M M U N I C A T I O N S | | |\n|---|---|---|---|---|\n| | | The ongoing malaise of the telecommunications industry led Corning to initiate significant restructurings during 2002. Optical fiber plant closings and workforce reductions were evidence of our comprehensive plan to align expenses with dramatically lowered revenues in our telecommunications businesses. Despite industry weakness, we remain the global leader in the manufacturing and sale of optical communications products. Our position will serve us well when the inevitable growth of this dynamic market returns. For the near-term,we are focused on maintaining our leading position across our markets and with our customers. Through our many generations of manufacturing technology development, we are restoring our businesses to profitability despite continued pricing | | |\n| | | pressure and low-volume growth expectations. Looking further ahead, we remain committed to creating innovative optical communications products that meet even tighter quality, capability and cost requirements for our customers. We are empha- sizing metro and access segments of the market as our major oppor- tunities. And we are watching carefully for signs of market recovery. When that time comes, we will be poised for growth once again. | | |\n| | | | | |\n| C O R N I N G C A B L E S Y S T E M | | S : C A B L E A N D H A R D W A R E | | |\n| | | | | |\n| O P T I C A L N E T W O R K S : M E | | T R O , L O C A L , L A S T M I L E | | |\n| | | | | |\n| | | | | |", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "A N N U A L M E E T I N G \nThe annual meeting of shareholders will be held on \nThursday, April 24, 2003, in Corning, NY. A formal notice \nof the meeting together with a proxy statement will be mailed \nto shareholders on or about March 12, 2003. The proxy state- \nment can also be accessed electronically through the Investor \nRelations category of the Corning home page on the Internet \nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon \nwritten request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. \n\n“ S a f e H a r b o r ” S t a t e m e n t u n d e r t h e P r i v a t e \nS e c u r i t i e s L i t i g a t i o n R e f o r m A c t o f 1 9 9 5 \nThe statements in this annual report that are not historical \nfacts or information are forward-looking statements. These \nforward-looking statements involve risks and uncertainties \nthat may cause the outcome to be materially different. Such \nrisks and uncertainties include, but are not limited to: \n\n— global economic and political conditions, \n— currency fluctuations, \n— product demand and industry capacity, \n— competitive products and pricing, \n— sufficiency of manufacturing capacity and efficiencies, \n— cost reductions, \n— availability and costs of critical materials, \n— new product development and commercialization, \n— attracting and retaining key personnel, \n— order activity and demand from major customers, \n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments, \nA D D I T I O N A L I N F O R M AT I O N \nA copy of Corning’s 2002 Annual Report on Form 10-K filed \nwith the Securities and Exchange Commission is available \nupon written request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. The Annual Report on Form 10-K can \nalso be accessed electronically through the Investor Relations \ncategory of the home page on the Internet at: \nwww.corning.com \n\n— financial condition of customers, \n— changes in the mix of sales between premium \nand non-premium products, \n\n— facility expansions and new plant start-up costs, \n— adverse litigation or regulatory developments, including \n\nC O M M O N S T O C K \nCorning Incorporated common stock is listed on the \nNew York Stock Exchange and the SWX Swiss Exchange. \nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The \nabbreviated ticker symbol for Corning Incorporated is “GLW.” \n\nI N V E S T O R I N F O R M AT I O N \nInvestment analysts who need additional information may \ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations, \nCorning Incorporated, HQ-E2-25, Corning, NY 14831; \nTelephone 607.974.9000 \n\nfuture or pending tax legislation, \n— adequacy and availability of insurance, \n— capital resource and cash flow activities, \n— capital spending, \n— equity company activities, \n— interest costs, \n— acquisition and divestiture activity, \n— the rate of technology change, \n— the ability to enforce patents, \n— product performance issues, \n— stock price fluctuations, and \n— other risks detailed in Corning’s SEC filings. \n\nTRANSFER AGENT AND REGISTRAR \nComputershare Investor Services LLC \nP.O. Box A-3504 \nChicago, IL 60690-3504 \nTelephone: 800.255.0461 \nWebsite: www.computershare.com \nNeither this report nor any statement contained herein is \nfurnished in connection with any offering of securities or for \nthe purpose of promoting or influencing the sale of securities. \n\nCHANGE OF ADDRESS \nReport change of address to Computershare \nInvestor Services at the above address. \nCorning is an equal opportunity employer. \nPrinted in USA \n\n© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "| S C I E N C E & | |\n|---|---|\n| S C I E N C E & | |\n| | Corning’s long history of extraordinary innovation continues in the context of managing the sensitive balance between the near-term alignment of R&D and business objectives, and longer-range discovery research and new opportunity creation. Over the past year, we adjusted our R&D spending to align with business conditions. At the same time, we carefully preserved our core technology capabilities to ensure our capacity to lead our markets and create life-changing innovations. We have tightened our focus on high-impact projects and have streamlined our processes to develop and commercialize promising opportunities more quickly and efficiently. We have emphasized our patent processes to ensure strong competitive positions from the critical intellectual assets of our scientific organization. Our R&D organization is aligned with our operating goals and plays a critical role in meeting them. Our scientists and engineers are closely linked to our operations and are focused not only on new product development, but also new process development. They are discovering new ways to manufacture innovative products with lowered cost and increased quality performance. Innovation is one of Corning’s core Values. It is the everyday language and mindset of the company. Even in the face of difficult economic conditions, we will pursue our tradition of developing breakthrough technologies for the markets we serve — from telecommunications to environmental — and will capitalize on the creation of new market opportunities made possible by our strong commitment to research and development. |\n| C R I T I C A L T E C H N O L O G I E S : C | |\n| | |\n| M A T E R I A L S R E S E A R C H | |", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_GLW_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", + "query": "What is the shortcut to mute myself in MS teams ?", + "target_page": 3, + "target_passage": "Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest. \n\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \n\n\n\n\n\n\n\n\n\n\n\n\n\n| | |\n|---|---|\n| | |\n| Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) | |\n| | Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) |\n| | |\n| | |\n\n\n\n\n| AN | |\n|---|---|\n| AN | |\n| | |\n| | |\n\n\n\n\n| | AN\nTeams\nGeneral A team is a broad group of people that work together to get something\ndone. You can choose who is part of the team, and people can only access\nMarketing\nshared content by invitation. All teams are created with an associated\nShared Channel\nGeneral channel that includes all team members by default.\nChannels\nA channel is a central hub for a specific topic, within the larger team, where\npeople can hold focused conversations and organize a library of files.\nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your\norganization who are not on the team)\nCreate a team for your organization with channels for your leadership team,\nTip\neach department, and one just for fun! | AN | | |\n|---|---|---|---|---|\n| | AN Teams General A team is a broad group of people that work together to get something done. You can choose who is part of the team, and people can only access Marketing shared content by invitation. All teams are created with an associated Shared Channel General channel that includes all team members by default. Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) • Private (only visible to select team members) • Shared (visible to invited team members and external members of your organization who are not on the team) Create a team for your organization with channels for your leadership team, Tip each department, and one just for fun! | AN | | |\n| | | | | |\n| | | | General Marketing Shared Channel | |\n| 1:1 Chat Daichi, Eva, +2 11:00 AM Group Chat Yes, that should work for us Marketing Sync 10:45 AM Meeting Chat Sharing notes after the meeting To share a file select “Attach” under the box where you type messages, select the file location and then the file you want. Depending on the location of the file, you’ll get options for uploading a copy, sharing a link, or other ways to share. When you create group chats you can edit the name of the group by selecting the pen symbol Tip next to the group icon in the chat. This will help you give it context and make it easier to find. | | | | |", + "page_start": 3, + "page_end": 3, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \n\n**Set up**\n\n**Explore**\nOnce you sign in,**connect**with your team in \nchat, channels, calls, and meetings. \n\n**Download**the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go. \n\n**Hit the ground running now!**Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", + "page_start": 0, + "page_end": 0, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**3**\n\n**Activity**\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \n\n**1** **6**\n\n**4**\n\n**Chat**\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \n\n**2** **7**\n\n**5**\n\n**Teams**\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \n\n**3**\n\n**Help**\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \n\n**8**\n\n**6**\n\n**Calendar**\nBring up your calendar to view, create, and respond \nto meetings. \n\n**4**\n\n**Search**\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \n\n**9**\n\n**Calls**\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \n\n**5**\n\n**Profile**\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you. \n\n**10**\n\n**7**\n\n\n\n**1**\n\n**8**", + "page_start": 1, + "page_end": 1, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "Figure 5-32 Turning the Identify LED off \n\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the \nfollowing commands in this sequence: \n\n1. Enter**svctask chenclosure -identify yes 1**(or enter**chenclosure -identify yes 1**). \n2. Enter**svctask chenclosure -identify no 1**(or enter**chenclosure -identify no 1**). \n\nTo view internal components (components that cannot be seen from the outside), review the \nbottom of the GUI underneath where the list of external components is displayed. You can \nselect any of these components and details show in the right pane, as with the external \ncomponents.", + "page_start": 171, + "page_end": 171, + "source_file": "sg247938.pdf" + }, + { + "text": "Use caution when you set the inactivity timeout. Choose the correct amount of time when you \nspecify this setting. For example, assume that you set the inactivity timeout to 10. You log on \nto Content Manager OnDemand to add an application group. Creating the application group \nmight take you 15 minutes to complete. After you enter all of the information about the \napplication group, you click**OK**to create the application group. Content Manager OnDemand \nissues a message that a timeout occurred. You must log off the server, and you cannot save \nthe information that you entered about the application group. \n\n**System Logging**\nThis setting specifies the messages that Content Manager OnDemand saves in the system \nlog. Content Manager OnDemand provides the system log to help you track activity and \nmonitor the system. Content Manager OnDemand saves messages that are generated by the \nvarious programs, such as the**ARSLOAD**program. Content Manager OnDemand can save a \nmessage in the system log when the following events occur: \n\n(cid:2) A user logs on to the system. \n(cid:2) A user logs off the system. \n(cid:2) A user logon fails. \n(cid:2) Application group data is queried, retrieved, loaded, updated, deleted, or maintained. \n\n**System Log Comments**\nThis setting specifies whether the Administrator Client displays the System Log Comments \nwindow when you perform an add, update, or delete operation. \n\nYou can enable comments and also specify whether the comments are required. If the \ncomments are required, the user must enter one or more characters in the Comments field. \n\n**User Login Inactivity**\nThis setting specifies whether you want to disable users who do not log in after the specified \nnumber of days. Users must contact the system administrator to enable their user IDs. \n\n**Query Restriction**\nThis setting specifies the restriction to access to folders and application groups based on \nindex values. This setting is specified on the Permissions tab of the Update an Application \nGroup window, as shown in Figure 6-9 on page 144. You can set a restriction with the internal \nContent Manager OnDemand security. The access restriction for an application group is \ncontrolled through internal or external permissions (for example, RACF).", + "page_start": 166, + "page_end": 166, + "source_file": "sg246915.pdf" + }, + { + "text": "Use the management GUI to manage and service your system. Select**Monitoring**→**Events**\nto list events that should be addressed and maintenance procedures that walk you through \nthe process of correcting problems. Information in the Events window can be filtered in three \nways: \n\n(cid:2) Recommended Actions \n\nShows only the alerts that require attention. Alerts are listed in priority order and should be \nresolved sequentially by using the available fix procedures. For each problem that is \nselected, you can perform the following tasks: \n\n– Run a fix procedure \n– View the properties \n\n(cid:2) Unfixed Messages and Alerts \n\nDisplays only the alerts and messages that are not fixed. For each entry that is selected, \nyou can perform the following tasks: \n\n– Run a fix procedure \n– Mark an event as fixed \n– Filter the entries to show them by specific minutes, hours, or dates \n– Reset the date filter \n– View the properties \n\n(cid:2) Show All \n\nDisplays all event types whether they are fixed or unfixed. For each entry that is selected, \nyou can perform the following tasks: \n\n– Run a fix procedure \n– Mark an event as fixed \n– Filter the entries to show them by specific minutes, hours, or dates \n– Reset the date filter \n– View the properties \n\nSome events require a certain number of occurrences in 25 hours before they are displayed \nas unfixed. If they do not reach this threshold in 25 hours, they are flagged as*expired*. \nMonitoring events are below the coalesce threshold, and are usually transient. \n\n**Important:**The management GUI is the primary tool that is used to*operate*and*service*\nyour system. Real-time*monitoring*should be established by using SNMP traps, email \nnotifications, or syslog messaging on an automatic manner. \n\n**13.6.1 Managing event log**\n\nRegularly check the status of the system using the management GUI. If you suspect a \nproblem, first use the management GUI to diagnose and resolve the problem. \n\nUse the views that are available in the management GUI to verify the status of the system, the \nhardware devices, the physical storage, and the available volumes by completing the \nfollowing steps: \n1. Click**Monitoring**→**Events**to see all problems that exist on the system (see Figure 13-34 \non page 704).", + "page_start": 724, + "page_end": 724, + "source_file": "sg247938.pdf" + }, + { + "text": "**11.7.8 Changing Metro Mirror/Global Mirror consistency group**\n\nUse the**chrcconsistgrp**command to change the name of an MM/GM Consistency Group. \n\n**11.7.9 Starting Metro Mirror/Global Mirror relationship**\n\nUse the**startrcrelationship**command to start the copy process of an MM/GM relationship. \n\nWhen the command is issued, you can set the copy direction if it is undefined. Optionally, you \ncan mark the auxiliary volume of the relationship as clean. The command fails if it is used as \nan attempt to start a relationship that is already a part of a consistency group. \n\nYou can issue this command only to a relationship that is connected. For a relationship that is \nidling, this command assigns a copy direction (master and auxiliary roles) and begins the \ncopy process. Otherwise, this command restarts a previous copy process that was stopped \nby a**stop**command or by an I/O error. \n\nIf the resumption of the copy process leads to a period when the relationship is inconsistent, \nyou must specify the**-force**parameter when the relationship is restarted. This situation can \narise if, for example, the relationship was stopped and then further writes were performed on \nthe original master of the relationship. \n\nThe use of the**-force**parameter here is a reminder that the data on the auxiliary becomes \ninconsistent while resynchronization (background copying) takes place. Therefore, this data is \nunusable for Disaster Recovery purposes before the background copy completes. \n\nIn the Idling state, you must specify the master volume to indicate the copy direction. In \nother connected states, you can provide the**-primary**argument, but it must match the \nexisting setting. \n\n**11.7.10 Stopping Metro Mirror/Global Mirror relationship**\n\nUse the**stoprcrelationship**command to stop the copy process for a relationship. You can \nalso use this command to enable write access to a consistent auxiliary volume by specifying \nthe**-access**parameter. \n\nThis command applies to a stand-alone relationship. It is rejected if it is addressed to a \nrelationship that is part of a Consistency Group. You can issue this command to stop a \nrelationship that is copying from master to auxiliary. \n\nIf the relationship is in an inconsistent state, any copy operation stops and does not resume \nuntil you issue a**startrcrelationship**command. Write activity is no longer copied from the \nmaster to the auxiliary volume. For a relationship in the ConsistentSynchronized state, this \ncommand causes a Consistency Freeze. \n\nWhen a relationship is in a consistent state (that is, in the ConsistentStopped, \nConsistentSynchronized, or ConsistentDisconnected state), you can use the**-access**\nparameter with the**stoprcrelationship**command to enable write access to the auxiliary \nvolume.", + "page_start": 567, + "page_end": 567, + "source_file": "sg247938.pdf" + }, + { + "text": "You can navigate directly to the events menu by clicking**View All Events**option or see each \nevent message separately by clicking the**Details**icon of the specific message, analyze the \ncontent, and eventually run the suggested fix procedure (see Figure 5-13). \n\nFigure 5-13 External storage connectivity loss \n\n**Running jobs and suggested tasks**\nThe middle icon in the notification area provides an overview of currently running tasks that \nare triggered by administrator. It also includes the suggested tasks that recommend that \nusers perform specific configuration actions. \n\nIn the example that is shown in Figure 5-14 on page 141, we did not yet define any hosts \nattached to the systems. Therefore, the system suggests that we do so and offers us direct \naccess to the associated host menu. Click**Run Task**to define the host according to the \nprocedure that is explained in Chapter 8, “Hosts” on page 317. If you do not want to define \nany host now, click**Not Now**and the suggestion message disappears.", + "page_start": 161, + "page_end": 161, + "source_file": "sg247938.pdf" + }, + { + "text": "7. Stop the packet trace by running the following command: \n\nV TCPIP,TCPIP_Proc,PKT,clear # resets filters to none \n\n8. Disconnect SYSTCPIP CTRACE from the external writer by running the following \ncommand: \n\nTRACE CT,ON,COMP=SYSTCPIP,SUB=(TCPIP_Proc) \nreply,WTR=DISCONNECT,JOBNAME=(),OPTIONS=(),END \n\n9. Disconnect SYSTCPDA CTRACE from the external writer by running the following \ncommand: \n\nTRACE CT,ON,COMP=SYSTCPDA,SUB=(TCPIP_Proc) \nreply,WTR=DISCONNECT,END \n\n10.Stop the CTRACE external writer by running the following command: \n\nTRACE CT,WTRSTOP=CTWTR1,FLUSH \n\nSend the non-formatted packet trace dataset information to IBM Support. \n\n**18.4.5 Language Environment (z/OS only)**\n\nMany of the Content Manager OnDemand utilities use the Language Environment, and it \noffers its own customized traces. \n\nTo start the trace, rerun the job with the following**DD**statement. Set the**CEE**environmental \nvariable in the JCL (or use**env var**for the UNIX System Services command line): \n\n//STDENV DD*\n_CEE_RUNOPTS='HEAPCHK(ON),HEAPPOOLS(OFF)' \n\nThe output writes to the job log. \n\nThis trace is good for problems with starting a service: \n\n//CEEDUMP DD \n//ARSSOCKD EXEC ...,PARM='TRACE(ON,8M,,LE=1)/' \n\n**18.4.6 ARSSUPPORT utility**\n\nYou can use the**ARSSUPPORT**utility to gather log entry diagnostic information. The**ARSSUPPORT**\nutility is in the arssupport.jar file. To run the utility, run the following command: \n\njava -jar arssupport.jar \n\nThe following prerequisites apply to using the command: \n\n(cid:2) Ensure that you have Java Runtime Environment version 1.5 or higher to run this program. \n\n(cid:2) Ensure that you are logged on to the operating system by using an ID that has \nadministrator authority on Windows or root authority on UNIX. \n\n(cid:2) On Windows systems, run the**ARSSUPPORT**utility from the Content Manager OnDemand \ncommand prompt. \n\n(cid:2) To retrieve system log entries, ensure that the Content Manager OnDemand server is \nrunning. \n\n(cid:2) The data is collected from the computer where the**ARSSUPPORT**utility is run. \n\nThe**ARSSUPPORT**utility generates information about a Content Manager OnDemand server. \nThis information includes information about its configuration and system environment.", + "page_start": 428, + "page_end": 428, + "source_file": "sg246915.pdf" + }, + { + "text": "The OK button is not active until you copy the displayed confirmation code into the \nprovided text field. This step makes it more difficult to shut down the system by accident. \n\n4. Enter the generated confirmation code and click**OK**to begin the shutdown process. \n\n**4.7.3 Changing the system topology to HyperSwap**\n\nThe IBM HyperSwap function is a high availability feature that provides dual-site, active-active \naccess to a volume. You can create an IBM HyperSwap topology system configuration where \neach I/O group in the system is physically on a different site. When used with HyperSwap \nvolumes, these configurations can be used to maintain access to data on the system if \nsite-wide outages occur. \n\nTo change the system topology to HyperSwap, complete the following steps: \n\nIn the GUI, click**Monitoring**→**System**. Then, click**System Actions**and choose**Modify**\n**System Topology**, as shown in Figure 4-45. \n1.", + "page_start": 148, + "page_end": 148, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", + "query": "How can I make a channel visible to an invited member ?", + "target_page": 4, + "target_passage": "Channels can be: • Shared (visible to invited team members and external members of your organization who are not on the team)", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest. \n\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \n\n\n\n\n\n\n\n\n\n\n\n\n\n| | |\n|---|---|\n| | |\n| Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) | |\n| | Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) |\n| | |\n| | |\n\n\n\n\n| AN | |\n|---|---|\n| AN | |\n| | |\n| | |\n\n\n\n\n| | AN\nTeams\nGeneral A team is a broad group of people that work together to get something\ndone. You can choose who is part of the team, and people can only access\nMarketing\nshared content by invitation. All teams are created with an associated\nShared Channel\nGeneral channel that includes all team members by default.\nChannels\nA channel is a central hub for a specific topic, within the larger team, where\npeople can hold focused conversations and organize a library of files.\nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your\norganization who are not on the team)\nCreate a team for your organization with channels for your leadership team,\nTip\neach department, and one just for fun! | AN | | |\n|---|---|---|---|---|\n| | AN Teams General A team is a broad group of people that work together to get something done. You can choose who is part of the team, and people can only access Marketing shared content by invitation. All teams are created with an associated Shared Channel General channel that includes all team members by default. Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) • Private (only visible to select team members) • Shared (visible to invited team members and external members of your organization who are not on the team) Create a team for your organization with channels for your leadership team, Tip each department, and one just for fun! | AN | | |\n| | | | | |\n| | | | General Marketing Shared Channel | |\n| 1:1 Chat Daichi, Eva, +2 11:00 AM Group Chat Yes, that should work for us Marketing Sync 10:45 AM Meeting Chat Sharing notes after the meeting To share a file select “Attach” under the box where you type messages, select the file location and then the file you want. Depending on the location of the file, you’ll get options for uploading a copy, sharing a link, or other ways to share. When you create group chats you can edit the name of the group by selecting the pen symbol Tip next to the group icon in the chat. This will help you give it context and make it easier to find. | | | | |", + "page_start": 3, + "page_end": 3, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "Share your work with others \n\nTo invite others to view or edit your documents, select the**Share**button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment. \n\n\n\n\n\nNext steps with Word \n\n**See what’s new in Office**\nExplore the new and improved features in Word and the other Office apps. \nVisit**https://go.microsoft.com/fwlink/?linkid=871117**for \nmore information. \n\n**Get free training, tutorials, and videos for Office**\nReady to dig deeper into the capabilities that Word has to offer? Visit \n**https://go.microsoft.com/fwlink/?linkid=871123**to explore our free \ntraining options. \n\n**Send us your feedback**\nLove Word? Got an idea for improvement to share with us? On the**File**menu, \nselect**Feedback**and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", + "page_start": 3, + "page_end": 3, + "source_file": "Word QS.pdf" + }, + { + "text": "2. A list of all the hosts is displayed. The function icons indicate whether the host is Fibre \n\nChannel, iSCSI, or SAS attached. The port details of the selected host are shown to the \nright. You can add a new host object by clicking**Add Host**. If you click**Actions**(see \nFigure 8-51), the tasks that are described in “Modifying Volume Mappings” on page 346 \ncan be selected. \n\nFigure 8-51 Ports by Host actions \n\n**Adding a Fibre Channel or iSCSI host port**\nTo add a host port, complete the following steps: \n\n1. Select the host. \n\n2. Click**Add**(see Figure 8-52) and select one of the following options: \n\na.**Fibre Channel Port**(see “Adding a Fibre Channel port” on page 363) \nb. **iSCSI Port**(see “Adding an iSCSI host port” on page 366)", + "page_start": 383, + "page_end": 383, + "source_file": "sg247938.pdf" + }, + { + "text": "**Creating Fibre Channel hosts**\nTo create a Fibre Channel host, complete the following steps: \n\n1. Rescan the SAN on Storwize V7000 by using the**detectmdisk**command (see \nExample 8-14). \n\nExample 8-14 Rescanning the SAN \n\nIBM_Storwize:ITSO-V7000:superuser>**detectmdisk**\n\n**Note:**The**detectmdisk**command does not return any response. \n\nIf the zoning was implemented correctly, any new WWPNs are discovered by the Storwize \nV7000 system after running the**detectmdisk**command. \n\n2. List the candidate WWPNs and identify the WWPNs belonging to the new host, as shown \nin Example 8-15. \n\nExample 8-15 Available WWPNs \n\nIBM_Storwize:ITSO-V7000:superuser>lsfcportcandidate \nfc_WWPN \n2100000E1E09E3E9 \n2100000E1E30E5E8 \n2100000E1E30E60F \n2100000E1EC2E5A2 \n2100000E1E30E597 \n2100000E1E30E5EC \n\n3. Run the**mkhost**command with the required parameters, as shown in Example 8-16. \n\nExample 8-16 Host creation \n\nIBM_Storwize:ITSO-V7000:superuser>**mkhost -name ITSO-VMHOST-03 -fcwwpn**\n**2100000E1E30E597:2100000E1E30E5EC**\nHost, id [3], successfully created \nIBM_Storwize:ITSO-V7000:superuser> \n\n**Creating iSCSI hosts**\n\nBefore you create an iSCSI host in Storwize V7000, the iSCSI qualified name (IQN) address \nof the host must be known. See your host operating system-specific documentation to find the \nIQN of the host. \n\nCreate a host by completing the following steps: \n\n1. Create the iSCSI host by using the**mkhost**command (see Example 8-17). \n\nExample 8-17 Creating an iSCSI host by using the mkhost command \n\nIBM_Storwize:ITSO-V7000:superuser>**mkhost -iscsiname**\n**iqn.1994-05.com.redhat:e6ff477b58 -name RHEL-Host-06**\nHost, id [4], successfully created \nIBM_Storwize:ITSO-V7000:superuser> \n\n2. The iSCSI host can be verified by using the**lshost**command, as shown in Example 8-18. \n\nExample 8-18 Verifying the iSCSI host by using the lshost command \n\nIBM_Storwize:ITSO-V7000:superuser>lshost 4", + "page_start": 395, + "page_end": 395, + "source_file": "sg247938.pdf" + }, + { + "text": "| Meeting essentials | | | | | | | |\n|---|---|---|---|---|---|---|---|\n| Create meetings 1. Select + New meeting or double-click on a time in your calendar to create a new meeting. | | | | | | | |\n| | | 1 2 3 4 5 | | 6 | | | |\n| 2. Add people, a location and any notes. 3. Send your invite. | | | | | | | |\n| | | | | | | | |\n| | | | | | | | |\n| | | Participants 1 Click to see who has been invited to the meeting, or to add new people. 2 Chat Use chat to share files, ideas, and notes. 3 Reactions Stay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak. 4 Microphone Mute and unmute your microphone when you want to speak. 5 Video Turn your camera on or off. You can also select the … button near the camera to access audio and video settings. Share content 6 Use this to share your screen with others. | | | | | |", + "page_start": 2, + "page_end": 2, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "Figure 8-3 Open the host window \n\n2. To create a host, click**Add Host**. If you want to create a Fibre Channel host, continue with \n“Creating Fibre Channel hosts” on page 329. To create an iSCSI host, go to “Creating \niSCSI hosts” on page 331.", + "page_start": 349, + "page_end": 349, + "source_file": "sg247938.pdf" + }, + { + "text": "**Adding a Fibre Channel port**\nTo add a Fibre Channel port, complete the following steps: \n\n1. Click**Fibre Channel Port**(see Figure 8-52 on page 362). The Add Fibre Channel Ports \nwindow opens (see Figure 8-53). \n\nFigure 8-53 Add Fibre Channel Ports window \n\n2. Click the drop-down menu to display a list of all discovered Fibre Channel WWPNs. If the \nWWPN of your host is not available in the menu, enter it manually or check the SAN \nzoning to ensure that connectivity is configured. Then, rescan storage from the host.", + "page_start": 384, + "page_end": 384, + "source_file": "sg247938.pdf" + }, + { + "text": "**Thank You!**\n\nAmateur Radio Digital \nCommunications \nAndrew Gass \nBen Adida \nBrewster & Mary Kahle \nBruno Hannud \nColin Sullivan \nDouglas Jaffe \nDouglas Van Houweling \nEsther Wojcicki \nGarrett Camp \nGabriel Levin \nJames Grimmelmann \n\nJohn Seely Brown \nLawrence Lessig \nMarta Belcher \nMary Shaw & Roy Weil \nMolly Van Houweling \nMustafa Üstündağ \nPaul and Iris Brest \nReid Borsuk \nTassanee Ponlakarn \nTed and Michele Wang \nZahavah Levine and Jeff Meyer", + "page_start": 10, + "page_end": 10, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**3.1.4 How to subscribe to the EDP Newsletter**\n\nOn the Portal Home Page: \n\n‐ **Either Click on the “Newsletter” item in the page header:**\n\nThen, on the “Newsletter subscriptions” page: \n\n•**Enter your E-Mail address**\n\n•**Click on the button “Subscribe”**\n\nThe system will display a notification message after successful subscription.", + "page_start": 18, + "page_end": 18, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "5. Ensure that the primary host attach WWPNs (virtual WWPNs) now allow host traffic, as \nshown in**bold**in Example 8-7. \n\nExample 8-7 Host attach WWPNs (virtual WWPNs) permitting host traffic \n\nIBM_2145:ITSO-V7000:superuser>lstargetportfc \nid WWPN WWNN port_id owning_node_id current_node_id nportid host_io_permitted virtualized protocol \n1 500507680140A288 500507680100A288 1 1 1 010A00 yes no scsi \n**2 500507680142A288 500507680100A288 1 1 1 010A02 yes yes scsi**\n**3 500507680144A288 500507680100A288 1 1 1 010A01 yes yes nvme**\n4 500507680130A288 500507680100A288 2 1 1 010400 yes no scsi \n**5 500507680132A288 500507680100A288 2 1 1 010401 yes yes scsi**\n**6 500507680134A288 500507680100A288 2 1 1 010402 yes yes nvme**\n7 500507680110A288 500507680100A288 3 1 1 010500 yes no scsi \n**8 500507680112A288 500507680100A288 3 1 1 010501 yes yes scsi**\n**9 500507680114A288 500507680100A288 3 1 1 010502 yes yes nvme**\n10 500507680120A288 500507680100A288 4 1 1 010A00 yes no scsi \n**11 500507680122A288 500507680100A288 4 1 1 010A02 yes yes scsi**\n**12 500507680124A288 500507680100A288 4 1 1 010A01 yes yes nvme**\n49 500507680C110009 500507680C000009 1 2 2 010500 yes no scsi \n**50 500507680C150009 500507680C000009 1 2 2 010502 yes yes scsi**\n**51 500507680C190009 500507680C000009 1 2 2 010501 yes yes nvme**\n52 500507680C120009 500507680C000009 2 2 2 010400 yes no scsi \n**53 500507680C160009 500507680C000009 2 2 2 010401 yes yes scsi**\n**54 500507680C1A0009 500507680C000009 2 2 2 010402 yes yes nvme**\n55 500507680C130009 500507680C000009 3 2 2 010900 yes no scsi \n**56 500507680C170009 500507680C000009 3 2 2 010902 yes yes scsi**\n**57 500507680C1B0009 500507680C000009 3 2 2 010901 yes yes nvme**\n58 500507680C140009 500507680C000009 4 2 2 010900 yes no scsi \n**59 500507680C180009 500507680C000009 4 2 2 010901 yes yes scsi**\n**60 500507680C1C0009 500507680C000009 4 2 2 010902 yes yes nvme**\nIBM_2145:ITSO-V7000:superuser> \n\n6. Add the primary host attach ports (virtual WWPNs) to your host zones but do not \n\nremove the Storwize V7000 WWPNs that is in the zones. Example 8-8 shows a host zone \nto the Primary Port WWPNs of the Storwize V7000 nodes. \n\nExample 8-8 Legacy host zone \n\nzone: WINDOWS_HOST_01_IBM_ITSOV7000 \n 10:00:00:05:1e:0f:81:cc \n 50:05:07:68:01:40:A2:88 \n 50:05:07:68:0C:11:00:09 \n\nExample 8-9 shows that we added the primary host attach ports (virtual WWPNs) to \nour example host zone to allow us to change the host without disrupting its availability. \n\nExample 8-9 Transitional host zone \n\nzone: WINDOWS_HOST_01_IBM_ITSOV7000 \n 10:00:00:05:1e:0f:81:cc \n 50:05:07:68:01:40:A2:88 \n 50:05:07:68:0C:11:00:09 \n**50:05:07:68:01:42:A2:88**\n**50:05:07:68:0C:15:00:09**\n\n7. With the transitional zoning active in your fabrics, ensure that the host is using the new \nNPIV ports for host I/O. Example 8-10 shows the before and after pathing for our host. \nNotice that the select count now increases on the new paths and has stopped on the old \npaths. \n\nExample 8-10 Host device pathing: before and after \n\nC:\\Program Files\\IBM\\SDDDSM>datapath query device", + "page_start": 346, + "page_end": 346, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", + "query": "How can I notify a collegue mentionned in a chat message in Teams ?", + "target_page": 5, + "target_passage": "Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest. \n\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \n\n\n\n\n\n\n\n\n\n\n\n\n\n| | |\n|---|---|\n| | |\n| Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) | |\n| | Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) |\n| | |\n| | |\n\n\n\n\n| AN | |\n|---|---|\n| AN | |\n| | |\n| | |\n\n\n\n\n| | AN\nTeams\nGeneral A team is a broad group of people that work together to get something\ndone. You can choose who is part of the team, and people can only access\nMarketing\nshared content by invitation. All teams are created with an associated\nShared Channel\nGeneral channel that includes all team members by default.\nChannels\nA channel is a central hub for a specific topic, within the larger team, where\npeople can hold focused conversations and organize a library of files.\nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your\norganization who are not on the team)\nCreate a team for your organization with channels for your leadership team,\nTip\neach department, and one just for fun! | AN | | |\n|---|---|---|---|---|\n| | AN Teams General A team is a broad group of people that work together to get something done. You can choose who is part of the team, and people can only access Marketing shared content by invitation. All teams are created with an associated Shared Channel General channel that includes all team members by default. Channels A channel is a central hub for a specific topic, within the larger team, where people can hold focused conversations and organize a library of files. Channels can be: • Standard (visible to everyone on the team) • Private (only visible to select team members) • Shared (visible to invited team members and external members of your organization who are not on the team) Create a team for your organization with channels for your leadership team, Tip each department, and one just for fun! | AN | | |\n| | | | | |\n| | | | General Marketing Shared Channel | |\n| 1:1 Chat Daichi, Eva, +2 11:00 AM Group Chat Yes, that should work for us Marketing Sync 10:45 AM Meeting Chat Sharing notes after the meeting To share a file select “Attach” under the box where you type messages, select the file location and then the file you want. Depending on the location of the file, you’ll get options for uploading a copy, sharing a link, or other ways to share. When you create group chats you can edit the name of the group by selecting the pen symbol Tip next to the group icon in the chat. This will help you give it context and make it easier to find. | | | | |", + "page_start": 3, + "page_end": 3, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**3**\n\n**Activity**\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \n\n**1** **6**\n\n**4**\n\n**Chat**\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \n\n**2** **7**\n\n**5**\n\n**Teams**\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \n\n**3**\n\n**Help**\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \n\n**8**\n\n**6**\n\n**Calendar**\nBring up your calendar to view, create, and respond \nto meetings. \n\n**4**\n\n**Search**\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \n\n**9**\n\n**Calls**\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \n\n**5**\n\n**Profile**\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you. \n\n**10**\n\n**7**\n\n\n\n**1**\n\n**8**", + "page_start": 1, + "page_end": 1, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "• Always use a relevant and descriptive subject line. \n\nE-mails with blank subject lines may be marked as spam by the \nrecipient’s e-mail client, and e-mails with non-descriptive subject \nlines such as “Hello” or “Meeting” may be ignored. \n\n• Write your e-mail in clear and simple language. \n\nDon’t try to sound too formal, and don’t use complicated words \nwhen simple ones would work just fine. As far as possible, write in \nthe active voice. \n\n• Structure your message clearly, and include only the necessary \n\ninformation. \nTake care not to confuse the message by including too many topics \nin one e-mail. Respect your colleagues’ time, and try to keep your \nmessages as short as possible. \n\nIf you include a link in your e-mail, make sure that you provide some \ncontext. \nYour recipients are unlikely to click on a link if they don’t have any \nidea as to what they are going to see when they open it. \n\n• \n\n• Only mark an e-mail as ‘urgent’ when it really does require immedi- \n\nate attention. \nWhat’s urgent to you may not always be urgent to your recipients.", + "page_start": 52, + "page_end": 52, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \n\n**Set up**\n\n**Explore**\nOnce you sign in,**connect**with your team in \nchat, channels, calls, and meetings. \n\n**Download**the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go. \n\n**Hit the ground running now!**Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", + "page_start": 0, + "page_end": 0, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "Share your work with others \n\nTo invite others to view or edit your documents, select the**Share**button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment. \n\n\n\n\n\nNext steps with Word \n\n**See what’s new in Office**\nExplore the new and improved features in Word and the other Office apps. \nVisit**https://go.microsoft.com/fwlink/?linkid=871117**for \nmore information. \n\n**Get free training, tutorials, and videos for Office**\nReady to dig deeper into the capabilities that Word has to offer? Visit \n**https://go.microsoft.com/fwlink/?linkid=871123**to explore our free \ntraining options. \n\n**Send us your feedback**\nLove Word? Got an idea for improvement to share with us? On the**File**menu, \nselect**Feedback**and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", + "page_start": 3, + "page_end": 3, + "source_file": "Word QS.pdf" + }, + { + "text": "**Compose**\n\n**Tip**Going into format mode will \nprevent your message from sending \nwhen you hit [Enter], so it's a great \nway to draft and preview messages \nbefore sending them. \n\nHi @Daichi. Can you coordinate a time to meet with \n\n**Format**your messages, add bullet points, \ncharts or hyperlinks. \n\nChristie to talk coverage on Brandhaus while Alex is out**next week?**\n\n**Mark as important**to call attention to specific messages.", + "page_start": 4, + "page_end": 4, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "2. Select**Call Home**and then, click**Enable Notifications**(see Figure 13-45). For more \ninformation, see IBM Knowledge Center. \n\nFor the correct functionality of email notifications, ask your network administrator if Simple \nMail Transfer Protocol (SMTP) is enabled on the management network and is not, for \nexample, blocked by firewalls. Be sure to test the accessibility to the SMTP server by using \nthe**telnet**command (port 25 for a non-secured connection, port 465 for Secure Sockets \nLayer (SSL)-encrypted communication) using any server in the same network segment. \n\nFigure 13-46 Cloud Home service \n\n3. After clicking**Next**on the Welcome window, enter the information about the location of the \nsystem (see Figure 13-47 on page 713) and contact information of IBM Storwize V7000 \nadministrator (see Figure 13-48 on page 713) to be contactable by IBM Support.*Always*\nkeep this information current.", + "page_start": 733, + "page_end": 733, + "source_file": "sg247938.pdf" + }, + { + "text": "In today’s working environment, it is almost guaranteed that \nyou will be required to communicate with colleagues via e-mail \non a regular basis. And due to the large number of e-mails we \nnow send and receive each day, proper e-mail etiquette is \nmore important than ever.", + "page_start": 51, + "page_end": 51, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the \nmobile phone, the watch will receive one or more SMS reminders at the same time. \n1.5.3. Other application message notifications: \nTurn on the corresponding application message notification in the app, such as WeChat, QQ, \nOutlook, Facebook and other applications. When the mobile phone receives one/multiple \napplication message notifications, the watch will receive one/multiple corresponding message \nreminders at the same time. \n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile \nphone, then you can synchronize you contacts of your mobile phone to the smartwatch. \n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the \nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will \nbe wiped out at 00:00 every day in the morning. \n\n**1.8 Sports modes**(walking, running, cycling, rope skipping, badminton, \n\nbasketball, football) \n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the \nexercise; click the “Start” button again to pause the recording of the exercise; click the “End” \nbutton to end the recording, and save to the data. \n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the \nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be \nsaved.", + "page_start": 3, + "page_end": 3, + "source_file": "6126797.pdf" + }, + { + "text": "The content of the welcome message is helpful when you need to notify users about some \nimportant information about the system, such as security warnings or a location description. \nTo define and enable the welcome message by using the GUI, edit the text area with the \nmessage content and click**Save**(see Figure 5-80).", + "page_start": 203, + "page_end": 203, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "Botswana-constitution.pdf", + "query": "What are the 3 prerequisites to be elligible as president of Botswana ?", + "target_page": 18, + "target_passage": "A person shall be qualified for election as President if, and shall not be qualified unless, he or she- (a) is a citizen of Botswana by birth or descent; (b) has attained the age of 30 years; and (c) is qualified to be elected as a Member of the National Assembly", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "**57. Parliament**\n\nThere shall be a Parliament of Botswana which shall consist of the President and \n\na National Assembly. \n**58. Composition of National Assembly**\n\n(1) The President shall be ex-officio a member of the National Assembly, and \n\nshall be entitled to speak and to vote in all proceedings of the National Assembly. \n\n(2) In addition to the President the National Assembly shall consist of- \n\n(a) \n\n57 Elected Members who shall be elected in accordance with the provisions of \nthis Constitution and subject thereto in accordance with the provisions of any \nAct of Parliament; and \nfour Specially Elected Members who shall be elected in accordance with the \nFirst Schedule to this Constitution and subject thereto in accordance with the \nprovisions of any Act of Parliament. \n\n(3) If a person who is not a member of the National Assembly is elected to the \noffice of Speaker of the National Assembly, that person shall, by virtue of holding that \noffice, be a member of the Assembly in addition to the members referred to in \nsubsections (1) and (2) of this section. \n**59. Speaker**\n\n(1) There shall be a Speaker of the National Assembly who shall be elected by \nthe Members of the Assembly from among persons who are Members of the Assembly \nor from among persons who are not Members of the Assembly. \n\n(2) The President, the Vice-President, a Minister, an Assistant Minister or a \n\npublic officer shall not be qualified to be elected as Speaker. \n(3) The Speaker shall vacate his or her office- \n\n(a) \n\nif, having been elected from among the Members of the National Assembly, he \nor she ceases to be a Member of the Assembly otherwise than by reason of a \ndissolution of Parliament or if he or she is required by virtue of section 68(2) to \n(3) of this Constitution, to cease to perform his or her functions as a Member of \nthe Assembly; \nif any circumstances arise that, if he or she were not Speaker, would disqualify \nhim for election as such; \n\n(b) \n\n(c) when the Assembly first sits after any dissolution of Parliament; or \n(d) \n\nif he or she is removed from office by a resolution of the Assembly supported by \nthe votes of not less than two-thirds of all the Members thereof. \n\n(4) No business shall be transacted in the National Assembly (other than an \nelection to the office of Speaker) at any time when the office of Speaker is vacant. \n**60. Deputy Speaker**\n\n(1) There shall be a Deputy Speaker of the National Assembly who shall be \nelected from among the persons who are Members of the Assembly other than the \nPresident, the Vice-President, Ministers or Assistant Ministers. \n\n(2) The Members of the National Assembly shall elect a person to the office of \n\nDeputy Speaker when the Assembly first sits after any dissolution and, if the office \nbecomes vacant otherwise than by reason of the dissolution of the Assembly, at the first \nsitting of the Assembly after the office becomes vacant. \n\n(3) The Deputy Speaker shall vacate his or her office- \n\n(a) \n\nif he or she ceases to be a Member of the National Assembly, otherwise than \nby reason of a dissolution of Parliament; \nif any circumstances arise that, if he or she were not Deputy Speaker, would \ndisqualify him or her for election as such; \nif he or she is required, by virtue of section 68(2) to (3) of this Constitution, to \ncease to perform his or her functions as a Member of the Assembly; \n\n(b) \n\n(c)", + "page_start": 26, + "page_end": 26, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(d) \n(e) \n\nif he or she is elected as Speaker; \nif he or she is removed from office by a resolution of the Assembly supported by \nthe votes of not less than two-thirds of all the Members of the Assembly; or \n\n(f) when the Assembly first sits after any dissolution of Parliament. \n\n**61. Qualifications for election to National Assembly**\n\nSubject to the provisions of section 62 of this Constitution, a person shall be \n\nqualified to be elected as a Member of the National Assembly if, and shall not be \nqualified to be so elected unless- \n\n(a) \n(b) \n(c) \n\nhe or she is a citizen of Botswana; \nhe or she has attained the age of 18 years; \nhe or she is qualified for registration as a voter for the purposes of the election \nof the Elected Members of the National Assembly and is so registered; and \nhe or she is able to speak, and, unless incapacitated by blindness or other \nphysical cause, to read English well enough to take an active part in the \nproceedings of the Assembly. \n\n**62. Disqualifications for membership of National Assembly**\n\n(1) No person shall be qualified to be elected as a Member of the National \n\nAssembly who- \n\n(a) \n\nis, by virtue of his or her own act, under any acknowledgement of allegiance, \nobedience or adherence to a foreign power or state; \nhas been declared insolvent or adjudged or otherwise declared bankrupt under \nany law for the time being in force in Botswana and has not been discharged, or \nhas made a composition with his or her creditors and has not paid his or her \ndebts in full; \nis certified to be insane or otherwise adjudged or declared to be of unsound \nmind under any law for the time being in force in Botswana; \nis a Member of the Ntlo ya Dikgosi; \nsubject to such exceptions as may be prescribed by Parliament, holds any \npublic office, or is acting in any public office by virtue of a contract of service \nexpressed to continue for a period exceeding six months; \nis under sentence of death imposed on him or her by a court in any part of the \nCommonwealth, or is under a sentence of imprisonment (by whatever name \ncalled) exceeding six months imposed on him or her by such a court or \nsubstituted by competent authority for some other sentence imposed on him or \nher by such a court; \nholds, or is acting in, any office the functions of which involve any responsibility \nfor, or in connection with, the conduct of any elections to the Assembly or the \ncompilation or revision of any electoral register for the purposes of such \nelections. \n\n(b) \n\n(2) Parliament may provide that a person shall not be qualified for election to the \nNational Assembly for such period (not exceeding five years) as may be prescribed if he \nor she is convicted of any such offence connected with elections to the Assembly as \nmay be prescribed. \n\n(3) For the purposes of this section two or more terms of imprisonment that are \nrequired to be served consecutively shall be regarded as a single term of imprisonment \nfor the aggregate period of those terms, and no account shall be taken of a sentence of \nimprisonment imposed as an alternative to or in default of the payment of a fine. \n**63. Constituencies**\n\nBotswana shall be divided into as many constituencies as there are Elected \n\nMembers of the National Assembly and each of those constituencies shall return one \nMember to the National Assembly.", + "page_start": 27, + "page_end": 27, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(2) The President shall, so far as practicable and subject to the provisions of this \n\nConstitution, consult the Cabinet on matters of policy and the exercise of his or her \nfunctions. \n\n(3) The obligation of the President to consult his or her Cabinet and for the \nCabinet to accept responsibility under this section shall not apply to the exercise by the \nPresident of his or her powers in relation to the appointment or removal of the Vice- \nPresident, Ministers and Assistant Ministers, the dissolution of Parliament, the \nPrerogative of Mercy, the assignment of responsibility to the Vice-President or any \nMinister and the specification of the functions of an Assistant Minister. \n\n(4) A Minister shall be responsible, under the direction of the President, for such \n\nbusiness of the government of Botswana (including the administration of any department \nof Government) as the President may assign to him or her.", + "page_start": 22, + "page_end": 22, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(b) \n\nshall be referred to and determined by the returning officer whose decision shall not be \nquestioned in any court. \n**39. Vice President**\n\n(1) There shall be a Vice-President who shall be appointed by the President from \namong the Elected Members of the National Assembly who are citizens of Botswana by \nbirth or descent, which appointment shall be endorsed by the said Elected Members. \n\n(2) The Vice-President shall continue in office until a person elected at the next \n\nelection of President under section 32 or 35 of this Constitution assumes office: \nProvided that the office of Vice-President shall become vacant- \n\n(i) \n(ii) \n\nif the appointment of the holder of the office is revoked by the President; or \nif the holder of the office ceases to be a Member of the National Assembly for \nany other reason than a dissolution of Parliament. \n\n(3) The Vice-President shall not enter upon the duties of his or her office unless \n\nhe or she has taken and subscribed the oath of allegiance and such oath for the due \nexecution of his or her office as may be prescribed by Parliament. \n\n(4) If the Vice-President is absent from Botswana or is incapable by reason of \n\nillness or any other cause of discharging the functions of his or her office, the President \nmay appoint a person, from among the Members of the Assembly, to perform the \nfunctions of the office of Vice-President and any person so appointed may discharge \nthose functions accordingly: \n\nProvided that a person appointed under this subsection shall cease to perform \n\nthe functions of the office of Vice-President- \n\n(i) \n(ii) \n\nif his or her appointment is revoked by the President; \nif he or she ceases to be a Member of the Assembly otherwise than by reason \nof a dissolution of Parliament; \n\n(iii) upon the assumption by any person of the office of President; or \n(iv) upon the President giving him or her notice that the Vice-President is about to \n\nresume his or her functions. \n\n(5) Where the Vice-President is performing the functions of the office of President \nin accordance with section 35 or 36 of this Constitution he or she may appoint a person,", + "page_start": 20, + "page_end": 20, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "he or she intends to move in the Assembly a motion under subsection (8) and \nnotwithstanding any other provision of this Constitution the President shall not after \nreceipt of any such notice be empowered to dissolve Parliament before the conclusion of \nthe sitting of the Assembly mentioned in the said subsection (8). \n\n(10) If the office of President becomes vacant in accordance with subsection (8) \n\nof this section the seats of the Specially Elected Members of the Assembly shall also \nbecome vacant, and the election of a person to the office of President shall take place \nbefore the election of the Specially Elected Members. \n\n(11) In this section- \n\"Parliamentary candidate\" means a candidate in the Parliamentary election; \n\"the Parliamentary election\" means the general election to elect those Members \n\nof the National Assembly who are referred to in section 58(2)(a) of this Constitution \nfollowing any dissolution of Parliament; \n\n\"Presidential candidate\" means a candidate for the office of President; \n\"the returning officer\" means the returning officer specified in section 38 of this \n\nConstitution. \n**33. Qualification for election as President**\n\n(1) A person shall be qualified for election as President if, and shall not be \n\nqualified unless, he or she- \n\n(a) \n(b) \n(c) is a citizen of Botswana by birth or descent; \nhas attained the age of 30 years; and \nis qualified to be elected as a Member of the National Assembly. \n\n(2) Notwithstanding any other law to the contrary, for the purposes of this section \n\nand section 39- \n\n(a) \n\nthe term \"citizen by birth\" shall be understood to include only those persons \nwho became citizens of Botswana prior to the amendment of the law relating to \ncitizenship by the Citizenship Act; \nany person who, although his or her father was a citizen of Botswana at the \ntime of that person's birth, had, by virtue of his or her having been born outside \nBotswana, to be registered as a citizen of Botswana, under the law relating to \n\n(b)", + "page_start": 17, + "page_end": 17, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**CONSTITUTION OF BOTSWANA**\nARRANGEMENT OF SECTIONS \nCHAPTER I \nThe Republic \n\n1. \n2. Declaration of Republic \nPublic Seal \n\nCHAPTER II \nProtection of Fundamental Rights and Freedoms of the Individual \n\n3. \n4. \n5. \n6. \n7. \n8. \n9. \n10. \n11. \n12. \n13. \n14. \n15. \n16. \n17. \n18. \n19. Fundamental rights and freedoms of the individual \nProtection of right to life \nProtection of right to personal liberty \nProtection from slavery and forced labour \nProtection from inhuman treatment \nProtection from deprivation of property \nProtection for privacy of home and other property \nProvisions to secure protection of law \nProtection of freedom of conscience \nProtection of freedom of expression \nProtection of freedom of assembly and association \nProtection of freedom of movement \nProtection from discrimination on the grounds of race, etc. \nDerogation from fundamental rights and freedoms \nDeclarations relating to emergencies \nEnforcement of protective provisions \nInterpretation and savings \n\nCHAPTER III \nCitizenship \n20 to 29. ...... \n\nCHAPTER IV \nThe Executive \nPART I \nThe President and the Vice-President \n\n30. \n31. \n32. \n33. \n34. \n35. \n36. \n37. \n38. \n39. \n40. \n41. Office of President \nFirst President \nElection of President after dissolution of Parliament \nQualification for election as President \nTenure of office of President \nVacancy in office of President \nDischarge of functions of President during absence, illness, etc. \nOath of President \nReturning officer at elections of President \nVice-President \nSalary and allowances of President \nProtection of President in respect of legal proceedings", + "page_start": 0, + "page_end": 0, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**32. Election of President after dissolution of Parliament**\n\n(1) Whenever Parliament is dissolved an election shall be held to the office of \nPresident in such manner as is prescribed by this section and, subject thereto, by or \nunder an Act of Parliament. \n\n(2) Nominations in the election of a President shall be delivered to the returning \nofficer on such day and at such time as may be prescribed by or under any law for the \ntime being in force in Botswana; the nomination of a candidate in an election of a \nPresident shall not be valid unless it is supported, in such manner as may be prescribed \nby or under an Act of Parliament, by not less than 1000 persons registered as voters for \nthe purpose of elections to the Assembly. \n\n(3) The following provisions shall then apply- \n\n(a) \n\na person nominated as a Parliamentary candidate may, at the time of his or her \nnomination and subject to the provisions of paragraph (b), declare in such \nmanner as may be prescribed by or under an Act of Parliament which of the \ncandidates in the election of President he or she supports, but the nomination of \na Parliamentary candidate shall be valid notwithstanding that the nomination \npaper does not contain such a declaration; \nsuch a declaration shall not be made in relation to any Presidential candidate \nunless that candidate has signified, in such manner as may be prescribed by or \nunder an Act of Parliament, his or her consent to the making of a declaration in \nhis or her favour by that Parliamentary candidate; \n\n(c) where the Parliamentary election is contested in any constituency a poll shall be \ntaken in that constituency at which the votes shall be given by ballot, and for the \npurposes of that poll any Parliamentary candidate who declared support in \naccordance with paragraph (a) for a particular Presidential candidate shall use \nthe same voting colour and symbol, if any, as may have been allocated under \nany law for the time being in force in Botswana to that Presidential candidate for \nthe purposes of the Presidential election; \nthe returning officer shall declare to be elected as President any candidate for \nwhom support has been declared in accordance with paragraph (a) above by \nnot less than such number of persons elected as Members of the National \nAssembly in the Parliamentary election as corresponds to more than half the \ntotal number of seats for Elected Members in the Assembly, and if there is no \nsuch person the returning officer shall declare that no candidate has been \nelected. \n\n(d) \n\n(4) Parliament may make provision whereby the time for nominating Presidential \n\ncandidates may be extended in the event of there being no qualified candidate \nnominated at the expiration of the time for the delivery of such nominations. \n\n(5) Where, at the expiration of the time for the delivery of nominations in the \n\nelection of a President, more than one qualified candidate is validly nominated and any \nof those candidates dies before the commencement of the poll in the Parliamentary \nelection, the poll in the Parliamentary election shall be countermanded, fresh \nnominations of Parliamentary candidates shall take place in every constituency and a \nfresh election of a President shall be held in accordance with the foregoing provisions of \nthis section. \n\n(6) Where- \n\n(a) \n\nany candidate in an election of a President dies during the period commencing \nwith the taking of the poll in the Parliamentary election and ending when the \nresult of the election has been ascertained and that candidate would, but for his \nor her death, have been entitled to have been declared elected as President \nunder subsection (3) of this section; or", + "page_start": 16, + "page_end": 16, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "has more than one residence in Botswana in the constituency in which he or \nshe has his or her principal residence; or \nin the case of a person who does not have a residence in Botswana but is able \nto register in person, in the constituency in which he or she last resided, or in \nwhich he or she was born; or \nin the case of a person who is not resident in Botswana and is unable to \nregister in person, at such place as may be prescribed by Parliament and \nregistration at such place shall be treated as registration in the constituency in \nwhich he or she last resided, or in which he or she was born in Botswana. \n\n(b) \n\n(4) A person shall be entitled to be registered as a voter in one constituency only. \n(5) Every person who is registered in any constituency as a voter for the \npurposes of elections of the Elected Members of the National Assembly shall, unless he \nor she is disqualified by Parliament from voting in such elections on the grounds of his or \nher having been convicted of an offence in connection with the elections or on the \ngrounds of his or her having been reported guilty of such an offence by the court trying \nan election petition or on the grounds of his or her being in lawful custody at the date of \nthe election, be entitled so to vote in that constituency in accordance with the provisions \nmade by or under a law in that behalf; and no other person may so vote. \n**68. Tenure of office of Members**\n\n(1) The seat of an Elected Member or a Specially Elected Member of the \n\nNational Assembly shall become vacant- \n\n(a) \n(b) \n\nupon the dissolution of Parliament; \nif he or she is absent from the sittings of the Assembly for such period and in \nsuch circumstances as may be prescribed in the rules of procedure of the \nAssembly; \nsubject to the provisions of subsections (2) to (3) of this section, if any \ncircumstances arise that, if he or she were not a Member of the Assembly, \nwould cause him or her to be disqualified for election thereto. \n\n(c) \n\n(2) If circumstances such as are referred to in paragraph (c) of the preceding \n\nsubsection arise in relation to a Member of the Assembly by virtue of the fact that he or \nshe is declared insolvent, adjudged to be of unsound mind, sentenced to death or \nimprisonment, or convicted of an election offence and it is open to the Member to appeal \nagainst the decision (either with the leave of the court or other authority or without such \nleave), he or she shall forthwith cease to perform his or her functions as a Member of the \nAssembly but, subject to the next following subsection, he or she shall not vacate his or \nher seat until the expiration of a period of 30 days thereafter: \n\nProvided that the Speaker may, at the request of the Member, from time to time \n\nextend that period for further periods of 30 days to enable the Member to pursue an \nappeal against the decision, so, however, that extensions of time exceeding in the \naggregate 150 days shall not be given without the approval of the Assembly signified by \nresolution. \n\n(3) If, on the determination of any appeal, such circumstances continue to exist \n\nand no further appeal is open to the Member of the Assembly, or if, by reason of the \nexpiration of any period for entering an appeal or notice thereof or the refusal of leave to \nappeal or for any other reason, it ceases to be open to the Member to appeal, he or she \nshall forthwith vacate his or her seat. \n\n(4) If at any time before the Member of the Assembly vacates his or her seat \n\nsuch circumstances as aforesaid cease to exist, his or her seat shall not become vacant \nby reason of those circumstances, and he or she may resume the performance of his or \nher functions as a Member of the Assembly. \n**69. Determination of questions as to membership of National Assembly**", + "page_start": 32, + "page_end": 32, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "If the National Assembly at any time passes a resolution supported by a majority \n\nof all the Members of the Assembly who are entitled to vote declaring that it has no \nconfidence in the Government of Botswana, Parliament shall stand dissolved on the \nfourth day following the day on which such resolution was passed, unless the President \nearlier resigns his or her office or dissolves Parliament. \n**93. Sittings of National Assembly**\n\n(1) The President may at any time summon a meeting of the National Assembly. \n(2) Subject to the provisions of this Constitution, the sittings of the National \nAssembly in any session of Parliament after the commencement of that session shall be \ncommenced at such times and on such days as the Assembly shall appoint. \n\n**PART VI**\n**Interpretation (s 94)**\n\n**94. Votes of two-thirds of the Assembly**\nthe votes of two-thirds of the Members of the Assembly shall be construed as a \nreference to the votes of two-thirds of the Members of the Assembly excluding the \nperson presiding. \n\nAny reference in this Constitution to \n\n**CHAPTER VI**\n**The Judicature (ss 95-107)**\n**PART I**\n**The High Court (ss 95-98)**\n\n**95. Jurisdiction and composition**\n\n(1) There shall be for Botswana a High Court which shall have unlimited original \n\njurisdiction to hear and determine any civil or criminal proceedings under any law and \nsuch other jurisdiction and powers as may be conferred on it by this Constitution or any \nother law. \n\n(2) The judges of the High Court shall be the Chief Justice and such number of \n\n(1) The Chief Justice shall be appointed by the President. \n(2) The other judges of the High Court shall be appointed by the President, acting \n\nin accordance with the advice of the Judicial Service Commission. \n\n(3) A person shall not be qualified to be appointed as a judge of the High Court \n\nunless- \n(a) \n\nhe or she holds, or has held office, as a judge of a court having unlimited \njurisdiction in civil and criminal matters in Botswana, in a Commonwealth \ncountry or in any country outside the Commonwealth that may be prescribed by \nParliament or a court having jurisdiction in appeals from such a court; or \nhe or she is qualified to practise as an advocate or attorney in such a court and \nhas been qualified for not less than ten years to practise as an advocate or \nattorney in such a court; \nhe or she is qualified to practise as an advocate or attorney and he or she has \nhad the experience in the teaching of law in a recognised university for not less \nthan ten years; or \nhe or she is a Chief Magistrate who has held that office for not less than five \nyears. \n\n(b) \n\n(4) In computing, for the purposes of subsection (3) of this section, the period", + "page_start": 39, + "page_end": 39, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**PART III**\n**Judicial Service Commission (ss 103-104)**\n\n**103. Composition and procedure**\n\n(1) There shall be a Judicial Service Commission for Botswana which shall \n\nconsist of- \n(a) \n(b) \n\nthe Chief Justice who shall be Chairman; \nthe President of the Court of Appeal (not being the Chief Justice or the most \nSenior Justice of the Court of Appeal); \nthe Attorney-General; \nthe Chairman of the Public Service Commission; \na member of the Law Society nominated by the Law Society; and \na person of intergrity and experience not being a legal practitioner appointed by \nthe President. \n\n(c) \n(d) \n(e) \n(f) \n\n(2) A member nominated under paragraph (e) or appointed under paragraph (f) \n\nof subsection (1) shall hold office for a period of two years, but shall be eligible for re- \nnomination or re-appointment, as the case may be, for another term of office for two \nyears: \n\nProvided that- \n\n(i) a member nominated under paragraph (e) may be removed from office by the \nrest of the members of the Commission acting together only for inability of the \nmember to discharge the functions of his or her office whether arising from \ninfirmity of mind or body or any other cause or for gross misbehaviour; or \n(ii) a member appointed under paragraph (f) may be removed from office by the \n\nPresident only for inability of the member to discharge the functions of his or her \noffice whether arising from infirmity of mind or body or any other cause or for \ngross misbehaviour. \n\n(3) A member of the Commission shall not enter upon the duties of his or her \n\noffice until he or she has taken and subscribed such oath for the due execution of his or \nher office as may be prescribed by Parliament. \n\n(4) The Judicial Service Commission shall not be subject to the direction or \n\ncontrol of any other person or authority in the exercise of its functions under this \nConstitution. \n\n(5) The Commission may regulate its own procedure and, subject to that \nprocedure, may act notwithstanding any vacancy in its membership or the absence of", + "page_start": 44, + "page_end": 44, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "Botswana-constitution.pdf", + "query": "What is the condition to be allowing to access the position of Director of public prosecution in Botswana ?", + "target_page": 25, + "target_passage": "A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "detention is authorized; \nnot more than one month after the commencement of his or her detention and \nthereafter during his or her detention at intervals of not more than six months, \nhis or her case shall be reviewed by an independent and impartial tribunal \nestablished by law and presided over by a person, qualified to be enrolled as an \nadvocate in Botswana, appointed by the Chief Justice; and \nhe or she shall be afforded reasonable facilities to consult and instruct, at his or \nher own expense, a legal representative and he or she and any such legal \nrepresentative shall be permitted to make written or oral representations or both \nto the tribunal appointed for the review of his or her case. \n\n(c) \n\n(3) On any review by a tribunal in pursuance of this section of the case of a \n\ndetained person, the tribunal may make recommendations, concerning the necessity or \nexpediency of continuing his or her detention, to the authority by which it was ordered \nbut, unless it is otherwise provided by law, that authority shall not be obliged to act in \naccordance with any such recommendations. \n**17. Declarations relating to emergencies**\n\n(1) The President may at any time, by Proclamation published in the Gazette, \n\ndeclare that a state of public emergency exists. \n\n(2) A declaration under subsection (1) of this section, if not sooner revoked, shall \n\ncease to have effect- \n\n(a) \n\nin the case of a declaration made when Parliament is sitting or has been \nsummoned to meet within seven days, at the expiration of a period of seven \ndays beginning with the date of publication of the declaration; or \nin any other case, at the expiration of a period of 21 days beginning with the \ndate of publication of the declaration, \n\n(b) \n\nunless before the expiration of that period, it is approved by a resolution passed by the \nNational Assembly, supported by the votes of a majority of all the voting members of the \nAssembly. \n\n(3) Subject to the provisions of subsection (4) of this section, a declaration \n\napproved by a resolution of the National Assembly under subsection (2) of this section \nshall continue in force until the expiration of a period of six months beginning with the \ndate of its being so approved or until such earlier date as may be specified in the \nresolution: \n\nProvided that the National Assembly may, by resolution, supported by the votes \n\nof a majority of all the voting members of the Assembly, extend its approval of the \ndeclaration for periods of not more than six months at a time. \n\n(4) The National Assembly may by resolution at any time revoke a declaration \n\napproved by the Assembly under this section. \n**18. Enforcement of protective provisions**\n\n(1) Subject to the provisions of subsection (5) of this section, if any person \n\nalleges that any of the provisions of sections 3 to 16 (inclusive) of this Constitution has \nbeen, is being or is likely to be contravened in relation to him or her, then, without \nprejudice to any other action with respect to the same matter which is lawfully available, \nthat person may apply to the High Court for redress. \n\n(2) The High Court shall have original jurisdiction- \n\n(a) \n\nto hear and determine any application made by any person in pursuance of \nsubsection (1) of this section; or \nto determine any question arising in the case of any person which is referred to \nit in pursuance of subsection (3) of this section, \n\n(b) \n\nand may make such orders, issue such writs and give such direction as it may consider \nappropriate for the purpose of enforcing or securing the enforcement of any of the", + "page_start": 14, + "page_end": 14, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**PART III**\n**Judicial Service Commission (ss 103-104)**\n\n**103. Composition and procedure**\n\n(1) There shall be a Judicial Service Commission for Botswana which shall \n\nconsist of- \n(a) \n(b) \n\nthe Chief Justice who shall be Chairman; \nthe President of the Court of Appeal (not being the Chief Justice or the most \nSenior Justice of the Court of Appeal); \nthe Attorney-General; \nthe Chairman of the Public Service Commission; \na member of the Law Society nominated by the Law Society; and \na person of intergrity and experience not being a legal practitioner appointed by \nthe President. \n\n(c) \n(d) \n(e) \n(f) \n\n(2) A member nominated under paragraph (e) or appointed under paragraph (f) \n\nof subsection (1) shall hold office for a period of two years, but shall be eligible for re- \nnomination or re-appointment, as the case may be, for another term of office for two \nyears: \n\nProvided that- \n\n(i) a member nominated under paragraph (e) may be removed from office by the \nrest of the members of the Commission acting together only for inability of the \nmember to discharge the functions of his or her office whether arising from \ninfirmity of mind or body or any other cause or for gross misbehaviour; or \n(ii) a member appointed under paragraph (f) may be removed from office by the \n\nPresident only for inability of the member to discharge the functions of his or her \noffice whether arising from infirmity of mind or body or any other cause or for \ngross misbehaviour. \n\n(3) A member of the Commission shall not enter upon the duties of his or her \n\noffice until he or she has taken and subscribed such oath for the due execution of his or \nher office as may be prescribed by Parliament. \n\n(4) The Judicial Service Commission shall not be subject to the direction or \n\ncontrol of any other person or authority in the exercise of its functions under this \nConstitution. \n\n(5) The Commission may regulate its own procedure and, subject to that \nprocedure, may act notwithstanding any vacancy in its membership or the absence of", + "page_start": 44, + "page_end": 44, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "offices, that is to say- \n\n(a) \n(b) the office of judge of the Court of Appeal or of the High Court; \nany office to which section 104 or 112 of the Constitution applies. \n\n(3) Before any person or persons as may have been prescribed under the \nprovisions of subsection (1) exercise power to appoint to or to act in any public office any \nperson who holds or is acting in any office the power to make appointments to which is \nvested by this Constitution in the President acting in accordance with the advice of the \nJudicial Service Commission such person shall consult with the Judicial Service \nCommission. \n**111. Appeals to President**\n\n(1) Any person other than a member of the Botswana Police Force or the Prison \nService who has been removed from office or subjected to any other punishment by the \nexercise of any powers conferred on any person under the provisions of section 110 of \nthis Constitution may appeal to the Public Service Commission who may dismiss such \nappeal or allow it wholly or in part. \n\n(2) Subject to the provisions of subsection (3) every decision of the Public \n\nService Commission under the provisions of this section shall be final. \n\n(3) Notwithstanding anything contained in subsection (2) if the Public Service \n\nCommission dismisses an appeal or allows it in part only the person who appealed may \nappeal to the President. \n\n(4) If any person appeals to the President in accordance with the provisions of \n\nsubsection (3) of this section the President shall either dismiss the appeal or shall order \nthat it be heard by a tribunal appointed by the President, the Chairman of which shall be \na person who holds or has held high judicial office or is qualified to be appointed as a \njudge of the High Court. \n\n(5) If the President appoints a tribunal to hear an appeal in accordance with \nsubsection (4) of this section the tribunal shall hear the appeal and shall advise the \nPresident whether or not the appeal should be allowed either wholly or in part, and the \nPresident shall act in accordance with that advice. \n**112. Powers of President in relation to certain public offices**\n\n(1) The power to appoint a person to hold or act in offices to which this section \n\napplies and to remove from office and to exercise disciplinary control over persons", + "page_start": 47, + "page_end": 47, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(a) \n\ngrant to any person convicted of any offence a pardon, either free or subject to \nlawful conditions; \ngrant to any person a respite, either indefinite or for a specified period, of the \nexecution of any punishment imposed on that person for any offence; \nsubstitute a less severe form of punishment for any punishment imposed on \nany person for any offence; and \nremit the whole or part of any punishment imposed on any person for any \noffence or of any penalty or forfeiture otherwise due to the Government on \naccount of any offence. \n\n**54. Advisory Committee on Prerogative of Mercy**\n\n(1) There shall be an Advisory Committee on the Prerogative of Mercy which \n\nshall consist of- \n\n(a) \n\nthe Vice-President or a Minister appointed by the President by instrument in \nwriting under his or her hand; \nthe Attorney-General; and \na person qualified to practise in Botswana as a medical practitioner, appointed \nby the President by instrument in writing under his or her hand. \n\n(b) \n(c) \n\n(2) A member of the Committee appointed under subsection (1)(a) or (c) of this \n\nsection shall hold his or her seat thereon for such period as may be specified in the \ninstrument by which he or she was appointed: \n\nProvided that his or her seat shall become vacant- \n\n(i) \n\nin the case of a person who, at the date of his or her appointment, was the \nVice-President or a Minister, if he or she ceases to be the Vice-President or a \nMinister; or \nif the President, by instrument in writing under his or her hand, so directs. (ii) \n\n(3) The Committee shall not be summoned except by the authority of the \n\nPresident who shall, as far as is practicable, attend and preside at all meetings of the \nCommittee, and, in the absence of the President, the member of the Committee \nappointed under subsection (1)(a) of this section shall preside. \n\n(4) The Committee may act notwithstanding any vacancy in its membership and \n\nits proceedings shall not be invalidated by the presence or participation of any person \nnot entitled to be present at or to participate in those proceedings. \n\n(5) Subject to the provisions of this section, the Committee may regulate its own \n\nprocedure. \n**55. Functions of Advisory Committee on Prerogative of Mercy**\n\n(1) Where any person has been sentenced to death for any offence, the \nPresident shall cause a written report of the case from the trial judge, together with such \nother information derived from the record of the case or elsewhere as he or she may \nrequire, to be considered at a meeting of the Advisory Committee on the Prerogative of \nMercy; and after obtaining the advice of the Committee he or she shall decide whether to \nexercise any of his or her powers under section 53 of this Constitution. \n\n(2) The President may consult with the Committee before deciding whether to \n\nexercise any of his or her powers under the said section 53 in any case not falling within \nsubsection (1) of this section. \n**56. Constitution of offices**\n\nSubject to the provisions of this Constitution and of any Act of Parliament, the \npowers of constituting and abolishing offices for Botswana shall vest in the President. \n\n**CHAPTER V**\n**Parliament (ss 57-94)**\n**PART I**\n**Composition (ss 57-70)**", + "page_start": 25, + "page_end": 25, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**\"public office\"**means, subject to the provisions of subsections (2) and (3) of this \n\nsection, an office of emolument in the public service; \n\n**\"public officer\"**means a person holding or acting in any public office; \n**\"the public service\"**means the civil service of the Government; \n**\"session\"**means the sittings of the National Assembly beginning when it first \n\nsits after the coming into operation of this Constitution or after Parliament is prorogued \nor dissolved at any time and ending when Parliament is prorogued or is dissolved \nwithout having been prorogued; \n\n**\"sitting\"**means a period during which the National Assembly is sitting without \n\nadjournment and includes any period during which it is in committee; \n\n**\"subordinate court\"**means any court established for Botswana other than- \n\n(a) \n(b) \n(c) the Court of Appeal; \nthe High Court; \na court martial; or \n\n(5) In this Constitution, unless the context otherwise requires, a reference to the \n\nholder of an office by the term designating his or her office shall be construed as \nincluding a reference to any person for the time being lawfully acting in or performing the \nfunctions of that office: \n\nProvided that nothing in this subsection shall apply to references to the President \n\nor Vice-President in section 35, 36 or 39 of this Constitution. \n\n(6) In this Constitution, unless it is otherwise provided or required by the context, \n\na reference to the power to make appointments to any office shall be construed as \nincluding a reference to the power to make appointments on promotion and transfer and \nto confirm appointments and to the power to appoint a person to act in or perform the \nfunctions of that office at any time when the office is vacant or the holder thereof is \nunable (whether by reason of absence or infirmity of mind or body or any other cause) to \nperform the functions of that office. \n\n(7) References in this Constitution to the power to remove a public officer from \nhis or her office shall be construed as including references to any power conferred by \nany law to require or permit that officer to retire from the public service:", + "page_start": 53, + "page_end": 53, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "her lawful detention shall not be held to be inconsistent with or in contravention of this \nsection. \n\n(3) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nfor the imposition of restrictions that are reasonably required in the interests of \ndefence, public safety, public order, public morality or public health or the \nimposition of restrictions on the acquisition or use by any person of land or \nother property in Botswana and except so far as that provision or, as the case \nmay be, the thing done under the authority thereof, is shown not to be \nreasonably justifiable in a democratic society; \nfor the imposition of restrictions on the freedom of movement of any person who \nis not a citizen of Botswana; \nfor the imposition of restrictions on the entry into or residence within defined \nareas of Botswana of persons who are not Bushmen to the extent that such \nrestrictions are reasonably required for the protection or well-being of Bushmen; \nfor the imposition of restrictions upon the movement or residence within \nBotswana of public officers; or \n....... \n\n(d) \n\n(e) \n\n(4) If any person whose freedom of movement has been restricted by order \n\nunder such a provision as is referred to in subsection (3)(a) of this section (other than a \nrestriction which is applicable to persons generally or to general classes of persons) so \nrequests at any time during the period of that restriction not earlier than six months after \nthe order was made or six months after he or she last made such request, as the case \nmay be, his or her case shall be reviewed by an independent and impartial tribunal \npresided over by a person, qualified to be enrolled as an advocate in Botswana, \nappointed by the Chief Justice. \n\n(5) On any review by a tribunal in pursuance of this section of the case of a \n\nperson whose freedom of movement has been restricted, the tribunal may make \nrecommendations, concerning the necessity or expediency of continuing the restriction \nto the authority by which it was ordered but, unless it is otherwise provided by law, that \nauthority shall not be obliged to act in accordance with any such recommendations. \n**15. Protection from discrimination on the grounds of race, etc.**\n\n(1) Subject to the provisions of subsections (4), (5) and (7) of this section, no law \n\nshall make any provision that is discriminatory either of itself or in its effect. \n\n(2) Subject to the provisions of subsections (6), (7) and (8) of this section, no \n\nperson shall be treated in a discriminatory manner by any person acting by virtue of any \nwritten law or in the performance of the functions of any public office or any public \nauthority. \n\n(3) In this section, the expression \"discriminatory\" means affording different \n\ntreatment to different persons, attributable wholly or mainly to their respective \ndescriptions by race, tribe, place of origin, political opinions, colour, creed or sex \nwhereby persons of one such description are subjected to disabilities or restrictions to \nwhich persons of another such description are not made subject or are accorded \nprivileges or advantages which are not accorded to persons of another such description. \n\n(4) Subsection (1) of this section shall not apply to any law so far as that law \n\nmakes provision- \n\n(a) \n(b) with respect to persons who are not citizens of Botswana; \n(c) with respect to adoption, marriage, divorce, burial, devolution of property on \n\nfor the appropriation of public revenues or other public funds; \n\ndeath or other matters of personal law;", + "page_start": 12, + "page_end": 12, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(2) The President shall, so far as practicable and subject to the provisions of this \n\nConstitution, consult the Cabinet on matters of policy and the exercise of his or her \nfunctions. \n\n(3) The obligation of the President to consult his or her Cabinet and for the \nCabinet to accept responsibility under this section shall not apply to the exercise by the \nPresident of his or her powers in relation to the appointment or removal of the Vice- \nPresident, Ministers and Assistant Ministers, the dissolution of Parliament, the \nPrerogative of Mercy, the assignment of responsibility to the Vice-President or any \nMinister and the specification of the functions of an Assistant Minister. \n\n(4) A Minister shall be responsible, under the direction of the President, for such \n\nbusiness of the government of Botswana (including the administration of any department \nof Government) as the President may assign to him or her.", + "page_start": 22, + "page_end": 22, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nthat is reasonably required in the interests of defence, public safety, public \norder, public morality, public health, town and country planning, the \ndevelopment and utilization of mineral resources, for the purpose of any census \nor in order to secure the development or utilization of any property for a purpose \nbeneficial to the community; \nthat is reasonably required for the purpose of protecting the rights or freedoms \nof other persons; \nthat authorizes an officer or agent of the Government of Botswana, a local \ngovernment authority or a body corporate established by law for a public \npurpose to enter on the premises of any person in order to inspect those \npremises or anything thereon for the purpose of any tax, rate or duty or in order \nto carry out work connected with any property that is lawfully on those premises \nand that belongs to that Government, authority or body corporate, as the case \nmay be; or \nthat authorizes, for the purpose of enforcing the judgment or order of a court in \nany civil proceedings, the search of any person or property by order of a court \nor entry upon any premises by such order, \n\n(d) \n\nand except so far as that provision or, as the case may be, anything done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is \n\nwithdrawn, the case shall be afforded a fair hearing within a reasonable time by an \nindependent and impartial court established or recognized by law. \n\n(2) Every person who is charged with a criminal offence- \n\n(a) \n\n(b) \n\n(c) \n\n(d) \n\n(e) \n\nshall be presumed to be innocent until he or she is proved or has pleaded \nguilty; \nshall be informed as soon as reasonably practicable, in a language that he or \nshe understands and in detail, of the nature of the offence charged; \nshall be given adequate time and facilities for the preparation of his or her \ndefence; \nshall be permitted to defend himself or herself before the court in person or, at \nhis or her own expense, by a legal representative of his or her own choice; \nshall be afforded facilities to examine in person or by his or her legal \nrepresentative the witnesses called by the prosecution before the court, and to \nobtain the attendance and carry out the examination of witnesses to testify on \nhis or her behalf before the court on the same conditions as those applying to \nwitnesses called by the prosecution; and \nshall be permitted to have without payment the assistance of an interpreter if he \nor she cannot understand the language used at the trial of the charge, \nand except with his or her own consent the trial shall not take place in his or her absence \nunless he or she so conducts himself or herself as to render the continuance of the \nproceedings in his or her presence impracticable and the court has ordered him or her to \nbe removed and the trial to proceed in his or her absence. \n\n(f) \n\n(3) When a person is tried for any criminal offence, the accused person or any \n\nperson authorized by him or her in that behalf shall, if he or she so requires and subject \nto payment of such reasonable fee as may be prescribed by law, be given within a \nreasonable time after judgment a copy for the use of the accused person of any record \nof the proceedings made by or on behalf of the court.", + "page_start": 8, + "page_end": 8, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(d) \n(e) \n\nif he or she is elected as Speaker; \nif he or she is removed from office by a resolution of the Assembly supported by \nthe votes of not less than two-thirds of all the Members of the Assembly; or \n\n(f) when the Assembly first sits after any dissolution of Parliament. \n\n**61. Qualifications for election to National Assembly**\n\nSubject to the provisions of section 62 of this Constitution, a person shall be \n\nqualified to be elected as a Member of the National Assembly if, and shall not be \nqualified to be so elected unless- \n\n(a) \n(b) \n(c) \n\nhe or she is a citizen of Botswana; \nhe or she has attained the age of 18 years; \nhe or she is qualified for registration as a voter for the purposes of the election \nof the Elected Members of the National Assembly and is so registered; and \nhe or she is able to speak, and, unless incapacitated by blindness or other \nphysical cause, to read English well enough to take an active part in the \nproceedings of the Assembly. \n\n**62. Disqualifications for membership of National Assembly**\n\n(1) No person shall be qualified to be elected as a Member of the National \n\nAssembly who- \n\n(a) \n\nis, by virtue of his or her own act, under any acknowledgement of allegiance, \nobedience or adherence to a foreign power or state; \nhas been declared insolvent or adjudged or otherwise declared bankrupt under \nany law for the time being in force in Botswana and has not been discharged, or \nhas made a composition with his or her creditors and has not paid his or her \ndebts in full; \nis certified to be insane or otherwise adjudged or declared to be of unsound \nmind under any law for the time being in force in Botswana; \nis a Member of the Ntlo ya Dikgosi; \nsubject to such exceptions as may be prescribed by Parliament, holds any \npublic office, or is acting in any public office by virtue of a contract of service \nexpressed to continue for a period exceeding six months; \nis under sentence of death imposed on him or her by a court in any part of the \nCommonwealth, or is under a sentence of imprisonment (by whatever name \ncalled) exceeding six months imposed on him or her by such a court or \nsubstituted by competent authority for some other sentence imposed on him or \nher by such a court; \nholds, or is acting in, any office the functions of which involve any responsibility \nfor, or in connection with, the conduct of any elections to the Assembly or the \ncompilation or revision of any electoral register for the purposes of such \nelections. \n\n(b) \n\n(2) Parliament may provide that a person shall not be qualified for election to the \nNational Assembly for such period (not exceeding five years) as may be prescribed if he \nor she is convicted of any such offence connected with elections to the Assembly as \nmay be prescribed. \n\n(3) For the purposes of this section two or more terms of imprisonment that are \nrequired to be served consecutively shall be regarded as a single term of imprisonment \nfor the aggregate period of those terms, and no account shall be taken of a sentence of \nimprisonment imposed as an alternative to or in default of the payment of a fine. \n**63. Constituencies**\n\nBotswana shall be divided into as many constituencies as there are Elected \n\nMembers of the National Assembly and each of those constituencies shall return one \nMember to the National Assembly.", + "page_start": 27, + "page_end": 27, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "General unless he or she is qualified to be appointed to the Office of a Judge of the High \nCourt. \n\n(3) The Attorney-General shall be the principal legal adviser to the Government. \n(4) A person holding the Office of Attorney-General shall vacate his or her office \nwhen he or she attains the age of 60 years or such other age as may be prescribed by \nParliament. \n**51A. Director of Public Prosecutions**\n\n(1) There shall be a Director of Public Prosecutions appointed by the President \n\nwhose office shall be a public office and who shall be subject to the administrative \nsupervision of the Attorney-General. \n\n(2) A person shall not be qualified to be appointed to the Office of Director of \n\nPublic Prosecutions unless he or she is qualified to be appointed to the Office of a Judge \nof the High Court. \n\n(3) The Director of Public Prosecutions shall have power in any case in which he \n\nor she considers it desirable to do so- \n\n(a) \n\nto institute and undertake criminal proceedings against any person before any \ncourt (other than a court martial) in respect of any offence alleged to have been \ncommitted by that person; \nto take over and continue any such criminal proceedings that have been \ninstituted or undertaken by any other person or authority; and \nto discontinue, at any stage before judgment is delivered, any such criminal \nproceedings instituted or undertaken by himself or herself or any other person \nor authority. \n\n(4) The powers of the Director of Public Prosecutions under subsection (3) may \n\nbe exercised by him or her in person or by officers subordinate to him or her acting in \naccordance with his or her general or special authority. \n\n(5) For the purposes of this section any appeal from any judgment in any criminal \n\nproceedings before any court, or any case stated or question of law reserved for the \npurpose of any such proceedings, to any other court shall be deemed to be part of those \nproceedings: \n\nProvided that the power conferred on the Director of Public Prosecutions by \nsubsection (3)(c) of this section shall not be exercised in relation to any appeal by a \nperson convicted in any criminal proceedings or to any case stated or question of law \nreserved at the instance of such person. \n\n(6) In the exercise of the functions vested in him or her by subsection (3) of this \n\nsection the Director of Public Prosecutions shall not be subject to the direction or control \nof any other person or authority: \n\nProvided that- \n\n(a) where any other person or authority has instituted criminal proceedings, nothing \nin this subsection shall prevent the withdrawal of those proceedings by or at the \ninstance of that person or authority, and with the leave of the court; and \nbefore exercising his or her powers in relation to cases considered by the \nAttorney-General to be of national importance, the Director of Public \nProsecutions shall consult the Attorney-General. \n\n(b) \n\n**52. Permanent Secretaries**\n\nWhere any Minister has been charged with responsibility for any department of \n\nGovernment, he or she shall exercise general direction and control over that department \nand, subject to such direction and control, the department shall be under the supervision \nof a Permanent Secretary whose office shall be a public office. \n**53. Prerogative of Mercy**\nThe President may-", + "page_start": 24, + "page_end": 24, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "Botswana-constitution.pdf", + "query": "What are considered \"disciplined force\" according to Botswana constitution ?", + "target_page": 16, + "target_passage": "\"disciplined force\" means- (a) a naval, military or air force; (b) a police force; or (c) a prison service", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**\"disciplinary law\"**means a law regulating the discipline of any disciplined force; \n**\"disciplined force\"**means- \na naval, military or air force; \na police force; or \na prison service; (a) \n(b) \n(c) \n\n**\"legal representative\"**means a person entitled to practise in Botswana as an \n\nadvocate or attorney; \n\n**\"member\"**, in relation to a disciplined force, includes any person who, under the \n\nlaw regulating the discipline of that force, is subject to that discipline. \n\n(2) In relation to any person who is a member of a disciplined force raised under \nan Act of Parliament, nothing contained in or done under the authority of the disciplinary \nlaw of that force shall be held to be inconsistent with or in contravention of any of the \nprovisions of this Chapter other than sections 4, 6 and 7. \n\n(3) In relation to any person who is a member of a disciplined force raised \n\notherwise than as aforesaid and lawfully present in Botswana, nothing contained in or \ndone under the authority of the disciplinary law of that force shall be held to be \ninconsistent with or in contravention of any of the provisions of this Chapter. \n\n**CHAPTER III**\n**Citizenship (ss 20-29: repealed)**\n\n**20 to 29 inclusive.** **[Repealed.]**\n\n**CHAPTER IV**\n**The Executive (ss 30-56)**\n**PART I**\n**The President and the Vice-President (ss 30-41)**\n\n**30. Office of President**\n\nThere shall be a President of the Republic of Botswana who shall be the Head of \n\nState. \n**31. First President**\n\n(1) The first President shall be the person who immediately before 30th \n\nSeptember, 1966 holds the office of Prime Minister under the Constitution. \n\n(2) The first President shall be deemed to have assumed office at the coming into \n\noperation of this Constitution.", + "page_start": 15, + "page_end": 15, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**57. Parliament**\n\nThere shall be a Parliament of Botswana which shall consist of the President and \n\na National Assembly. \n**58. Composition of National Assembly**\n\n(1) The President shall be ex-officio a member of the National Assembly, and \n\nshall be entitled to speak and to vote in all proceedings of the National Assembly. \n\n(2) In addition to the President the National Assembly shall consist of- \n\n(a) \n\n57 Elected Members who shall be elected in accordance with the provisions of \nthis Constitution and subject thereto in accordance with the provisions of any \nAct of Parliament; and \nfour Specially Elected Members who shall be elected in accordance with the \nFirst Schedule to this Constitution and subject thereto in accordance with the \nprovisions of any Act of Parliament. \n\n(3) If a person who is not a member of the National Assembly is elected to the \noffice of Speaker of the National Assembly, that person shall, by virtue of holding that \noffice, be a member of the Assembly in addition to the members referred to in \nsubsections (1) and (2) of this section. \n**59. Speaker**\n\n(1) There shall be a Speaker of the National Assembly who shall be elected by \nthe Members of the Assembly from among persons who are Members of the Assembly \nor from among persons who are not Members of the Assembly. \n\n(2) The President, the Vice-President, a Minister, an Assistant Minister or a \n\npublic officer shall not be qualified to be elected as Speaker. \n(3) The Speaker shall vacate his or her office- \n\n(a) \n\nif, having been elected from among the Members of the National Assembly, he \nor she ceases to be a Member of the Assembly otherwise than by reason of a \ndissolution of Parliament or if he or she is required by virtue of section 68(2) to \n(3) of this Constitution, to cease to perform his or her functions as a Member of \nthe Assembly; \nif any circumstances arise that, if he or she were not Speaker, would disqualify \nhim for election as such; \n\n(b) \n\n(c) when the Assembly first sits after any dissolution of Parliament; or \n(d) \n\nif he or she is removed from office by a resolution of the Assembly supported by \nthe votes of not less than two-thirds of all the Members thereof. \n\n(4) No business shall be transacted in the National Assembly (other than an \nelection to the office of Speaker) at any time when the office of Speaker is vacant. \n**60. Deputy Speaker**\n\n(1) There shall be a Deputy Speaker of the National Assembly who shall be \nelected from among the persons who are Members of the Assembly other than the \nPresident, the Vice-President, Ministers or Assistant Ministers. \n\n(2) The Members of the National Assembly shall elect a person to the office of \n\nDeputy Speaker when the Assembly first sits after any dissolution and, if the office \nbecomes vacant otherwise than by reason of the dissolution of the Assembly, at the first \nsitting of the Assembly after the office becomes vacant. \n\n(3) The Deputy Speaker shall vacate his or her office- \n\n(a) \n\nif he or she ceases to be a Member of the National Assembly, otherwise than \nby reason of a dissolution of Parliament; \nif any circumstances arise that, if he or she were not Deputy Speaker, would \ndisqualify him or her for election as such; \nif he or she is required, by virtue of section 68(2) to (3) of this Constitution, to \ncease to perform his or her functions as a Member of the Assembly; \n\n(b) \n\n(c)", + "page_start": 26, + "page_end": 26, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nthat is reasonably required in the interests of defence, public safety, public \norder, public morality, public health, town and country planning, the \ndevelopment and utilization of mineral resources, for the purpose of any census \nor in order to secure the development or utilization of any property for a purpose \nbeneficial to the community; \nthat is reasonably required for the purpose of protecting the rights or freedoms \nof other persons; \nthat authorizes an officer or agent of the Government of Botswana, a local \ngovernment authority or a body corporate established by law for a public \npurpose to enter on the premises of any person in order to inspect those \npremises or anything thereon for the purpose of any tax, rate or duty or in order \nto carry out work connected with any property that is lawfully on those premises \nand that belongs to that Government, authority or body corporate, as the case \nmay be; or \nthat authorizes, for the purpose of enforcing the judgment or order of a court in \nany civil proceedings, the search of any person or property by order of a court \nor entry upon any premises by such order, \n\n(d) \n\nand except so far as that provision or, as the case may be, anything done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is \n\nwithdrawn, the case shall be afforded a fair hearing within a reasonable time by an \nindependent and impartial court established or recognized by law. \n\n(2) Every person who is charged with a criminal offence- \n\n(a) \n\n(b) \n\n(c) \n\n(d) \n\n(e) \n\nshall be presumed to be innocent until he or she is proved or has pleaded \nguilty; \nshall be informed as soon as reasonably practicable, in a language that he or \nshe understands and in detail, of the nature of the offence charged; \nshall be given adequate time and facilities for the preparation of his or her \ndefence; \nshall be permitted to defend himself or herself before the court in person or, at \nhis or her own expense, by a legal representative of his or her own choice; \nshall be afforded facilities to examine in person or by his or her legal \nrepresentative the witnesses called by the prosecution before the court, and to \nobtain the attendance and carry out the examination of witnesses to testify on \nhis or her behalf before the court on the same conditions as those applying to \nwitnesses called by the prosecution; and \nshall be permitted to have without payment the assistance of an interpreter if he \nor she cannot understand the language used at the trial of the charge, \nand except with his or her own consent the trial shall not take place in his or her absence \nunless he or she so conducts himself or herself as to render the continuance of the \nproceedings in his or her presence impracticable and the court has ordered him or her to \nbe removed and the trial to proceed in his or her absence. \n\n(f) \n\n(3) When a person is tried for any criminal offence, the accused person or any \n\nperson authorized by him or her in that behalf shall, if he or she so requires and subject \nto payment of such reasonable fee as may be prescribed by law, be given within a \nreasonable time after judgment a copy for the use of the accused person of any record \nof the proceedings made by or on behalf of the court.", + "page_start": 8, + "page_end": 8, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "If the National Assembly at any time passes a resolution supported by a majority \n\nof all the Members of the Assembly who are entitled to vote declaring that it has no \nconfidence in the Government of Botswana, Parliament shall stand dissolved on the \nfourth day following the day on which such resolution was passed, unless the President \nearlier resigns his or her office or dissolves Parliament. \n**93. Sittings of National Assembly**\n\n(1) The President may at any time summon a meeting of the National Assembly. \n(2) Subject to the provisions of this Constitution, the sittings of the National \nAssembly in any session of Parliament after the commencement of that session shall be \ncommenced at such times and on such days as the Assembly shall appoint. \n\n**PART VI**\n**Interpretation (s 94)**\n\n**94. Votes of two-thirds of the Assembly**\nthe votes of two-thirds of the Members of the Assembly shall be construed as a \nreference to the votes of two-thirds of the Members of the Assembly excluding the \nperson presiding. \n\nAny reference in this Constitution to \n\n**CHAPTER VI**\n**The Judicature (ss 95-107)**\n**PART I**\n**The High Court (ss 95-98)**\n\n**95. Jurisdiction and composition**\n\n(1) There shall be for Botswana a High Court which shall have unlimited original \n\njurisdiction to hear and determine any civil or criminal proceedings under any law and \nsuch other jurisdiction and powers as may be conferred on it by this Constitution or any \nother law. \n\n(2) The judges of the High Court shall be the Chief Justice and such number of \n\n(1) The Chief Justice shall be appointed by the President. \n(2) The other judges of the High Court shall be appointed by the President, acting \n\nin accordance with the advice of the Judicial Service Commission. \n\n(3) A person shall not be qualified to be appointed as a judge of the High Court \n\nunless- \n(a) \n\nhe or she holds, or has held office, as a judge of a court having unlimited \njurisdiction in civil and criminal matters in Botswana, in a Commonwealth \ncountry or in any country outside the Commonwealth that may be prescribed by \nParliament or a court having jurisdiction in appeals from such a court; or \nhe or she is qualified to practise as an advocate or attorney in such a court and \nhas been qualified for not less than ten years to practise as an advocate or \nattorney in such a court; \nhe or she is qualified to practise as an advocate or attorney and he or she has \nhad the experience in the teaching of law in a recognised university for not less \nthan ten years; or \nhe or she is a Chief Magistrate who has held that office for not less than five \nyears. \n\n(b) \n\n(4) In computing, for the purposes of subsection (3) of this section, the period", + "page_start": 39, + "page_end": 39, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(5) When a Bill that has been duly passed and presented for assent is assented \n\nto in accordance with the provisions of this Constitution it shall become law and the \nPresident shall thereupon cause it to be published in the Gazette as a law. \n\n(6) No law made by Parliament shall come into operation until it has been \npublished in the Gazette, but Parliament may postpone the coming into operation of any \nsuch law and may make laws with retrospective effect. \n\n(7) All laws made by Parliament shall be styled \"Acts\" and the words of \n\nenactment shall be \"enacted by the Parliament of Botswana\". \n**88.**", + "page_start": 36, + "page_end": 36, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(b) \n\nshall be referred to and determined by the returning officer whose decision shall not be \nquestioned in any court. \n**39. Vice President**\n\n(1) There shall be a Vice-President who shall be appointed by the President from \namong the Elected Members of the National Assembly who are citizens of Botswana by \nbirth or descent, which appointment shall be endorsed by the said Elected Members. \n\n(2) The Vice-President shall continue in office until a person elected at the next \n\nelection of President under section 32 or 35 of this Constitution assumes office: \nProvided that the office of Vice-President shall become vacant- \n\n(i) \n(ii) \n\nif the appointment of the holder of the office is revoked by the President; or \nif the holder of the office ceases to be a Member of the National Assembly for \nany other reason than a dissolution of Parliament. \n\n(3) The Vice-President shall not enter upon the duties of his or her office unless \n\nhe or she has taken and subscribed the oath of allegiance and such oath for the due \nexecution of his or her office as may be prescribed by Parliament. \n\n(4) If the Vice-President is absent from Botswana or is incapable by reason of \n\nillness or any other cause of discharging the functions of his or her office, the President \nmay appoint a person, from among the Members of the Assembly, to perform the \nfunctions of the office of Vice-President and any person so appointed may discharge \nthose functions accordingly: \n\nProvided that a person appointed under this subsection shall cease to perform \n\nthe functions of the office of Vice-President- \n\n(i) \n(ii) \n\nif his or her appointment is revoked by the President; \nif he or she ceases to be a Member of the Assembly otherwise than by reason \nof a dissolution of Parliament; \n\n(iii) upon the assumption by any person of the office of President; or \n(iv) upon the President giving him or her notice that the Vice-President is about to \n\nresume his or her functions. \n\n(5) Where the Vice-President is performing the functions of the office of President \nin accordance with section 35 or 36 of this Constitution he or she may appoint a person,", + "page_start": 20, + "page_end": 20, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(a) \n\nin the case of benefits for which any person may be eligible in respect of the \nservice in the public service of a person who, immediately before he or she \nceased to be a public officer, was subject to the disciplinary control of the \nJudicial Service Commission or that have been granted in respect of such \nservice, the Judicial Service Commission; \nin any other case, the Public Service Commission. (b) \n\n(5) In this section \"pensions benefits\" means any pensions, compensation, \ngratuities or other like allowances for persons in respect of their service as public officers \n(including service as public officers of the former Protectorate of Bechuanaland) or for \nthe widows, children, dependants or personal representatives of such persons in respect \nof such service. \n\n**CHAPTER VIII**\n**Finance (ss 117-124)**\n\n**117. Consolidated Fund**\n\nAll revenues or other moneys raised or received for the purposes of the \nGovernment of Botswana (not being revenues or other moneys that are payable by or \nunder any law into some other fund established for a specific purpose or that may by or \nunder any law be retained by the department of Government that received them for the \npurposes of defraying the expenses of that department) shall be paid into and form one \nConsolidated Fund. \n**118. Withdrawals from Consolidated Fund or other public funds**\n\n(1) No moneys shall be withdrawn from the Consolidated Fund except- \n\n(a) \n\nto meet expenditure that is charged upon the Fund by this Constitution or by \nany Act of Parliament; \n\n(b) where the issue of those moneys has been authorized by an Appropriation Act, \nby a supplementary estimate approved by resolution of the National Assembly \nor by a law enacted in pursuance of section 120 of this Constitution. \n\n(2) No moneys shall be withdrawn from any public fund of Botswana other than \n\nthe Consolidated Fund unless the issue of those moneys has been authorized by or \nunder a law. \n\n(3) No moneys shall be withdrawn from the Consolidated Fund except in the \n\nmanner prescribed by Parliament.", + "page_start": 50, + "page_end": 50, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "is, by virtue of his or her own act, under any acknowledgement of allegiance, \nobedience or adherence to a foreign power or state; \nhas been declared insolvent or adjudged or otherwise declared bankrupt under \nany law in force in any part of the Commonwealth or any country with a \ncomparable legal system and has not been discharged, or has made a \ncomposition with his or her creditors and has not paid his or her debts in full; \nis certified insane or otherwise adjudged or declared to be of unsound mind \nunder any law for the time being in force in Botswana; \nsubject to such exceptions as may be prescribed by Parliament, holds any \npublic office, or is acting in any public office by virtue of a contract of service \nexpressed to continue for a period exceeding six months; \nis under sentence of death imposed on him or her by a court in any part of the \nCommonwealth or any country with a comparable legal system, or is under a \nsentence of imprisonment (by whatever name called) exceeding six months \nimposed on him or her by such a court or substituted by a competent authority \nfor some other sentence imposed on him or her by such a court; \nholds, or is acting in,anyoffice the functions ofwhichinvolveany responsibility for, \nor in connection with, the conduct of any elections to the National Assembly or \nthe compilation or revision of any electoral register for the purposes of such \nelections; or \nis disqualified for election to the National Assembly by virtue of provision made \nin pursuance of section 62 (2) of this Constitution. \n\n(3) For the purposes of this section, two or more terms of imprisonment that are \nrequired to be served consecutively shall be regarded as a single term of imprisonment \nfor the aggregate period of those terms, and no account shall be taken of a sentence of \nimprisonment imposed as an alternative to or in default of the payment of a fine. \n\n(4) A Member of the Ntlo ya Dikgosi shall not, while he or she is such a Member, \nparticipate in party politics, but active participation in politics prior to being a Member of \nthe Ntlo ya Dikgosi shall not bar any person from being such a Member. \n**80. Oath of allegiance**\n\nEvery Member of the Ntlo ya Dikgosi shall, before taking his or her seat therein, \n\ntake and subscribe before the Ntlo ya Dikgosi the oath of allegiance. \n**81. Secretary to Ntlo ya Dikgosi**\n\nThere shall be a Secretary to the Ntlo ya Dikgosi whose office shall be an office \n\nin the public service. \n**82. Tenure of office of Members of Ntlo ya Dikgosi** (1) A Member of the Ntlo ya", + "page_start": 35, + "page_end": 35, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**CONSTITUTION OF BOTSWANA**\nARRANGEMENT OF SECTIONS \nCHAPTER I \nThe Republic \n\n1. \n2. Declaration of Republic \nPublic Seal \n\nCHAPTER II \nProtection of Fundamental Rights and Freedoms of the Individual \n\n3. \n4. \n5. \n6. \n7. \n8. \n9. \n10. \n11. \n12. \n13. \n14. \n15. \n16. \n17. \n18. \n19. Fundamental rights and freedoms of the individual \nProtection of right to life \nProtection of right to personal liberty \nProtection from slavery and forced labour \nProtection from inhuman treatment \nProtection from deprivation of property \nProtection for privacy of home and other property \nProvisions to secure protection of law \nProtection of freedom of conscience \nProtection of freedom of expression \nProtection of freedom of assembly and association \nProtection of freedom of movement \nProtection from discrimination on the grounds of race, etc. \nDerogation from fundamental rights and freedoms \nDeclarations relating to emergencies \nEnforcement of protective provisions \nInterpretation and savings \n\nCHAPTER III \nCitizenship \n20 to 29. ...... \n\nCHAPTER IV \nThe Executive \nPART I \nThe President and the Vice-President \n\n30. \n31. \n32. \n33. \n34. \n35. \n36. \n37. \n38. \n39. \n40. \n41. Office of President \nFirst President \nElection of President after dissolution of Parliament \nQualification for election as President \nTenure of office of President \nVacancy in office of President \nDischarge of functions of President during absence, illness, etc. \nOath of President \nReturning officer at elections of President \nVice-President \nSalary and allowances of President \nProtection of President in respect of legal proceedings", + "page_start": 0, + "page_end": 0, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(d) \n\nany labour required during any period of public emergency or in the event of \nany other emergency or calamity that threatens the life and well-being of the \ncommunity, to the extent that the requiring of such labour is reasonably \njustifiable in the circumstances of any situation arising or existing during that \nperiod or as a result of that other emergency or calamity, for the purpose of \ndealing with that situation; or \nany labour reasonably required as part of reasonable and normal communal or \nother civic obligations. \n\n**7.** **Protection from inhuman treatment**\n\n(1) No person shall be subjected to torture or to inhuman or degrading \n\npunishment or other treatment. \n\n(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion authorizes the infliction of any description of punishment that was lawful in the \ncountry immediately before the coming into operation of this Constitution. \n**8.** **Protection from deprivation of property**\n\n(1) No property of any description shall be compulsorily taken possession of, and \n\nno interest in or right over property of any description shall be compulsorily acquired, \nexcept where the following conditions are satisfied, that is to say- \n\n(a) the taking of possession or acquisition is necessary or expedient- \n\n(i) \n\nin the interests of defence, public safety, public order, public morality, \npublic health, town and country planning or land settlement; \nin order to secure the development or utilization of that, or other, property \nfor a purpose beneficial to the community; or \nin order to secure the development or utilization of the mineral resources of \nBotswana; and \n\n(ii) \n\n(iii) \n\n(b) \n\nprovision is made by a law applicable to that taking of possession or \nacquisition- \n\n(i) \n(ii) \n\nfor the prompt payment of adequate compensation; and \nsecuring to any person having an interest in or right over the property a \nright of access to the High Court, either direct or on appeal from any other \nauthority, for the determination of his or her interest or right, the legality of \nthe taking of possession or acquisition of the property, interest or right, and \nthe amount of any compensation to which he or she is entitled, and for the \npurpose of obtaining prompt payment of that compensation. \n(2) No person who is entitled to compensation under this section shall be \n\nprevented from remitting, within a reasonable time after he or she has received any \namount of that compensation, the whole of that amount (free from any deduction, charge \nor tax made or levied in respect of its remission) to any country of his or her choice \noutside Botswana. \n\n(3) Subsection (1)(b)(i) of this section shall be deemed to be satisfied in relation \nto any Law applicable to the taking of possession of minerals or the acquisition of rights \nto minerals if that law makes provision for the payment at reasonable intervals of \nadequate royalties. \n\n(4) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of subsection (2) of this section to the extent that \nthe law in question authorizes- \n\n(a) \n\nthe attachment, by order of a court, of any amount of compensation to which a \nperson is entitled in satisfaction of the judgment of a court or pending the \ndetermination of civil proceedings to which he or she is a party; or \nthe imposition of reasonable restrictions on the manner in which any amount of (b)", + "page_start": 6, + "page_end": 6, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "serverless-core.pdf", + "query": "How much does AWS lambda charge when the function is not running ?", + "target_page": 52, + "target_passage": "there is no charge when your code is not running", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Unlike traditional servers, Lambda functions do not run constantly. When a function is triggered by \n\nan event, this is called an*invocation*. Lambda functions are limited to 15 minutes in duration, but \n\non average, across all AWS customers, most invocations last for less than a second. \n\nThere are many types of invocation events. Some examples: \n\n• HTTP request from API Gateway \n\n• Schedule managed by an EventBridge rule \n\n• Message from an IOT device \n\n• Notification that a file was uploaded to an S3 bucket \n\n**How Lambda invokes your function (runtime environment)**\n\nLambda invokes your function in an*execution environment*, which contains a secure and isolated \n\n*runtime environment*. \n\n• A*runtime*provides a language-specific environment which relays invocation events, context \n\ninformation, and responses between the Lambda and your functions. \n\n• An*execution environment*manages the processes and resources that are required to run the \n\nfunction.", + "page_start": 55, + "page_end": 55, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\ncould be listening. The handler function might create and send another event to an SNS queue so \n\nthat alerts for high temperature are sent to users through SMS messages. \n\nThe function finally wraps up the JSON weather data into a new event and sends it back to API \n\ngateway. Afterward, the function continues to handle hundreds of additional requests. Request \n\nfrom users slow down after 2AM, so after some time the Lambda service will tear down the \n\nfunction execution environment to conserve resources. As a Customer, you will only be charged for \n\nfunction usage.", + "page_start": 38, + "page_end": 38, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\ninitialization duration, and other details. If your function throws an error, the runtime returns that \n\nerror to the invoker. \n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has \n\na command called sam logs which will show you CloudWatch Logs generated by your Lambda \n\nfunction. \n\nFor example, the following terminal command would show the live tail of logs generated by the \n\n*YourLambdaFunctionName*Lambda function: \n\n| | | |\n|---|---|---|\n| | | |\n| | sam logs -n YourLambdaFunctionName --tail | |\n| | | |\n\n\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for \n\ndebugging. \n\n**Securing functions**\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. \n\nLambda is fully integrated with IAM, allowing you to control precisely what each Lambda function \n\ncan do within the AWS Cloud. There are two important things that define the scope of permissions \n\nin Lambda functions: \n\n•*resource policy*: Defines which events are authorized to invoke the function. \n\n•*execution role policy*: Limits what the Lambda function is authorized to do. \n\nUsing IAM roles to describe a Lambda function’s permissions, decouples security configuration \n\nfrom the code. This helps reduce the complexity of a lambda function, making it easier to maintain. \n\nA Lambda function’s resource and execution policy should be granted the minimum required \n\npermissions for the function to perform it’s task effectively. This is sometimes referred to as the \n\nrule of least privilege. As you develop a Lambda function, you expand the scope of this policy to \n\nallow access to other resources as required.", + "page_start": 59, + "page_end": 59, + "source_file": "serverless-core.pdf" + }, + { + "text": "Many traditional systems are designed to run periodically and process batches of transactions that \n\nhave built up over time. For example, a banking application may run every hour to process ATM \n\ntransactions into central ledgers. In Lambda-based applications, the custom processing should be \ntriggered by every event, allowing the service to scale up concurrency as needed, to provide near- \n\nreal time processing of transactions. \n\nWhile you can run cron tasks in serverless applications by using Amazon EventBridge Scheduler, \n\nconsider the size of each batch of data that your event sends to Lambda. In this scenario, there \n\nis potential for the volume of transactions to grow beyond what can be processed within the 15- \n\nminute Lambda timeout. If the limitations of external systems force you to use a scheduler, you \n\nshould generally schedule for the shortest reasonable recurring time period. \n\nFor example, it’s not best practice to use a batch process that triggers a Lambda function to fetch \n\na list of new Amazon S3 objects. This is because the service might receive more new objects in \n\nbetween batches than can be processed within a 15-minute Lambda function.", + "page_start": 24, + "page_end": 24, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \n\nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer. \n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \n\nthat matches your programming language. For a container image, you include the runtime when \n\nyou build the image. \n\n**How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda: \n\n1. Configure the entry point to your function, known as the*handler*, and deploy the function. \n\n2. Lambda service initializes the function, then it invokes the*handler*with an invocation event and \n\ncontext. \n\n3. Your handler function processes the event and returns a response event. \n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \n\nthe function stays in memory, so clients and variables declared outside of the handler method can \n\nbe reused. \n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \n\nof reasons; some examples: scaling down to conserve resources, updating the function, updating \n\nthe runtime. \n\nThe function**handler**is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \n\nis keeping the handler sparse and doing the actual processing in other functions in your code. \n\nHere are some example**handlers**: \n\nPython \n\n| | | |\n|---|---|---|\n| | | |\n| | # Example handler method in Python def lambda_handler(event, context): message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) return { 'message' : message } | |\n| | | |", + "page_start": 56, + "page_end": 56, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \n\ntypically with no changes to your function code. The largest contributor to startup latency (often \n\nreferred to as cold start time) is the time that Lambda spends initializing the function, which \n\nincludes loading the function's code, starting the runtime, and initializing the function code. \n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \n\ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \n\nenvironment, encrypts the snapshot, and caches it for low-latency access. \n\nRelated resources: \n\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \n\nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \n\nsix seconds init time to 142 milliseconds of restore time with SnapStart", + "page_start": 62, + "page_end": 62, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Workshop - Intro to Serverless**- Before diving too deep, you can choose to try out serverless in \na workshop or tutorial. Connect to a data source and create a REST API with your first Lambda \n\nfunction.” \n\n• Services used: AWS Management Console, Lambda, DynamoDB, API Gateway \n\n**Programming Model**\n\nThe Lambda service provides the same event-based programming model for all languages. The \n\nLambda runtime passes an*invocation event*and*context*to your Lambda function*handler*which \n\ndoes some work and produces a resulting event: \n\nThe*invocation event*contains data, as a JSON packet, which varies from service to service. For \n\nexample, API gateway events include path, HTTP method, query string parameters, headers, \ncookies, and more. DynamoDB events could contain updated or delete record data. S3 events \n\ninclude the bucket name and object key, among other things. \n\n*The context*contains information about the environment the function is running inside. Additional \n\ncontextual information can be set in familiar environment variables (ENV). \n\nThe function*handler*is a method in your function code that processes the inbound event. The \n\nhandler, which is a standard function in your language of choice, does some work and emits a*result*\n\n*event*.", + "page_start": 54, + "page_end": 54, + "source_file": "serverless-core.pdf" + }, + { + "text": "Next, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda \n\nfunction code parses the parameters in the inbound event, connects to the data store, and retrieves \n\nthe cart. The function queries the database API through an SDK library. Because the DynamoDB \n\ndatabase is also serverless and built to respond with low latency, there is no need for a connection \n\npool. \n\nAfter converting currency to USD and removing unavailable items, the function sends the result as \n\na new event to API Gateway. \n\nFinally, API Gateway converts the event into a response to send to the waiting client. \n\nThe method with which a function is invoked should be informed by your application archecture \n\nand needs. For example, batch-processing patterns have different applications to on-demand data \n\nprocessing. Understanding these paradigm differences can also help customers decide between \n\nAWS services. \n\nDeploying a microservice as a containerized application on Fargate could be more appropriate if \n\nthe microservice is primarily used for batch data processing. Whereas a Lambda function would be \n\nmuch more straight-forward to deploy and maintain in applications that require on-demand data \n\nprocessing.", + "page_start": 29, + "page_end": 29, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\nExamples: \n\n•**Websites**— Suppose you are creating a website and you want to host the back-end logic on \nLambda. You can invoke your Lambda function over HTTP using Amazon API Gateway as the \nHTTP endpoint. Now, your web client can invoke the API, and then API Gateway can route \nthe request to Lambda. You can also implement route authentication and authorization by \n\nintegrating Amazon Cognito with API Gateway \n\n•**Mobile applications**— Suppose you have a custom mobile application that produces events. \n\nYou can create a Lambda function to process events published by your custom application. For \n\nexample, you can configure a Lambda function to process the clicks within your custom mobile \n\napplication. \n\nTo implement synchronous processing in similar scenarios, you can use the following AWS services \ntogether. \n\n•**AWS Lambda**— For compute processing tasks. \n•**Amazon API Gateway**— For connecting and scaling inbound requests. \n•**AWS Step Functions**— For managing and orchestrating microservice workflows. \n•**Amazon DynamoDB**&**S3**— For storing and retrieving data and files. \n•**Amazon Cognito**for authentication and authorization of users. \n\n**Streaming**\n\nStreaming data lets you to gather analytical insights from your application and process them in \n\nreal-time. Streaming typically presents a unique set of design and architectural challenges. \n\nLambda and Amazon Kinesis can process real-time streaming data for application activity tracking, \n\ntransaction order processing, click-stream analysis, data cleansing, log filtering, indexing, social \n\nmedia analysis, Internet of Things (IoT) device data telemetry, and metering. \n\n•**Data and analytics**— Suppose you are building an analytics application and storing raw data \nin a DynamoDB table. When you write, update, or delete items in a table, DynamoDB streams \n\ncan publish item update events to a stream associated with the table. In this case, the event data \n\nprovides the item key, event name (such as insert, update, and delete), and other relevant details. \n\nYou can write a Lambda function to generate custom metrics by aggregating raw data. \n\n•**Monitoring metrics**— Amazon Prime Video monitors metrics from devices worldwide to \n\nensure quality-of-service. The team chose Amazon Kinesis Data Streams to deliver video stream", + "page_start": 9, + "page_end": 9, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\n**Connect to functions with Function URLs**\n\nA function URL is a dedicated HTTP(S) endpoint for your Lambda function. You can create and \n\nconfigure a function URL through the Lambda console or the Lambda API. When you create a \n\nfunction URL, Lambda automatically generates a unique URL endpoint for you. Once you create a \n\nfunction URL, its URL endpoint never changes. Function URL endpoints have the following format: \n\n| | | |\n|---|---|---|\n| | | |\n| | https://.lambda-url..on.aws | |\n| | | |\n\n\nAfter you configure a function URL for your function, you can invoke your function through its \n\nHTTP(S) endpoint with a web browser, curl, Postman, or any HTTP client. \n\n**Next steps**\n\n| | | |\n|---|---|---|\n| | | |\n| | Learn serverless techniques in an online workshop Learn by doing in the Serverless Patterns Workshop. The first module introduces a serverless microservice to retrieve data from DynamoDB with Lambda and API Gateway. Additional modules provide practical examples of unit and integration testing, using infrastructure as code to deploy resources, and how to build common architectural patterns used in serverless solutions. | |", + "page_start": 63, + "page_end": 63, + "source_file": "serverless-core.pdf" + } + ] + }, + { + "references": { + "source_file": "serverless-core.pdf", + "query": "What is the role of resource policies of lambda functions ?", + "target_page": 60, + "target_passage": "resource policy: Defines which events are authorized to invoke the function.", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "Unlike traditional servers, Lambda functions do not run constantly. When a function is triggered by \n\nan event, this is called an*invocation*. Lambda functions are limited to 15 minutes in duration, but \n\non average, across all AWS customers, most invocations last for less than a second. \n\nThere are many types of invocation events. Some examples: \n\n• HTTP request from API Gateway \n\n• Schedule managed by an EventBridge rule \n\n• Message from an IOT device \n\n• Notification that a file was uploaded to an S3 bucket \n\n**How Lambda invokes your function (runtime environment)**\n\nLambda invokes your function in an*execution environment*, which contains a secure and isolated \n\n*runtime environment*. \n\n• A*runtime*provides a language-specific environment which relays invocation events, context \n\ninformation, and responses between the Lambda and your functions. \n\n• An*execution environment*manages the processes and resources that are required to run the \n\nfunction.", + "page_start": 55, + "page_end": 55, + "source_file": "serverless-core.pdf" + }, + { + "text": "In traditional applications, you write code to do these tasks. You organize that code into**functions**. \nYou put the function code inside an application framework. Whichever framework you picked will \n\nrun inside a language dependent runtime environment. Finally, that runtime environment will be \n\nhosted on a virtual or physical server. \n\nSetting up, configuring and maintaining the frameworks, runtime environments, and virtual or \n\nphysical infrastructure slows down your delivery of features, bug fixes, and improvements. \n\n**What is Lambda?**\n\nIn Lambda, you write function code. Lambda runs the functions. That’s it. There are no servers.", + "page_start": 50, + "page_end": 50, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\ninitialization duration, and other details. If your function throws an error, the runtime returns that \n\nerror to the invoker. \n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has \n\na command called sam logs which will show you CloudWatch Logs generated by your Lambda \n\nfunction. \n\nFor example, the following terminal command would show the live tail of logs generated by the \n\n*YourLambdaFunctionName*Lambda function: \n\n| | | |\n|---|---|---|\n| | | |\n| | sam logs -n YourLambdaFunctionName --tail | |\n| | | |\n\n\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for \n\ndebugging. \n\n**Securing functions**\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. \n\nLambda is fully integrated with IAM, allowing you to control precisely what each Lambda function \n\ncan do within the AWS Cloud. There are two important things that define the scope of permissions \n\nin Lambda functions: \n\n•*resource policy*: Defines which events are authorized to invoke the function. \n\n•*execution role policy*: Limits what the Lambda function is authorized to do. \n\nUsing IAM roles to describe a Lambda function’s permissions, decouples security configuration \n\nfrom the code. This helps reduce the complexity of a lambda function, making it easier to maintain. \n\nA Lambda function’s resource and execution policy should be granted the minimum required \n\npermissions for the function to perform it’s task effectively. This is sometimes referred to as the \n\nrule of least privilege. As you develop a Lambda function, you expand the scope of this policy to \n\nallow access to other resources as required.", + "page_start": 59, + "page_end": 59, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \n\nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer. \n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \n\nthat matches your programming language. For a container image, you include the runtime when \n\nyou build the image. \n\n**How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda: \n\n1. Configure the entry point to your function, known as the*handler*, and deploy the function. \n\n2. Lambda service initializes the function, then it invokes the*handler*with an invocation event and \n\ncontext. \n\n3. Your handler function processes the event and returns a response event. \n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \n\nthe function stays in memory, so clients and variables declared outside of the handler method can \n\nbe reused. \n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \n\nof reasons; some examples: scaling down to conserve resources, updating the function, updating \n\nthe runtime. \n\nThe function**handler**is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \n\nis keeping the handler sparse and doing the actual processing in other functions in your code. \n\nHere are some example**handlers**: \n\nPython \n\n| | | |\n|---|---|---|\n| | | |\n| | # Example handler method in Python def lambda_handler(event, context): message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) return { 'message' : message } | |\n| | | |", + "page_start": 56, + "page_end": 56, + "source_file": "serverless-core.pdf" + }, + { + "text": "Next, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda \n\nfunction code parses the parameters in the inbound event, connects to the data store, and retrieves \n\nthe cart. The function queries the database API through an SDK library. Because the DynamoDB \n\ndatabase is also serverless and built to respond with low latency, there is no need for a connection \n\npool. \n\nAfter converting currency to USD and removing unavailable items, the function sends the result as \n\na new event to API Gateway. \n\nFinally, API Gateway converts the event into a response to send to the waiting client. \n\nThe method with which a function is invoked should be informed by your application archecture \n\nand needs. For example, batch-processing patterns have different applications to on-demand data \n\nprocessing. Understanding these paradigm differences can also help customers decide between \n\nAWS services. \n\nDeploying a microservice as a containerized application on Fargate could be more appropriate if \n\nthe microservice is primarily used for batch data processing. Whereas a Lambda function would be \n\nmuch more straight-forward to deploy and maintain in applications that require on-demand data \n\nprocessing.", + "page_start": 29, + "page_end": 29, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \n\ntypically with no changes to your function code. The largest contributor to startup latency (often \n\nreferred to as cold start time) is the time that Lambda spends initializing the function, which \n\nincludes loading the function's code, starting the runtime, and initializing the function code. \n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \n\ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \n\nenvironment, encrypts the snapshot, and caches it for low-latency access. \n\nRelated resources: \n\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \n\nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \n\nsix seconds init time to 142 milliseconds of restore time with SnapStart", + "page_start": 62, + "page_end": 62, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\ncould be listening. The handler function might create and send another event to an SNS queue so \n\nthat alerts for high temperature are sent to users through SMS messages. \n\nThe function finally wraps up the JSON weather data into a new event and sends it back to API \n\ngateway. Afterward, the function continues to handle hundreds of additional requests. Request \n\nfrom users slow down after 2AM, so after some time the Lambda service will tear down the \n\nfunction execution environment to conserve resources. As a Customer, you will only be charged for \n\nfunction usage.", + "page_start": 38, + "page_end": 38, + "source_file": "serverless-core.pdf" + }, + { + "text": "Serverless \n\n**Connect to functions with Function URLs**\n\nA function URL is a dedicated HTTP(S) endpoint for your Lambda function. You can create and \n\nconfigure a function URL through the Lambda console or the Lambda API. When you create a \n\nfunction URL, Lambda automatically generates a unique URL endpoint for you. Once you create a \n\nfunction URL, its URL endpoint never changes. Function URL endpoints have the following format: \n\n| | | |\n|---|---|---|\n| | | |\n| | https://.lambda-url..on.aws | |\n| | | |\n\n\nAfter you configure a function URL for your function, you can invoke your function through its \n\nHTTP(S) endpoint with a web browser, curl, Postman, or any HTTP client. \n\n**Next steps**\n\n| | | |\n|---|---|---|\n| | | |\n| | Learn serverless techniques in an online workshop Learn by doing in the Serverless Patterns Workshop. The first module introduces a serverless microservice to retrieve data from DynamoDB with Lambda and API Gateway. Additional modules provide practical examples of unit and integration testing, using infrastructure as code to deploy resources, and how to build common architectural patterns used in serverless solutions. | |", + "page_start": 63, + "page_end": 63, + "source_file": "serverless-core.pdf" + }, + { + "text": "Within the Lambda service, your function code is stored in a code package, deployed as a .zip or a \n\ncontainer image. All interaction with the code occurs through the Lambda API. There is no direct \ninvocation of functions from outside of the Lambda service. \n\nWhat you will learn on your journey to building applications with Lambda: \n\n• How the event-driven programming model invokes Lambda functions \n\n• How to create, invoke, test, update, package, and secure functions \n\n• How the execution and runtime environment runs your functions \n\n• How to view logs and monitor your functions \n\n• Where to find hands-on opportunities to learn how to invoke functions", + "page_start": 51, + "page_end": 51, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Additional resources**\n\nOfficial AWS documentation: \n\n• AWS Identity and Access Management Documentation \n\n• Example IAM identity-based policies - an extensive list of example policies, including AWS \n\nLambda: Allows a lambda function to access an Amazon DynamoDB table which is useful in \n\nmicroservices \n\n• Grant least privilege section of the*Policies and permissions*chapter suggests a method to refine \n\npermissions for increased security \n\nResources from the serverless community: \n\n• Simplifying serverless permissions with AWSAWS SAM Connectors - AWS Compute blog post \n\nby Kurt Tometich, Senior Solutions Architect, AWS, from Oct 2022 that introduces a AWS SAM \n\nabstraction that creates minimally scoped IAM policies \n\n• Building AWS Lambda governance and guardrails - AWS Compute blog post by Julian Wood, \n\nSenior Solutions Architect, AWS, from Aug 2022 that highlights how Lambda, as a serverless \n\nservice, simplifies cloud security and compliance so you can concentrate on your business logic. \n\n**Next Steps**\n\n• Work through the Getting Started Resource Center 30-45 min tutorial on Setting Up Your AWS \n\nEnvironment to properly set up your AWS account, secure the root user, create an IAM user, and \nsetup AWS CLI and (optionally) Cloud9 environment.", + "page_start": 49, + "page_end": 49, + "source_file": "serverless-core.pdf" + } + ] + }, + { + "references": { + "source_file": "serverless-core.pdf", + "query": "Why can't I use SnapStart on my function tagged with $LATEST ?", + "target_page": 63, + "target_passage": " You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST)", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \n\ntypically with no changes to your function code. The largest contributor to startup latency (often \n\nreferred to as cold start time) is the time that Lambda spends initializing the function, which \n\nincludes loading the function's code, starting the runtime, and initializing the function code. \n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \n\ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \n\nenvironment, encrypts the snapshot, and caches it for low-latency access. \n\nRelated resources: \n\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \n\nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \n\nsix seconds init time to 142 milliseconds of restore time with SnapStart", + "page_start": 62, + "page_end": 62, + "source_file": "serverless-core.pdf" + }, + { + "text": "4. The procedure to generate the snap on a Storwize V7000 system, including the most \n\nrecent statesave from each node canister, starts. This process might take a few minutes \n(see Figure 13-70). \n\nFigure 13-70 Task detail window \n\n**13.9.2 Collecting logs using the CLI**\n\nThe CLI can be used to collect and upload a support package as requested by IBM Support \nby performing the following steps: \n\n1. Log in to the CLI and issue the**svc_snap**command that matches the type of snap \nrequested by IBM Support: \n\n– Standard logs (type 1): \n\nsvc_snap upload pmr=ppppp,bbb,ccc gui1 \n\n– Standard logs plus one existing statesave (type 2): \n\nsvc_snap upload pmr=ppppp,bbb,ccc gui2 \n\n– Standard logs plus most recent statesave from each node (type 3): \n\nsvc_snap upload pmr=ppppp,bbb,ccc gui3 \n\n– Standard logs plus new statesaves: \n\nsvc_livedump -nodes all -yes \nsvc_snap upload pmr=ppppp,bbb,ccc gui3", + "page_start": 751, + "page_end": 751, + "source_file": "sg247938.pdf" + }, + { + "text": "**13.9.1 Collecting information by using the GUI**\n\nTo collect information using the GUI, complete the following steps: \n1. Click**Settings**→**Support**and the Support Package tab (see Figure 13-68). \n\nFigure 13-68 Support Package option \n\n2. Click the**Upload Support Package**button. \n\nAssuming that the problem encountered was an unexpected node restart that logged a \n2030 error, we collect the default logs and the most recent statesave from each node to \ncapture the most relevant data for support. \n\n**Note:**When a node unexpectedly reboots, it first dumps its current statesave \ninformation before it restarts to recover from an error condition. This statesave is critical \nfor IBM Support to analyze what occurred. Collecting a snap type 4 creates statesaves \nat the time of the collection, which is not useful for understanding the restart event.", + "page_start": 749, + "page_end": 749, + "source_file": "sg247938.pdf" + }, + { + "text": "Serverless \n\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \n\nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer. \n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \n\nthat matches your programming language. For a container image, you include the runtime when \n\nyou build the image. \n\n**How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda: \n\n1. Configure the entry point to your function, known as the*handler*, and deploy the function. \n\n2. Lambda service initializes the function, then it invokes the*handler*with an invocation event and \n\ncontext. \n\n3. Your handler function processes the event and returns a response event. \n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \n\nthe function stays in memory, so clients and variables declared outside of the handler method can \n\nbe reused. \n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \n\nof reasons; some examples: scaling down to conserve resources, updating the function, updating \n\nthe runtime. \n\nThe function**handler**is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \n\nis keeping the handler sparse and doing the actual processing in other functions in your code. \n\nHere are some example**handlers**: \n\nPython \n\n| | | |\n|---|---|---|\n| | | |\n| | # Example handler method in Python def lambda_handler(event, context): message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) return { 'message' : message } | |\n| | | |", + "page_start": 56, + "page_end": 56, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Tip:**If you are updating from V7.8 or later code, the 30-minute wait period can be \nadjusted by using the**applysoftware**CLI command with the -**delay (mins)**parameter \nto begin the update instead of using the GUI.", + "page_start": 715, + "page_end": 715, + "source_file": "sg247938.pdf" + }, + { + "text": "To create and start a snapshot, complete the following steps: \n1. Open the FlashCopy window from the**Copy Services**→**FlashCopy**menu. \n\n2. Select the Volume that you want to create a snapshot of, and right-click it or click \n**Actions**→**Create Snapshot**, as shown in Figure 11-32. \n\nFigure 11-32 Single-click snapshot creation and start \n\n3. You can select multiple volumes at a time, which creates as many snapshots \n\nautomatically. The system then automatically groups the FlashCopy mappings in a new \nconsistency group, as shown in Figure 11-33. \n\nFigure 11-33 Selection single-click snapshot creation and start \n\n4. For each selected source volume, the following actions occur: \n\n– A FlashCopy mapping is automatically created. It is named by default fcmapXX. \n\n– A target volume is created. By default the source name is appended with a_XX suffix. \n\n– A consistency group is created for each mapping, unless multiple volumes were \nselected. Consistency groups are named by default fccstgrpX. \n\nThe newly created consistency group is automatically started. \n\n**11.2.5 Single-click clone**\n\nThe*clone preset*creates a replica of the volume, which can be changed without affecting the \noriginal volume. After the copy completes, the mapping that was created by the preset is \nautomatically deleted. \n\nThe clone preset uses the following parameters: \n\n(cid:2) Background copy rate: 50 \n(cid:2) Incremental: No \n(cid:2) Delete after completion: Yes", + "page_start": 501, + "page_end": 501, + "source_file": "sg247938.pdf" + }, + { + "text": "Serverless \n\nNode.js \n\n| | | |\n|---|---|---|\n| | | |\n| | # Example handler method for Node.js exports.handler = async function(event, context) { console.log(\"EVENT: \\n\" + JSON.stringify(event, null, 2)) return context.logStreamName } | |\n| | | |\n\n\nJava \n\n| | | |\n|---|---|---|\n| | | |\n| | # Example handler method in Java package example; import com.amazonaws.services.lambda.runtime.Context import com.amazonaws.services.lambda.runtime.RequestHandler import com.amazonaws.services.lambda.runtime.LambdaLogger // Handler value: example.Handler public class Handler implements RequestHandler, String>{ Gson gson = new GsonBuilder().setPrettyPrinting().create(); @Override public String handleRequest(Map event, Context context) { LambdaLogger logger = context.getLogger(); String response = new String(\"200 OK\"); logger.log(\"EVENT: \" + gson.toJson(event)); return response; } } | |\n| | | |\n\n\nC# \n\n| | | |\n|---|---|---|\n| | | |\n| | // Example handler method in C# using Amazon.Lambda.Core; // Assembly attribute to enable the Lambda function's JSON input to be converted into a .NET class. [assembly: LambdaSerializer(typeof(Amazon.Lambda.Serialization.SystemTextJson.DefaultLambdaJson namespace HelloWorld; public class Function | S |", + "page_start": 57, + "page_end": 57, + "source_file": "serverless-core.pdf" + }, + { + "text": "else \n let log=$log+001 \n typeset -Z3 log \n fi \n #################################### \n # Set date after log count # \n #################################### \n datum=`date +%Y-%m-%d` \n blank=\" \" \n #################################### \n # Update this document with count # \n # of reprints and current date # \n #################################### \n arsdoc update -h $host -g $applgrp -f $folder -n log=\"$log$blank$datum\" -n \nreprint=I -u admin -p ondemand -i \"where account-number='$account-number'\" -v \n fi \n #################################### \n # Done, remove the .cntl file # \n #################################### \n done \n rm $mine \n fi \n\n fi \n\nelse \n( \nif [[ ${OS} = AIX ]] ; then \necho /bin/enq -r -P \"$1\" -N $2 -T \"${TITLE}\" $6 ${EXTRA_OPTIONS} ${PRT_OPTIONS} \n${FILE} \nelse \necho ${BASE_DIR}/lprafp -p \"$1\" -s \"${ARSPRT_HOSTNAME}\" -o \"COPIES=${2}\" -o \n\"JOBNAME=${TITLE}\" -o \"TITLE=${TITLE}\" $6 ${EXTRA_OPTIONS} ${PRT_OPTIONS} ${FILE} \nfi \n\necho \"$(date)-->OnDemand Failed Print File >${FILE}< to Queue >$1<\" \n\n) >/dev/console \nexit ${RC} \nfi \n\n# \n# If there is an options file, wait until the file has been \n# printed before removing it. \n# \nif [[ ${DEL} != 0 ]] ; then \n\nwhile(( 1 )) \ndo \nif [[ -f \"${FILE}\" ]] ; then \nsleep 30 \nelse \n\n${RM} -f ${OPTS_FILE} ${NOTES_FILE} \nbreak \nfi \ndone \n\nfi \nexit 0", + "page_start": 285, + "page_end": 285, + "source_file": "sg246915.pdf" + }, + { + "text": "Serverless \n\ninitialization duration, and other details. If your function throws an error, the runtime returns that \n\nerror to the invoker. \n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has \n\na command called sam logs which will show you CloudWatch Logs generated by your Lambda \n\nfunction. \n\nFor example, the following terminal command would show the live tail of logs generated by the \n\n*YourLambdaFunctionName*Lambda function: \n\n| | | |\n|---|---|---|\n| | | |\n| | sam logs -n YourLambdaFunctionName --tail | |\n| | | |\n\n\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for \n\ndebugging. \n\n**Securing functions**\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. \n\nLambda is fully integrated with IAM, allowing you to control precisely what each Lambda function \n\ncan do within the AWS Cloud. There are two important things that define the scope of permissions \n\nin Lambda functions: \n\n•*resource policy*: Defines which events are authorized to invoke the function. \n\n•*execution role policy*: Limits what the Lambda function is authorized to do. \n\nUsing IAM roles to describe a Lambda function’s permissions, decouples security configuration \n\nfrom the code. This helps reduce the complexity of a lambda function, making it easier to maintain. \n\nA Lambda function’s resource and execution policy should be granted the minimum required \n\npermissions for the function to perform it’s task effectively. This is sometimes referred to as the \n\nrule of least privilege. As you develop a Lambda function, you expand the scope of this policy to \n\nallow access to other resources as required.", + "page_start": 59, + "page_end": 59, + "source_file": "serverless-core.pdf" + }, + { + "text": "2. We collect the type 3 (option 3) and have it automatically uploaded to the PMR number \nthat is provided by IBM Support, as shown in Example 13-6. \n\nExample 13-6 The svc_snap command \n\nssh superuser@9.173.156.250 \nPassword: \nIBM_Storwize:ITSO-V7k:superuser>**svc_snap upload pmr=12345,000,866 gui3**\n\nIf you do not want to automatically upload the snap to IBM, do not specify the**upload**\n**pmr=ppppp,bbb,ccc**part of the commands. When the snap creation completes, it creates a \nfile named that uses the following format: \n\n3. \n\n/dumps/snap..YYMMDD.hhmmss.tgz \n\nIt takes a few minutes for the snap file to complete (longer if statesaves are included). \n4. The generated file can then be retrieved from the GUI clicking**Settings**→**Support**→ \n**Manual Upload Instructions**twisty →**Download Support Package**and then, clicking \n**Download Existing Package**, as shown in Figure 13-71.", + "page_start": 752, + "page_end": 752, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_SHEN_2003.pdf", + "query": "At Shentel company, what determines an employees pension ?", + "target_page": 22, + "target_passage": "Pension benefits are based primarily on the employee's compensation and years of service", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "9. RETIREMENT BENEFIT PLANS \n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), tax-qualified \npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts \nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain \nforeign consolidated subsidiaries have defined benefit and contribution plans. \nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as \nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans: \n\n*Thousands of*\n*U.S. dollars*\n2004 \n*Mar. 31, 2005*\n\nRetirement benefit obligation....................................................................................................................................... ¥(1,217,260) \n500,815 \nPlan assets at fair value .................................................................................................................................................... \n(716,445) \nUnfunded retirement benefit obligation............................................................................................................... \n120,718 \nUnrecognized net retirement benefit obligation at transition ........................................................... \n154,689 \nUnrecognized actuarial gain or loss........................................................................................................................ \n(66,720) \nUnrecognized prior service cost................................................................................................................................. \n(507,758) \nNet retirement benefit obligation .............................................................................................................................. \n445 \nPrepaid pension cost........................................................................................................................................................... \nAccrued retirement benefits.......................................................................................................................................... ¥ (508,203) \n$(11,376,262) \n4,680,514 \n(6,695,748) \n1,128,206 \n1,445,691 \n(623,551) \n(4,745,402) \n4,159 \n$ (4,749,561) \n\n*Millions of yen*\n\n2004 \n*Mar. 31, 2005* 2003 \n*Mar. 31, 2004* *As of*\n\n¥(1,041,483) \n377,169 \n(664,314) \n131,666 \n152,867 \n(61,833) \n(441,614) \n652 \n¥ (442,266) \n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", + "page_start": 83, + "page_end": 83, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "a limited number of salaried and hourly employees at certain subsidiar- \n\nies. The Company’s funding policy is generally to contribute annually \n\n*Expected Contributions During Fiscal 2004*\n Total $ 12,873 \nthe minimum actuarially computed amount. Net pension costs relating \n\nto these plans were $176,000; $0; and $0 for 2003, 2002, and 2001, \nPlan Assets – Percentage of Fair Value by Category \n**2003**\nrespectively. The actuarial present value of obligations, less related plan \n\n Equity \n Debit \n Other **0%**\n**0%**\n**100%**\n\nassets at fair value, is not significant. \n\nThe Company also participates in a multiemployer plan, \n Total **100%**\nwhich provides defined benefits to certain of the Company’s union", + "page_start": 50, + "page_end": 50, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**SHENTEL SERVICE AREAS**", + "page_start": 1, + "page_end": 1, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHAREHOLDER INFORMATION**\n\n\n\n**OUR BUSINESS**\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides \nvarious telecommunications services through its operating subsidiaries. These services include: wireline telephone \nservice, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in \nVirginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; \nonline information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of \nVirginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern \nShenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; \nwireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, \nVirginia to the Harrisburg, York and Altoona, Pennsylvania markets. \n\n**ANNUAL MEETING**\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The \nmeeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company’s offices at the Shentel \nCenter, 500 Mill Road, Edinburg, Virginia. \n\n**FORMS 10-K, 10-Q, and 8-K**\n\n**The Company files periodic reports with the Securities and Exchange Commission. The Company's Annual**\n**Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any**\n**amendments to these reports, are available to shareholders through the Company’s website, www.shentel.com.**\n**This website also has recent news releases and other information potentially of interest to shareholders.**\n\n**A copy of the Company’s Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by**\n**writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia**\n**22824, Attention: Secretary.**", + "page_start": 58, + "page_end": 58, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**(27) Employee Benefit Plans**\n\nE u ronet has established a Profit Sharing and 401(k) plan for all employees who have completed six months of service and are not otherw i s e \nc o v e red by a re t i rement benefit plan (national or private) outside of the US. Each plan participant can contribute up to the maximum \namount allowed by the Internal Revenue Service to the Plan through payroll deductions. Euro n e t ’s matching contribution to the plan is \nd i s c re t i o n a ry and is determined each year by the Board of Directors. The employee’s vested percentage re g a rding the employer’s contribution \nvaries according to years of service. Euro n e t ’s contribution accrual to the Plan for the years ended December 31, 2000, 1999 and 1998 was \n$213,000, $159,000 and $26,000 re s p e c t i v e l y. \n\nE u ronet maintains both a fully funded and self-funded health insurance programs, which cover all full-time employees and their families at \nno charge to the employees. In order to administer the self-funded program, Euronet has entered into a contractual agreement with a third \np a rty administrator by which Euronet pays a monthly service fee to the administrator based upon employee enrollment participating in the \nself-funded plan. Euronet has also purchased a stop/loss insurance policy to limit Euro n e t ’s self-funded liability to $25,000 per employee per \nyear and a total loss on all claims to approximately $31,000 per month.", + "page_start": 45, + "page_end": 45, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "The Company maintains a nonqualified deferred retirement plan for certain key \nemployees. The plan allows participants to defer, on a pre-tax basis, a portion of their \nsalary and bonus and accumulate tax deferred earnings, plus investment earnings on \nthe deferred balances, as a retirement fund. Participants receive a Company match of \nup to 4% of salary, net of any Company match received under the Company’s 401(k) \nplan. All employee deferrals vest immediately. The Company matching contributions \nvest ratably over a three-year period. The Company recorded charges for matching \ncontributions of $1 million in 2004, $2 million in 2003 and $1 million in 2002.", + "page_start": 72, + "page_end": 72, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**Note 9. Retirement Plans (Continued)**\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 \nthousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively. \n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named \nexecutives. The plan was established to provide retirement benefits in addition to those provided under the Retirement \nPlan that covers all employees. The following table presents the actuarial information for the plan. \n\n| | $$ |\n|---|---|\n| | $$ |\n| 22 | |\n| 23 | |\n| 278 | |\n| 546 | |\n\n\n| 22 23 278 546 $ 869 | | |\n|---|---|---|\n| | | |\n| | $ | (869) |\n| 278 | | |\n| (380) | | |\n| 380 | | |\n| 521 | | |\n\n\nChange in benefit obligation: \n Benefit obligation, beginning \n\nService cost \nInterest cost \nActuarial loss \nPlan adoption \n\n Benefit obligation, ending \n\nFunded status \nUnrecognized net loss \nAdditional minimum liability \nIntangible asset \nUnrecognized prior service cost \nAccrued benefit cost \n\nComponents of net periodic benefit costs: \n\n| | $ 22 | |\n|---|---|---|\n| | $ 22 | |\n| | 23 | |\n| | | 25 |\n| | | |\n\n\nService cost \nInterest cost \nAmortization of prior service costs \n\nNet periodic benefit cost \n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted \nof the following at December 31, 2003: \n\n**2003**\n**6.00%**\n**4.50%**\n\n**Note 10. Stock Incentive Plan**\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the “Plan”), providing for the grant of \nincentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options \nto purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all \ngrants has been at the current market price at the time of the grant. The grants have generally provided that one-half of \nthe options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five \nyears after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period \nbeginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant \nafter each anniversary date through the eighth year, with the options expiring after ten years. \n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the \nfollowing weighted average assumptions:", + "page_start": 33, + "page_end": 33, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "(i) Retirement benefits \nAccrued retirement benefits for employees have been provided \nmainly at an amount calculated based on the retirement benefit \nobligation and the fair value of the pension plan assets as of balance \nsheet date, as adjusted for unrecognized net retirement benefit \nobligation at transition, unrecognized actuarial gain or loss, and \nunrecognized prior service cost. The retirement benefit obligation is \nattributed to each period by the straight-line method over the \nestimated years of service of the eligible employees. The net \nis being amortized \nretirement benefit obligation at \nprincipally over a period of 15 years by the straight-line method. \ntransition \n\nin subsidiaries and affiliates which are not \nconsolidated or accounted for by the equity method are carried at \ncost or less. Where there has been a permanent decline in the value \nof such investments, the Company has written down the investments. \nDifferences between the cost and the underlying net equity at fair \nvalue of investments in consolidated subsidiaries and in companies \nwhich are accounted for by the equity method have been amortized \nby the straight-line method over periods not exceeding 20 years. \n\nInvestments \n\nActuarial gain or loss is amortized in the year following the year in \nwhich the gain or loss is recognized primarily by the straight-line \nmethod over periods (principally 8 years through 18 years) which are \nshorter than the average remaining years of service of the \nemployees. Certain foreign consolidated subsidiaries have adopted \nthe corridor approach for the amortization of actuarial gain and loss. \n\nPrior service cost is being amortized as incurred by the straight-line \nmethod over periods (principally 9 years through 15 years) which are \nshorter than the average remaining years of service of the \nemployees. \n\nSee Note 9 for the method of accounting for the separation of the \nsubstitutional portion of the benefit obligation from the corporate \nportion of the benefit obligation under Welfare Pension Fund Plan. \n\n(c) Foreign currency translation \nThe balance sheet accounts of the foreign consolidated subsidiaries \nare translated into yen at the rates of exchange in effect at the \nbalance sheet date, except for the components of shareholders’ \nequity which are translated at their historical exchange rates. \nRevenue and expense accounts are translated at the average rate of \nexchange in effect during the year. Translation adjustments are \npresented as a component of shareholders’ equity and minority \ninterests in its consolidated financial statements. See Note 2(b) for adoption of a new accounting standard by a \nconsolidated subsidiary in the United Kingdom. \n\n(d) Cash equivalents \nAll highly liquid investments with maturity of three months or less \nwhen purchased are considered cash equivalents. \n\n(j) Income taxes \nDeferred tax assets and liabilities have been recognized in the \nconsolidated financial statements with respect to the differences \nbetween financial reporting and the tax bases of the assets and \nliabilities, and were measured using the enacted tax rates and laws \nwhich will be in effect when the differences are expected to reverse. \n(e) Inventories \nInventories are stated principally at the lower of cost or market, cost \nbeing determined principally by the first-in, first-out method. See Note \n2 (a). \n\n(k) Research and development costs \nResearch and development costs are charged to income when \nincurred. \n\n(n) Appropriation of retained earnings \nUnder the Commercial Code of Japan, the appropriation of retained \nearnings with respect to a given financial year is made by resolution \nof the shareholders at a general meeting held subsequent to the \nclose of such financial year. The accounts for that year do not, \ntherefore, reflect such appropriations. See Note 22. \n(l) Revenue recognition \nRevenue is generally recognized on sales of products at the time of \nshipment.", + "page_start": 78, + "page_end": 78, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "The Plan provides for grants of fully paid ordinary shares in the capital of the Company up to a value determined by the Board which, to date, \nhas been $1,000 per annum per eligible employee. A trustee is funded by the Santos Group to acquire shares directly from the Company or on \nmarket. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan. \n\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier \nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee. \nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues \nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.", + "page_start": 63, + "page_end": 63, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "For over 100 years Shenandoah Telecommunications Company has been committed to providing outstanding \n\nservice to our customers. Our employees take that same dedication after hours to make a difference in their \ncommunity. \n\nWe take this opportunity to share with you, our shareholders, the stories of just a few of your dedicated \nemployees. \n\nVolunteerism is in Patty Pomeroy’s blood. Her grandfather was a dispatcher for the \n\nrescue squad in Middletown, VA for 25 years and her grandmother was in the ladies \nauxiliary. Her father was a charter member of the Middletown Rescue Squad. In 1997, \nPatty, a customer service representative at Shentel for four years, continued the family \ntradition by earning her Emergency Medical Technician certification and going to “work” \nfor the Strasburg Rescue Squad. Patty is the administrator of membership recruitment \nand retention for the squad and is the liaison coordinator for junior squad members under \n18. It is her job to make sure that new members are brought in to the squad and current \nmembers stay active. \n\n**“There is a great satisfaction that comes from knowing that what you can do will**\n**help people.”**\n***Patty Pomeroy***\n\nJeff Beard has been an installer repairman with Shentel for almost five years. Two \n\nyears ago, Jeff helped start Project Isaiah 58, a faith-based recovery ministry that reaches \nout to people who are struggling with addiction. Project Isaiah 58 has weekly group \nmeetings in Winchester, Woodstock and Warrenton, VA. Jeff, who lives in Winchester, \nparticipates in the group meetings and also makes time to meet one-on-one with people \nwho need personal attention. \n\n\n\n**“I feel the need to reach out to people who are suffering.”**\n\n***Jeff Beard***\n\nJohn Gardner has been with Shentel for two years as a PCS technician in Central \nPennsylvania, but for almost a year of that time he was on Naval Reserve duty in Sasebo, \nJapan. John joined the Reserves after serving 10 years of active duty. In October 2002, \nhe was activated under Noble Eagle-Enduring Freedom as part of the increase in security \nat bases around the world. John worked on Motorola radios and repeater systems while \nstationed in Japan. It was tough for the serviceman to be away from his wife and \nchildren, but John believes very strongly in serving his country. \n\n\n\n**“Being in the Reserves is a way for me to be a civilian and still serve my country.”**\n\n\n\n***John Gardner***\n\nAt Shentel, George Brinkley, the store manager in Front Royal, VA, is known for \n\nbeing one of the biggest fund-raisers for the Shenandoah County American Cancer \nSociety Relay for Life event. In his six years at the Company, George has raised nearly \n$20,000. In 2003, he raised $4,246 and was recognized as the top individual fund-raiser \nfor the entire event. \n\nIn 2002, George was chairman of the parade committee for the Woodstock, VA \n\n250th anniversary celebration. Under George’s leadership, the 26-member committee \nworked for a year preparing for the parade, which was the largest in the town’s history. \n\n**“I just have a knack for volunteering. I want to make my community better any way**\n**I can.”**\n\n***George Brinkley***\n3 ■ 2003 ANNUAL REPORT", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_SHEN_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_SHEN_2003.pdf", + "query": "At the end of 2003, how many available-for-sales investments did Shenandoah company count in its portfolio ?", + "target_page": 53, + "target_passage": "The Company’s available-for-sale portfolio at December 31, 2003 is made up of two investments", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS**\n\n\nis the intent of the Company to evaluate whether to hold or sell parts or all of each investment on an individual basis. \nAt December 31, 2003, the Company had external investments totaling $7.5 million. \n\nIn 2004, the Company anticipates taking advantage of a conversion feature on its Rural Telephone Bank stock. The \nCompany will convert a portion of its holdings into a different class of stock that will pay cash dividends each year. \nThe bank declares a dividend rate that varies, each year. The range of the dividend has been between 4.2% and 5.65% \nover the last 5 years. The rate in the two most recent years was 4.2%. This transaction is estimated to provide the \nCompany with approximately $0.3 million in dividend income each year, based on the 2003 dividend rate of 4.2% and \nassuming we had converted the stock at the beginning of 2003. \n\n**Financial Condition, Liquidity and Capital Resources**\n\nThe Company has four principal sources of funds available to meet the financing needs of its operations, capital \nprojects, debt service, investments and potential dividends. These sources include cash flows from operations, cash \nand cash equivalents, the liquidation of investments and borrowings. Management routinely considers the alternatives \navailable to determine what mix of sources are best suited for the long-term benefit of the Company. \n\nDuring the 2003 year, with the closing of the sale of the Virginia 10 RSA Limited partnership interest, the Company \nevaluated its capital requirements, and as a result eliminated its $20.0 million revolving line of credit with CoBank in May \n2003. The Company had paid off the outstanding balance in early 2003, and did not borrow on it during the remaining time \nthe facility was in place. In light of the $27.9 million balance in cash equivalent investments, management determined \nadditional debt capacity is not necessary for the near-term. \n\nThe term debt loan agreements with CoBank have three financial covenants. These are measured on a trailing 12-month \nbasis and are calculated on continuing operations. The first of the covenants is the total leverage ratio, which is total debt to \noperating cash flow. This ratio must remain below 3.5, and as of December 31, 2003 it was 1.2. The second measure is \nequity to total assets, which must be 35% or higher. At December 31, 2003 the ratio was 57.3%. The third measure is the \ndebt service coverage ratio, which is operating cash flow to scheduled debt service, which must exceed 2.0. At December 31, \n2003 this measure was 4.3. Management believes the Company will meet these covenant measures for the coming year. The \nCompany has pledged all of its affiliates capital stock as collateral for the CoBank loans. \n\nThe Company’s covenants on the RUS/RTB debt require the pledge of all current and future assets of the Telephone \nsubsidiary until the debt is retired. \n\nAnother external source of funding is a $0.5 million unsecured, variable rate revolving line of credit with SunTrust \nBank. This facility is in place to allow the Company to better manage its daily cash balances. The facility expires \nMay 31, 2004. Management anticipates renewing this facility with SunTrust Bank under similar terms and conditions. \nAt December 31, 2003 there were no balances outstanding under this facility. \n\nDue to make-whole provisions in the Company’s debt agreements it is currently uneconomical for the Company to \nprepay any debt. \n\nThe Company is obligated to make future payments under various contracts it has entered into, including amounts \npursuant to its various long-term debt facilities, and non-cancelable operating lease agreements for retail space, tower \nspace and cell sites. Expected future minimum contractual cash obligations for the next five years and in the aggregate \nat December 30, 2003, are as follows:", + "page_start": 53, + "page_end": 53, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED STATEMENTS OF CASH FLOWS**\n\n\n\n$ \n\n- \n(4,393) \n(2,697) \n- \n (2,794) \n296 $ 24,641 \n(23,692) \n 6,200 \n (175) \n(2,635) \n133 \n\n2002 **2003**\n\nCash Flows From Financing Activities \n\n**$**\n\n**(8,697)**\n**(3,503)**\n**-**\n**(2,960)**\n**487**\n\n| | | |\n|---|---|---|\n| | | |\n| | | |\n| | Net cash provided by (used in) financing | |\n| | activities | |\n\n\n| | $$((1144,,667733)) |\n|---|---|\n| | $$((1144,,667733)) |\n\n\n| cash used in continuing operations cash provided by discontinued operations | | |\n|---|---|---|\n| | | |\n| | Net increase (decrease) in cash and cash | |\n| | equivalents | |\n| | | |\n\n\n**$ 3,477**\n**23,010**\n\n$ 172 **$ 26,487**\n\nCash and cash equivalents: \n\nBeginning \nEnding 2,037 \n$ 2,209 **2,209**\n**$ 28,696**\n\n| lemental Disclosures of Cash Flow Information ash payments for: | | |\n|---|---|---|\n| Interest, net of capitalized interest of $26 in 2003; | | |\n| $93 in 2002, and $134 in 2001 | | |\n| | | |\n| Income taxes | | |\n| | | |\n\n\n$ 4,274 **$ 3,577**\n\n$ 1,045 **$ 15,569**\n\nNon-cash transactions: \n\nDuring 2002, the Company issued 4,654 shares of Company stock to employees valued at $0.1 million \nin recognition of the Company’s 100th year anniversary. \n\nIn December 2001, the Company received 310,158 shares of VeriSign Inc. common stock in exchange \nfor 333,504 shares of Illuminet Holdings, Inc. stock as a result of the merger of the two entities. \n\nThe Company completed the sale of its GSM network equipment in January 2001, for approximately \n$6.5 million of which approximately $4.9 million was escrowed as part of a like-kind exchange \ntransaction. The escrowed funds were disbursed as new equipment was received during the first six \nmonths of 2001.", + "page_start": 18, + "page_end": 18, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED STATEMENTS OF SHAREHOLDERS’ EQUITY AND COMPREHENSIVE INCOME**\n\n\n\n**Years Ended December 31, 2003, 2002 and 2001**\nin thousands, except per share amounts \n\nAccumulated \nOther \nComprehensive \nIncome (loss) Common \nStock Retained \nEarnings Shares Total \n\n 7,518 $4,817 $ 55,873 $5,645 $ 66,335 \n\n - - 16,372 16,372 **-**\n\n- - - \n\n(5,603) \n$ 10,769 \n (2,635) \n\n| | |\n|---|---|\n| | |\n| - | |\n\n\n- - (2,635) \n\nBalance, January 1, 2001 \n\nComprehensive income: \n\nNet income \nNet unrealized change in \n securities available-for-sale, net \n of tax of $3,482 \n\n**Total comprehensive income**\nDividends declared ($0.35 per share) \n\nCommon stock issued through \n exercise of incentive stock options \n\nBalance, December 31, 2001 \nComprehensive income: \n\nNet income \nNet unrealized change in \n securities available-for-sale, net \n of tax of $29 \n\n**Total comprehensive income**\nDividends declared ($0.37 per share) \nCommon stock issued through \n exercise of incentive stock \n options and stock grants \n\nBalance, December 31, 2002 \nComprehensive income \n\nNet income \nNet unrealized change in \n securities available-for-sale, net \n of tax of $(18) \n\n**Total comprehensive income**\nDividends declared ($0.39 per share) \nCommon stock issued through \n exercise of incentive stock \n options \nBalance, December 31, 2003", + "page_start": 16, + "page_end": 16, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED BALANCE SHEETS**\n\n\n\n**ASSETS (Note 5)**\nCurrent Assets \n\nCash and cash equivalents \nAccounts receivable, net (Notes 1 and 8) \nIncome taxes receivable \nMaterials and supplies \nPrepaid expenses and other \nDeferred income taxes (Note 6) \nAssets held for sale (Note 2) \n\n**Total current assets**\n\nSecurities and Investments (Notes 3 and 8) \n\nAvailable-for-sale securities \nOther investments \n\n**Total securities and investments**\n\n2002 **2003**\n\n$ \n\n2,209 \n7,536 \n12 \n1,787 \n2,205 \n1,197 \n5,548 \n$ 20,494 **$ 28,696**\n**6,488**\n**1,526**\n**2,062**\n**1,669**\n**522**\n**-**\n**$ 40,963**\n\n$ \n\n151 \n7,272 \n7,423 \n\n**$**\n\n**199**\n**7,268**\n**7,467** $ **$**\n\nProperty, Plant and Equipment \nPlant in service (Note 4) \nPlant under construction \n\n$ 184,069 \n5,209 \n$ 189,278 \n57,126 \n$ 132,152 **$ 197,431**\n**2,261**\n**$ 199,692**\n**72,006**\n**$ 127,686**\n\nLess accumulated depreciation \n\n**Net property, plant and equipment**\n\nOther Assets \n\nAssets held for sale (Note 2) \nCost in excess of net assets of business acquired \nDeferred charges and other assets (Notes 1 and 2) \n\n$ \n\n- \n5,105 \n667 \n5,772 \n1,837 \n$ \n3,935 \n$ 164,004 \n\n$ \n\n**-**\n**5,105**\n**5,999**\n**$ 11,104**\n**1,856**\n**$**\n**9,248**\n**$ 185,364**\n\n**$**\n\nLess accumulated amortization \n\n**Net other assets**\n**Total assets**\n\nSee accompanying notes to consolidated financial statements. \n\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 12", + "page_start": 13, + "page_end": 13, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED STATEMENTS OF CASH FLOWS**\n\n\n\n2002 **2003**\n\nCash Flows from Operating Activities \n\nIncome (loss) from continuing operations \nAdjustments to reconcile net income to net cash \nprovided by operating activities: \n\n$ (2,893) **$ 9,761**\n\n14,476 \n6 \n289 \n739 \n9,034 \n\n393 \n443 \n\n| Deferred income taxes Loss on disposal of assets Net (gain) loss on disposal of investments Net (gain) loss from patronage and equity investments | | | | | |\n|---|---|---|---|---|---|\n| Other | | | | | |\n| Changes in assets and liabilities: | | | | | |\n| | (Increase) decrease in: | | | | |\n| | | Accounts receivable | | | |\n| | | Materials and supplies | | | |\n| | Increase (decrease) in: | | | | |\n| | | Accounts payable | | | |\n| | | Other prepaids, deferrals and accruals | | | |\n| | | | | | |\n| | | Net cash provided by operating activities | | | $$ 3300,,650919 |\n| | | | | | |\n\n\nCash Flows From Investing Activities \n\nPurchase and construction of plant and equipment, net \n of retirements \nPurchase of investment securities \nProceeds from sale of equipment \nProceeds from sale of radio spectrum license \nProceeds from investment activities (Note 3) \n\n**(12,476)**\n**(796)**\n**109**\n**-**\n**714**\n\n**$**\n\n| | | | |\n|---|---|---|---|\n| | | | |\n| | Net cash used in investing activities | | |\n| | | | |\n\n\n**(12,449)** **$**\n\n(Continued)", + "page_start": 17, + "page_end": 17, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED BALANCE SHEETS**\n\n\n\n**LIABILITIES AND SHAREHOLDERS’ EQUITY**\nCurrent Liabilities \n\nCurrent maturities of long-term debt (Note 5) \nRevolving line of credit (Note 5) \nAccounts payable (Note 7) \nAdvanced billings and customer deposits \nAccrued compensation \nOther current liabilities \nCurrent liabilities held for sale (Note 2) \n**Total current liabilities**\n\n2002 **2003**\n\n$ 4,482 \n3,503 \n5,003 \n3,538 \n1,268 \n1,564 \n542 \n$ 19,900 **$ 4,230**\n**-**\n**4,729**\n**3,326**\n**1,015**\n**2,496**\n**-**\n**$ 15,796**\n\nLong-term debt, less current maturities (Note 5) $ 47,561 **$ 39,116**\n\nOther Liabilities \n\nDeferred income taxes (Note 6) \nPension and other (Note 9) \n\n$ 15,859 \n2,441 \n$ 18,300 **$ 20,819**\n**3,425**\n**$ 24,244** **Total other liabilities**\n\nMinority Interests in discontinued operations (Note 2) $ 1,666 **$** **-**\n\nCommitments and Contingencies (Notes 2,3,5,6,7,9,12, and 13) \n\nShareholders’ Equity (Notes 5 and 10) \n\nCommon stock, no par value, authorized 16,000 shares; \n issued and outstanding 7,593 shares in 2003, 7,552 \n shares in 2002, and 7,530 shares in 2001 \nRetained earnings \nAccumulated other comprehensive income (loss) (Note 3) \n\n**Total shareholders’ equity**\n\n$ \n\n5,246 \n71,335 \n(4) \n$ 76,577 $ 4,950 \n69,610 \n42 \n$ 74,602 **5,733**\n**100,449**\n**26**\n**$ 106,208**\n\n**$**\n\n$164,004 $167,32 \n$167,372 **$ 185,364**", + "page_start": 14, + "page_end": 14, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Significant Transactions**\n\nThe Company had several significant transactions during 2003. The largest was the sale of its 66% interest in the \nVirginia 10 RSA cellular operation, as described above. The Company originally entered into the agreement with \nVerizon Wireless in November 2002. The Company was the general partner of the limited partnership which operated \nan analog cellular network in the six-county area of Northwestern Virginia, including Clarke, Frederick, Page, \nRappahannock, Shenandoah, and Warren counties, and the city of Winchester. The sales price was $37.0 million plus \nthe Company’s 66% share of the partnership’s working capital, which was approximately $1.7 million. The Company \nwas required to do a working capital true up following the closing, from which the Company recorded a charge for $23 \nthousand after taxes. In the fourth quarter the Company recorded an additional charge for taxes of $0.2 million to \nreflect the consolidated effective tax rate based on the final operating results for the year. \n\nThe sale of this business is reflected in the discontinued operations section of the income statement along with the \nresults of operations for the two months of 2003 that the operation remained a part of the Company.", + "page_start": 41, + "page_end": 41, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED STATEMENTS OF INCOME**\n\n\n\n2002 **2003**\n\n$ 57,867 \n28,755 \n6,352 \n$ 92,974 **$ 69,872**\n**29,022**\n**6,967**\n**$ 105,861**\n\n$ 10,502 \n32,512 \n14,482 \n26,140 \n$ 83,636 \n$ 9,338 \n\n**Years Ended December 31, 2003, 2002 and 2001**\nin thousands, except per share amounts \n\nOperating revenues: \n\nWireless (Notes 7 and 8) \nWireline \nOther \n\n**Total operating revenues**\n\nOperating expenses: \n\nCost of goods and services (Note 7) \nNetwork operating costs (Note 8) \nDepreciation and amortization \nSelling, general and administrative (Note 7) \n\n**$ 10,943**\n**33,630**\n**16,631**\n**26,029**\n**$ 87,233**\n**$ 18,628** **Total operating expenses**\n**Operating income**\n\nOther income (expense): \nInterest expense \nNet gain (loss) on investments (Note 3) \nNon-operating income (expense), net \n\n**$ (3,510)**\n**(443)**\n**390**\n**$ (3,563)**\n\nIncome (loss) before income taxes, cumulative effect of a \n change in accounting and discontinued operations **$ 15,065**\n\nIncome tax provision (benefit) (Note 6) \n\n**5,304**\n**9,761** Income (loss) from continuing operations **$**\n\nDiscontinued operations, net of income taxes (Note 2) \nCumulative effect of a change in accounting, \n net of income taxes (Note 1) \n\n7,412 \n\n**Net income**\n\n$ (4,195) \n(10,004) \n(141) \n$ (14,340) \n\n$ (5,002) \n\n(2,109) \n$ (2,893) \n\n**22,389**\n\n**(76)**\n**$ 32,074** **-**\n$ 4,519 \n\nIncome (loss) per share: \n\nBasic Net income (loss) per share: \n\nContinuing operations \nDiscontinued operations \nCumulative effect of a change in accounting, net of \n income taxes \n\n$ \n\n(0.38) \n0.98 \n\n**$**\n\n**1.29**\n**2.95**\n\n- \n0.60 **(0.01)**\n**4.23** $ **$**\n\nWeighted average shares outstanding, basic 7,542 **7,577**\n\nDiluted Net income (loss) per share: \n\nContinuing operations \nDiscontinued operations \nCumulative effect of a change in accounting, net \n\n$ \n\n(0.38) \n0.98 \n- \n- \n0.60 \n\n**$**\n\n**1.28**\n**2.94**\n**(0.01)**\n**4.22** $ **$**\n\nWeighted average shares, diluted 7,542 **7,608**\n\nSee accompanying notes to consolidated financial statements.", + "page_start": 15, + "page_end": 15, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**2003 Financial Statements**\n\n\n\n**INDEPENDENT AUDITOR’S REPORT**\n\n\n\nThe Board of Directors and Shareholders \nShenandoah Telecommunications Company: \n\nWe have audited the accompanying consolidated balance sheets of Shenandoah Telecommunications Company and \nsubsidiaries (the Company), as of December 31, 2003, 2002, and 2001, and the related consolidated statements of \nincome, shareholders’ equity and comprehensive income, and cash flows for the years then ended. These consolidated \nfinancial statements are the responsibility of the Company’s management. Our responsibility is to express an opinion \non these consolidated financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. \nThose standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial \nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the \namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used \nand significant estimates made by management, as well as evaluating the overall financial statement presentation. We \nbelieve that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the \nfinancial position of Shenandoah Telecommunications Company and subsidiaries as of December 31, 2003, 2002 and \n2001, and the results of their operations and their cash flows for the years then ended, in conformity with accounting \nprinciples generally accepted in the United States of America. \n\nAs discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for \ngoodwill in 2002. As further discussed in note 1 to the consolidated financial statements, the Company changed its \nmethod of accounting for asset retirement obligations in 2003.", + "page_start": 12, + "page_end": 12, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "The Company provided for income taxes of $5.3 million in 2003, which is an effective tax rate of 35.2% due to the \neffect of state tax apportionment rules and reduction in the liability for tax exposures. On a normalized basis the \nCompany would have recorded taxes at an effective tax rate of approximately 39%. Last year’s effective tax rate was \n42.2% due to the impact of net operating loss carry forwards generated in several states with higher tax rates. The \nCompany currently operates in four states. Due to apportionment rules and geographic operations of subsidiaries \nwhere the Company’s profits and losses arise, the Company is generating profits in states with lower tax rates, while \ngenerating losses in states with higher tax rates. The Company cautions readers that the current effective tax rate may \nnot be the same rate at which tax benefits or tax expenses are recorded in the future. The Company’s state \napportionments, profits and losses and state tax rates may change, therefore changing the effective rate at which taxes \nare provided for or at which tax benefits accrue. In the near term, under existing operating results and current tax rates, \nthe Company anticipates a normalized effective tax rate will be approximately 39%. \n\nNet income from continuing operations was $9.8 million, an increase of $12.7 million from 2002. The results are \nprimarily made up of the improvement in the PCS operation and the one-time impact of the losses on the sale of \nVeriSign stock in 2002. \n\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 48", + "page_start": 49, + "page_end": 49, + "source_file": "NASDAQ_SHEN_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_SHEN_2003.pdf", + "query": "What was the main reason of the decrease of customer base of the Shenandoah and Virginia 10 RSA partnership ?", + "target_page": 51, + "target_passage": "he decline was the result of competition with digital technologies and increased competition from national carriers in the area", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Significant Transactions**\n\nThe Company had several significant transactions during 2003. The largest was the sale of its 66% interest in the \nVirginia 10 RSA cellular operation, as described above. The Company originally entered into the agreement with \nVerizon Wireless in November 2002. The Company was the general partner of the limited partnership which operated \nan analog cellular network in the six-county area of Northwestern Virginia, including Clarke, Frederick, Page, \nRappahannock, Shenandoah, and Warren counties, and the city of Winchester. The sales price was $37.0 million plus \nthe Company’s 66% share of the partnership’s working capital, which was approximately $1.7 million. The Company \nwas required to do a working capital true up following the closing, from which the Company recorded a charge for $23 \nthousand after taxes. In the fourth quarter the Company recorded an additional charge for taxes of $0.2 million to \nreflect the consolidated effective tax rate based on the final operating results for the year. \n\nThe sale of this business is reflected in the discontinued operations section of the income statement along with the \nresults of operations for the two months of 2003 that the operation remained a part of the Company.", + "page_start": 41, + "page_end": 41, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "The $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be \nreleased after February 28, 2005. There are no known claims that have been filed against the amount in escrow. \n\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the \nyear. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of \nthe second phase of renovations on the Shentel Center in Edinburg, Virginia. \n\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving \nunconsolidated, limited purpose entities or commodity contracts. \n\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for \nadditional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and \nreplacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers \nbuilding renovations, vehicles, office equipment, and other miscellaneous capital needs. \n\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures \nand the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the \ntax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal \ntax payments will be due based on anticipated profits expected to be generated in the operation. \n\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of \ncontinuing operations in 2003, although there are events outside the control of the Company that could have an adverse \nimpact on cash flows from operations. The events that could adversely impact operating cash flow results include, but \nare not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies, \navailability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon \nSprint’s ability to execute certain functions such as billing, customer care, and collections; their ability to develop and \nimplement successful marketing programs and new products and services; and their ability to effectively and \neconomically manage other operating activities under the Company's agreements with Sprint. Additionally, the \nCompany's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from \noperations. These items individually and/or collectively could impact the Company’s results. \n\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working \ncapital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand, \noperating cash flow, and amounts expected to be available under the Company’s existing financing facilities and its \nanticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to \ngenerate additional cash for its capital needs as market conditions allow. \n\n**Recently Issued Accounting Standards**", + "page_start": 54, + "page_end": 54, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS**\n\n\nis the intent of the Company to evaluate whether to hold or sell parts or all of each investment on an individual basis. \nAt December 31, 2003, the Company had external investments totaling $7.5 million. \n\nIn 2004, the Company anticipates taking advantage of a conversion feature on its Rural Telephone Bank stock. The \nCompany will convert a portion of its holdings into a different class of stock that will pay cash dividends each year. \nThe bank declares a dividend rate that varies, each year. The range of the dividend has been between 4.2% and 5.65% \nover the last 5 years. The rate in the two most recent years was 4.2%. This transaction is estimated to provide the \nCompany with approximately $0.3 million in dividend income each year, based on the 2003 dividend rate of 4.2% and \nassuming we had converted the stock at the beginning of 2003. \n\n**Financial Condition, Liquidity and Capital Resources**\n\nThe Company has four principal sources of funds available to meet the financing needs of its operations, capital \nprojects, debt service, investments and potential dividends. These sources include cash flows from operations, cash \nand cash equivalents, the liquidation of investments and borrowings. Management routinely considers the alternatives \navailable to determine what mix of sources are best suited for the long-term benefit of the Company. \n\nDuring the 2003 year, with the closing of the sale of the Virginia 10 RSA Limited partnership interest, the Company \nevaluated its capital requirements, and as a result eliminated its $20.0 million revolving line of credit with CoBank in May \n2003. The Company had paid off the outstanding balance in early 2003, and did not borrow on it during the remaining time \nthe facility was in place. In light of the $27.9 million balance in cash equivalent investments, management determined \nadditional debt capacity is not necessary for the near-term. \n\nThe term debt loan agreements with CoBank have three financial covenants. These are measured on a trailing 12-month \nbasis and are calculated on continuing operations. The first of the covenants is the total leverage ratio, which is total debt to \noperating cash flow. This ratio must remain below 3.5, and as of December 31, 2003 it was 1.2. The second measure is \nequity to total assets, which must be 35% or higher. At December 31, 2003 the ratio was 57.3%. The third measure is the \ndebt service coverage ratio, which is operating cash flow to scheduled debt service, which must exceed 2.0. At December 31, \n2003 this measure was 4.3. Management believes the Company will meet these covenant measures for the coming year. The \nCompany has pledged all of its affiliates capital stock as collateral for the CoBank loans. \n\nThe Company’s covenants on the RUS/RTB debt require the pledge of all current and future assets of the Telephone \nsubsidiary until the debt is retired. \n\nAnother external source of funding is a $0.5 million unsecured, variable rate revolving line of credit with SunTrust \nBank. This facility is in place to allow the Company to better manage its daily cash balances. The facility expires \nMay 31, 2004. Management anticipates renewing this facility with SunTrust Bank under similar terms and conditions. \nAt December 31, 2003 there were no balances outstanding under this facility. \n\nDue to make-whole provisions in the Company’s debt agreements it is currently uneconomical for the Company to \nprepay any debt. \n\nThe Company is obligated to make future payments under various contracts it has entered into, including amounts \npursuant to its various long-term debt facilities, and non-cancelable operating lease agreements for retail space, tower \nspace and cell sites. Expected future minimum contractual cash obligations for the next five years and in the aggregate \nat December 30, 2003, are as follows:", + "page_start": 53, + "page_end": 53, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Note 1. Summary of Significant Accounting Policies (Continued)**\n\n***Reclassifications:***Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to \nconform with the 2003 presentation, with no effect on net income or shareholders' equity. \n\n**Note 2. Discontinued Operations**\n\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10 \nRSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place \nat the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million \nheld in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post \nclosing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand \ncharge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues \nthat may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003 \nconsolidated balance sheet. The Company’s gain on the transaction was approximately $35 million. Post closing, the \nCompany provided transition services to Verizon for a period of approximately three months, with compensation for \nthose services being approximately $40 thousand per month during the transition period. \n\n| ation have been classified as held for sale in the consolidated 31, 2002 and 2001: | | classified as held for sale in the consolidated 001: | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| 2002 200220022001 22000011 (in thousands) (in th(ionu ts(haionnu dtshsa)onudssa)nds) $ 2,608 $ $$ 2,60$28 ,620,8759 $$ 2,759 309 309309214 214 2,631 2,6321,633,1272 3,272 $ 5,548 $ $$ 5,54$58 ,564,8245 $$ 6,245 $ 381 $ $$ 38$1381499 $$ 499 161 161161236 236 1,666 1,6616,616,6838 1,838 $ 2,208 $ $$ 2,20$28 ,220,8573 $$ 2,573 | | 2002 200220022001 22000011 | | | | | | | | | | | | | | | |\n| | | 2002 | | | | | | | | | | | | | | | |\n| | (in thousands $ 2,608 $ 309 2,631 | | s | ands | | ) (in th( | | | ionu ts(haionnu dtshsa)onudssa)nds) | | | | | | | | |\n| | | | | | $ | $$ | | | | 59 14 72 | | | $$ | | | | |\n| | | | | | | | | | | | | | | | | | |\n| | $ 5,548 | | $ | | | $$ | | 5,54$58 ,564,82 | | 45 | | | | $$ | 6,245 | | |\n| | $ 381 $ 161 1,666 | | | | | $$ 38$13814 1611612 1,6616,616,68 | | | | 99 36 38 | | | | $$ 499 236 1,838 | | | |\n| | $ 2,208 | | $ | | | $$ | | 2,20$28 ,220,85 | | 73 | | | | $$ 2,573 | | | |\n\n\n| $ | $$ |\n|---|---|\n| $ | $$ |\n\n\nAssets \n\nAccounts receivable \nOther current assets \nProperty, plant and equipment, (net) \n\nTotal assets \n\nLiabilities and minority interest \n\n| | $$ |\n|---|---|\n| | $$ |\n\n\nAccounts payable and accrued expenses \nDeferred revenue and deposits \nMinority interest \n\nTotal liabilities and minority interest \n\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued \noperations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the \nsale of the discontinued operations are summarized as follows: \n\n| | | 20023003 20022002 20200101 |\n|---|---|---|\n| | | 20023003 20022002 20200101 |\n| | | $ (in th$ ousand5 s) $ |\n| | | $ 3,056 $ 20,895 $ 20,012 453 3,618 4,674 - 3 16 $ 2,603 $ 17,280 $ 15,354 (773) (5,200) (4,526) 34,973 - - (14,414) (4,668) (4,150) $ 22,389 $ 7,412 $ 6,678 |", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**NEW TELEPHONE DIRECTORY FOR THE NORTHERN SHENANDOAH VALLEY**\n\n\n\nThe Shenandoah Telephone Directory has undergone many changes \n\nsince we published our first directory in 1906, as The Farmers’ Mutual \nTelephone System of Shenandoah County. In 1906, the entire phone number \nlistings were on 15 pages. The first Company directory to include yellow \npages was distributed in 1946. That year local businesses invested in a new \nway to reach their potential customers. \n\n\n\nThe goal has always been to provide a useful tool for our customers. \nThe pace of change has quickened in the last few years. In 2000, for the \nfirst time, Shenandoah Telephone’s directory expanded from telephone \nlistings for only Shenandoah County and Bergton, to include business and \nresidential listings for Rockingham, Frederick, Clarke, and Warren \ncounties. In 2001, Page County listings were added. The name of our \ndirectory was changed to ShentelPages in 2002 to reflect the expanded \nlisting area. Although we included additional information in our \ndirectory, we continued to only furnish it to our local telephone \ncustomers. \n\nEarly in 2003, we conducted a customer survey to measure potential \npublic acceptance of a regional phone directory for the six-county area. The \nfindings of the survey indicated almost 60% would likely use an expanded six-county directory, with a \nfourth of all respondents saying they would use a regional directory more often than the directory they \ncurrently had in their home or business. Based on these positive results, Shentel launched an expanded \ndirectory to meet the demand. \n\nAn extensive public-awareness campaign was launched on television and radio, in a variety of daily and \n\nweekly newspapers and at regional county fairs. The campaign helped build anticipation for the directory \nand increase awareness of yellow page advertising opportunities. As a result of the added value of the \nexpanded distribution area, ShentelPages’ yellow page advertising revenues increased 21%, to $1.8 million \nfor the 2004 book. \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nIn December 2003, Shentel mailed out 120,000 ShentelPages \ndirectories to every home and business in Shenandoah, \nRockingham, Frederick, Page, Clarke and Warren counties. \nShentelPages now has a potential audience that exceeds 300,000 \nreaders. The 2004 directory continues to be an important local \nresource. In addition to telephone listings, it contains both \ngeneral and county-specific information - from ZIP codes to area \ncodes, and from international dialing instructions to the listing of \nregional interstate exits. \n\nThrough ShentelPages, businesses have a new way of \nreaching thousands more potential customers within the six- \ncounty area to sell their products and services. ShentelPages is \nbundled with our electronic version, ShentelPages.com. This \nservice allows area residents to use their computer and the \nInternet to let their fingers do the walking. \n\nJust like our first book in 1906, the 2004 ShentelPages provides area residents with a quick and easy way \n\nto stay in touch. \n\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 8", + "page_start": 9, + "page_end": 9, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHAREHOLDER INFORMATION**\n\n\n\n**OUR BUSINESS**\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides \nvarious telecommunications services through its operating subsidiaries. These services include: wireline telephone \nservice, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in \nVirginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; \nonline information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of \nVirginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern \nShenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; \nwireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, \nVirginia to the Harrisburg, York and Altoona, Pennsylvania markets. \n\n**ANNUAL MEETING**\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The \nmeeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company’s offices at the Shentel \nCenter, 500 Mill Road, Edinburg, Virginia. \n\n**FORMS 10-K, 10-Q, and 8-K**\n\n**The Company files periodic reports with the Securities and Exchange Commission. The Company's Annual**\n**Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any**\n**amendments to these reports, are available to shareholders through the Company’s website, www.shentel.com.**\n**This website also has recent news releases and other information potentially of interest to shareholders.**\n\n**A copy of the Company’s Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by**\n**writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia**\n**22824, Attention: Secretary.**", + "page_start": 58, + "page_end": 58, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n**CONSOLIDATED STATEMENTS OF CASH FLOWS**\n\n\n\n$ \n\n- \n(4,393) \n(2,697) \n- \n (2,794) \n296 $ 24,641 \n(23,692) \n 6,200 \n (175) \n(2,635) \n133 \n\n2002 **2003**\n\nCash Flows From Financing Activities \n\n**$**\n\n**(8,697)**\n**(3,503)**\n**-**\n**(2,960)**\n**487**\n\n| | | |\n|---|---|---|\n| | | |\n| | | |\n| | Net cash provided by (used in) financing | |\n| | activities | |\n\n\n| | $$((1144,,667733)) |\n|---|---|\n| | $$((1144,,667733)) |\n\n\n| cash used in continuing operations cash provided by discontinued operations | | |\n|---|---|---|\n| | | |\n| | Net increase (decrease) in cash and cash | |\n| | equivalents | |\n| | | |\n\n\n**$ 3,477**\n**23,010**\n\n$ 172 **$ 26,487**\n\nCash and cash equivalents: \n\nBeginning \nEnding 2,037 \n$ 2,209 **2,209**\n**$ 28,696**\n\n| lemental Disclosures of Cash Flow Information ash payments for: | | |\n|---|---|---|\n| Interest, net of capitalized interest of $26 in 2003; | | |\n| $93 in 2002, and $134 in 2001 | | |\n| | | |\n| Income taxes | | |\n| | | |\n\n\n$ 4,274 **$ 3,577**\n\n$ 1,045 **$ 15,569**\n\nNon-cash transactions: \n\nDuring 2002, the Company issued 4,654 shares of Company stock to employees valued at $0.1 million \nin recognition of the Company’s 100th year anniversary. \n\nIn December 2001, the Company received 310,158 shares of VeriSign Inc. common stock in exchange \nfor 333,504 shares of Illuminet Holdings, Inc. stock as a result of the merger of the two entities. \n\nThe Company completed the sale of its GSM network equipment in January 2001, for approximately \n$6.5 million of which approximately $4.9 million was escrowed as part of a like-kind exchange \ntransaction. The escrowed funds were disbursed as new equipment was received during the first six \nmonths of 2001.", + "page_start": 18, + "page_end": 18, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Note 1. Summary of Significant Accounting Policies**\n\n***Description of business:***Shenandoah Telecommunications Company and subsidiaries (the Company) provides \ntelephone service, wireless personal communications service (PCS) under the Sprint brand name, cable television, \nunregulated communications equipment sales and services, Internet access, and paging services. In addition, the \nCompany leases towers and operates and maintains an interstate fiber optic network. The Company's operations are \nlocated in the four state region surrounding the Northern Shenandoah Valley of Virginia. Pursuant to a management \nagreement with Sprint Communications Company and its related parties (collectively, “Sprint”), the Company is the \nexclusive PCS Affiliate of Sprint providing wireless mobility communications network products and services in the \ngeographic area extending from Altoona, Harrisburg and York, Pennsylvania, south through Western Maryland, and \nthe panhandle of West Virginia, to Harrisonburg, Virginia. The Company is licensed to use the Sprint brand name in \nthis territory, and operates its network under the Sprint radio spectrum license (Note 7). A summary of the Company's \nsignificant accounting policies follows: \n\n***Stock split:***All share and per share information reflect the two for one stock split announced in October 2003, to \nshareholders of record as of the close of business on January 30, 2004. The additional shares were distributed on \nFebruary 20, 2004. The effective date of the split is February 23, 2004. All previously reported share and per share \ndata included herein are retroactively adjusted to reflect the split. \n\n***Principles of consolidation:***The consolidated financial statements include the accounts of all wholly owned \nsubsidiaries and other entities where effective control is exercised. All significant intercompany balances and \ntransactions have been eliminated in consolidation. \n\n***Use of estimates:***Management of the Company has made a number of estimates and assumptions related to the \nreporting of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the consolidated \nfinancial statements and the reported amounts of revenues and expenses during the reporting periods. Management \nreviews its estimates, including those related to recoverability and useful lives of assets as well as liabilities for income \ntaxes and pension benefits. Changes in facts and circumstances may result in revised estimates and actual results could \ndiffer from those reported estimates. \n\n***Cash and cash equivalents:***The Company considers all temporary cash investments purchased with a maturity of \nthree months or less to be cash equivalents. The Company places its temporary cash investments with high credit \nquality financial institutions. At times, these investments may be in excess of FDIC insurance limits. Cash and cash \nequivalents were $28.7million, $2.2 million, and $2.0 million at December 31, 2003, 2002 and 2001, respectively.", + "page_start": 19, + "page_end": 19, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on \nthe products and services each provides. Each segment is managed and evaluated separately because of differing \ntechnologies and marketing strategies. \n\nThe reporting segments and the nature of their activities are as follows: \n\nShenandoah Telecommunications Company (Holding) \nHolding company, which invests in both affiliated \nand non-affiliated companies. \n\nShenandoah Telephone Company (Telephone) \n\nProvides both regulated and unregulated telephone \nservices and leases fiber optic facilities primarily \nthroughout the Northern Shenandoah Valley. \n\nShenandoah Cable Television Company (CATV) \nProvides cable television service in Shenandoah \nCounty. \n\nShenTel Service Company (ShenTel) \n\nProvides Internet access to a multi-state region \nsurrounding the Northern Shenandoah Valley, hosts \nTravel 511 for Virginia, and sells and services \ntelecommunication equipment. \n\nShenandoah Long Distance Company (Long Distance) Provides long distance services. \n\nShenandoah Network Company (Network) Leases interstate fiber optic facilities. \n\nShenTel Communications Company (Shen Comm) Provides DSL services as a CLEC operation. \n\nShenandoah Personal Communications Company (PCS) \n\nAs a PCS Affiliate of Sprint, provides digital wireless \nservice to a portion of a four-state area covering the \nregion from Harrisburg, York and Altoona, \nPennsylvania, to Harrisonburg, Virginia. \n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting \npolicies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties. \n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows: \n\nConsolidated \nTotals Year \n\nTelephone \n*(in thousands)*\n**$ 65**\n$ 45 \n$104 **2003**\n2002 \n2001 **$ (441)**\n$ (822) \n$ (1,218) **$ (376)**\n$ (777) \n$ (1,114)", + "page_start": 36, + "page_end": 36, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "The Company participates in the telecommunications industry, which requires substantial investment in fixed assets or \nplant. This significant capital requirement may preclude profitability during the initial years of operation. The strategy \nof the Company is to grow and diversify the business by adding services and geographic areas that can leverage the \nexisting plant, but to do so within the opportunities and constraints presented by the industry. For many years the \nCompany focused on reducing reliance on the regulated telephone operation, which up until 1981 was the primary \nbusiness within the Company. This initial diversification was concentrated in other wireline businesses, such as the \ncable television and regional fiber facility businesses, but in 1990 the Company made its first significant investment in \nthe wireless sector through its former investment in the Virginia 10 RSA Limited partnership. By 1998, revenues of \nthe regulated telephone operation had decreased to 59.2% of total revenues. In that same year more than 76.6% of the \nCompany’s total revenue was generated by wireline operations, and initiatives were already underway to make wireless \na more significant contributor to total revenues. \n\nDuring the 1990’s significant investments were made in the cellular and PCS (wireless) businesses. The VA 10 RSA \ncellular operation, in which the Company held a 66% interest and was the general partner, experienced rapid revenue \ngrowth and excellent margins in the late 1990’s. The cellular operation covered only six counties, and became \nincreasingly dependent on roaming revenues. Management believed the roaming revenues and associated margins \nwould be unsustainable as other wireless providers increasingly offered nationally-branded services with significantly \nreduced usage charges. To position it to participate in the newer, more advanced, digital wireless services, in 1995 the \nCompany entered the PCS business through an affiliation with American Personal Communications (APC), initiating \nservice along the Interstate 81 corridor from Harrisonburg, Virginia to Chambersburg, Pennsylvania. This territory was \na very close match to the Company’s fiber network, thereby providing economic integration that might not be available \nto other wireless carriers. In 1999, the Company entered a new affiliation arrangement with Sprint, the successor to \nAPC (which introduced the Company to a nationally-branded wireless service) and expanded the PCS footprint further \ninto Central Pennsylvania. The Company’s combined capital investment in 2000 and 2001 in the PCS operation was \n$45.1 million.", + "page_start": 40, + "page_end": 40, + "source_file": "NASDAQ_SHEN_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "maiis-user-manual.pdf", + "query": "As a product manager, how can I reject an inventory in NAIIS ?", + "target_page": 38, + "target_passage": "Log in as PM. Click on “View Inventories Progress” under sub menu “Submission Management”. The “View Inventories Progress” screen appears. Select the appropriate inventory by clicking the Inventory name under column “Name” Press the “Reject” button ", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**10.5.2 Rejection of an inventory**\n\n1. Log in as NFP. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 66). \n5. Press the “Send for Rejection” button (figure 66, b). \n\nOnce the “Send for Rejection” button was pressed, the status of the selected inventory changes to \n“awaiting_rejection” (figure 67, a). \n\n***Note: A notification email will be sent to the PM that the inventory has been rejected. Therefore, the PM \nwill be able to reject the submission. Proceed to section 10.4.2. \n\n***Figure 66. Work on Inventories screen – Rejection of an inventory - Status = awaiting_approval***\n\n\n\n***Figure 67. Work on Inventories screen – Rejection of an inventory - Status = rejected_approval***", + "page_start": 40, + "page_end": 40, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**10.4.1 Send for approval of an Inventory**\n\n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 60, a). \n5. Press the “Send for Approval” button to send it to NFP for his/her review and approval of the inventory \n(figure 60, b). \n\n***Note: A notification email will be sent to the PM, once the “Send for Approval” has been pressed. And the \nstatus changed to “Awaiting_approval” (figure 61). \n\n***Figure 60. Work on Inventories screen – Send for Approval - Status = check***\n\n\n\n***Figure 61. Work on Inventories screen – Status = awaiting_approval***\n\n\n\n**10.4.2 Rejection of an Inventory**\n\n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 62, a). \n5. Press the “Reject” button (figure 62, b). \n\n***Note: A notification email will be sent to the PM, once the “Reject” button has been pressed. And the \nstatus changed to “Awaiting_rejection_check” (figure 63).", + "page_start": 37, + "page_end": 37, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**10.5 Approval or Rejection of an inventory (NFP)**\n\nThis section describes how the NFP approves or rejects an inventory after being sent for approval by the PM \n(See section 10.4). \n\n**10.5.1 Approval of an inventory**\n\n1. Log in as NFP. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 64). \n5. Press the “Approve” button (figure 64, b). \n\nOnce the “Approve” button was pressed, the status of the selected inventory changes to “approved” (figure \n65, b). \n\n***Note: A notification email will be sent to the PM that the inventory has been approved. Therefore, the PM \nmay proceed to selecting the tables for preparing the official submission (See section 10.6). \n\n***Figure 64. Work on Inventories screen – Approve an inventory - Status = awaiting_approval***", + "page_start": 39, + "page_end": 39, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "10.1 Workflow .......................................................................................................................... 35 \n\n10.2 Start of inventory/submission (NFP or PM) ..................................................................... 35 \n\n10.3 Send for checking (PM) .................................................................................................... 37 \n\n10.4 Send for approval/rejection of an Inventory (PM) ............................................................ 38 \n\n10.4.1 Send for approval of an Inventory .............................................................................. 38 \n\n10.4.2 Rejection of an Inventory ........................................................................................... 38 \n\n10.5 Approval or Rejection of an inventory (NFP) ................................................................... 40 \n\n10.5.1 Approval of an inventory ........................................................................................... 40 \n\n10.5.2 Rejection of an inventory ........................................................................................... 41 \n\n10.6 Submit inventory (PM) ...................................................................................................... 42 \n\n10.6.1 Submit select tables for preparing the general submission ........................................ 42 \n\nGlossary of terms and abbreviations ............................................................................................. 44 \n\nAnnex 1: Non-Annex I (NAI) Parties .......................................................................................... 45 \n\nAnnex 2: Fuel categories .............................................................................................................. 47 \n\nAnnex 3: Global Warming Potentials (GWPs) ............................................................................ 48 \n\nAnnex 4: Default values ............................................................................................................... 49", + "page_start": 2, + "page_end": 2, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "Once the “Generate Official Submission” button has been pressed the “Submit Inventory” initial screen for selecting \nthe tables appears (figure 70). \n\n8. Select or deselect by clicking the appropriate year(s) under “Inventory Years” box (figure 70, c) or the sector \ngrids under the “Table” box (figure 70, d) to generate the official submission. \n9. Press the “Submit” button (figure 70, e). An official submission will be generated in the NAIIS system. \n\n***Figure 70. Submit – select tables and grids for the general submission***\n\n*NAIIS-User-Manual.Docx* Page 43 10/02/2013", + "page_start": 42, + "page_end": 42, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**10 Submission management**\n\n**10.1 Workflow**\n\nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting \nsubmission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating \nto the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG \ninventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web \napplication (figure 52). \n\n**10.2 Start of inventory/submission (NFP or PM)**\n\nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year \nidentified will be made available in the new inventory/submission. \n\nThese are the steps to start a new inventory: \n\n1. Click on “View Inventories Progress” under sub menu “Submission Management” (figure 53). \n\n***Figure 53. View Inventories Progress sub menu***\n\n\n\n2. The “View Inventories Progress” screen appears (figure 54). \n3. Select the appropriate inventory by clicking the box under column “Working Inventory” (figure 54, a). \n\n***Note: The selected appropriate inventory should be in status “created” (figure 54, b)", + "page_start": 34, + "page_end": 34, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "***Figure 54. View Inventories Progress screen***\n\n\n\n***Figure 55. Work on Inventories sub menu***\n\n\n\n5. Click the appropriate Inventory year on “Work on Inventories” under “Submission” (figure 56, a). \n6. Press the “Start Inventory” button to start the inventory (figure 56, b). Once pressed, the status changes to \n“started” (figure 57). \n\n***Once the “Start Inventory” button has been pressed by the NFP or PM, a notification email will be sent to all \nSE’s with the information that a new inventory was created. SE’s and PM’s can start entering their data into the \nNAIIS software. More details on how to do the data entry please see section 4.1 above. \n\n***Figure 56. Work on Inventories screen***\n\n\n\n***Figure 57. Work on Inventories screen – Status = Started***", + "page_start": 35, + "page_end": 35, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**10.6 Submit inventory (PM)**\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after \nbeing approved by the NFP (See section 10.5). \n\n**10.6.1 Submit select tables for preparing the general submission**\n\n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the box under column “Working inventory” (figure 68, a). \n***Note: The selected inventory year to be submitted should be in status “approved” (figure 68, b). \n5. Click on “Work on Inventories” under Submission Management (figure 68, c). \nThis opens the Submit Inventory initial screen (figure 69). \n\n6. Click the inventory year to be submitted (figure 69, a). \n7. Press the “Generate Official Submission” button (figure 69, c). \n\n***Figure 68. View Inventories Progress screen – select inventory for the preparation for the general submission***", + "page_start": 41, + "page_end": 41, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "***3.2.2.2 Add a new GHG inventory year or edit general properties/sectors (only NFP and***\n***PM’s)***\n\n Log in as NFP or PM. \n Click on “Work on Inventories” under Submission Management (figure 10). \n\n***Figure 10: Sub menu “Work on Inventories”***\n\nOnce “Work on Inventories” has been clicked, the initial screen will be displayed, which shows the following boxes \n(figure 11): \n\na. Existing Inventory (with all options) \nb. General properties – include the name, submission year, creator, creation date, status, updater and submission \n\ndate \nc. Sectors \nd. Inventory years \n\n***Figure 11. Initial screen of “Work on Inventories”***\n\nFollow the steps to add/remove an inventory year: \n\n Click on the inventory year (figure 12a) \n Select the inventory year under General properties (figure 12b) \n Select or deselect the appropriate Sectors (figure 12c) \n To**add**or**remove**an inventory year, select or deselect the relevant year under Inventory Years box (figure 12d)", + "page_start": 9, + "page_end": 9, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "***Figure 62. Work on Inventories screen –Reject - Status = check***\n\n\n\n***Figure 63. Work on Inventories screen – Propose Rejection - Status = awaiting_rejection_check***", + "page_start": 38, + "page_end": 38, + "source_file": "maiis-user-manual.pdf" + } + ] + }, + { + "references": { + "source_file": "maiis-user-manual.pdf", + "query": "What is the global warming potential of Perfluorohexane ?", + "target_page": 48, + "target_passage": "7,400", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Annex 3: Global Warming Potentials (GWPs)**\n\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n|---|---|---|\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n| Carbon dioxide | CO 2 | 1 |\n| Methane | CH 4 | 21 |\n| Nitrous oxide | N O 2 | 310 |\n| HFC-23 | CHF 3 | 11,700 |\n| HFC-32 | CH F 2 2 | 650 |\n| HFC-41 | CH F 3 | 150 |\n| HFC-43-10mee | C H F 5 2 10 | 1,300 |\n| HFC-125 | C HF 2 5 | 2,800 |\n| HFC-134 | C H F 2 2 4 | 1,000 |\n| HFC-134a | CH FCF 2 3 | 1,300 |\n| HFC-152a | C H F 2 4 2 | 140 |\n| HFC-143 | C H F 2 3 3 | 300 |\n| HFC-143a | CF CH 3 3 | 3,800 |\n| HFC-227ea | C HF 3 7 | 2,900 |\n| HFC-236fa | C H F 3 2 6 | 6,300 |\n| HFC-254ca | C H F 3 3 5 | 560 |\n| Perfluoromethane | CF 4 | 6,500 |\n| Perfluroethane | C F 2 6 | 9,200 |\n| Perfluoropropape | C F 3 8 | 7,000 |\n| Perfluorobutane | C F 2 10 | 7,000 |\n| Perfluorocyclobutane | c-c F 4 8 | 8,700 |\n| Perfluoropentane | C F 5 12 | 7,500 |\n| Perfluorohexane | C F 6 14 | 7,400 |\n| Sulphur hexafluoride | SF 6 | 23,900 |\n\n\n*Source: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical*\n*Summary of the Working Group I Report, page 22.*\n\n*NAIIS-User-Manual.Docx* Page 48 07/08/2013", + "page_start": 47, + "page_end": 47, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "land surface sees an increase in annual daily maximum temperature which is similar to the global \nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially \nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By \ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases \nin annual daily maximum temperature larger than the global mean warming. Much of the mid- \nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more \nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the \nMIROC and ACCESS models. \n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase \nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global \nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days \nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "**11**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 4.**Simulated changes in the number of consecutive dry days relative to 1981–2010, at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\nGFDL- \nESM2M \n2.8 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.9 MIRC-ESM- \nCHEM \n2.4 ensemble \nmean \n2.6 ACCESS1-0 \n2.8 2.5 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\n**Table 5.**Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n2.1 \n\n20.1 \n−3.0 \n3.5 \n\n24.3 \n\n24.9 \n−3.4 \n6.9 29.0 \n−5.7 \n6.8 23.5 \n−2.0 \n6.0 25.0 \n−2.9 \n5.9 \n\n0.9 \n\n5.4 \n\n0.76 0.89 n.a. 0.38 0.38 0.61 \n\n0.83 0.82 n.a. 0.75 0.73 0.78 \n\n2.1 3.4 5.0 3.0 5.3 4.0 \n\n2.4 \n−2.0 \n\n6.5 8.1 4.4 8.6 5.8 \n\n3.8 11.2 8.0 9.4 5.9", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "**No.**\n\n23 \n24 \n25 \n26 \n27 \n28 \n29 \n30 \n31 \n32 \n33 \n34 \n35 \n36 \n37 \n38 \n39 \n40 \n41 \n42 \n43 \n44 \n45 \n46 \n47 \n48 \n49 \n50 \n\n**#Globalwarming**\n\n**Hashtag** **Centrality**\n\nsnow \nworld \ngop*\narctic \nwinter \np2*\ndrought \nepa*\nglobal \neco \nactonclimate \nhealth \nun*\nsolar \neconomy \nhoax \ncalifornia \npolitics \nindia \nchina \nplanet \nparisagreement*\nheatwave \nsummer \nnyc*\nnasa \nfuture \noil 0.161 \n0.157 \n0.156 \n0.150 \n0.145 \n0.144 \n0.142 \n0.141 \n0.137 \n0.137 \n0.136 \n0.134 \n0.133 \n0.132 \n0.131 \n0.131 \n0.130 \n0.129 \n0.128 \n0.127 \n0.127 \n0.126 \n0.125 \n0.121 \n0.118 \n0.118 \n0.118 \n0.117 \n\n**Table 1.**Cont. \n\n**#Climatechange**\n\n**Hashtag** **Centrality**\n\nco2 \nweather \nsolar \neconomy \nauspol \neducation \nnews \ndrought \ncoal \nsustainable \ncdnpoli \nsdgs \nchina \ngop \nfood \nun \ncop24*\nagriculture \nenvironmental \nfossilfuels \narctic \nepa*\nbiodiversity \nfuture \ncanada \nemissions \nobama \npolitics 0.174 \n0.169 \n0.165 \n0.164 \n0.163*\n0.155 \n0.152 \n0.150 \n0.147 \n0.147 \n0.144*\n0.143*\n0.143 \n0.143*\n0.141 \n0.141*\n0.140 \n0.138 \n0.136 \n0.134 \n0.134 \n0.133 \n0.132 \n0.131 \n0.128 \n0.128 \n0.127 \n0.125 \n\n4.2. Association Network Analysis \n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes \nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of \nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and \nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for \nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each \ncluster are also summarized and represented in the network depicted in Figure 2. \n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer \nto general facts about global climate issues, sharing words about the causes or effects concerning \nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes \nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the \nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as \nagriculture, biodiversity, education, and politics. \n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses \non the responsibility to tackle climate change, where several global action hashtags are included, such \nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in \nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the \ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including \n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed10.pdf" + }, + { + "text": "less environmentally critical processes (see for example, the principles of ‘green engineering’, like \nprevention instead of treatment of waste288). \n\n**Chemical technologies have ousted traditional materials and processes.**The United Nations’ \n(UNEP) ‘Global Chemical Outlook’289 documents a strong growth of chemical production between 1970 \nand 2010. The value of the global chemical production grew from US$171 billion in 1970, to \napproximately US$ 5.7 trillion in 2019, roughly 33 times more. 290 The EU had a share of $1.3 trillion or \nabout 20% of the global value. In less than two decades between 2000 and 2017, the capacity doubled \nand grew from 1,186 million tons to 2,276 million tons.291,292 \n\nThe reasons for this strong growth are: a) the**replacement of traditional materials**(wood, stone, iron \nand other metals, paper, natural fibres) by chemically based products (foremost plastics and multi- \nmaterial products); b)**the replacement of traditional technologies by chemical processes**(e.g. \ngluing instead of screwing of connections in metal, two-component paints); c) the development of**new**\n**products**(e.g. electronic devices, new types of batteries, nano); and d)**new applications**(e.g. specific \nfertilisers and pesticides). \n\n**Table 29: Production and consumption of chemicals by hazard class in the EU in 2019 – Eurostat293**\n\n\n\nAccording to the detailed register data of the Swedish Chemicals Agency, 10 million tonnes of synthetic \nchemicals were used in Sweden in 2019 that were classified as hazardous to health and the environment \n(not counting petrol). That equals approximately 1 ton per citizen of such chemicals. 294 \n\nThe ESENER 2019 survey provides information about**sectors that reported a particularly high**\n**prevalence of dangerous substances**. The percentage of enterprises reporting handling or exposure \nto chemicals are: 50% in ‘Manufacturing’, 49% in ‘Construction, waste management, and water and \nelectricity supply’, and 47% in ‘Human health and social work activities’. 295 \n\nThe prevention of risks from the use of chemicals at workplaces is done according to extensive \nregulatory frameworks. The most relevant pieces of legislation at the EU level are the OSH Framework \nDirective, the Chemical Agents Directive, and the Carcinogens and Mutagens Directive. Legislation in \nother policy areas contributes to the reduction of risks from dangerous substances in workplaces, such \nas EU legislation on chemical substances and mixtures (CLP, the regulation on classification, labelling \nand packaging of chemicals, its predecessor directive was already issued in 1967; REACH the \nregulation on Registration, Evaluation, Authorisation and Restriction of Chemicals from 2007; and also \nspecific EU and international legislation on specific aspects such as chemicals in waste, storage and \ntransport, in specific products like batteries and cars, in specific sectors like agriculture, in natural \nenvironments like in water and soil, and in consumer products like food, detergents and cosmetics).", + "page_start": 106, + "page_end": 106, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with \nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a \nrange of outcomes for future climate change, including high and low climate sensitivity, different \nbiases in baseline precipitation climatology, and different global patterns of precipitation change. \nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global \nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global \nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, \nwhich means that the results here may be sensitive to systematic errors arising from biases in the \npresent-day SST patterns. \n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 \nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol \nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse \ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed11.pdf" + }, + { + "text": "Research \n\n**Cite this article:**Betts RA et al. 2018 Changes \nin climate extremes, fresh water availability \nand vulnerability to food insecurity projected \nat 1.5°C and 2°C global warming with a \nhigher-resolution global climate model. Phil. \nTrans. R. Soc. A**376**: 20160452. \nhttp://dx.doi.org/10.1098/rsta.2016.0452 \n\nAccepted: 13 February 2018 \n\nOne contribution of 20 to a theme issue ‘The \nParis Agreement: understanding the physical \nand social challenges for a warming world of \n1.5°C above pre-industrial levels’. \n\n**Subject Areas:**\nclimatology, hydrology \n\n**Keywords:**\n1.5°C, Paris Agreement, 2°C, global climate \nimpacts, water resources, terrestrial \necosystems \n\n**Author for correspondence:**\nRichard A. Betts \ne-mail: richard.betts@metoffice.gov.uk \n\n\n\nChanges in climate extremes, \nfresh water availability and \nvulnerability to food insecurity \nprojected at 1.5°C and 2°C \nglobal warming with a \nhigher-resolution global \nclimate model \nRichard A. Betts1,2, Lorenzo Alfieri3, Catherine \nBradshaw2, John Caesar2, Luc Feyen3, Pierre \nFriedlingstein4, Laila Gohar2, Aristeidis Koutroulis5, \nKirsty Lewis2, Catherine Morfopoulos1, Lamprini \nPapadimitriou5,6, Katy J. Richardson2, Ioannis Tsanis5 \nand Klaus Wyser7 \n\n1College of Life and Environmental Sciences, University of Exeter, \nExeter EX4 4PS, UK \n2Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK \n3European Commission – Joint Research Centre, 21027 Ispra, Italy \n4College of Engineering, Mathematics and Physical Sciences, \nUniversity of Exeter, Exeter EX4 4QE, UK \n5School of Environmental Engineering, Technical University of \nCrete—TUC, Chania 73100, Greece \n6Cranfield Water Science Institute, Cranfield University, Cranfield \nMK43 0AL, UK \n7Rossby Centre, SMHI, 601 76 Norrköping, Sweden \n\nRAB, 0000-0002-4929-0307 \n\nextremes, \nin weather \nWe \nhydrological \nimpacts and vulnerability to food \ninsecurity at global warming of 1.5°C and 2°C relative \nto pre-industrial, using a new global atmospheric \ngeneral circulation model HadGEM3A-GA3.0 driven \nby patterns of sea-surface temperatures and sea \nthe 5th Coupled \nice from selected members of \n\nprojected changes \n\n2018 The Authors. Published by the Royal Society under the terms of the \nCreative Commons Attribution License http://creativecommons.org/licenses/ \nby/4.0/, which permits unrestricted use, provided the original author and \nsource are credited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed11.pdf" + }, + { + "text": "**9**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n –2 –1 0 1 \n2 \n°C \n3 4 5 6 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 2.**Simulated changes in annual daily maximum temperature relative to 1981–2010 at 2°C global warming, for individual \nHadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The \nlabels above each panel identify the driving CMIP5 model (or ensemble mean). \n\n**Table 4.**Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven \nby different sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data \nis applied to the HCVI calculation and JULES simulations. \n\n1.5°C \n2024 2.0°C \n2035 \n\ndriving SSTs \n\nIPSL-CM5A-LR \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nGFDL-ESM2M 2036 2051 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nHadGEM2-ES 2019 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nIPSL-CM5A-MR 2023 2036 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nMIROC-ESM-CHEM 2020 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \nACCESS1-0 2026 2040 \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed11.pdf" + }, + { + "text": "**15**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n–75 –50 –10 –1 \n0 \n% \n1 10 50 75 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n\n**Figure 9.**Changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under six climate simulations \nat 2°C global warming. (a) Ensemble mean and (b) percentage of models agreeing on increased flow. \n\n. \n. \n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows \nwhere changes in mean flows were small. Changes in high run-off show similar patterns and \nmagnitudes to those in mean run-off. \n\nThe simulated changes in both mean and low run-off flows show substantial differences \namong the six simulations (figures 10 and 11). In most basins examined here, the range of \noutcomes include both increases and decreases in mean and low flows for any particular basin, \nbut generally with the largest proportion simulating increases in both mean and low flows. In a \nfew cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed \nentirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the \nprojected flow increases in the Ganges for 2°C global warming ranging from approximately 30% \nto more than 110%. \n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, \nOrange, Danube and Guadiana basins where the range of projected extends more towards \ndecreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C \nglobal warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C \nglobal warming for these basins. \n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the \nNiger, the range of mean flow changes extended more towards increases whereas the range of \nlow flow changes extended more towards decreases. \n\n(b) Impacts at 1.5°C global warming compared to 2°C \n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and \nrun-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; \nfigures 12 and 13). The exceptions to these are mean and low run-off which each show one \ninstance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing \nlarger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two \nGWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed11.pdf" + }, + { + "text": "**The impact of 1.5 °C and 2.0 °C**\n**global warming on global maize**\n**production and trade**\n\n**OPEN**\n\n**Kuo Li1** ***, Jie Pan1, Wei Xiong2, Wei Xie3 & Tariq Ali3**\n\n**Climate change is becoming more and more remarkable which has an obvious impact on crop yields**\n**all over the world. Future climate scenario data was simulated by 5 climate models recommended**\n**by ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C**\n**and 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the**\n**world under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at**\n**national and global levels were simulated. The results showed that, the risk of maize yield reduction**\n**under 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were**\n**separately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize**\n**production is obvious in the top five countries and the main producing regions of the world, especially**\n**under the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under**\n**1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all**\n**countries to pay enough attention to the risk of maize yield and take actions of mitigation and**\n**adaptation to climate change.**\n\nIn the past hundred years, the global climate has experienced great changes1–4. According to the sixth assess- \nment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and \nalmost all regions in the world experienced surface warming5. Due to global warming, the extreme climate events \nbecome more and more frequent, and the ecological environment problems caused by climate change are more \nand more serious, which restrict the sustainable development of human society and health6–10. Global warming \nhas gradually changed from a scientific issue to a major social issue of common concern to governments and \npeople of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate \nchange reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated \nthat it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels \nand pursue efforts to limit the temperature increase to 1.5 °C above pre-industrial levels.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed9.pdf" + } + ] + }, + { + "references": { + "source_file": "maiis-user-manual.pdf", + "query": "How can I request access to NAIIS ?", + "target_page": 5, + "target_passage": "Requests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address naiisapp@unfccc.int.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "Press the ‘Enter key’ and the non-Annex I Greenhouse Gas Inventories web page appears. \n\nTo access the NAIIS application, click on the image NAIIS Web Application, the right hand side of the screen. (figure \n3, number 1) and the log-in page will be displayed. (figure 4) \n\n***Figure 3. UNFCCC non-Annex I Greenhouse Gas Inventories web page***\n\n\n\n***Figure 4. Log-in page of the NAIIS Web Application***", + "page_start": 6, + "page_end": 6, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "Once the “Generate Official Submission” button has been pressed the “Submit Inventory” initial screen for selecting \nthe tables appears (figure 70). \n\n8. Select or deselect by clicking the appropriate year(s) under “Inventory Years” box (figure 70, c) or the sector \ngrids under the “Table” box (figure 70, d) to generate the official submission. \n9. Press the “Submit” button (figure 70, e). An official submission will be generated in the NAIIS system. \n\n***Figure 70. Submit – select tables and grids for the general submission***\n\n*NAIIS-User-Manual.Docx* Page 43 10/02/2013", + "page_start": 42, + "page_end": 42, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**3 Getting started**\n\n**3.1 User Access, Roles and Privileges**\n\nThe users of the application are the members of the national team(s) of non-Annex I Parties involved in the \npreparation of their national GHG inventories, and each user is assigned a role. \n\nThe table below explains the different levels of the access rights and corresponding explanation for each role. It is \nimportant to note that the roles are not necessarily identical to a person’s title (e.g. National Focal Point) and that a \nperson can take on several roles (which may be necessary for some countries). \n\nThere are three types of access rights (roles) to the NAIIS application: \n\n| | | | | | |\n|---|---|---|---|---|---|\n| | | | | | |\n| | Type of access rights for specific roles | | | Process to gain access rights | |\n| | | | | | |\n| | | | | | |\n| | National Focal Point (NFP): Will be responsible for | | Parties that have not already requested and received access rights can obtain them by having their National Focal Point contact: naiisapp@unfccc.int (Note: Some Parties may have more than one individual acting as the NFP; however the system can accommodate only one account per Party). | | |\n| | identifying the members of the team and is the only | | | | |\n| | one who has the right to approve the submission of | | | | |\n| | any GHG inventory. | | | | |\n| | | | | | |\n| | NFPs will have the option to create, edit, update or | | | | |\n| | delete all of their country’s GHG data entries, and | | | | |\n| | grant access rights to the ‘Project Manager’ and | | | | |\n| | 'Sectoral Experts' for their country if they choose. | | | | |\n| | | | | | |\n| | | | | | |\n| | Project Manager (PM): Will have the right to | | Entities will be provided these rights by their NFP. If a Party decides to grant access to a PM, their NFP will be able to create such user account on the NAIIS application. | | |\n| | enter/edit data in all sectors, as well as to generate | | | | |\n| | an official submission to the UNFCCC, and grant | | | | |\n| | access rights to the 'Sectoral Experts' for their | | | | |\n| | country. | | | | |\n| | | | | | |\n| | | | | | |\n| Sectoral Experts (SE): Will have the right to enter/edit data in respective sector(s). | | | | Experts will be provided these rights by their NFP and PM. If | |\n| | | | | a Party decides to grant access to Sectoral Experts, the NFP | |\n| | | | | will be able to create such user accounts and assign them in | |\n| | | | | respective sector(s). | |\n| | | | | | |\n\n\n**3.2 How to access/ log out / create a GHG inventory**\n\n**3.2.1 How to access the NAIIS application**\n\nOpen any internet browser (i.e. Internet Explorer, Firefox, etc.) and type in the following URL http://unfccc.int/7627 on \nthe browser’s address bar. (figure 1 and figure 2) \n\n***Figure 1. Using Internet Explorer browser***\n\n\n\n***Figure 2. Using Firefox browser***", + "page_start": 5, + "page_end": 5, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**2.3 Contact**\n\nRequests for access to, inquiries on the use of the software, and comments on the design and functionalities of the \napplication should be sent to the dedicated e-mail address**naiisapp@unfccc.int**.", + "page_start": 4, + "page_end": 4, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**3.3.3 View User**\n\nThis function enables NFP and PM to view all users of their country. \n\n Log in as NFP or PM \n Hover the cursor on the “Users Management” tab and click on the “Users Administration” button. (see figure 21); \nthis opens the Users Administration screen (figure 22). \n\n***Figure 21. Users Administration***\n\n Click on the row of the respective user to be viewed (figure 22a). All information of the selected user will be \ndisplayed on the**General Properties**,**Sector**and**Role**boxes (figure 22b). \n\n***Figure 22. Users Administration***\n\n*NAIIS-User-Manual.Docx* Page 16 10/02/2013", + "page_start": 15, + "page_end": 15, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**3.3.1 Add User**\n\n**Note**: This function is**ONLY**available for NFP’s and PM’s! \n\n Log in as NFP or PM \n Hover the cursor on the “Users Management” tab and click on the “Users Administration” button. (see figure 18); \nthis opens the Users Administration screen (figure 19). \n\n***Figure 18. Users Administration***\n\n***Figure 19. Initial screen of Users Administration***\n\n Click the “+” sign (figure 19a) creates a new user (figure 20 new User). \n Double click on the cell of the newly created user name and enter a new user name (must be unique and contain at \n\nleast 3 characters). \nOnce done, press the enter key and the new user name will be saved in the respective table of the NAIIS database. \n\nNote: New user name(s) will be generated by the system as default [Non-Annex I Party name] + “newUser” \n(e.g. UgandanewUser, PhilippinesnewUser, ArgentinanewUser)", + "page_start": 13, + "page_end": 13, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**10 Submission management**\n\n**10.1 Workflow**\n\nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting \nsubmission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating \nto the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG \ninventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web \napplication (figure 52). \n\n**10.2 Start of inventory/submission (NFP or PM)**\n\nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year \nidentified will be made available in the new inventory/submission. \n\nThese are the steps to start a new inventory: \n\n1. Click on “View Inventories Progress” under sub menu “Submission Management” (figure 53). \n\n***Figure 53. View Inventories Progress sub menu***\n\n\n\n2. The “View Inventories Progress” screen appears (figure 54). \n3. Select the appropriate inventory by clicking the box under column “Working Inventory” (figure 54, a). \n\n***Note: The selected appropriate inventory should be in status “created” (figure 54, b)", + "page_start": 34, + "page_end": 34, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "***Figure 54. View Inventories Progress screen***\n\n\n\n***Figure 55. Work on Inventories sub menu***\n\n\n\n5. Click the appropriate Inventory year on “Work on Inventories” under “Submission” (figure 56, a). \n6. Press the “Start Inventory” button to start the inventory (figure 56, b). Once pressed, the status changes to \n“started” (figure 57). \n\n***Once the “Start Inventory” button has been pressed by the NFP or PM, a notification email will be sent to all \nSE’s with the information that a new inventory was created. SE’s and PM’s can start entering their data into the \nNAIIS software. More details on how to do the data entry please see section 4.1 above. \n\n***Figure 56. Work on Inventories screen***\n\n\n\n***Figure 57. Work on Inventories screen – Status = Started***", + "page_start": 35, + "page_end": 35, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "8. Update firewall to allow HTTP and HTTPS to access the Load Balancer VM: \n\n**ansible -i lb -a 'firewall-cmd --permanent --add-service=http'**\n**ansible -i lb -a 'firewall-cmd --permanent**\n**--add-service=https'**\n**ansible -i lb -a 'firewall-cmd --reload'**\nlbsnode01.domain.example.com | SUCCESS | rc=0 >> \nsuccess \n\n9. Update the DNS options: \n\n**ansible -i 7nodes.inv nodes,lb -a 'nmcli connection modify \"System eth0\"**\n**ipv4.dns-options \"rotate timeout:1 ndots:5\"'**\n**ansible -i 7nodes.inv nodes,lb -a 'nmcli con show \"System eth0\"' | grep -e**\n**ipv4.dns-search -e ipv4.dns-options**\nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \nipv4.dns-search: ssm.sdc.gts.ibm.com \nipv4.dns-options: \"rotate,timeout:1,ndots:5\" \n\n10.Reboot the VMs: \n\n**ansible -i nodes,lb -a 'reboot'**\nwrknode02.domain.example.com | UNREACHABLE! => { \n \"changed\": false, \n \"msg\": \"SSH Error: data could not be sent to remote host \n\\\"wrknode02.domain.example.com\\\". Make sure this host can be reached over ssh\", \n \"unreachable\": true \n} \n\nmstnode01.domain.example.com | UNREACHABLE! => { \n \"changed\": false, \n \"msg\": \"SSH Error: data could not be sent to remote host \n\\\"mstnode01.domain.example.com\\\". Make sure this host can be reached over ssh\", \n \"unreachable\": true \n} \n... \nOutput truncated \n... \nlbsnode01.domain.example.com | UNREACHABLE! => { \n \"changed\": false, \n \"msg\": \"SSH Error: data could not be sent to remote host \n\\\"lbsnode01.domain.example.com\\\". Make sure this host can be reached over ssh\", \n \"unreachable\": true \n}", + "page_start": 146, + "page_end": 146, + "source_file": "sg248459.pdf" + }, + { + "text": "**Protect your API**\n\nTo authenticate and authorize access to your Rest APIs, you can choose from the following: \n\n• Amazon Cognito user pools as an identity source for who access the API. \n\n• Lambda functions to control access to APIs by using a variety of identity sources. \n\n• Resource-based policies to allow or deny specified access from source IP addresses or VPC \n\nendpoints. \n\n• AWS Identity and Access Management roles, policies, and IAM tags to control access for who can \n\ninvoke certain APIs. \n\n**Advanced Topics**\n\nYou can connect a microservice with a REST API and a single integration to a Lambda function. As \n\nyou progress on your journey, you should explore the following advanced topics. \n\n• Choose between REST and HTTP APIs \n\n• Explore non-proxy custom integrations and data transformation \n\n• Optimize your API with caching \n\n• Explore HTTP APIs \n\n• Learn how to use proxy routes and resources \n\n• Send binary media types \n\n• Explore bidirectional connections using WebSocket APIs \n\n• Build and export your API using an OpenAPI 3 definition", + "page_start": 70, + "page_end": 70, + "source_file": "serverless-core.pdf" + } + ] + }, + { + "references": { + "source_file": "creative_common_ai.pdf", + "query": "What is the problem regarding the use of the Book3 dataset ?", + "target_page": 2, + "target_passage": "The Books3 dataset contains text from over 170,000 books,2 which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "***5. Examining approaches to building a books data***\n***commons***\n\nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n\n*5a. Public domain and permissively licensed books*\n\n**Existing Project Example : The Pile v2**\n27 \n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28 \n\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \n\nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \n 29 \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. \nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non-fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n\n This is an illustrative example, and there are also other projects of this ilk. For instance, see the \n\n27 \nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co/blog/Pclanglais/common-corpus; see also https://huggingface.co/datasets/ \nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”) \n\n See Gao et al, supra note 8. \n28 \n\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and \n29 \n“Substantially Better.”*VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai- \ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", + "page_start": 12, + "page_end": 12, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \n\nThe benefits are relatively straightforward. Both categories, by definition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \n\nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \n\nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \n For instance, relying on books from before 1929 would not \ncontent available for AI training. \nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. \n\n30 \n\n 31 \n\n*5b. Limitations & Exceptions*\n\n**Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited specifically for AI \ntraining, it is an existence proof for what such a resource might look like. \n\n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable \n30 \nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate,*Here’s Proof You Can Train an AI Model Without Slurping*\n*Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai- \nwithout-slurping-copyrighted-content/. \n\n Our workshop discussion did note that some widely available datasets for AI training have also \n31 \npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.”*ArXiv (Cornell University)*, 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", + "page_start": 13, + "page_end": 13, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "•**Breadth, Diversity, and Mitigating Bias:**Books can serve a critical role in ensuring AI \nmodels are inclusive of a broad range of topics and categories that may be under- \nrepresented in other content. For all that the Internet has generated an explosion in \nhuman creativity and information sharing, it generally represents only a few decades \nof information and a small portion of the world’s creative population. A books \ndataset, by comparison, is capable of representing centuries of human knowledge. As \na result such a dataset can help ensure AI systems behavior is based on centuries of \nhistorical information from modern books. It can help ensure broad geographic and \nlinguistic diversity. What’s more, the greater breadth and diversity of high-quality \ncontent help mitigate challenges around bias and misinformation. Using a more \ndiverse pool of training data can help support the production of a model and outputs \nof the model that are more representative of that diversity. Books can be useful in \nevaluation datasets to test existing models for memorization capabilities, which can \nhelp prevent unintended reproduction of existing works. Of course, this is all \ncontingent on actual composition of the corpus; in order to have the benefits \ndescribed, the books would need to be curated and included with characteristics like \ntime, geographic and linguistic diversity. \n\n•**Other Modalities:**Finally, books do not just contain text, they often contain images \nand captions of those images. As such, they can be an important training source for \nmulti-modal LLMs, which can receive and generate data in media other than text. \n\n**Lowering Barriers to Entry & Facilitating Competition**\n\nBroad access to books for AI training is critical to ensure powerful AI models are not \nconcentrated in the hands of only a few companies. Access to training data, in general, has \nbeen cited as a potential competitive concern \n11 \n in the AI field because of the performance \nbenefits to be gained by training on larger and larger datasets. But this competitive wedge is \neven more acute when we look specifically at access to book datasets. \n\nThe largest technology companies building commercial AI models have the resources and \ncapacity to mass digitize books for AI training. Google has scanned 40 million books, many \nof which came from digitization partnerships they formed with libraries. They may already \nuse some or all of these books to train their AI systems. \n It’s unclear to what extent other \ncompanies already have acquired books for AI training (for instance, whether Amazon’s \nlicenses with publishers or self-published authors may permit such uses); \nexisting \n\n12 \n\n See e.g. Trendacosta, Katherine and Doctorow, Cory. “AI Art Generators and the Online Image Market.” \n\n11 \n*Electronic Frontier Foundation*, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-and- \nonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. “An Antimonopoly Approach to \nGoverning Artificial Intelligence.”*SSRN Electronic Journal*, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/ \nuploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/ \nssrn.4597080. Accessed 25 Feb. 2024. \n\n See white paper for Google’s Gemini models https://arxiv.org/pdf/2312.11805.pdf — “Gemini models \n12 \nare trained on a dataset that is both multimodal and multilingual. Our pretraining dataset uses data from \nweb documents, books, and code, and includes image, audio, and video data.”", + "page_start": 6, + "page_end": 6, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***1. Introduction***1 \n\nWhile the field of artificial intelligence research and technology has a long history, broad \npublic attention grew over the last year in light of the wide availability of new generative AI \nsystems, including large language models (LLMs) like GPT-4, Claude, and LLaMA-2. These \ntools are developed using machine learning and other techniques that analyze large datasets \nof written text, and they are capable of generating text in response to a user’s prompts. \n\nWhile many large language models rely on website text for training, books have also played \nan important role in developing and improving AI systems. Despite the widespread use of e- \nbooks and growth of sales in that market, books remain difficult for researchers and \nentrepreneurs to access at scale in digital form for the purposes of training AI. \n\nIn 2023, multiple news publications reported on the availability and use of a dataset of books \n The Books3 dataset contains text from over 170,000 books, \ncalled “Books3” to train LLMs. \nwhich are a mix of in-copyright and out-of-copyright works. It is believed to have been \noriginally sourced from a website that was not authorized to distribute all of the works \ncontained in the dataset. In lawsuits brought against OpenAI, Microsoft, Meta, and \nBloomberg related to their LLMs, the use of Books3 as training data was specifically cited. 3 \n\n2 \n\nThe Books3 controversy highlights a critical question at the heart of generative AI: what role \ndo books play in training AI models, and how might digitized books be made widely \naccessible for the purposes of training AI? What dataset of books could be constructed and \nunder what circumstances? \n\nIn February 2024, Creative Commons, Open Future and Proteus Strategies convened a series \nof workshops to investigate the concept of a responsibly designed, broadly accessible \ndataset of digitized books to be used in training AI models. Conducted under the Chatham \nHouse Rule, we set out to ask if there is a possible future in which a “books data commons \nfor AI training” might exist, and what such a commons might look like. The workshops \nbrought together practitioners on the front lines of building next-generation AI models, as \nwell as legal and policy scholars with expertise in the copyright and licensing challenges \nsurrounding digitized books. Our goal was also to bridge the perspective of stewards of \n\n Authored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello (Proteus \n1 \nStrategies) in collaboration with Creative Commons. We are grateful to participants in the workshops, \nincluding Luis Villa, Tidelift and openml.fyi; Jonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, \nCornell; Lila Bailey, Internet Archive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, \nLibrary Futures/NYU Engelberg Center, Nicholas P. Garcia, Public Knowledge; Sayeed Choudhury; Erik \nStallman, UC Berkeley School of Law. The paper represents the views of the authors, however, and \nshould not be attributed to the workshop as a whole. All mistakes or errors are the authors’. \n\n See e.g. Knibbs, Kate. “The Battle over Books3 Could Change AI Forever.”*Wired*, 4 Sept. 2023, \n2 \nwww.wired.com/story/battle-over-books3/. \n\n For key documents in these cases, see the helpful compendium at “Master List of Lawsuits v. AI, \n3 \nChatGPT, OpenAI, Microsoft, Meta, Midjourney & Other AI Cos.”*Chat GPT Is Eating the World*, 27 Dec. \n2023, chatgptiseatingtheworld.com/2023/12/27/master-list-of-lawsuits-v-ai-chatgpt-openai-microsoft- \nmeta-midjourney-other-ai-cos. See also “Fair Use Week 2024: Day Two with Guest Expert Brandon \nButler.”*Fair Use Week*, sites.harvard.edu/fair-use-week/2024/02/26/fair-use-week-2024-day-two-with- \nguest-expert-brandon-butler/. Accessed 20 Mar. 2024 (arguing that use of this dataset is not \nconsequential for the fair use analysis).", + "page_start": 1, + "page_end": 1, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "*What dataset management practices are necessary?*\n\nNo matter how a books data commons gets built, it will be important to consider broader \naspects of data governance. For example: \n\n•**Dataset documentation and transparency:**Transparent documentation is important \nfor any dataset used for AI training. A datasheet is a standardized form of \ndocumentation that includes information about provenance and composition of data, \nand includes information on management practices, recommended uses or collection \nprocess. \n\n•**Quality assurance:**Above, we note the many features that make books useful for AI \ntraining, as compared with web data, for example. That said, the institution managing \na books commons dataset may still want to collect and curate the collection to meet \nthe particular purposes of its users. For instance, it may want to take steps to \nmitigate biases inherent in the dataset, by ensuring books are representative of a \nvariety of languages and geographies. \n\n•**Understanding uses:**The institution managing a books commons dataset could \nmeasure and study how the dataset is used, to inform future improvements. Such \nmonitoring may also enable accountability measures with respect to uses of the \ndataset. Introducing community norms for disclosing datasets used in AI training and \nother forms of AI research would facilitate such monitoring. \n\n•**Governance mechanisms:**In determining matters like acceptable and ethical use, the \nfundamental question is “who decides.” While this might be settled simply by whoever \nsets up and operates the dataset and related \ninfrastructure, participatory \nmechanisms — such as advisory bodies bringing together a broad range of users and \nstakeholders of a collection — could also be incorporated.", + "page_start": 19, + "page_end": 19, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***7. Conclusion***\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of \nexisting work. The concept of mass digitization of books, including to support text and data \nmining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its \ntransformative use makes questions about how we digitize, preserve, and make accessible \nknowledge and cultural heritage salient in a distinct way. \n\nAs such, efforts to build a books data commons need not start from scratch; there is much \nto glean from studying and engaging existing and previous efforts. Those learnings might \ninform substantive decisions about how to build a books data commons for AI training. For \ninstance, looking at the design decisions of HathiTrust may inform how the technical \ninfrastructure and data management practices for AI training might be designed, as well as \nhow to address challenges to building a comprehensive, diverse, and useful corpus. In \naddition, learnings might inform the process by which we get to a books data commons — \nfor example, illustrating ways to attend to the interests of those likely to be impacted by the \ndataset’s development. 41 \n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or \npaths) to extend access to books for AI training is critical. In the status quo, large swaths of \nknowledge contained in books are effectively locked up and inaccessible to most everyone. \nGoogle is an exception — it can reap the benefits of their 40 million books dataset for \nresearch, development, and deployment of AI models. Large, well-resourced entities could \ntheoretically try to replicate Google’s digitization efforts, although it would be incredibly \nexpensive, impractical, and largely duplicative for each entity to individually pursue their own \nefforts. Even then, it isn’t clear how everyone else — independent researchers, entrepreneurs, \nand smaller entities — will have access. The controversy around the Books3 dataset \ndiscussed at the outset should not, then, be an argument in favor of preserving the status \nquo. Instead, it should highlight the urgency of building a books data commons to support an \nAI ecosystem that provides broad benefits beyond the privileged few. \n\n For other existing and past examples, one might look to the work of Europeana, https:// \n\n41 \nwww.europeana.eu/en, as well as the mountain of commentary on the failed class action settlement \nbetween Google, the Authors Guild, and the Association of American Publishers — see e.g. the excellent \ncollection of court filings created by James Grimmelmann and colleagues (now archived at the Internet \nArchive) — https://web.archive.org/web/20140425012526/http://thepublicindex.org/. The Settlement \nexpressly would have set up a “Research Corpus” for non-consumptive research. HathiTrust created a \nResearch Center, with the intention of becoming one of the hosts for the “Research Corpus.” The \nSettlement was criticized and was ultimately rejected by the district court for both substantive reasons \n(that is, what the settlement would specifically do) and procedural (in the sense of violating class-action \nlaw, but also in a broader sense of representing a “backroom deal” without sufficient participation from \nimpacted interests). The Research Corpus was not a core locus of critique, though it did receive concern \nin terms of providing too much control to Google, for example. Our purpose in mentioning this is not to \nrelitigate the issue, but rather to call out that design decisions of this sort have been considered in the \npast.", + "page_start": 20, + "page_end": 20, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the \nspecific design choices and technical constraints are not adequate to justify a finding of fair \nuse. \n\nThis sort of books dataset could be built by expanding use of in-copyright books that have \nalready been digitized from existing libraries and other sources. Specifically, workshop \nparticipants mentioned that the Internet Archive, HathiTrust, and Google as entities that have \ndigitized books and could repurpose their use to build a books commons, although \nchallenges with using these datasets were noted. The Internet Archive is in the midst of \nlitigation brought by book publishers for its program for lending digital books; while not \ndirectly relevant to the issue of AI training using their corpus of books, this sort of litigation \ncreates a chilling effect on organizations seeking to make new uses of these digitized books. \nMeanwhile, Google encumbered HathiTrust’s digital copies with certain contractual \nrestrictions, which would need to be addressed to develop a books dataset for AI training, \nand Google itself is unlikely to share its own copies while it provides them a competitive \nadvantage. \n\nPerhaps as a matter of public policy, these existing copies could be made more freely \navailable. For instance, to ensure robust competition around AI and advance other public \ninterests, policymakers could remove legal obstacles to the sharing of digitized book files for \nuse in AI training. Alternatively, policymakers could go further and affirmatively compel \nsharing access to these digital book files for AI training. \n\nIt's possible that there could be a new mass digitization initiative, turning physical books into \nnew digital scans. At least in theory, one could try to replicate the existing corpora of \nHathiTrust, for example, without Google’s contractual limitations. At the same time, such an \neffort would take many years, and it seems unlikely that many libraries would want to go to \nthe trouble to have their collections digitized a second time. Moreover, while new scans may \nprovide some incremental benefit over use of existing ones (e.g., by using the most modern \ndigitization and OCR tools and thus improving accuracy), there is no inherent social value to \nmaking every entity that wants to do or allow AI training invest in their own redundant \nscanning. \n\nA new digitization effort could target works that have not been yet digitized. This may be \nparticularly useful given that previous book digitization efforts, and the Google Books project \nin particular, have focused heavily (though not exclusively) on libraries in English-speaking \ncountries. Additional digitization efforts might make more sense for books in those \nlanguages that have not yet been digitized at a meaningful scale. Any new digitization effort \nmight therefore start with a mapping of the extent to which a books corpus in a given \nlanguage has been digitized.", + "page_start": 16, + "page_end": 16, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "INTRODUCTION \n\n∗Joint first authors \n\n\n\nJust as environmental impact scales with model size, so does \nthe difficulty of understanding what is in the training data. In §4, \nwe discuss how large datasets based on texts from the Internet \noverrepresent hegemonic viewpoints and encode biases potentially \ndamaging to marginalized populations. In collecting ever larger \ndatasets we risk incurring documentation debt. We recommend \nmitigating these risks by budgeting for curation and documentation \nat the start of a project and only creating datasets as large as can \nbe sufficiently documented. \n\nAs argued by Bender and Koller [14], it is important to under- \nstand the limitations of LMs and put their success in context. This \nnot only helps reduce hype which can mislead the public and re- \nsearchers themselves regarding the capabilities of these LMs, but \nmight encourage new research directions that do not necessarily \ndepend on having larger LMs. As we discuss in §5, LMs are not \nperforming natural language understanding (NLU), and only have \nsuccess in tasks that can be approached by manipulating linguis- \ntic form [14]. Focusing on state-of-the-art results on leaderboards \nwithout encouraging deeper understanding of the mechanism by \nwhich they are achieved can cause misleading results as shown \n\nThis work is licensed under a Creative Commons Attribution International 4.0 License. \nFAccT ’21, March 3–10, 2021, Virtual Event, Canada \nACM ISBN 978-1-4503-8309-7/21/03. \nhttps://doi.org/10.1145/3442188.3445922", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \n\nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \n\n*Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n\n•**Defining and ensuring acceptable and ethical use:**Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. \n One can imagine more fine-grained \nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n\n39 \n\n•**Charging for use to support sustainability of the training corpus itself:**While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40 \n\n•**Ensuring benefits of AI are broadly shared, including with book authors or**\n**publishers:**The creation of a training resource might \nlower barriers to the \ndevelopment of AI tools, and in that way support broadly shared benefits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a significant challenge, \nAI might not look much different, and the benefits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n\n For examples of gated access to AI models, see https://huggingface.co/docs/hub/en/models-gated. \n39 \n\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume \n40 \ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/ \nwiki/Wikimedia_Enterprise.", + "page_start": 18, + "page_end": 18, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \n\nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4 \n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as defined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be beneficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5 \n\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this \n4 \nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements. \n\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - \n5 \ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "creative_common_ai.pdf" + } + ] + }, + { + "references": { + "source_file": "creative_common_ai.pdf", + "query": "In the United States, before which date is book out of copyright for sure ?", + "target_page": 9, + "target_passage": "In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most \nare not actively managed by their rightsholders. There is no official registry of copyrighted \nworks and their owners, and existing datasets can be incomplete or erroneous. 16 \n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially \nthose that have or have had limited commercial value. \n Put differently, the barrier to using \nmost books is not simply to pay publishers; even if one had significant financial resources, \nlicensing would not enable access to most works. \n\n17 \n\n**Permissively licensed works**\n\nThere are books that have been permissively licensed in an easily identifiable way, such as \nworks placed under Creative Commons (CC) licenses. Such works explicitly allow particular \nuses of works subject to various responsibilities (e.g., requiring attribution by the user in their \nfollow-on use). \n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion \ndepends on whether the license’s terms can be complied with in the context of AI training. \nFor instance, in the context of CC licensed works, there are requirements for proper \nattribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public \nDomain Mark (PDM) are not licenses and do not require attribution). 18 \n\n See e.g. Heald, Paul J. “How Copyright Makes Books and Music Disappear (and How Secondary \n16 \nLiability Rules Help Resurrect Old Songs).” Illinois Program in Law, Behavior and Social Science Paper \nNo. LBSS14-07 Illinois Public Law Research Paper No. 13-54 https://doi.org/10.2139/ssrn.2290181. \nAccessed 4 Jan. 2020, at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181; Rosen, \nRebecca J. “Why Are so Few Books from the 20th Century Available as Ebooks?”*The Atlantic*, 18 Mar. \n2014, www.theatlantic.com/business/archive/2014/03/why-are-so-few-books-from-the-20th-century- \navailable-as-ebooks/284486/. See also “Google Book Search Settlement and Access to Out of Print \nBooks.”*Google Public Policy Blog*, publicpolicy.googleblog.com/2009/06/google-book-search- \nsettlement-and.html. Accessed 20 Mar. 2024 (discussing this issue in the context of the failed class- \naction settlement between Google, the Authors Guild, and the Association of American Publishers). \nGoogle’s final brief in the settlement proceedings notes the “prohibitive transaction costs of identifying \nand locating individual Rightsholders of these largely older, out-of-print books” — see this brief at https:// \nweb.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/ \ngoogle_final_approval_support.pdf. The Authors Guild and Association of American Publishers also \njustified the settlement’s terms in light of the fact that “the transaction costs involved in finding \ncopyright owners and clearing the rights are too high”; while they argued that most works are not truly \n“orphans,” they note that total transaction costs as a whole (including, for example, determining whether \nthe author or publisher holds the rights and then negotiating rates) are so high as to block uses of out- \nof-print works anyway — see this brief at https://web.archive.org/web/20130112060213/http:// \nthepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf. \n\n In the EU, the 2019 Copyright Directive introduced specific provisions on the \"use of out-of-commerce \n\n17 \nworks and other subject matter by cultural heritage institutions\" (Articles 8-11 CDSMD). These \nprovisions allow cultural heritage institutions to \"make available, for non-commercial purposes, out-of- \ncommerce works or other subject matter permanently in their collections\". The limitation to non- \ncommercial purposes means that works made available under these provisions would be of limited use \nin building a books data commons.", + "page_start": 9, + "page_end": 9, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***4. Copyright, Licensing, & Access to Books for***\n***Training***\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the \ndevelopment of a books data commons would necessarily need to navigate and comply with \ncopyright law. \n\n**Out-of-Copyright Books:**A minority of books are old enough to be in the public domain and \nout of copyright, and an AI developer could use them in training without securing any \ncopyright permission. In the United States, all books published or released before 1929 are in \nthe public domain. While use of these books provides maximal certainty for the AI developer \nto train on, it is worth noting that the status of whether a book is in the public domain can be \ndifficult to determine. \n For instance, books released between 1929 and 1963 in the U.S. are \nout of copyright if they were not subject to a copyright renewal; however, data on copyright \nrenewals is not easily accessible. \n\n14 \n\nWhat’s more, copyright definitions and term lengths vary among countries. Even if a work is \nin the public domain in the US, it may not be in other countries. \n Countries generally use the \nlife of the last living author + “x” years to determine the term of copyright protection. For \nmost countries, “x” is either 50 years (the minimum required by the Berne Convention) or 70 \nyears (this is the case for all member states of the European Union and for all works \npublished in the U.S. after 1978). This approach makes it difficult to determine copyright \nterms with certainty because it requires information about the date of death of each author, \nwhich is often not readily available. \n\n15 \n\n**In-Copyright Books:**The vast majority of books are in copyright, and, insofar as the training \nprocess requires making a copy of the book, the use in AI training may implicate copyright \nlaw. Our workshop covered three possible paths for incorporating such works. \n\n**Direct licensing**\n\nOne could directly license books from rightsholders. There may be some publishers who are \nwilling to license their works for this purpose, but it is hard to determine the scale of such \naccess, and, in any event, there are significant limits on this approach. Along with the \nchallenge (and expense) of reaching agreements with relevant rightsholders, there is also the \npractical difficulty of simply identifying and finding the rightsholder that one must negotiate \n\n For a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler.*Finding the Public Domain:*\n\n14 \n*Copyright Review Management System Toolkit*. 2016, quod.lib.umich.edu/c/crmstoolkit/ \n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. “LibGuides: Copyright at Cornell Libraries: \nCopyright Term and the Public Domain.” guides.library.cornell.edu/copyright/publicdomain; \nMannapperuma, Menesha, et al.*Is It in the Public Domain? A HANDBOOK for EVALUATING the*\n*COPYRIGHT STATUS of a WORK CREATED in the UNITED STATES*. 1923. \n\n See e.g. Moody, Glyn. “Project Gutenberg Blocks Access in Germany to All Its Public Domain Books \n\n15 \nbecause of Local Copyright Claim on 18 of Them.”*Techdirt*, 7 Mar. 2018, www.techdirt.com/ \n2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-local- \ncopyright-claim-18-them/. Accessed 20 Mar. 2024.", + "page_start": 8, + "page_end": 8, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**Reliance on Copyright Limitations and Exceptions**\n\nEven if a book is in copyright, it’s possible that copying books for AI training may be covered \nby existing limitations and exceptions to copyright law in particular jurisdictions. For \nexample: \n\n• In the United States, many argue using existing works to train generative AI is “fair \nuse,” consistent with existing law and legal precedents. \n This is the subject of a \nnumber of currently active court cases, and different actors and tools may yield \ndifferent results, as fair use is applied case-by-case using a flexible balancing test. \n\n19 \n\n• In the European Union, there are explicit exceptions in the law for “text and data \nmining” uses of in-copyright works, both for non-commercial research and for \ncommercial purposes. However, for commercial uses and for users outside of \nresearch and heritage institutions, they must respect the rights of rightsholders who \nchoose to “reserve their rights” (i.e., opt-out of allowing text and data mining) via \n The exception also requires that users have “lawful \nmachine readable mechanisms. \naccess” to the works. \n\n20 \n\n• Finally, Japan provides a specific text and data mining exception, without any \ncomparable opt-out requirement for commercial uses as is embedded in EU law. 21 \n\nWhile exceptions that allow AI training exist in several other countries, such as Singapore and \nIsrael, most countries do not provide exceptions that appear to permit AI training. Even where \npotentially available, as in the United States, legal uncertainty and risk create a hurdle for \nanyone building a books commons. 22 \n\n See e.g. Comments from Sprigman, Samuelson, Sag to Copyright Office, October 2023, at https:// \n19 \nwww.regulations.gov/comment/COLC-2023-0006-10299 as well as many other submissions to the US \ncopyright office; see also Advocacy, Katherine Klosek, Director of Information Policy and Federal \nRelations, Association of Research Libraries (ARL), and Marjory S. Blumenthal, Senior Policy Fellow, \nAmerican Library Association (ALA) Office of Public Policy and. “Training Generative AI Models on \nCopyrighted Works Is Fair Use.”*Association of Research Libraries*, 23 Jan. 2024, www.arl.org/blog/ \ntraining-generative-ai-models-on-copyrighted-works-is-fair-use/. \n\n See Articles 3 and 4 of the EU’s Directive on Copyright and Related Rights in the Digital Single Market \n20 \n— https://eur-lex.europa.eu/eli/dir/2019/790/oj. \n\n Japan clarified its laws in 2018 to make clear that this type of use is permitted — see discussion in \n\n21 \nTestimony of Matthew Sag, July 2023, https://www.judiciary.senate.gov/imo/media/doc/ \n2023-07-12_pm_-_testimony_-_sag.pdf, see also Fiil-Flynn, S.*et al.*(2022)*Legal reform to enhance global*\n*text and Data Mining Research*,*Science*. Available at: https://www.science.org/doi/10.1126/ \nscience.add6124 (Accessed: 28 Sept. 2023). \n\n See supra note 22*.*See also Jonathan Band,*Copyright Implications of the Relationship between*\n\n22 \n*Generative Artificial Intelligence and Text and Data Mining | Infojustice*. infojustice.org/archives/45509. In \naddition, for an in-depth look at the cross-border legal challenges involved see:*Wrapping up Our NEH-*\n*Funded Project to Help Text and Data Mining Researchers Navigate Cross-Border Legal and Ethical*\n*Issues*. 2 Oct. 2023, buildinglltdm.org/2023/10/02/wrapping-up-our-neh-funded-project-to-help-text-and- \ndata-mining-researchers-navigate-cross-border-legal-and-ethical-issues/. Accessed 20 Mar. 2024.", + "page_start": 10, + "page_end": 10, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \n\nThe benefits are relatively straightforward. Both categories, by definition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \n\nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \n\nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \n For instance, relying on books from before 1929 would not \ncontent available for AI training. \nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. \n\n30 \n\n 31 \n\n*5b. Limitations & Exceptions*\n\n**Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited specifically for AI \ntraining, it is an existence proof for what such a resource might look like. \n\n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable \n30 \nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate,*Here’s Proof You Can Train an AI Model Without Slurping*\n*Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai- \nwithout-slurping-copyrighted-content/. \n\n Our workshop discussion did note that some widely available datasets for AI training have also \n31 \npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.”*ArXiv (Cornell University)*, 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", + "page_start": 13, + "page_end": 13, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "It is also important to note two other issues that can affect the application of limitations and \nexceptions, in particular, their application to e-books. \n\nThe first important limitation is that almost every digital book published today comes with a \nset of contractual terms that restrict what users can do with it. In many cases, those terms \nwill explicitly restrict text data mining or AI uses of the content, meaning that even where \ncopyright law allows for reuse (for example, under fair use), publishers by contract can \nimpose restrictions anyway. In the United States, those contract terms are generally thought \nto override the applicability of fair use or other limitations and exceptions. \n Other \njurisdictions, such as those in the EU, provide that certain limitations and exceptions cannot \nbe contractually overridden, though experience to date varies with how those anti-contractual \noverride protections work in practice. \n\n23 \n\n 24 \n\nThe second limitation is the widespread adoption of “anti-circumvention” rules in copyright \nlaws and the interplay of these with a choice to rely on copyright limitations and exceptions. \nDigital books sold by major publishers are generally encumbered with “digital rights \nmanagement” (DRM) that limits how someone can use the digital file. For instance, DRM can \nlimit the ability to make a copy of the book, or even screenshot or excerpt from it, among \nother things. Anti-circumvention laws restrict someone's ability to evade these technical \nrestrictions, even if it is for an ultimately lawful use. \n\nWhat this means for our purposes is that even if one acquires a digital book from, for \nexample, Amazon, and it is lawful under copyright law to use that book in AI training, it can \nstill generally be unlawful to circumvent the DRM to do so, outside narrow exceptions. \n 25 \nThus, the ability to use in-copyright books encumbered by DRM — that is, most all books sold \nby major publishers — is generally limited. 26 \n\nPractically, using in-copyright books to build a books commons for AI training — while relying \non copyright’s limitations and exceptions — requires turning a physical book into digital form, \nor otherwise engaging in the laborious process of manually re-creating a book’s text (i.e., re- \ntyping the full text of the book) without circumventing the technical restrictions themselves. \n\n See Hansen, Dave. “Fair Use Week 2023: How to Evade Fair Use in Two Easy Steps.”*Authors Alliance*, \n23 \n23 Feb. 2023, www.authorsalliance.org/2023/02/23/fair-use-week-2023-how-to-evade-fair-use-in-two- \neasy-steps/. Accessed 20 Mar. 2024. \n\n See Band, Jonathan. “Protecting User Rights against Contract Override.”*Joint PIJIP/TLS Research*\n24 \n*Paper Series*, 1 May 2023, digitalcommons.wcl.american.edu/research/97/. Accessed 20 Mar. 2024. \n\n In the U.S. the Copyright Office has recognized the importance of allowing particular exceptions for \n\n25 \nresearchers engaged in text and data mining. See their rulemaking in 2021 https:// \nwww.federalregister.gov/documents/2021/10/28/2021-23311/exemption-to-prohibition-on- \ncircumvention-of-copyright-protection-systems-for-access-control. These rules are reviewed triennially \nand are currently under review, with submissions suggesting both contraction and expansion; see the \nAuthors’ Alliance comments in January 2024 https://www.authorsalliance.org/2024/01/29/authors- \nalliance-submits-long-form-comment-to-copyright-office-in-support-of-petition-to-expand-existing-text- \nand-data-mining-exemption/. It is possible that one could argue for these exceptions to be expanded, \nand then work to renew that exception every three years. The EU’s text and data mining exception may \nalso limit use of DRM to impede data mining, but only for particular covered research and heritage \ninstitutions; commercial and other users are not covered, however.", + "page_start": 11, + "page_end": 11, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "It is also an example predicated on copyright’s limitations and exceptions — in this case, on \nU.S. fair use. While the Authors Guild filed a copyright infringement suit against HathiTrust, \nfederal courts in 2012 and 2014 ruled that HathiTrust’s use of books was fair use. 32 \n\nA nonprofit founded in 2008, HathiTrust grew out of a partnership among major US university \nlibraries and today is “an international community of research libraries committed to the \nlong-term curation and availability of the cultural record.” \n It started in what it calls the “early \ndays of mass digitization” — that is, at a time when it started to become economical to take \nexisting physical artifacts in libraries and turn them into digital files at a large scale. \n\n33 \n\nThe founding members of HathiTrust were among the initial partners for Google’s Book \nSearch product, which allows people to search across and view small snippets of text from \nin-copyright books and read full copies of public domain books scanned from libraries’ \ncollections. The libraries provided Google with books from their collections, Google would \nthen scan the books for use in Book Search, and return to the libraries a digital copy for their \nown uses. These uses included setting up HathiTrust not only to ensure long-term \npreservation of the digital books and their metadata, but also to facilitate other uses, \nincluding full text search of books and accessibility for people with print disabilities. In \nseparate court cases, both Google and HathiTrust’s uses of the books were deemed \nconsistent with copyright law. \n\n34 \n\nThe uses most relevant to this paper are those enabled by what HathiTrust refers to today as \nthe Research Center. The Center grew in part out of a research discipline called “digital \nhumanities,” which, among other things, seeks to use computational resources or other \ndigital technologies to analyze information and contribute to the study of literature, media, \nhistory, and other areas. For instance, imagine you want to understand how a given term \n(e.g., “war on drugs”) became used; one might seek to analyze when the term was first used \nand how often it was used over time by analyzing a vast quantity of sources, searching out \nthe term’s use. The insight here is that there is much to be learned not just from reading or \notherwise consuming specific material, but also from “non-consumptive research,” or \n\"research in which computational analysis is performed on one or more volumes (textual or \nimage objects)\" to derive other sorts of insights. AI training is a type of non-consumptive use. \n\nToday, the Center “[s]upports large-scale computational analysis of the works in the \nHathiTrust Digital Library to facilitate non-profit and educational research.” It includes over 18 \nmillion books in over 400 languages from the HathiTrust Digital Library collection. Roughly \n58% of the corpus is in copyright. HathiTrust notes that, while this corpus is large, it has \nlimitations in terms of its representation across subject matter, language, geography, and \nother dimensions. In terms of subject matter, the corpus is skewed towards humanities \n(64.9%) and social sciences (14.3%). In terms of language, 51% of the books are in English, \n\n*Authors Guild v. HathiTrust,*902 F.Supp.2d 445 (SDNY October 10, 2012) and*Authors Guild v.*\n32 \n*HathiTrust*, 755 F.3d 87 (2d Cir. 2014). \n\n See https://www.hathitrust.org/member-libraries/member-list/ — the membership is principally US \n33 \ninstitutions, and most of the non-US members are from English speaking countries or institutions that \nuse English as the primary language of operations. \n\n This functionality is limited to scanned books provided by library partners in the US. \n34", + "page_start": 14, + "page_end": 14, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the \nspecific design choices and technical constraints are not adequate to justify a finding of fair \nuse. \n\nThis sort of books dataset could be built by expanding use of in-copyright books that have \nalready been digitized from existing libraries and other sources. Specifically, workshop \nparticipants mentioned that the Internet Archive, HathiTrust, and Google as entities that have \ndigitized books and could repurpose their use to build a books commons, although \nchallenges with using these datasets were noted. The Internet Archive is in the midst of \nlitigation brought by book publishers for its program for lending digital books; while not \ndirectly relevant to the issue of AI training using their corpus of books, this sort of litigation \ncreates a chilling effect on organizations seeking to make new uses of these digitized books. \nMeanwhile, Google encumbered HathiTrust’s digital copies with certain contractual \nrestrictions, which would need to be addressed to develop a books dataset for AI training, \nand Google itself is unlikely to share its own copies while it provides them a competitive \nadvantage. \n\nPerhaps as a matter of public policy, these existing copies could be made more freely \navailable. For instance, to ensure robust competition around AI and advance other public \ninterests, policymakers could remove legal obstacles to the sharing of digitized book files for \nuse in AI training. Alternatively, policymakers could go further and affirmatively compel \nsharing access to these digital book files for AI training. \n\nIt's possible that there could be a new mass digitization initiative, turning physical books into \nnew digital scans. At least in theory, one could try to replicate the existing corpora of \nHathiTrust, for example, without Google’s contractual limitations. At the same time, such an \neffort would take many years, and it seems unlikely that many libraries would want to go to \nthe trouble to have their collections digitized a second time. Moreover, while new scans may \nprovide some incremental benefit over use of existing ones (e.g., by using the most modern \ndigitization and OCR tools and thus improving accuracy), there is no inherent social value to \nmaking every entity that wants to do or allow AI training invest in their own redundant \nscanning. \n\nA new digitization effort could target works that have not been yet digitized. This may be \nparticularly useful given that previous book digitization efforts, and the Google Books project \nin particular, have focused heavily (though not exclusively) on libraries in English-speaking \ncountries. Additional digitization efforts might make more sense for books in those \nlanguages that have not yet been digitized at a meaningful scale. Any new digitization effort \nmight therefore start with a mapping of the extent to which a books corpus in a given \nlanguage has been digitized.", + "page_start": 16, + "page_end": 16, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "All rights reserved. No part of this publication may be reproduced or transmitted \n\nin any form or by any means, electronic or mechanical, including photocopying, \n\nrecording, or any information storage or retrieval system, without prior permission in \n\nwriting from the publisher. Subject to any applicable licensing terms and conditions in \n\nthe case of electronically supplied publications, a person may engage in fair dealing \n\nwith a copy of this publication for his or her personal or private use, or his or her \n\nresearch or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978. \n\nThe authors and the publisher have made every effort to obtain permission for and \n\nto acknowledge the use of copyright material. Should any infringement of copyright \n\nhave occurred, please contact the publisher, and every effort will be made to rectify \n\nomissions or errors in the event of a reprint or new edition.", + "page_start": 1, + "page_end": 1, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "***6. Cross-cutting design questions***\n\nThe workshops briefly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \n\n*Would authors, publishers, and other relevant rightsholders*\n*and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \n\nWhile a system that required affirmative “opt-in” consent would limit utility significantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so significant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \n\nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. \n Opt-outs might be more granular, by focusing on allowing or forbidding particular \nuses or other categories of users, given that rights holders have many different sets of \npreferences. \n\n38 \n\nAnother question is about*who*can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n\n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the \n38 \nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.", + "page_start": 17, + "page_end": 17, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "Reisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering \n\nGenerative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla \nma-pirated-books/675063/),*The Atlantic*, archived (https://web.archive.org/web/2024100307 \n1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-pirated- \nbooks/675063/) from the original on 3 October 2024, retrieved 5 October 2024", + "page_start": 61, + "page_end": 61, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "creative_common_ai.pdf", + "query": "What of the main imporvement of the Pile v2 dataset in comparison to its first version ?", + "target_page": 13, + "target_passage": "Among other things, v2 would “have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.” At the same time, it would only seek to include public domain books and permissively licensed content", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "correlated (see Figure 12). We preferred to propose \ndatasets even if they could introduce biases rather \nthan not address the task in the benchmark. Note \nthat each task type can be considered individually. \nWe hope additional resources will be developed \nin the French-speaking community to enrich our \ncomparison. \n\nBenchmark validity over time As with all \nbenchmarks, their reliability over time can be dis- \ncussed as the field evolves fast. The models se- \nlected for the analysis conducted in this paper are \nthose available at this time, new outperforming \nmodels will be created and shall be evaluated. Our \nwork extends MTEB and thus simplifies the ad- \ndition of new datasets for evaluation and allows \nrunning new models. With this effort, we hope \nthis will simplify the evaluation of new models pro- \nposed by the community to keep our work up to \ndate. \n\nSana Al-Azzawi, Blessing K. Sibanda, Davis \nDavid, Lolwethu Ndolela, \nJonathan Mukiibi, \nTunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian \nOdhiambo, Abraham Toluwase Owodunni, Nnae- \nmeka Obiefuna, Shamsuddeen Hassan Muham- \nmad, Saheed Salahudeen Abdullahi, Mesay Gemeda \nYigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmu- \nmin, Mahlet Taye Bame, Oluwabusayo Olufunke \nAwoyomi, Iyanuoluwa Shode, Tolulope Anu Ade- \nlani, Habiba Abdulganiy Kailani, Abdul-Hakeem \nOmotayo, Adetola Adeeko, Afolabi Abeeb, An- \nuoluwapo Aremu, Olanrewaju Samuel, Clemen- \ncia Siro, Wangari Kimotho, Onyekachi Raphael \nOgbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chuk- \nwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. \nAwosan, Tadesse Kebede Guge, Sakayo Toadoum \nSari, Pamela Nyatsine, Freedmore Sidume, Oreen \nYousuf, Mardiyyah Oduwole, Ussen Kimanuka, \nKanda Patrick Tshinu, Thina Diko, Siyanda Nx- \nakama, Abdulmejid Tuni Johar, Sinodos Gebre, \nMuhidin A. Mohamed, Shafie Abdi Mohamed, \nFuad Mire Hassan, Moges Ahmed Mehamed, Evrard \nNgabire, and Pontus Stenetorp. 2023. Masakhanews: \nNews topic classification for african languages. In \nInternational Joint Conference on Natural Language \nProcessing. \n\nData contamination issues Bias may exist for \nmodels that use the training sets of the provided \nevaluation datasets for their training. It consider- \nably improves their performance on the benchmark, \nfavouring them over other models. This is particu- \nlarly worrying for models that do not communicate \nabout the datasets used during training, such as pro- \nprietary models. Generally speaking, it would be \ninteresting to calculate the similarity between the \ndatasets used to train the models and those used to \ntest them to check that they are far enough apart to \ndraw general conclusions. \n\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, \nAitor Gonzalez-Agirre, Rada Mihalcea, German \nRigau, and Janyce Wiebe. 2016. SemEval-2016 \ntask 1: Semantic textual similarity, monolingual \nand cross-lingual evaluation. In Proceedings of the \n10th International Workshop on Semantic Evaluation \n(SemEval-2016), pages 497–511, San Diego, Califor- \nnia. Association for Computational Linguistics. \n\nArthur Barbosa, Máverick Ferreira, Rafael Fer- \nreira Mello, Rafael Dueire Lins, and Dragan Ga- \nsevic. 2021. The impact of automatic text transla- \ntion on classification of online discussions for social \nand cognitive presences. In LAK21: 11th Interna- \ntional Learning Analytics and Knowledge Confer- \nence, LAK21, page 77–87, New York, NY, USA. \nAssociation for Computing Machinery. \n\nFocus on sentence embeddings Finally, like the \noriginal version of MTEB, the comparison focuses \nmainly on sentence embeddings. Other tasks could \nbe added to cover word embeddings and, therefore, \nmore NLP tasks. \n\nRachel Bawden, Eric Bilinski, Thomas Lavergne, and \nSophie Rosset. 2021. Diabla: A corpus of bilingual \nspontaneous written dialogues for machine transla- \ntion. Language Resources and Evaluation, 55:635– \n660. \nAcknowledgements \n\nWe would like to thank Wikit11 and Esker12 for \nproviding compute and funding this research.", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv4.pdf" + }, + { + "text": "Dataset x Task \nAmazonReviewsClassification \nMasakhaNEWSClassification \nMassiveIntentClassification \nMassiveScenarioClassification \nMTOPDomainClassification \nMTOPIntentClassification \nAlloProfClusteringP2P \nAlloProfClusteringS2S \nHALClusteringS2S \nMasakhaNEWSClusteringP2P \nMasakhaNEWSClusteringS2S \nMLSUMClusteringP2P \nMLSUMClusteringS2S \nOpusparcusPC \nPawsX \nSTSBenchmarkMultilingualSTS \nSTS22 \nSICKFr \nDiaBLaBitextMining \nFloresBitextMining \nAlloprofReranking \nSyntecReranking \nAlloprofRetrieval \nBSARDRetrieval \nSyntecRetrieval \nSummEvalFr Average # tokens \n49.6 \n1398.2 \n11.4 \n11.4 \n12.5 \n12.5 \n1021.8 \n8.8 \n25.6 \n1398.1 \n21.7 \n1062.1 \n20.8 \n9.7 \n34.9 \n18.4 \n722.1 \n15.1 \n12.02 \n33.42 \n48.3 - 1179.4 - 1196.4 \n19.2 - 402.2 - 467.2 \n48.31 - 1117.91 \n144.03 - 24530.8 \n19.22 - 295.65 \n657.08 - 71.18 - 107.56 \n\nReference \nMcAuley and Leskovec (2013) \nAdelani et al. (2023) \nFitzGerald et al. (2023) \nFitzGerald et al. (2023) \nLi et al. (2021) \nLi et al. (2021) \nLefebvre-Brossard et al. (2023) \nLefebvre-Brossard et al. (2023) \nIntroduced by our paper \nAdelani et al. (2023) \nAdelani et al. (2023) \nScialom et al. (2020) \nScialom et al. (2020) \nCreutz (2018) \nYang et al. (2019) \nMay (2021) \nChen et al. (2022) \nhttps://huggingface.co/datasets/Lajavaness/SICK-fr \nBawden et al. (2021) \nGoyal et al. (2021) \nLefebvre-Brossard et al. (2023) \nIntroduced by our paper \nLefebvre-Brossard et al. (2023) \nLouis and Spanakis (2022) \nIntroduced by our paper \nCreated from Fabbri et al. (2021) \n\nLicense \nN/A \nAFL-3.0 \nN/A \nN/A \nN/A \nN/A \nMIT \nMIT \nApache-2.0 \nAFL-3.0 \nAFL-3.0 \nOther \nOther \nCC-BY-NC-4.0 \nOther \nN/A \nN/A \nApache-2.0 \nCC-BY-SA-4.0 \nCC-BY-SA-4.0 \nMIT \nApache-2.0 \nMIT \nCC-BY-NC-SA-4.0 \nApache-2.0 \nMIT \n\n# samples \n5000 \n422 \n2974 \n2974 \n3193 \n3193 \n2556 \n2556 \n26233 \n422 \n422 \n15828 \n15828 \n1007 \n2000 \n1379 \n104 \n4906 \n5748 \n1012 \n2316 - 2975 - 22064 \n100 - 100 - 917 \n2316 - 2556 \n222 - 22600 \n100 - 90 \n100 - 1100 - 1600 \n\nTable 3: Details of the data used for each task. The average number of tokens of texts is computed using the \ncl100k_base tokenizer. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant \ndocuments and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are \nobtained from the 90 dataset’s documents. For Retrieval datasets, the two numbers refer to the queries and the \ndocuments, respectively. For SummEvalFr, the three numbers refer to the texts, human and machine summaries. \nReferences to all the datasets used are available.", + "page_start": 12, + "page_end": 12, + "source_file": "arxiv4.pdf" + }, + { + "text": "In line with the third objective, we explicit below \nthe studied characteristics of embedding models \nthat will be discussed with the results. \n\n7SummEvalFr available at: https://huggingface.co/ \ndatasets/lyon-nlp/summarization-summeval-fr-p2p \nhttps: \n8SyntecReranking \n\nat: \n//huggingface.co/datasets/lyon-nlp/ \nmteb-fr-reranking-syntec-s2p \ning available at: \nlyon-nlp/mteb-fr-reranking-alloprof-s2p \n\navailable \n\nand AlloprofRerank- \nhttps://huggingface.co/datasets/ \n\n• Embedding dimension: This critical element \ninfluences the expressiveness of the represen-", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv4.pdf" + }, + { + "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video- \nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using \na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, \niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. \nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from \nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream \ntasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on \nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on \nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining. \n\nFrozen Evaluation w/ Att. Pooling Fine-Tuning \n\n#Samples \nSeen K400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 \niNat21 K400-ft \n(16×5×3) SSv2-ft \n(16×2×3) Method Arch. Iter. \n\nMethods pretrained using pixel prediction \nOmniMAE \nVideoMAE \nHiera 75.1 \n71.1 \n68.9 ViT-L/16 \nViT-L/16 \nHiera-L 2400M 1170K \n410M \n400K \n770M 1500K 65.6 \n77.8 \n75.5 60.6 \n65.5 \n64.2 14.4 \n21.6 \n15.8 59.8 \n59.3 \n58.5 66.1 \n64.6 \n56.9 84.0 \n85.4 \n87.3 74.2 \n74.3 \n75.1 \n\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n|---|---|---|---|---|---|---|---|---|\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation \nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models \nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and \n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views \nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. \nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on \ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks \nrequiring static appearance-based features. \n\nVideo Tasks Image Tasks \n\nK400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 iNat21 \nArch. Params. Data \n\nIN22K \nLAION \nLVD-142M 79.7 \n81.8 \n83.4 50.0 \n34.8 \n50.6 66.5 \n70.2 \n68.4 85.7 \n83.6 \n88.8 \n\n66.5 \n65.4 \n66.2 \n61.2 \n64.7 59.4 \n60.6 \n59.1 \n60.6 \n59.5 65.7 \n72.4 \n65.5 \n68.3 \n61.7 \n\n630M \n1800M \n1100M \n\n200M \n630M \n630M \n1100M \n670M IN1K+K400 \nIN1K+SSv2 \nK400 \nUn.Hybrid \nK400 79.4 \n71.4 \n79.8 \n71.2 \n77.0 \n\n19.8 \n23.2 \n24.3 84.4 \n85.3 \n86.2 \n\n19.7 \n16.0 \n20.7 \n12.9 \n17.5 73.3 \n76.3 \n72.3 \n71.4 \n71.4 \n\nMethod \n\nMethods pretrained on Images \nI-JEPA \nOpenCLIP \nDINOv2 ViT-H/16512 \nViT-G/14 \nViT-g/14 \n\nMethods pretrained on Videos \nMVD \nOmniMAE \nVideoMAE \nVideoMAEv2 \nHiera ViT-L/16 \nViT-H/16 \nViT-H/16 \nViT-g/14 \nHiera-H \n\n| ViT-L/16 200M\nV-JEPA ViT-H/16 630M VideoMix2M\nViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n|---|---|---|---|---|---|---|\n| ViT-L/16 200M V-JEPA ViT-H/16 630M VideoMix2M ViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |", + "page_start": 6, + "page_end": 6, + "source_file": "arxiv3.pdf" + }, + { + "text": "Dataset \nSummEval \nSummEvalFr \nCorrelation En-Fr BLEU ROUGE-1 ROUGE-2 ROUGE-L \n0.205 \n0.276 \n0.70 0.292 \n0.302 \n0.85 0.099 \n0.117 \n0.80 0.193 \n0.194 \n0.84 \n\nTable 2: Average ROUGE and BLUE scores computed \nbetween machine summaries and human summaries \nfor the original English SummEval and its translation \nto French. The correlations of the individual scores \nbetween English and French are also reported. \n\n3.1.5 Similarity analysis \nWe investigate the proximity between the datasets’ \ntopics to give insights about the benchmark con- \ntents. The methodology introduced by Muen- \nnighoff et al. (2022), i.e. computing an average \nembedding of samples from each dataset, is used to \nbuild a dataset-similarity matrix (displayed in ap- \npendix Figure 3). The distances between averaged \nembedding vectors of each dataset (which range \nfrom 0.89 to 1 in Figure 3) remain hard to interpret \ninto a dataset semantic proximity. Thus, we com- \nplement this by observing the dataset’s clouds of \nembedding in a 2D plane using PCA in Figure 4. \nFigures 4 and 3 seem to correlate, showing high \nsimilarity between two datasets when the same \nunderlying data is used in different tasks. Dataset \ntopics are pretty close, with some exceptions, such \nas the Syntec dataset. As more datasets are added \nto the benchmark, this analysis will help select new \ndata that do not produce redundant results. It may \nalso help to understand the link between the results \nand the datasets’ topics. \n\n2023) where given the original human summary \nin English and its translation in French, the model \nrates the quality of the translation from 0 to 10, \nwith 0 being of very bad quality and 10 being ex- \ncellent. The prompt is available in Figure 8. Ad- \nditionally, we manually check random translations \nwith ratings between 9 and 10 to ensure the rating \nis relevant. We do the same for all translations with \na score less than 9 and correct them7 (see the rating \ndistribution in Table 6). \n\n3.1.4 Data for the Reranking task \n\nThe reranking task, as evaluated in MTEB, requires \ndatasets composed of a set of queries, each as- \nsociated with relevant and irrelevant documents. \nDespite our efforts, we found no French dataset \nthat natively exhibits such a structure. Thus, to \nevaluate this task, we built data for the reranking \ntask based on the Syntec and Alloprof (Lefebvre- \nBrossard et al., 2023) datasets. These already fea- \nture queries and labeled relevant documents. Irrele- \nvant ones were added using the following process: \n\n3.2 Models \n\nFor comparison on our benchmark, we selected \nvarious models to fulfil three objectives. \n\nIt was imperative to include \ntop performers from the MTEB benchmark \n(Muennighoff et al., 2022). We mainly se- \nlected multilingual models and some English \nmodels to asses their language-transferring \nabilities. Additionally, we integrated natively \nFrench transformer-based models such as \nCamemBERT (Martin et al., 2019), FlauBERT \n(Le et al., 2020) and even the very recent \nCroissantLLM (Faysse et al., 2024). \n\n• Quantity: The aim was to compare a substan- \ntial number of models (51 in total) to provide \ncomprehensive results, facilitating the com- \nmunity in selecting effective French models. \n\n• Relevance: \n\n• To avoid bias, we use the BM25 algorithm \n(Robertson and Jones, 1976) (which is a deter- \nministic method) to rank documents in terms \nof relevance regarding each query. \n\n• The top 10 documents that are not labeled as \n\nrelevant constitute the negative samples. \n\nWe recognize that this process leads to a high cor- \nrelation between the retrieval and reranking tasks. \nWe still think it is essential to make the latter avail- \nable, with an open door to future improvement8. \n• Variety: Diverse model types were included \nto offer an insightful analysis across vari- \nous model characteristics (dimension, training \nstrategy, etc.).", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv4.pdf" + }, + { + "text": "Figure 4: 2D projection of tasks’ data. 90 random samples per task’s data are embedded using multlingual-e5-small \nmodel (Wang et al., 2022). The embeddings are reduced to 2 dimensions using PCA. The centroid of each task’s \ndata is represented, along with the ellipse showing the standard deviation along each axis. \n\nTask type Model \n\nClassification (F1-score) \n\n0.60 (± 0.002) \n0.61 (± 0.001) \n0.6 (± 0.008) \n0.30 TF-IDF + LR \nTF-IDF + SVC \nCamemBERT (fine-tuned)*\nGPT-4 (ICL)**\n\nTopic Modeling TF-IDF + LDA \n0.49 (Coherence) \n-8.23 (Perplexity) \n\nTable 5: Baselines results for HAL on a classification \ntask and topic modeling. \n*CamemBERT was finetuned for 5 epochs with learn- \ning rate of 1e−4 (+ lr scheduler) and a batch size of 64. \n**Due to limited budget, we evaluate GPT-4 ICL ca- \npabilities on a limited subset of our dataset (600 first \nsamples from the test set that is generated using the \nsame seed as for other experiments). \n\nLabel \nshs # raw # mteb_eval Description \n58706 \n\nHuman and social sciences (Sci- \nences humaines et sociales) \nLife science [Biology] (Sciences du \nvivant [Biologie]) \nEngineering science (Sciences de \nl’ingénieur [Physics]) \nComputer Science (Informatique) \nEnvironment science (Sciences de \nl’environnement) \nPhysics (Physique) \nPlanet and Universe [Physics] \n(Planète et Univers [Physique]) \nMathematics (Mathématiques) \nChemistry (Chimie) \nCognitive sciences (Sciences cogni- \ntives) \nEconomy and quantitative finance \n(Économie et finance quantitative \nStatistics (Statistiques) \nOther (Autre) \nN/A \nNon-linear Science [Physics] (Sci- \nence non linéaire [Physique]) \nElectro-magnetism \nmagnétisme) \nInstrumentation [Physics] (Instru- \nmentation [Physique]) \nImage \n\n6701 \n\nsdv 11049 4803 \n\nspi 3601 3451 \n\ninfo \nsde 3446 \n2830 3263 \n2754 \n\nphys \nsdu 2003 \n1177 1926 \n1158 \n\nmath \nchim \nscco 862 \n764 \n652 824 \n734 \n619 \n\nqfin 183 N/A \n\nstat \nother \nstic \nnlin 52 \n18 \n14 \n12 N/A \nN/A \nN/A \nN/A \n\n(Electro- electromag 3 N/A \n\ninstrum 2 N/A \n\nimage 1 N/A \n\nTable 4: Distribution of classes in HAL the raw and \nmteb_eval subsets of the dataset. \n\n• Bitext Mining: F1 score \n\n• Classification: Accuracy \n\n• Clustering: V measure \n\n• Pair Classification: Average Precision (AP) \n\n• Reranking: Mean Average Precision (MAP) \n\n• Retrieval: Normalized Discounted Cumula- \n\ntive Gain at k (NDCG@k) \n\n• STS: Spearman correlation based on cosine \n\nsimilarity", + "page_start": 13, + "page_end": 13, + "source_file": "arxiv4.pdf" + }, + { + "text": "***5. Examining approaches to building a books data***\n***commons***\n\nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n\n*5a. Public domain and permissively licensed books*\n\n**Existing Project Example : The Pile v2**\n27 \n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28 \n\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \n\nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \n 29 \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. \nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non-fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n\n This is an illustrative example, and there are also other projects of this ilk. For instance, see the \n\n27 \nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co/blog/Pclanglais/common-corpus; see also https://huggingface.co/datasets/ \nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”) \n\n See Gao et al, supra note 8. \n28 \n\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and \n29 \n“Substantially Better.”*VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai- \ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", + "page_start": 12, + "page_end": 12, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "MasakhaNEWSClusteringP2P). Table 3 shows de- \ntails of each task data used for running the bench- \nmark. \n\n2019; Le et al., 2020). Most French models for \nsentence embeddings have been developed by the \nopen-source community2, by fine-tuning models \nlike CamemBERT(Martin et al., 2019) or Crois- \nsantLLM(Faysse et al., 2024). \n\nThis section describes the 3 new datasets we in- \ntroduce, quality checks performed and an analysis \nof the semantic similarities between datasets. \n\nBenchmarks Embedding models are generally \ncompared on specific tasks, such as information \nretrieval, STS or reranking (Thakur et al., 2021; \nAgirre et al., 2016; Wang et al., 2021). Other \nworks evaluate embedding models on multiple \ntasks (Wang et al., 2018; et al., 2022; Conneau and \nKiela, 2018) or compare meta-embeddings (García- \nFerrero et al., 2021). The most comprehensive \nbenchmark to date is MTEB (Muennighoff et al., \n2022). MTEB still has a critical limit: it mainly \nfocuses on English. Some initiatives already ex- \ntended this benchmark to other languages, such as \nChinese (Xiao et al., 2024) and German (Wehrli \net al., 2024). Our work comes with the same am- \nbition for French. It relies on the MTEB structure \nthat provides a solid basis for analysis and extends \nit to a new language. \n\n3.1.1 Syntec (Retrieval) \n\nThe Syntec French collective bargaining agree- \nment3 comprises around 90 articles. Despite its \ntopic, the language used does not feature the speci- \nficity of the legal vocabulary, making the data \nsuitable for benchmarking general-purpose mod- \nels. The articles have been scraped for use as doc- \numents. Four annotators were divided into two \ngroups. Each group was given half of the articles \nand asked to choose an article and write a question \nabout it. Each annotator wrote 25 questions. Thus, \na hundred questions have been manually created \nand paired with the articles containing the answer4. \nExamples of the dataset are available in the ap- \npendix Figure 5. This dataset could also be used \nfor text classification, clustering or topic modeling. \nRegarding quality checks, every article’s integrity \nhas been reviewed while manually creating ques- \ntions. We also manually checked that the questions \ncould only be answered using the annotated article. \n\n3 MTEB for French \n\nIn this section, we describe the datasets and the \nmodels that we propose for the French extension \nof MTEB. We also list the research questions we \nwant to discuss with the results. \n\n3.1.2 HAL (Clustering) \n\nHyper Articles en Ligne (HAL) is a French open \narchive of scholarly documents from all academic \nfields. Scrapping this resource, we fetched 85,000 \npublications in French5. We extracted IDs, titles \nand the author’s choice among domain labels. The \nlast 2 are provided by authors when submitting \ntheir papers to HAL. Since domain annotations are \nprovided, the dataset can be used for many tasks, \nsuch as topic modeling or text classification. To en- \nsure the dataset quality is suitable for a benchmark, \nfurther data cleaning has been performed: \n\n3.1 New Datasets", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv4.pdf" + }, + { + "text": "3.1 New Datasets \n\nWe identified 7 datasets relevant to French in the ex- \nisting MTEB, which we assume are of good quality. \nWe complemented these with 8 external relevant \ndatasets proposed in the literature, such as BSARD \n(Louis and Spanakis, 2022) and Alloprof (Lefebvre- \nBrossard et al., 2023), which are proven to be good \nquality. We created 3 new ones presented in Table 1 \nand assessed their quality with various procedures \nand metrics. In addition to all performed checks, \nwe run multiple models on these datasets and pro- \nvide results to show that they are neither trivial nor \nimpossible to solve (see Tables 10, 11, 12 and 13). \nTherefore, as of today, our French MTEB \nruns on 18 datasets. Some datasets are framed \ndifferently according to the task category they \nare used with. For example, MasakhaNEWS \ndataset \nis used for \nboth Classification (MasakhaNEWSClassification) \nand Clustering (MasakhaNEWSClusteringS2S and \n\n• Duplicates are eliminated, retaining unique \n\npublications for each field. \n\n• Irrelevant titles (due to API indexing mistakes) \nor titles in languages other than French have \nbeen manually removed. \n(Adelani et al., 2023) \n\n3https://www.syntec.fr/convention-collective/ \n4https://huggingface.co/datasets/lyon-nlp/ \nmteb-fr-retrieval-syntec-s2p \n5https://huggingface.co/datasets/lyon-nlp/ \n2Models on the HuggingFace hub: sentence-camebert, \nsentence_croissant_alpha_v0.3, Solon-embeddings-large-0.1. \nclustering-hal-s2s \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv4.pdf" + }, + { + "text": "the other models. However, other models should be \nconsidered for their performance on specific tasks, \nbeing open source or having a small embedding \ndimension. \n\nThis work opens several doors for future im- \nprovements. By examining dataset diversity in \nterms of topics and model ranking, we observe \nthat the benchmark would benefit from additional \ndatasets that introduce higher diversity. Beyond \nclassification, many tasks focus on semantic simi- \nlarity, explaining the strong performance of models \ntrained for similarity. Exploring novel tasks in the \ngenerative spectrum or evaluating token embed- \ndings (contextualized or not) on tasks like Named \nEntity Recognition could be an interesting path \nfor future exploration. There are also opportuni- \nties for improvements on the model side. With \nnumerous existing models that could be added to \nthe leaderboard and many new proposals awaiting. \nFor instance, we can already see the promising ca- \npabilities of early variants of recent models (Faysse \net al., 2024) and expect that future proposals will \ncome to compete strongly with closed-source mod- \nels. Ultimately, we hope to see the emergence of \nother language-specific MTEB variants (e.g. for \nhigh-resource languages like Spanish and German), \nenabling a more comprehensive evaluation of mul- \ntilingual model performance. \n\nThe datasets correlation w.r.t model ranking are \npresented in appendix Figure 12. Except for \ntwo datasets (MasakhaNEWSClusteringP2P, Sum- \nmEvalFr), the correlations, on average, are high. \nThere is still enough diversity to make each dataset \ninteresting for the French MTEB benchmark. Two \ngroups (SyntecReranking/ SyntecRetrieval, Mas- \nsiveScenarioClassification/ MTOPDomainClassi- \nfication/ MassiveIntentClassification) exhibit no- \ntably high correlations (∼0.97). It is interesting \nto point out some sub-diagonal correlation blocks. \nThe datasets being arranged by task indicate that \nmodels behave slightly more similarly within the \nsame task than between two different tasks. This \nunderscores the importance of having multiple \ntasks in the benchmark to select general-purpose \nmodels. For readers interested in specific tasks, \nit is more relevant to examine task-specific rank- \nings rather than the overall one. The complemen- \ntary results of model correlations w.r.t to strengths \nand weaknesses on datasets are displayed in ap- \npendix Figure 11. Strong correlations in behavior \nemerge among the variants of the same models \n(e.g. DistilBERT, sentence-croissant, sentence-t5, \ne5, etc.). Correlations are also generally observed \namong numerous models trained using the sentence \ntransformers framework (Reimers and Gurevych, \n2019), as well as proprietary models, e.g. from \nCohere and OpenAI. Conversely, these models fine- \ntuned for sentence similarity, show minimal cor- \nrelation with pre-trained models for which token- \nembedding pooling techniques are employed.", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv4.pdf" + } + ] + }, + { + "references": { + "source_file": "news1.pdf", + "query": "Where will the 2024 AI + Energy summit take place ?", + "target_page": 1, + "target_passage": "The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "ARTS AND ENTERTAINMENT \n\nNew Artificial Intelligence Summit Series Begins With \nEnergy \n\n07/31/2024 \n\n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain \n\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative \n\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit \n\nSeries. \n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, \n\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and \n\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant \n\nenergy future. The event also aims to address the implications of AI and energy for national security and promote \n\npartnerships between AI and energy stakeholders. \n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy \n\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in \n\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced \n\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research. \n\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy, \n\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and \n\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American \n\nadversaries could gain the upper hand in AI leadership, according to SCSP experts. \n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan. \n\nArticle Link \n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with… \n\n\n\n\n\nMar 06, 2024 Mar 06, 2024 \n\nCelebrate St. Patrick's Day with Say Hello to Your Big Break at the \n\nNo Booze, Just Pure Irish Fun and Stapleton Library Job Fair in \n\nEntertainment Vocation, Trade, or Civil Service", + "page_start": 0, + "page_end": 0, + "source_file": "news1.pdf" + }, + { + "text": ". \n0 \n. \n4 \nY \nB \nC \nC \n\nr \ne \nd \nn \nu \nd \ne \ns \nn \ne \nc \ni \nl \ne \nr \na \ns \no \nt \no \nh \np \n\nC \nC \n\n\n\n**cc global summit**\n\nOver 300 attendees from 45 countries joined us this past October in \nMexico City for the first in-person**CC Global Summit**since 2019. The \ntheme was AI & the Commons with over 60 sessions and 180 speakers. \n**Learn more here.**\n\n**Thank you to our sponsors:**John D. and Catherine T. MacArthur \nFoundation, Microsoft Corporation, Filecoin Foundation for the \nDecentralized Web, Akin, Anthropic, Mozilla Foundation, The Michelson \n20MM Foundation, MHz Curationist, Frontiers Media, Arnold & Porter, \nand Crowell & Moring.", + "page_start": 5, + "page_end": 5, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the \nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314] \n28 countries including the United States, China, and the European Union issued a declaration at the start \nof the summit, calling for international co-operation to manage the challenges and risks of artificial \nintelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety \ncommitments on the development of AI.[317][318] \n\n**History**\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. \nThe study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, \nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical \nreasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and \nneurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They \ndeveloped several areas of research that would become part of AI,[322] such as McCullouch and Pitts \ndesign for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery \nand Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was \nplausible.[323][320] \n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees \nbecame the leaders of AI research in the 1960s.[t] They and their students produced programs that the \npress described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems \nin algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were \nset up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320] \n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in \ncreating a machine with general intelligence and considered this the goal of their field.[327] In 1965 \nHerbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can \ndo\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating \n'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty \nof the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in \nresponse to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund \nmore productive projects.[332] Minsky's and Papert's book*Perceptrons*was understood as proving that \nartificial neural networks would never be useful for solving real-world tasks, thus discrediting the \napproach altogether.[333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, \nfollowed.[9] \n\nIn the early 1980s, AI research was revived by the commercial success of expert systems,[334] a form of \nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for \nAI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired \nthe U.S. and British governments to restore funding for academic research.[8] However, beginning with \nthe collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer- \nlasting winter began.[10]", + "page_start": 21, + "page_end": 21, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Declaration\" (https://www.gov.uk/government/news/countries-agree-to-safe-and-responsible \n-development-of-frontier-ai-in-landmark-bletchley-declaration).*GOV.UK*(Press release). \nArchived (https://web.archive.org/web/20231101115016/https://www.gov.uk/government/ne \nws/countries-agree-to-safe-and-responsible-development-of-frontier-ai-in-landmark-bletchle \ny-declaration) from the original on 1 November 2023. Retrieved 1 November 2023. \n\n317. \"Second global AI summit secures safety commitments from companies\" (https://www.reuter \ns.com/technology/global-ai-summit-seoul-aims-forge-new-regulatory-agreements-2024-05-2 \n1). Reuters. 21 May 2024. Retrieved 23 May 2024. \n\n318. \"Frontier AI Safety Commitments, AI Seoul Summit 2024\" (https://web.archive.org/web/2024 \n0523201611/https://www.gov.uk/government/publications/frontier-ai-safety-commitments-ai- \nseoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-2024). gov.uk. 21 May \n2024. Archived from the original (https://www.gov.uk/government/publications/frontier-ai-safe \nty-commitments-ai-seoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-202 \n4) on 23 May 2024. Retrieved 23 May 2024. \n\n319. Russell & Norvig 2021, p. 9. \n320. Copeland, J., ed. (2004).*The Essential Turing: the ideas that gave birth to the computer*\n\n*age*. Oxford, England: Clarendon Press. ISBN 0-1982-5079-7. \n\n321. \"Google books ngram\" (https://books.google.com/ngrams/graph?content=electronic+brain& \nyear_start=1930&year_end=2019&corpus=en-2019&smoothing=3). Archived (https://web.ar \nchive.org/web/20241005170209/https://books.google.com/ngrams/graph?content=electronic \n+brain&year_start=1930&year_end=2019&corpus=en-2019&smoothing=3) from the original \non 5 October 2024. Retrieved 5 October 2024. \n\n322. AI's immediate precursors: McCorduck (2004, pp. 51–107), Crevier (1993, pp. 27–32), \n\nRussell & Norvig (2021, pp. 8–17), Moravec (1988, p. 3) \n\n323. Turing's original publication of the Turing test in \"Computing machinery and intelligence\": \n\nTuring (1950) Historical influence and philosophical implications: Haugeland (1985, pp. 6– \n9), Crevier (1993, p. 24), McCorduck (2004, pp. 70–71), Russell & Norvig (2021, pp. 2, 984)", + "page_start": 47, + "page_end": 47, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Areas of Exploration**\n\n**Support for Creators in the**\n**Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via \nroundtables, community conferences \n(e.g.**MozFest**,**Wikimania**), and public \nevents (e.g. symposium on**Generative**\n**AI & Creativity**)to debate copyright law, \nthe ethics of open sharing, and other \nrelevant areas that touch AI. \n\nAt our CC Global Summit, participants \ndrafted**community-driven principles**\non AI that are a valuable input and will \nhelp inform the organization’s thinking \nas we determine CC’s exact role in the AI \nspace. \n\n\n\n“The Pillars of Creation” by \nJames Webb Space Telescope \nis licensed under CC BY 2.0.", + "page_start": 8, + "page_end": 8, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "energy will be produced. The cost for re-opening and upgrading is estimated at $1.6 billion (US) and is \ndependent on tax breaks for nuclear power contained in the 2022 US Inflation Reduction Act.[210] The \nUS government and the state of Michigan are investing almost $2 billion (US) to reopen the Palisades \nNuclear reactor on Lake Michigan. Closed since 2022, the plant is planned to be reopened in October \n2025. The Three Mile Island facility will be renamed the Crane Clean Energy Center after Chris Crane, a \nnuclear proponent and former CEO of Exelon who was responsible for Exelon spinoff of \nConstellation.[211] \n\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of \nTaoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages.[212] Taiwan aims to \nphase out nuclear power by 2025.[212] On the other hand, Singapore imposed a ban on the opening of \ndata centers in 2019 due to electric power, but in 2022, lifted this ban.[212] \n\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident, \naccording to an October 2024*Bloomberg*article in Japanese, cloud gaming services company Ubitus, in \nwhich Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for \ngenerative AI.[213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and \nstable power for AI.[213] \n\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application \nsubmitted by Talen Energy for approval to supply some electricity from the nuclear power station \nSusquehanna to Amazon's data center.[214] According to the Commission Chairman Willie L. Phillips, it \nis a burden on the electricity grid as well as a significant cost shifting concern to households and other \nbusiness sectors.[214] \n\n**Misinformation**\n\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI \nprograms were given the goal of maximizing user engagement (that is, the only goal was to keep people \nwatching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme \npartisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch \nmore content on the same subject, so the AI led people into filter bubbles where they received multiple \nversions of the same misinformation.[215] This convinced many users that the misinformation was true, \nand ultimately undermined trust in institutions, the media and the government.[216] The AI program had \ncorrectly learned to maximize its goal, but the result was harmful to society. After the U.S. election in \n2016, major technology companies took steps to mitigate the problem . \n\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real \nphotographs, recordings, films, or human writing. It is possible for bad actors to use this technology to \ncreate massive amounts of misinformation or propaganda.[217] AI pioneer Geoffrey Hinton expressed \nconcern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among \nother risks.[218] \n\n**Algorithmic bias and fairness**\nMachine learning applications will be biased[k] if they learn from biased data.[220] The developers may \nnot be aware that the bias exists.[221] Bias can be introduced by the way training data is selected and by \nthe way a model is deployed.[222][220] If a biased algorithm is used to make decisions that can seriously", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed \napproach is to envision a separate*sui generis*system of protection for creations generated by AI to ensure \nfair attribution and compensation for human authors.[197] \n\n**Dominance by tech giants**\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple \nInc., Meta Platforms, and Microsoft.[198][199][200] Some of these players already own the vast majority of \nexisting cloud infrastructure and computing power from data centers, allowing them to entrench further in \nthe marketplace.[201][202] \n\n**Power needs and environmental impacts**\n\nIn January 2024, the International Energy Agency (IEA) released*Electricity 2024, Analysis and Forecast*\n*to 2026*, forecasting electric power use.[203] This is the first IEA report to make projections for data \ncenters and power consumption for artificial intelligence and cryptocurrency. The report states that power \ndemand for these uses might double by 2026, with additional electric power usage equal to electricity \nused by the whole Japanese nation.[204] \n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay \nclosings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of \ndata centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) \ninto voracious consumers of electric power. Projected electric consumption is so immense that there is \nconcern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the \nelectrical energy as a Google search. The large firms are in haste to find power sources – from nuclear \nenergy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually \nkinder to the environment, but they need the energy now. AI makes the power grid more efficient and \n\"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to \ntechnology firms.[205] \n\nA 2024 Goldman Sachs Research Paper,*AI Data Centers and the Coming US Power Demand Surge*, \nfound \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, \nby 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for \nthe electrical power generation industry by a variety of means.[206] Data centers' need for more and more \nelectrical power is such that they might max out the electrical grid. The Big Tech companies counter that \nAI can be used to maximize the utilization of the grid by all.[207] \n\nIn 2024, the*Wall Street Journal*reported that big AI companies have begun negotiations with the US \nnuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a \nPennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said \nnuclear power is a good option for the data centers.[209] \n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three \nMile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the \nplant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in \n1979, will require Constellation to get through strict regulatory processes which will include extensive \nsafety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US \nre-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of", + "page_start": 13, + "page_end": 13, + "source_file": "wikipedia3.pdf" + }, + { + "text": "200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 \n6/big-tech-and-the-pursuit-of-ai-dominance).*The Economist*. 26 March 2023. Archived (http \ns://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/ \nbig-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023. \n\n201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww \n\nw.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html).*CNN Business*. Archived \n(https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloud- \ncompetition-and-ai/index.html) from the original on 13 January 2024. \n\n202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w \n\nww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html).*The*\n*New York Times*. Archived (https://web.archive.org/web/20240708214644/https://www.nytim \nes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original \non 8 July 2024. Retrieved 5 October 2024. \n\n203. \"Electricity 2024 – Analysis\" (https://www.iea.org/reports/electricity-2024).*IEA*. 24 January \n\n2024. Retrieved 13 July 2024. \n\n204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's \n\nonly the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener \ngy-experts-expect-it-to-double-in-just-a-few-years).*Vox*. New York, New York. Archived (http \ns://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172 \n1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original \non 3 July 2024. Retrieved 5 October 2024. \n\n205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech \nfirms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2 \n1/artificial-intelligence-nuclear-fusion-climate/?utm_campaign=wp_post_most&utm_medium \n=email&utm_source=newsletter&wpisrc=nl_most&carta-url=https%3A%2F%2Fs2.washingto \nnpost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f \n20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4).*Washington Post*. \n\n206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web. \narchive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res \nearch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf) \n(PDF).*Goldman Sachs*. Archived from the original (https://www.goldmansachs.com/intellige \nnce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg \ne/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024. \n\n207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http \ns://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e).*Wall Street*\n*Journal*. Dow Jones. \n\n208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https:// \nwww.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7 \n5316?mod=djem10point).*Wall Street Journal*. Dow Jones. Archived (https://web.archive.or \ng/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc \nk-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October \n2024. Retrieved 5 October 2024. \n\n209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to \n\nFeed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s \nays-nuclear-power-an-option-to-feed-data-centers).*Bloomberg*.", + "page_start": 41, + "page_end": 41, + "source_file": "wikipedia3.pdf" + }, + { + "text": "213. Mochizuki, Takashi; Oda, Shoko (18 October 2024). \"エヌビディア出資の⽇本企業、原発近 \nくでＡＩデータセンター新設検討\" (https://www.bloomberg.co.jp/news/articles/2024-10-18/S \nLHGKKT0AFB400).*Bloomberg*(in Japanese). \n\n214. Naureen S Malik and Will Wade (5 November 2024). \"Nuclear-Hungry AI Campuses Need \n\nNew Plan to Find Power Fast\" (https://www.bloomberg.com/news/articles/2024-11-04/nucle \nar-hungry-ai-campuses-need-new-strategy-to-find-power-fast). Bloomberg. \n\n215. Nicas (2018). \n216. Rainie, Lee; Keeter, Scott; Perrin, Andrew (22 July 2019). \"Trust and Distrust in America\" (ht \ntps://www.pewresearch.org/politics/2019/07/22/trust-and-distrust-in-america).*Pew Research*\n*Center*. Archived (https://web.archive.org/web/20240222000601/https://www.pewresearch.or \ng/politics/2019/07/22/trust-and-distrust-in-america) from the original on 22 February 2024. \n\n217. Williams (2023). \n218. Taylor & Hern (2023). \n219. Samuel, Sigal (19 April 2022). \"Why it's so damn hard to make AI fair and unbiased\" (https:// \nwww.vox.com/future-perfect/22916602/ai-bias-fairness-tradeoffs-artificial-intelligence).*Vox*. \nArchived (https://web.archive.org/web/20241005170153/https://www.vox.com/future-perfect/ \n22916602/ai-bias-fairness-tradeoffs-artificial-intelligence) from the original on 5 October \n2024. Retrieved 24 July 2024. \n\n220. Rose (2023). \n221. CNA (2019). \n222. Goffrey (2008), p. 17. \n223. Berdahl et al. (2023); Goffrey (2008, p. 17); Rose (2023); Russell & Norvig (2021, p. 995) \n224. Christian (2020), p. 25. \n225. Russell & Norvig (2021), p. 995. \n226. Grant & Hill (2023). \n227. Larson & Angwin (2016). \n228. Christian (2020), p. 67–70. \n229. Christian (2020, pp. 67–70); Russell & Norvig (2021, pp. 993–994) \n230. Russell & Norvig (2021, p. 995); Lipartito (2011, p. 36); Goodman & Flaxman (2017, p. 6); \n\n274. Pittis, Don (4 May 2023). \"Canadian artificial intelligence leader Geoffrey Hinton piles on \n\nfears of computer takeover\" (https://www.cbc.ca/news/business/ai-doom-column-don-pittis- \n1.6829302).*CBC*. Archived (https://web.archive.org/web/20240707032135/https://www.cbc. \nca/news/business/ai-doom-column-don-pittis-1.6829302) from the original on 7 July 2024. \nRetrieved 5 October 2024. \n\n275. \" '50–50 chance' that AI outsmarts humanity, Geoffrey Hinton says\" (https://www.bnnbloomb \n\nerg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394). \n*Bloomberg BNN*. 14 June 2024. Retrieved 6 July 2024. \n\n276. Valance (2023). \n277. Taylor, Josh (7 May 2023). \"Rise of artificial intelligence is inevitable but should not be \n\nfeared, 'father of AI' says\" (https://www.theguardian.com/technology/2023/may/07/rise-of-arti \nficial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says).*The Guardian*. \nArchived (https://web.archive.org/web/20231023061228/https://www.theguardian.com/techn \nology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father- \nof-ai-says) from the original on 23 October 2023. Retrieved 26 May 2023.", + "page_start": 42, + "page_end": 42, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**From the B Platform**\n\n\nCLIO \n\n\nMARCH/MICRA \n\nNISSAN Value-Up has set aggressive objectives for sustainable growth at Nissan, and Alliance \n\nsupport is a key to attaining those objectives. While its role is not rigidly defined, the Alliance will \n\nnevertheless be an integral player in the process. \n\nA major change in the Alliance is that Carlos Ghosn now serves as CEO of Renault and \n\nNissan. As the chair of the executive committees for both companies, he has an invaluable dual \n\nperspective that will help us solve major issues, identify fresh opportunities, and create more \n\nstrategic discussions within the Alliance board. “Synergy” is an overused word, but in this case \n\nan entirely appropriate one. \n\nAn example of this purposeful fusion is in benchmarking competition. Confidentiality \n\neffectively prevents the accurate comparison of performance between two different companies. \n\nHowever, the Alliance transparency policy between Nissan and Renault makes such disclosures \n\nnatural and beneficial, presenting opportunities to identify avenues of progress from two angles. \n\nEngineering is one specific area where the Alliance presents opportunities for better \n\ncoordination and resource optimization. Powertrains offer a practical example by combining the \n\nexpertise and industrial capacity of the current Renault and Nissan workforce, both partners can \n\nupgrade the quantity and quality of their output. When engineers challenge each other, better \n\n**From the C Platform**\n\n\nMEGANE \n\n\nSERENA \n\nconcepts are the rule rather than the exception. \n\nAnother prospective area for synergy is in General Overseas Markets (GOM). Further \n\noptimization of the Alliance will help us to penetrate these widely dispersed markets, particularly \n\nwhere one partner is present and the other is not. For totally new markets, both companies will \n\nmeet to decide which will enter first. This is more than just a sales and marketing strategy; it is \n\nalso about production optimization. One company can use the other’s production capacity to test \n\na new market, which lowers cost and risk. \n\nA key here is that both companies must operate in tandem. We will only pursue \n\nopportunities that offer a win-win situation. If it is not mutually beneficial, we will either find a way \n\nto balance the equation or abandon the project. \n\nIn 2004, the Alliance released its Vision-Destination paper to clarify the cooperative aspects \n\nthat would make both partners successful. It reinforced this unique partnership and set precise \n\ntargets for the Alliance, including becoming one of the top three automotive groups in quality, \n\nkey technologies, and total operating profit. Vision-Destination created a positive environment of \n\nintramural competition. \n\nThe real importance of the Alliance lies in its potential. The two companies do not exist in \n\nseparate worlds, but they do possess different cultures and strengths. Renault is strong in \n\nEurope, which is good for Nissan. Nissan is strong in Japan and North America, which is good \n\nfor Renault. We can challenge each other, and in doing so, drive ourselves to greater heights.", + "page_start": 32, + "page_end": 32, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "news1.pdf", + "query": "What is the United States SCSP ?", + "target_page": 1, + "target_passage": "he Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "ARTS AND ENTERTAINMENT \n\nNew Artificial Intelligence Summit Series Begins With \nEnergy \n\n07/31/2024 \n\n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain \n\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative \n\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit \n\nSeries. \n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, \n\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and \n\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant \n\nenergy future. The event also aims to address the implications of AI and energy for national security and promote \n\npartnerships between AI and energy stakeholders. \n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy \n\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in \n\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced \n\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research. \n\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy, \n\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and \n\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American \n\nadversaries could gain the upper hand in AI leadership, according to SCSP experts. \n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan. \n\nArticle Link \n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with… \n\n\n\n\n\nMar 06, 2024 Mar 06, 2024 \n\nCelebrate St. Patrick's Day with Say Hello to Your Big Break at the \n\nNo Booze, Just Pure Irish Fun and Stapleton Library Job Fair in \n\nEntertainment Vocation, Trade, or Civil Service", + "page_start": 0, + "page_end": 0, + "source_file": "news1.pdf" + }, + { + "text": "**Security Key Lifecycle Manager**\nSecurity Key Lifecycle Manager (SKLM) centralizes, simplifies, and automates the encryption \nkey management process to help minimize risk and reduce operational costs of encryption \nkey management. \n\n**Serial-attached SCSI**\nSAS is a method that is used in accessing computer peripheral devices that employs a serial \n(1 bit at a time) means of digital data transfer over thin cables. The method is specified in the \nAmerican National Standard Institute standard called SAS. In the business enterprise, SAS is \nuseful for access to mass storage devices, particularly external hard disk drives. \n\n**Service Location Protocol**\nThe Service Location Protocol (SLP) is an internet service discovery protocol that enables \ncomputers and other devices to find services in a local area network (LAN) without prior \nconfiguration. It was defined in the request for change (RFC) 2608. \n\n**Small Computer System Interface (SCSI)**\nSmall Computer System Interface (SCSI) is an ANSI-standard electronic interface with which \npersonal computers can communicate with peripheral hardware, such as disk drives, tape \ndrives, CD-ROM drives, printers, and scanners, faster and more flexibly than with previous \ninterfaces. \n\n**Snapshot**\nA snapshot is an image backup type that consists of a point-in-time view of a volume. \n\n**Solid-state disk**\nA solid-state disk (SSD) or Flash Disk is a disk that is made from solid-state memory and \ntherefore has no moving parts. Most SSDs use NAND-based flash memory technology. It is \ndefined to the Storwize V7000 as a disk tier generic_ssd. \n\n**Space efficient**\nSee “Thin provisioning” on page 786. \n\n**Spare**\nAn extra storage component, such as a drive or tape, that is predesignated for use as a \nreplacement for a failed component. \n\n**Spare goal**\nThe optimal number of spares that are needed to protect the drives in the array from failures. \nThe system logs a warning event when the number of spares that protect the array drops \nbelow this number. \n\n**Space-efficient volume**\nFor more information about a space-efficient volume, see “Thin-provisioned volume” on \npage 786. \n\n**Stand-alone relationship**\nIn FlashCopy, Metro Mirror, and Global Mirror, relationships that do not belong to a \nconsistency group and that have a null consistency-group attribute.", + "page_start": 806, + "page_end": 806, + "source_file": "sg247938.pdf" + }, + { + "text": "9. RETIREMENT BENEFIT PLANS \n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), tax-qualified \npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts \nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain \nforeign consolidated subsidiaries have defined benefit and contribution plans. \nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as \nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans: \n\n*Thousands of*\n*U.S. dollars*\n2004 \n*Mar. 31, 2005*\n\nRetirement benefit obligation....................................................................................................................................... ¥(1,217,260) \n500,815 \nPlan assets at fair value .................................................................................................................................................... \n(716,445) \nUnfunded retirement benefit obligation............................................................................................................... \n120,718 \nUnrecognized net retirement benefit obligation at transition ........................................................... \n154,689 \nUnrecognized actuarial gain or loss........................................................................................................................ \n(66,720) \nUnrecognized prior service cost................................................................................................................................. \n(507,758) \nNet retirement benefit obligation .............................................................................................................................. \n445 \nPrepaid pension cost........................................................................................................................................................... \nAccrued retirement benefits.......................................................................................................................................... ¥ (508,203) \n$(11,376,262) \n4,680,514 \n(6,695,748) \n1,128,206 \n1,445,691 \n(623,551) \n(4,745,402) \n4,159 \n$ (4,749,561) \n\n*Millions of yen*\n\n2004 \n*Mar. 31, 2005* 2003 \n*Mar. 31, 2004* *As of*\n\n¥(1,041,483) \n377,169 \n(664,314) \n131,666 \n152,867 \n(61,833) \n(441,614) \n652 \n¥ (442,266) \n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", + "page_start": 83, + "page_end": 83, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on \nthe products and services each provides. Each segment is managed and evaluated separately because of differing \ntechnologies and marketing strategies. \n\nThe reporting segments and the nature of their activities are as follows: \n\nShenandoah Telecommunications Company (Holding) \nHolding company, which invests in both affiliated \nand non-affiliated companies. \n\nShenandoah Telephone Company (Telephone) \n\nProvides both regulated and unregulated telephone \nservices and leases fiber optic facilities primarily \nthroughout the Northern Shenandoah Valley. \n\nShenandoah Cable Television Company (CATV) \nProvides cable television service in Shenandoah \nCounty. \n\nShenTel Service Company (ShenTel) \n\nProvides Internet access to a multi-state region \nsurrounding the Northern Shenandoah Valley, hosts \nTravel 511 for Virginia, and sells and services \ntelecommunication equipment. \n\nShenandoah Long Distance Company (Long Distance) Provides long distance services. \n\nShenandoah Network Company (Network) Leases interstate fiber optic facilities. \n\nShenTel Communications Company (Shen Comm) Provides DSL services as a CLEC operation. \n\nShenandoah Personal Communications Company (PCS) \n\nAs a PCS Affiliate of Sprint, provides digital wireless \nservice to a portion of a four-state area covering the \nregion from Harrisburg, York and Altoona, \nPennsylvania, to Harrisonburg, Virginia. \n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting \npolicies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties. \n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows: \n\nConsolidated \nTotals Year \n\nTelephone \n*(in thousands)*\n**$ 65**\n$ 45 \n$104 **2003**\n2002 \n2001 **$ (441)**\n$ (822) \n$ (1,218) **$ (376)**\n$ (777) \n$ (1,114)", + "page_start": 36, + "page_end": 36, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "UNITED STATES \nSECURITIES AND EXCHANGE COMMISSION \nWashington, D.C. 20549 \nFORM 10-Q \n\n(Mark One) \nx QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF \n1934 \n\nFor the quarterly period ended September 30, 2024 \nOR \no TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF \n1934 \n\nFor the transition period from__ ____ ___to__ ____ ___\n\nCommission File Number: 001-34756 \n\nTesla, Inc. \n\n(Exact name of registrant as specified in its charter) \n\nTexas 91-2197729 \n\n(State or other jurisdiction of \nincorporation or organization) (I.R.S. Employer \nIdentification No.) \n\n1 Tesla Road \nAustin, Texas \n(Address of principal executive offices) 78725 \n(Zip Code) \n\n(512) 516-8177 \n(Registrant’s telephone number, including area code) \nSecurities registered pursuant to Section 12(b) of the Act: \n\n| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |\n|---|---|---|\n| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |\n| Common stock | TSLA | The Nasdaq Global Select Market |\n\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of \n\n1934 (“Exchange Act”) during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been \nsubject to such filing requirements for the past 90 days. Yes x No o \n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 \n\nof Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). \nYes x No o \n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or \n\nan emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth \ncompany” in Rule 12b-2 of the Exchange Act: \n\nx Accelerated filer \n\no Smaller reporting company \n\no \n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised \nfinancial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o \nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x \nAs of October 18, 2024, there were 3,210,059,659 shares of the registrant’s common stock outstanding.", + "page_start": 0, + "page_end": 0, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Finally, with regard to our solid waste transportation operations, we are subject to the jurisdiction of the \nSurface Transportation Board and are regulated by the Federal Highway Administration, OÇce of Motor \nCarriers, and by regulatory agencies in states that regulate such matters. Various states have enacted or \npromulgated, or are considering enacting or promulgating, laws and regulations that would restrict the \ninterstate transportation and processing of solid waste. In 1978, the U.S. Supreme Court ruled that a law that \nrestricts the importation of out-of-state solid waste was unconstitutional; however, states have attempted to \ndistinguish proposed laws from that involved in and implicated by that ruling. In 1994, the Supreme Court \nruled that a Öow control law, which attempted to restrict solid waste from leaving its place of generation, \nimposed an impermissible burden upon interstate commerce, and, therefore, was unconstitutional; however, \nstates have also attempted to distinguish proposed laws from that involved in and implicated by that ruling. In \nresponse to these Supreme Court rulings, the U.S. Congress has considered passing legislation authorizing \nstates and local governments to restrict the free movement of solid waste in interstate commerce. If federal \nlegislation authorizing state and local governments to restrict the free movement of solid waste in interstate \ncommerce is enacted, such legislation could adversely aÅect our operations. \n\nWe have established a reserve for landÑll and environmental costs, which includes landÑll site Ñnal \ncapping, closure and post-closure costs. We periodically reassess such costs based on various methods and \nassumptions regarding landÑll airspace and the technical requirements of Subtitle D of RCRA and adjust our \nrates used to expense Ñnal capping, closure and post-closure costs accordingly. Based on current information \nand regulatory requirements, we believe that our reserves for such landÑll and environmental expenditures are \nadequate. However, environmental laws may change, and there can be no assurance that our reserves will be \nadequate to cover requirements under existing or new environmental laws and regulations, future changes or \ninterpretations of existing laws and regulations, or the identiÑcation of adverse environmental conditions \npreviously unknown to us. See \"\"Management's Discussion and Analysis of Financial Condition and Results of \nOperations Ì LandÑll and Environmental Matters'' and \"\"Risk Factors Ì Compliance with environmental \nregulation may impede our growth.'' \n\n**Liability Insurance and Bonding**\n\nThe nature of our business exposes our company to the risk of liabilities arising out of our operations, \nincluding possible damages to the environment. Such potential liabilities could involve, for example, claims for \nremediation costs, personal injury, property damage and damage to the environment in cases where we may be \nheld responsible for the escape of harmful materials; claims of employees, customers or third parties for \npersonal injury or property damage occurring in the course of our operations; or claims alleging negligence in \nthe planning or performance of work. We could also be subject to Ñnes and civil and criminal penalties in \nconnection with alleged violations of regulatory requirements. Because of the nature and scope of the possible \nenvironmental damages, liabilities imposed in environmental litigation can be signiÑcant. Our solid waste \noperations have third party environmental liability insurance with limits in excess of those required by permit \nregulations, subject to certain limitations and exclusions. However, we cannot assure you that the limits of \nsuch environmental liability insurance would be adequate in the event of a major loss, nor can we assure you \nthat we would continue to carry excess environmental liability insurance should market conditions in the \ninsurance industry make such coverage costs prohibitive.", + "page_start": 19, + "page_end": 19, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**PART III**\n\nThe information required by Items 10, 11, 12 (except for the information required by Item 201(d) of \nRegulation S-K), 13 and 14 of Part III of Form 10-K will be set forth in the Proxy Statement of the Company \nrelating to the 2005 Annual Meeting of Stockholders and is incorporated by reference herein. \n\n**Number of**\n**Securities to be**\n**Issued Under**\n**Exercise of**\n**Outstanding**\n**Options, Warrants**\n**and Rights** **Weighted-Average**\n**Exercise Price of**\n**Outstanding**\n**Options, Warrants**\n**and Rights** **Plan Category**\n\n**ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND**\n**MANAGEMENT**\n\nThe following table sets forth certain information regarding equity compensation plans as of Decem- \nber 31, 2004 (number of securities in millions): \n\n**Number of**\n**Securities Remaining**\n**Available for**\n**Future Issuance**\n**Under Equity**\n**Compensation Plans**\n**Excluding Securities**\n**ReÖected in**\n**Column A**\n\nEquity compensation plans approved by \n\nsecurity holders ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nEquity compensation plans not approved \nby security holders ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n11.1 $18.51 6.0 \n\nÌ Ì Ì \n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 11.1 $18.51 6.0", + "page_start": 96, + "page_end": 96, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**Note 1. Summary of Significant Accounting Policies**\n\n***Description of business:***Shenandoah Telecommunications Company and subsidiaries (the Company) provides \ntelephone service, wireless personal communications service (PCS) under the Sprint brand name, cable television, \nunregulated communications equipment sales and services, Internet access, and paging services. In addition, the \nCompany leases towers and operates and maintains an interstate fiber optic network. The Company's operations are \nlocated in the four state region surrounding the Northern Shenandoah Valley of Virginia. Pursuant to a management \nagreement with Sprint Communications Company and its related parties (collectively, “Sprint”), the Company is the \nexclusive PCS Affiliate of Sprint providing wireless mobility communications network products and services in the \ngeographic area extending from Altoona, Harrisburg and York, Pennsylvania, south through Western Maryland, and \nthe panhandle of West Virginia, to Harrisonburg, Virginia. The Company is licensed to use the Sprint brand name in \nthis territory, and operates its network under the Sprint radio spectrum license (Note 7). A summary of the Company's \nsignificant accounting policies follows: \n\n***Stock split:***All share and per share information reflect the two for one stock split announced in October 2003, to \nshareholders of record as of the close of business on January 30, 2004. The additional shares were distributed on \nFebruary 20, 2004. The effective date of the split is February 23, 2004. All previously reported share and per share \ndata included herein are retroactively adjusted to reflect the split. \n\n***Principles of consolidation:***The consolidated financial statements include the accounts of all wholly owned \nsubsidiaries and other entities where effective control is exercised. All significant intercompany balances and \ntransactions have been eliminated in consolidation. \n\n***Use of estimates:***Management of the Company has made a number of estimates and assumptions related to the \nreporting of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the consolidated \nfinancial statements and the reported amounts of revenues and expenses during the reporting periods. Management \nreviews its estimates, including those related to recoverability and useful lives of assets as well as liabilities for income \ntaxes and pension benefits. Changes in facts and circumstances may result in revised estimates and actual results could \ndiffer from those reported estimates. \n\n***Cash and cash equivalents:***The Company considers all temporary cash investments purchased with a maturity of \nthree months or less to be cash equivalents. The Company places its temporary cash investments with high credit \nquality financial institutions. At times, these investments may be in excess of FDIC insurance limits. Cash and cash \nequivalents were $28.7million, $2.2 million, and $2.0 million at December 31, 2003, 2002 and 2001, respectively.", + "page_start": 19, + "page_end": 19, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "that we have committed to such as debt service requirements and dividend payments. Our deÑnition of free \ncash Öow may not be comparable to similarly titled measures presented by other companies. \n\n**Seasonality**\n\nOur operations can be adversely aÅected by periods of inclement weather which could increase the \nvolume of waste collected under our existing contracts (without corresponding compensation), delay the \ncollection and disposal of waste, reduce the volume of waste delivered to our disposal sites, or delay the \nconstruction or expansion of our landÑll sites and other facilities. \n\n**New Accounting Pronouncements**\n\nOn December 16, 2004, the Financial Accounting Standards Board issued Statement of Financial \nAccounting Standards No. 123 (revised 2004), \"\"Share-Based Payment,'' which is a revision of SFAS 123, \n\"\"Accounting for Stock-Based Compensation.'' SFAS 123(R) supersedes APB Opinion No. 25, \"\"Accounting \nfor Stock Issued to Employees,'' and amends SFAS 95, \"\"Statement of Cash Flows.'' Generally, the approach \nin SFAS 123(R) is similar to the approach described in SFAS 123. However, SFAS 123(R) requires all \nshare-based payments to employees, including grants of employee stock options, to be recognized in the \nincome statement based on their fair values. Pro forma disclosure is no longer an alternative. \n\nSFAS 123(R) must be adopted by public companies no later than July 1, 2005. Early adoption will be \npermitted in periods in which Ñnancial statements have not been issued. We expect to adopt SFAS 123(R) on \nJuly 1, 2005. \n\nSFAS 123(R) permits public companies to adopt its requirements using one of two methods: \n\n1. A \"\"modiÑed-prospective'' method in which compensation cost is recognized beginning with the \neÅective date (a) based on the requirements of SFAS 123(R) for all share-based payments granted after \nthe eÅective date and (b) based on the requirements of SFAS 123 for all awards granted to employees \nprior to the eÅective date of SFAS 123(R) that remain unvested on the eÅective date. \n\n2. A \"\"modiÑed-retrospective'' method which includes the requirements of the modiÑed-prospective \nmethod described above, but also permits entities to restate based on the amounts previously reÖected in \ntheir SFAS 123 pro forma disclosures either (a) all prior periods presented or (b) prior interim periods of \nthe year of adoption. \n\nAs permitted by SFAS 123, the company currently accounts for share-based payments to employees \nusing APB 25's intrinsic value method and, as such, generally recognizes no compensation cost for employee \nstock options. Accordingly, the adoption of SFAS 123(R)'s fair value method may have a signiÑcant impact \non our result of operations, although it will have no impact on our overall Ñnancial position. The impact of \nadoption of SFAS 123(R) cannot be predicted at this time because it will depend on levels of share-based \npayments granted in the future. SFAS 123(R) requires the beneÑts of tax deductions in excess of recognized \ncompensation cost to be reported as a Ñnancing cash Öow, rather than as an operating cash Öow as required \nunder current literature. This requirement will reduce net operating cash Öows and increase net Ñnancing cash \nÖows in periods after adoption. While the Company cannot estimate what those amounts will be in the future \n(because they depend on, among other things, when employees exercise stock options), the amount of \noperating cash Öows recognized in prior periods for such excess tax deductions were $10.6 million, \n$6.7 million, and $4.0 million in 2004, 2003 and 2002, respectively.", + "page_start": 56, + "page_end": 56, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**PRE-TAX FREE CASH FLOW**\n(IN MILLIONS OF DOLLARS) \n\n**2013** **$2,044**\n\n2012 $2,029 \n\n$1,973 \n\n*Shelf Prospectuses*\nOur \ntwo shelf prospectuses expired in January 2014. One shelf \nprospectus qualified the public offering of our debt securities in each of \nthe provinces of Canada (Canadian Shelf) and the other \nshelf \nprospectus (together with a corresponding registration statement filed \nwith the US Securities and Exchange Commission) qualified the public \noffering of our debt securities in the United States and Ontario (US \nShelf). We issued an aggregate of US$2.5 billion of debt securities \nunder the US Shelf during 2013 and, in 2012, we issued an aggregate", + "page_start": 63, + "page_end": 63, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "news1.pdf", + "query": "What are some example of uses AI by the US departement of energy ?", + "target_page": 1, + "target_passage": "The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed \napproach is to envision a separate*sui generis*system of protection for creations generated by AI to ensure \nfair attribution and compensation for human authors.[197] \n\n**Dominance by tech giants**\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple \nInc., Meta Platforms, and Microsoft.[198][199][200] Some of these players already own the vast majority of \nexisting cloud infrastructure and computing power from data centers, allowing them to entrench further in \nthe marketplace.[201][202] \n\n**Power needs and environmental impacts**\n\nIn January 2024, the International Energy Agency (IEA) released*Electricity 2024, Analysis and Forecast*\n*to 2026*, forecasting electric power use.[203] This is the first IEA report to make projections for data \ncenters and power consumption for artificial intelligence and cryptocurrency. The report states that power \ndemand for these uses might double by 2026, with additional electric power usage equal to electricity \nused by the whole Japanese nation.[204] \n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay \nclosings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of \ndata centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) \ninto voracious consumers of electric power. Projected electric consumption is so immense that there is \nconcern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the \nelectrical energy as a Google search. The large firms are in haste to find power sources – from nuclear \nenergy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually \nkinder to the environment, but they need the energy now. AI makes the power grid more efficient and \n\"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to \ntechnology firms.[205] \n\nA 2024 Goldman Sachs Research Paper,*AI Data Centers and the Coming US Power Demand Surge*, \nfound \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, \nby 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for \nthe electrical power generation industry by a variety of means.[206] Data centers' need for more and more \nelectrical power is such that they might max out the electrical grid. The Big Tech companies counter that \nAI can be used to maximize the utilization of the grid by all.[207] \n\nIn 2024, the*Wall Street Journal*reported that big AI companies have begun negotiations with the US \nnuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a \nPennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said \nnuclear power is a good option for the data centers.[209] \n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three \nMile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the \nplant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in \n1979, will require Constellation to get through strict regulatory processes which will include extensive \nsafety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US \nre-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of", + "page_start": 13, + "page_end": 13, + "source_file": "wikipedia3.pdf" + }, + { + "text": "ARTS AND ENTERTAINMENT \n\nNew Artificial Intelligence Summit Series Begins With \nEnergy \n\n07/31/2024 \n\n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain \n\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative \n\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit \n\nSeries. \n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, \n\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and \n\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant \n\nenergy future. The event also aims to address the implications of AI and energy for national security and promote \n\npartnerships between AI and energy stakeholders. \n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy \n\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in \n\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced \n\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research. \n\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy, \n\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and \n\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American \n\nadversaries could gain the upper hand in AI leadership, according to SCSP experts. \n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan. \n\nArticle Link \n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with… \n\n\n\n\n\nMar 06, 2024 Mar 06, 2024 \n\nCelebrate St. Patrick's Day with Say Hello to Your Big Break at the \n\nNo Booze, Just Pure Irish Fun and Stapleton Library Job Fair in \n\nEntertainment Vocation, Trade, or Civil Service", + "page_start": 0, + "page_end": 0, + "source_file": "news1.pdf" + }, + { + "text": "Artificial intelligent (AI) agents are software entities designed to \nperceive their environment, make decisions, and take actions \nautonomously to achieve specific goals. These agents can interact \nwith users, their environment, or other agents. AI agents are used \nin various applications, including virtual assistants, chatbots, \nindustrial \nautonomous vehicles, game-playing systems, and \nrobotics. AI agents operate within the constraints of their \nprogramming, available computational resources, and hardware \nlimitations. This means they are restricted to performing tasks \nwithin their defined scope and have finite memory and processing \ncapabilities. In real-world applications, AI agents often face time \nconstraints for decision-making and action execution. Many AI \nagents incorporate learning algorithms, enabling them to improve \ntheir performance over time through experience or training. Using \nmachine learning, AI agents can adapt to new situations and \noptimise their behaviour for their designated tasks.[175][176][177] \n\n**Other industry-specific tasks**\n\nThere are also thousands of successful AI applications used to solve specific problems for specific \nindustries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in \nsome offerings or processes.[178] A few examples are energy storage, medical diagnosis, military \nlogistics, applications that predict the result of judicial decisions, foreign policy, or supply chain \nmanagement. \n\nAI applications for evacuation and disaster management are growing. AI has been used to investigate if \nand how people evacuated in large scale and small scale evacuations using historical data from GPS, \nvideos or social media. Further, AI can provide real time information on the real time evacuation \nconditions.[179][180][181] \n\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments \nor increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict \nthe ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct \npredictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests, \nand save water. \n\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and \napplications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the \ndevelopment of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting \nsolar activity, and distinguishing between signals and instrumental effects in gravitational wave \nastronomy. Additionally, it could be used for activities in space, such as space exploration, including the \nanalysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance, \nand more autonomous operation.", + "page_start": 11, + "page_end": 11, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Berryhill, Jamie; Heang, Kévin Kok; Clogher, Rob; McBride, Keegan (2019).*Hello, World:*\n\n*Artificial Intelligence and its Use in the Public Sector*(https://oecd-opsi.org/wp-content/uploa \nds/2019/11/AI-Report-Online.pdf) (PDF). Paris: OECD Observatory of Public Sector \nInnovation. Archived (https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp \n-content/uploads/2019/11/AI-Report-Online.pdf) (PDF) from the original on 20 December \n2019. Retrieved 9 August 2020. \n\nBertini, M; Del Bimbo, A; Torniai, C (2006). \"Automatic annotation and semantic retrieval of \nvideo sequences using multimedia ontologies\".*MM '06 Proceedings of the 14th ACM*\n*international conference on Multimedia*. 14th ACM international conference on Multimedia. \nSanta Barbara: ACM. pp. 679–682. \n\nBostrom, Nick (2014).*Superintelligence: Paths, Dangers, Strategies*. Oxford University Press. \nBostrom, Nick (2015). \"What happens when our computers get smarter than we are?\" (https://w \nww.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_w \ne_are/transcript). TED (conference). Archived (https://web.archive.org/web/2020072500571 \n9/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smart \ner_than_we_are/transcript) from the original on 25 July 2020. Retrieved 30 January 2020. \nBrooks, Rodney (10 November 2014). \"artificial intelligence is a tool, not a threat\" (https://web.a \nrchive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-th \nreat). Archived from the original (http://www.rethinkrobotics.com/artificial-intelligence-tool-thr \neat) on 12 November 2014. \n\nBrooks, Rodney (1990). \"Elephants Don't Play Chess\" (http://people.csail.mit.edu/brooks/paper \n\ns/elephants.pdf) (PDF).*Robotics and Autonomous Systems*.**6**(1–2): 3–15. \nCiteSeerX 10.1.1.588.7539 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.588. \n7539). doi:10.1016/S0921-8890(05)80025-9 (https://doi.org/10.1016%2FS0921-8890%280 \n5%2980025-9). Archived (https://web.archive.org/web/20070809020912/http://people.csail. \nmit.edu/brooks/papers/elephants.pdf) (PDF) from the original on 9 August 2007. \n\nBuiten, Miriam C (2019). \"Towards Intelligent Regulation of Artificial Intelligence\" (https://doi.org/ \n\n10.1017%2Ferr.2019.8).*European Journal of Risk Regulation*.**10**(1): 41–59. \ndoi:10.1017/err.2019.8 (https://doi.org/10.1017%2Ferr.2019.8). ISSN 1867-299X (https://sea \nrch.worldcat.org/issn/1867-299X). \n\nBushwick, Sophie (16 March 2023), \"What the New GPT-4 AI Can Do\" (https://www.scientificam \n\nerican.com/article/what-the-new-gpt-4-ai-can-do/),*Scientific American*, archived (https://we \nb.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-ne \nw-gpt-4-ai-can-do/) from the original on 22 August 2023, retrieved 5 October 2024 \n\nButler, Samuel (13 June 1863). \"Darwin among the Machines\" (https://nzetc.victoria.ac.nz/tm/sc \nholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html). Letters to the Editor.*The Press*. Christchurch, \nNew Zealand. Archived (https://web.archive.org/web/20080919172551/http://www.nzetc.org/ \ntm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html) from the original on 19 September 2008. \nRetrieved 16 October 2014 – via Victoria University of Wellington. \n\nButtazzo, G. (July 2001). \"Artificial consciousness: Utopia or real possibility?\".*Computer*.**34**\n\n(7): 24–30. doi:10.1109/2.933500 (https://doi.org/10.1109%2F2.933500). \n\nCambria, Erik; White, Bebo (May 2014). \"Jumping NLP Curves: A Review of Natural Language \nProcessing Research [Review Article]\".*IEEE Computational Intelligence Magazine*.**9**(2): \n48–57. doi:10.1109/MCI.2014.2307227 (https://doi.org/10.1109%2FMCI.2014.2307227). \nS2CID 206451986 (https://api.semanticscholar.org/CorpusID:206451986). \n\nCellan-Jones, Rory (2 December 2014). \"Stephen Hawking warns artificial intelligence could", + "page_start": 53, + "page_end": 53, + "source_file": "wikipedia3.pdf" + }, + { + "text": "energy will be produced. The cost for re-opening and upgrading is estimated at $1.6 billion (US) and is \ndependent on tax breaks for nuclear power contained in the 2022 US Inflation Reduction Act.[210] The \nUS government and the state of Michigan are investing almost $2 billion (US) to reopen the Palisades \nNuclear reactor on Lake Michigan. Closed since 2022, the plant is planned to be reopened in October \n2025. The Three Mile Island facility will be renamed the Crane Clean Energy Center after Chris Crane, a \nnuclear proponent and former CEO of Exelon who was responsible for Exelon spinoff of \nConstellation.[211] \n\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of \nTaoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages.[212] Taiwan aims to \nphase out nuclear power by 2025.[212] On the other hand, Singapore imposed a ban on the opening of \ndata centers in 2019 due to electric power, but in 2022, lifted this ban.[212] \n\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident, \naccording to an October 2024*Bloomberg*article in Japanese, cloud gaming services company Ubitus, in \nwhich Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for \ngenerative AI.[213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and \nstable power for AI.[213] \n\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application \nsubmitted by Talen Energy for approval to supply some electricity from the nuclear power station \nSusquehanna to Amazon's data center.[214] According to the Commission Chairman Willie L. Phillips, it \nis a burden on the electricity grid as well as a significant cost shifting concern to households and other \nbusiness sectors.[214] \n\n**Misinformation**\n\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI \nprograms were given the goal of maximizing user engagement (that is, the only goal was to keep people \nwatching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme \npartisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch \nmore content on the same subject, so the AI led people into filter bubbles where they received multiple \nversions of the same misinformation.[215] This convinced many users that the misinformation was true, \nand ultimately undermined trust in institutions, the media and the government.[216] The AI program had \ncorrectly learned to maximize its goal, but the result was harmful to society. After the U.S. election in \n2016, major technology companies took steps to mitigate the problem . \n\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real \nphotographs, recordings, films, or human writing. It is possible for bad actors to use this technology to \ncreate massive amounts of misinformation or propaganda.[217] AI pioneer Geoffrey Hinton expressed \nconcern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among \nother risks.[218] \n\n**Algorithmic bias and fairness**\nMachine learning applications will be biased[k] if they learn from biased data.[220] The developers may \nnot be aware that the bias exists.[221] Bias can be introduced by the way training data is selected and by \nthe way a model is deployed.[222][220] If a biased algorithm is used to make decisions that can seriously", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. 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Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Simon, H. A. (1965),*The Shape of Automation for Men and Management*, New York: Harper & \n\nRow \n\nSimonite, Tom (31 March 2016). \"How Google Plans to Solve Artificial Intelligence\" (https://www. \ntechnologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligence). \n*MIT Technology Review*. Archived (https://web.archive.org/web/20240916003430/https://ww \nw.technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligenc \ne/) from the original on 16 September 2024. Retrieved 5 October 2024. \n\nSmith, Craig S. (15 March 2023). \"ChatGPT-4 Creator Ilya Sutskever on AI Hallucinations and \n\nAI Democracy\" (https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sutsk \never-on-ai-hallucinations-and-ai-democracy).*Forbes*. 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Retrieved 24 April 2018. \n\nThro, Ellen (1993).*Robotics: The Marriage of Computers and Machines*(https://archive.org/det \nails/isbn_9780816026289). New York: Facts on File. ISBN 978-0-8160-2628-9. Archived (htt \nps://web.archive.org/web/20200726131505/https://archive.org/details/isbn_9780816026289) \nfrom the original on 26 July 2020. Retrieved 22 August 2020. \n\nToews, Rob (3 September 2023). \"Transformers Revolutionized AI. What Will Replace Them?\"", + "page_start": 63, + "page_end": 63, + "source_file": "wikipedia3.pdf" + }, + { + "text": "McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for \n\nthe Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w \neb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). \nArchived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. \nhtml) on 26 August 2007. Retrieved 30 August 2007. \n\nMcCarthy, John (2007), \"From Here to Human-Level AI\",*Artificial Intelligence*, p. 171 \nMcCarthy, John (1999),*What is AI?*(http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde \nx.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi \ncial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved \n4 December 2022 \n\nMcCauley, Lee (2007). \"AI armageddon and the three laws of robotics\".*Ethics and Information*\n*Technology*.**9**(2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo \nc/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% \n2Fs10676-007-9138-2). 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Full Employment, Basic Income,*\n*and Economic Democracy*(https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \np. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 \n9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 \n39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \narchived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper \ns.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023 \nMerkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, \nGraham (eds.).*Search Methodologies: Introductory Tutorials in Optimization and Decision*\n*Support Techniques*. Springer Science & Business Media. ISBN 978-1-4614-6940-7. \nMinsky, Marvin (1967),*Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: \n\nPrentice-Hall \n\nMoravec, Hans (1988).*Mind Children*(https://archive.org/details/mindchildrenfutu00mora). \n\nHarvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 \n0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 \nJuly 2020. Retrieved 18 November 2019. \n\nMorgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new \ns/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a \nnd-anxiety).*The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// \nwww.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une \nmployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved \n13 January 2018. \n\nMüller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among \nExperts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF).*AI Matters*.**1**(1): 9–11. \ndoi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). \nS2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. \narchive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) \nfrom the original on 15 January 2016.", + "page_start": 60, + "page_end": 60, + "source_file": "wikipedia3.pdf" + }, + { + "text": "for a new energy future with greater natural gas usage and increased \ndomestic oil production as two of its primary attributes, it is encouraging \nto see our political leadership finally grasp that natural gas stands alone \nas the only affordable, scalable and immediately available alternative to \nforeign oil and that U.S. oil production can be increased significantly in \nthe years ahead. \n\nThe combination of these vast new discoveries of unconventional \nnatural gas and liquids provides America with a unique future path- \nway toward greater energy independence, an industrial renaissance, \neconomic rejuvenation and greater national security. I remain fully con- \nfident that the marketplace understands this and that over time the U.S. \nwill more fully embrace and utilize clean, affordable, abundant American \nnatural gas and increased domestic oil production as the best alterna- \ntives to burning environmentally challenged coal and expensive and \ndangerous foreign oil. \n\nThe events of the past few months have unmistakably driven home \nthe fact that it is insanity to rely on the Middle East to provide our econ- \nomy’s lifeline of oil. This should be especially obvious when one realizes \nthat during the next 10 years, America will likely export at least another \n$4 trillion in national wealth to oil exporters around the world. Clearly, \nour country must demand from its leaders a new and more sustainable \nenergy future. \n\nThere is now a clear road ahead toward a more sustainable, afford- \nable, dynamic and independent future if America embraces the remark- \nable gift of energy abundance that Chesapeake has helped discover in \nthe U.S. You have my commitment, and the commitment of more than \n\n\n\n\n\n10,000 other Chesapeake employees, that every day we are working \nhard to create shareholder value and a better future for our communi- \nties, our states and our country through the continued discovery and \ndevelopment of unconventional natural gas and liquids. \n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power*\n*telemetry systems that provide pumpers with real-time information on oil and water*\n*tank levels to alarm them when levels near capacity, preventing tank spills.*\n\nThe good news, however, is that America can now secure a new \nenergy future thanks to Chesapeake and a handful of other leading U.S. \nE&P companies that have reinvented the process of finding natural gas \nand oil during the past five years. In doing so, we have discovered twice \nthe resources of natural gas in the U.S. that Saudi Arabia possesses in oil. \nFurthermore, these same few companies that led the unconventional \nnatural gas revolution have in just the past two years also reinvented \nthe way in which we can find large new oil resources onshore in the U.S. \nIn fact, I believe the U.S. can possibly increase its production of oil from \nthe current 5.8 million barrels per day by 30–50% during the next 5–10 \nyears, thereby potentially reaching the President’s 2025 goal of reducing \nforeign oil imports by 33%, 5–10 years earlier than hoped. \n\nBest regards,", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "181. Zhao, Xilei; Lovreglio, Ruggiero; Nilsson, Daniel (1 May 2020). \"Modelling and interpreting \n\npre-evacuation decision-making using machine learning\" (https://www.sciencedirect.com/sci \nence/article/pii/S0926580519313184).*Automation in Construction*.**113**: 103140. \ndoi:10.1016/j.autcon.2020.103140 (https://doi.org/10.1016%2Fj.autcon.2020.103140). \nhdl:10179/17315 (https://hdl.handle.net/10179%2F17315). ISSN 0926-5805 (https://search. \nworldcat.org/issn/0926-5805). Archived (https://web.archive.org/web/20240519121548/http \ns://www.sciencedirect.com/science/article/abs/pii/S0926580519313184) from the original on \n19 May 2024. Retrieved 5 October 2024. \n\n182. \"India's latest election embraced AI technology. Here are some ways it was used \n\nconstructively\" (https://www.pbs.org/newshour/world/indias-latest-election-embraced-ai-tech \nnology-here-are-some-ways-it-was-used-constructively).*PBS News*. 12 June 2024. \nRetrieved 28 October 2024. \n\n183. Müller, Vincent C. (30 April 2020). \"Ethics of Artificial Intelligence and Robotics\" (https://plat \n\no.stanford.edu/archives/fall2023/entries/ethics-ai/).*Stanford Encyclopedia of Philosophy*\n*Archive*. Archived (https://web.archive.org/web/20241005165650/https://plato.stanford.edu/a \nrchives/fall2023/entries/ethics-ai/) from the original on 5 October 2024. Retrieved 5 October \n2024. \n\n184. Simonite (2016). \n185. Russell & Norvig (2021), p. 987. \n186. Laskowski (2023). \n187. GAO (2022). \n188. Valinsky (2019). \n189. Russell & Norvig (2021), p. 991. \n190. Russell & Norvig (2021), pp. 991–992. \n191. Christian (2020), p. 63. \n192. Vincent (2022). \n193. Kopel, Matthew. \"Copyright Services: Fair Use\" (https://guides.library.cornell.edu/copyright/f \nair-use).*Cornell University Library*. Archived (https://web.archive.org/web/20240926194057/ \nhttps://guides.library.cornell.edu/copyright/fair-use) from the original on 26 September 2024. \nRetrieved 26 April 2024. \n\n194. Burgess, Matt. \"How to Stop Your Data From Being Used to Train AI\" (https://www.wired.co \nm/story/how-to-stop-your-data-from-being-used-to-train-ai).*Wired*. ISSN 1059-1028 (https:// \nsearch.worldcat.org/issn/1059-1028). Archived (https://web.archive.org/web/202410031801 \n00/https://www.wired.com/story/how-to-stop-your-data-from-being-used-to-train-ai/) from the \noriginal on 3 October 2024. Retrieved 26 April 2024. \n\n195. Reisner (2023). \n196. Alter & Harris (2023). \n197. \"Getting the Innovation Ecosystem Ready for AI. An IP policy toolkit\" (https://www.wipo.int/e \ndocs/pubdocs/en/wipo-pub-2003-en-getting-the-innovation-ecosystem-ready-for-ai.pdf) \n(PDF).*WIPO*. \n\n198. Hammond, George (27 December 2023). \"Big Tech is spending more than VC firms on AI \n\nstartups\" (https://arstechnica.com/ai/2023/12/big-tech-is-spending-more-than-vc-firms-on-ai- \nstartups).*Ars Technica*. Archived (https://web.archive.org/web/20240110195706/https://arst \nechnica.com/ai/2023/12/big-tech-is-spending-more-than-vc-firms-on-ai-startups) from the \noriginal on 10 January 2024. \n\n199. Wong, Matteo (24 October 2023). \"The Future of AI Is GOMA\" (https://www.theatlantic.com/t \n\nechnology/archive/2023/10/big-ai-silicon-valley-dominance/675752).*The Atlantic*. Archived \n(https://web.archive.org/web/20240105020744/https://www.theatlantic.com/technology/archi \nve/2023/10/big-ai-silicon-valley-dominance/675752) from the original on 5 January 2024.", + "page_start": 40, + "page_end": 40, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HNI_2003.pdf", + "query": "How can I contact Investor Relations of HON industries through email ?", + "target_page": 63, + "target_passage": "E-mail: investorrelations@honi.com", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**S C H E D U L E O F Q U A R T E R L Y**\n**R E S U L T S**\n**I N V E S T O R R E L A T I O N S** **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades \n\non the New York Stock Exchange under the \n\nsymbol: HNI. Stock price quotations can be \n\nfound in major daily newspapers and*The*\n\n*Wall Street Journal*. \n\n**T R A N S F E R A G E N T**\n\nShareholders may report a change of address \n\nor make inquiries by writing or calling: \n\nComputershare Investor Services, LLC \n\n2 North LaSalle Street \n\nChicago, IL 60602 \n\nTelephone: 312.588.4991 \n\nSend inquiries to: \nThe Company operates on a fiscal year ending \nInvestor Relations \non the Saturday nearest December 31. Quar- \nHON INDUSTRIES Inc. \nterly results are typically announced within 25 \n414 East Third Street \ndays after the end of each quarter, and audited \nMuscatine, IA 52761 \nresults are typically announced within 40 days \nTelephone: 563.264.7400 \nafter year-end. \nFax: 563.264.7655 \n\nE-mail: investorrelations@honi.com \n\n**F I S C A L 2 0 0 4**\n**Q U A R T E R - E N D D A T E S**\n**C O R P O R A T E H E A D Q U A R T E R S**\n1st Quarter: Saturday, April 3 \nHON INDUSTRIES Inc. \n2nd Quarter: Saturday, July 3 \n414 East Third Street \n3rd Quarter: Saturday, October 2 \nP.O. Box 1109 \n4th Quarter: Saturday, January 1 \nMuscatine, IA 52761-0071 \n\nTelephone: 563.264.7400 **A N N U A L M E E T I N G**\n\nThe Company’s annual shareholders’ meeting Fax: 563.264.7217 \n\nwill be held at 10:30 a.m. on May 4, 2004, at Website: www.honi.com \n\nthe Holiday Inn, Highways 61 & 38 North, \n\n**I N D E P E N D E N T P U B L I C**\n**A C C O U N T A N T S**\nMuscatine, Iowa. Shareholders and other \n\ninterested investors are encouraged to attend \nPricewaterhouseCoopers LLP \nthe meeting. \nOne North Wacker Drive \n\nChicago, IL 60606 \n\n**F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to **•**changes in demand and order patterns from the Company’s customers, par- \n\nplans, objectives, and future financial performance, are “forward-looking” state- ticularly its top ten customers, which represented approximately 36% of net sales \n\nments that are made pursuant to the safe harbor provisions of the Private Securities in 2003; \n\nLitigation Reform Act of 1995. Forward-looking statements involve known and **•** issues associated with acquisitions and integration of acquisitions; \n\nunknown risks, which may cause the Company’s actual results in the future to dif- **•**the ability of the Company to realize cost savings and productivity improve- \n\nfer materially from expected results. These risks include, among others: ments from its cost containment and business simplification initiatives; \n\n**•**competition within the office furniture and fireplace industries, including **•**the ability of the Company to realize financial benefits from investments in new \n\ncompetition from imported products and competitive pricing; products; \n\n**•** increases in the cost of raw materials, including steel, which is the Company’s **•**the ability of the Company’s distributors and dealers to successfully market \n\nK \nR \nO \nY \n\nW \nE \nN \n, \n\nO \nI \nD \nU \nT \nS \n\nL \nE \nU \nQ \nE \nS \n: \n\nN \nG \nI \nS \nE \nD \n\nlargest raw material category; and sell the Company’s products; \n\n**•** increases in the cost of health care benefits provided by the Company; **•**the availability and cost of capital to finance planned growth; and \n\n**•**reduced demand for the Company’s storage products caused by changes in **•**other risks, uncertainties, and factors described from time to time in the \n\noffice technology; including the change from paper record storage to electronic Company’s filings with the Securities and Exchange Commission. \n\nrecord storage; We caution the reader that the above list of factors may not be exhaustive. The", + "page_start": 62, + "page_end": 62, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Dear Shareholders:**\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \n\nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \n\nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \n\ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day. \n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \n\na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \n\nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors. \n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \n\naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \n\nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years. \n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \n\nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \n\nHON INDUSTRIES governance practices were already in accord with the spirit of the rules. \n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man- \n\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance. \n\n\nStan A. Askren \n\n\nAbbie J. Smith \n\n\nDennis J. Martin \n\n\nGary M. Christensen \n\n Richard H. Stanley \n\n\nJack D. Michaels \n\n\nCheryl A. Francis \n\n\nBrian E. Stern \n\n\nJoseph Scalzo \n\n\n\n\n\nRobert L. Katz", + "page_start": 60, + "page_end": 60, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Nature of Operations** date. Equity securities are classified as available-for-sale and are stated \n\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a at current market value with unrealized gains and losses included as a \n\nprovider of office furniture and hearth products. Both industries are separate component of equity, net of any related tax effect. Debt securi- \n\nreportable segments; however, the Company’s office furniture business ties are classified as held-to-maturity and are stated at amortized cost. \n\nis its principal line of business. Refer to the Operating Segment The specific identification method is used to determine realized gains \n\nInformation note for further information. Office furniture products are and losses on the trade date. Short-term investments include municipal \n\nsold through a national system of dealers, wholesalers, mass merchan- bonds, money market preferred stock, and U.S. treasury notes. Long- \n\ndisers, warehouse clubs, retail superstores, end-user customers, and to term investments include U.S. government securities, municipal bonds, \n\nfederal and state governments. Dealer, wholesaler, and retail super- certificates of deposit, and asset- and mortgage-backed securities. \n\nstores are the major channels based on sales. Hearth products include \n\nAt January 3, 2004, and December 28, 2002, cash, cash \n\nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire- equivalents and investments consisted of the following (cost approxi- \n\nplace inserts, stoves, and gas logs. These products are sold through a mates market value): \n\nnational system of dealers, wholesalers, large regional contractors, and \n\nCash and \ncash \nequivalents Short- \nterm \ninvestments Long- \nterm \ninvestments \nCompany-owned retail outlets. The Company’s products are marketed \n*(In thousands)*\npredominantly in the United States and Canada. The Company exports \n\nY E A R - E N D 2 0 0 3 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nselect products to a limited number of markets outside North America, \n\n**$ 31,000**\n**–**\n**–**\n\n**$**\n\n**–**\n**–**\n**–** **$ 2,396**\n**–**\n**400**\nprincipally Latin America and the Caribbean, through its export subsid- \n\niary; however, based on sales, these activities are not significant. \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities \n\n**Summary of Significant Accounting Policies**\n\n**–**\n**–**\n**–** **4,259**\n**–**\n**60,949** **–**\n**–**\n**12,835**\n\n**107,982** **–** **–**\n\n**$ 138,982** **$ 65,208** **$ 15,631**\n\n***PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END***\n*Cash and money market accounts*\nThe consolidated financial statements include the accounts and trans- \n Total \nactions of the Company and its subsidiaries. Intercompany accounts \n\nY E A R - E N D 2 0 0 2 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nand transactions have been eliminated in consolidation. \n\n$ 82,300 \n– \n– \n\nThe Company follows a 52/53-week fiscal year which ends \n\non the Saturday nearest December 31. Fiscal year 2003 ended on \n\nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities – \n– \n– 3,478 \n 11,000 \n– \n\non December 29, 2001. The financial statements for fiscal year 2003 \n\nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n*Cash and money market accounts* 56,865 **–**\n52-week basis. \n$ 16,378 \n\n$ \n\n1,900 \n– \n– $ 5,396 \n11,995 \n400 \n\n– \n– \n7,098 \n\n**–**\n Total $ 24,889", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**FOR FURTHER INFORMATION,**\n**PLEASE CONTACT**\n\n**Investor Relations**\n**Nissan Motor Co., Ltd.**\nGlobal Communications, CSR and IR Division \n17-1, Ginza 6-chome, Chuo-ku \nTokyo 104-8023, Japan \nphone: +81(0)3-5565-2334 \nfax: +81(0)3-3546-2669 \ne-mail: nissan-ir@mail.nissan.co.jp", + "page_start": 111, + "page_end": 111, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \n\nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \n\nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \n\nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \n\nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \n\naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \n\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \n\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \n\nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \n\nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \n\nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera- \n\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002. \n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \n\nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \n\nIntangible Assets, on December 30, 2001. \n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \n\naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \n\nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \n\nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo- \n\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \n\nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \n\nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n\n2001 financial statements taken as a whole.", + "page_start": 57, + "page_end": 57, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "L E F T : St an A . A skren, P R E S I D E N T \n\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R \n\nAs we celebrate our 60th year, HON INDUSTRIES has seen leaner, more focused, and have more clearly defined brands \n\nmuch change. The industry has changed. The world has than ever before. Our challenge is to grow, aggressively and \n\nchanged. Our business has changed. What has not changed profitably, through market-driven solutions while maintain- \n\nare the culture and values on which we were founded: integ- ing focus on what we do best — operational excellence. Our \n\nrity, fairness, and respect — in the treatment of others, transformation continues: \n\ncontinuous improvement, and responsiveness to those who \n\nbuy our products and services. In our unique and powerful **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nmember-owner culture, throughout our history, every member We are investing significantly in our brands and increasing our \n\nhas had an opportunity to participate in making the business understanding of our diverse range of end-users and the solu- \n\nbetter. We did so again in 2003. tions they want. We are building market power through several \n\n We outperformed our peers. We grew our sales and initiatives: focused selling models; clear brand identity; tar- \n\nprofits. We gained market share by providing strong brands, geted advertising; expanded channel presence; and aggressive \n\ninnovative products and services, and greater value to our end- products and solutions development. We are strengthening our \n\nusers. We continued to increase our gross margins, a direct ability to be the “perfect match” with end-users in every seg- \n\nresult of our ongoing commitment to lean initiatives. We used ment we serve. \n\nour strong, positive cash flow to invest in our business for the \n\nlong term and returned profits to shareholders. We accom- **A C H I E V I N G B E S T T O T A L C O S T A N D**\n\nplished all of this in a very challenging economy and market. **L E A N E N T E R P R I S E**\n\n Although we are proud of what we achieved, our phi- “Best total cost” means more than being a low-cost manufac- \n\nlosophy of constructive discontent drives us to continue to turer. It requires us to think about the entire value stream — \n\nchallenge ourselves to do better. We believe to succeed in a where and how to manufacture, ship, install, outsource, \n\nbusiness environment of ongoing change and continuous trans- assemble, service, procure, and sell — all to provide the best \n\nformation we also must continue to change. Today, we are total value to our end-users. We implemented lean initiatives,", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "We, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to \n\nexceeding our customers’ expectations, and to making our company a great place to work. We will always treat each \n\nother, as well as customers, suppliers, shareholders, and our communities, with fairness and respect. \n\nOur success depends upon business simplification, rapid continuous improvement, and innovation in every- \n\nthing we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs: \n\n**W E W I L L B E P R O F I T A B L E .**\n\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an ade- \n\nquate profit can the other elements of this Vision be realized. \n\n**W E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .**\n\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and \n\npursuing profitable growth opportunities. We will safeguard our shareholders’ equity by maintaining a strong balance \n\nsheet to allow flexibility in responding to a continuously changing market and business environment. \n\n**W E W I L L P U R S U E P R O F I T A B L E G R O W T H .**\n\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and finan- \n\ncial success for all stakeholders. \n\n**W E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .**\n\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services \n\nexceed our customers’ expectations and enable our distributors and our company to make a fair profit. \n\n**W E W I L L B E A G R E A T P L A C E T O W O R K .**\n\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active \n\ninvolvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that \n\nattracts and retains the most capable people who work safely, are motivated, and are devoted to making our company \n\nand our members successful. \n\n**W E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .**\n\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which \n\nwe live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and \n\nprovides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, \n\nand governmental affairs of our society. \n\n**T O O U R S T A K E H O L D E R S :**\n\nWhen our company is appreciated by its*members,*favored by its*customers,*supported by its*suppliers,*respected by \n\n*the public,*and admired by its*shareholders,*this Vision is fulfilled. \n\n**H O N I N D U S T R I E S I n c . ( H N I )**\n\n**414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071**\n\n**www.honi.com**", + "page_start": 63, + "page_end": 63, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Investor Relations**\nThe Hartford Financial \nServices Group, Inc. \nHartford Plaza, HO-1-01 \nHartford, Connecticut 06115 \nAttn: Investor Relations \n860-547-2537 \n\n**Media Inquiries**\nThe Hartford Financial \nServices Group, Inc. \nMedia Relations \nHartford Plaza, T-12-56 \nHartford, CT 06115 \n860-547-5200 \n\n**Common Stock and Dividend Information**\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share. \n\n**Corporate Headquarters**\nThe Hartford Financial \nServices Group, Inc. \n690 Asylum Avenue \nHartford, Connecticut 06115 \n860-547-5000 \n\n**Internet Address**\nhttp://www.thehartford.com \n\n**Annual Meeting**\nShareholders are cordially invited to attend The Hartford’s \nAnnual Meeting of Shareholders, which will be held on \nThursday, April 18, 2002 at 9:00 a.m. in the Wallace Stevens \nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut. \nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting. \n\n**Form 10-K and Other Information**\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the \nSecurities and Exchange Commission for the year ended \nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \n\n**Transfer Agent/Shareholder Records**\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent: \n\nThe Bank of New York \nShareholder Relations Department–11E \nP.O. Box 11258 \nChurch Street Station \nNew York, NY 10286 \n800-254-2823 \n\nCommon Stock Price Dividends \nHigh Low Declared \n\n**2001**\nFirst quarter $ 67.75 $ 55.15 $0.25 \n\nSecond quarter 70.46 56.88 0.25 \n\nThird quarter 69.28 50.10 0.25 \n\nFourth quarter \n**2000**\n\n62.83 53.91 0.26 \n\nFirst quarter $ 52.75 $ 29.38 $0.24 \n\nSecond quarter 64.00 44.25 0.24 \n\nThird quarter 73.75 56.38 0.24 \n\nFourth quarter 79.31 65.44 0.25 \n\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford. \n\nTo send certificates for transfer and address changes: \n\nThe Bank of New York \nReceive and Deliver Department–11W \nP.O. Box 11002 \nChurch Street Station \nNew York, NY 10286 \n\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to: \n\nThe Bank of New York \nDividend Reinvestment Department \nP.O. Box 1958 \nNewark, NJ 07101-9774 \n\nE-mail: shareowner-svcs@bankofny.com \n\nInternet address: www.stockbny.com", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "The truth is, The HON Company, “practical \n\nand professional” is only one part of who you \n\nare. When it comes to partnering with small to \n\nmid-sized businesses as we are, you are the \n\nchampion of the hardworking office: sensible, \n\nhonest, and unpretentious, yet strong, well \n\nbuilt, and totally committed to quality. You \n\nhelp us to be more productive by keeping us \n\ncomfortable and relieving our stress. Your \n\nfiles, desks, panel systems, and other products \n\nare as contemporary, intelligent, and adapt- \n\nable as we are! So call us*both*practical and \n\nprofessional; call us a perfect match. \n\n\n\nP E R F E C T M A T C H # 3 \n\n\n\n T H E S M A L L T O \n\nM I D - S I Z E D B U S I N E S S \n\nA N D T H E H O N C O M P A N Y", + "page_start": 21, + "page_end": 21, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Form 10-K**\nThe Company’s Annual Report on Form 10-K \nfor the year ended January 31, 2015 will be \nprovided to shareholders upon request to: \n\nNordstrom Investor Relations \nPO Box 2737 \nSeattle, Washington 98111 \n(206) 303-3200 \ninvrelations@nordstrom.com \n\n**Transfer Agent and Registrar**\nComputershare \nPO Box 30170 \nCollege Station, Texas 77842 \nTelephone (800) 318-7045 \nTDD for Hearing Impaired (800) 952-9245 \nForeign Shareholders (201) 680-6578 \nTDD Foreign Shareholders (781) 575-4592 \ncomputershare.com/investor \n\n**Shareholder Information**\nAdditional shareholder information, including \nNordstrom’s Corporate Governance Guidelines \nand Code of Business Conduct and Ethics, is \navailable online at investor.nordstrom.com \n(Investor Relations, Corporate Governance). \nThe Company intends to provide disclosure \nof any amendments or waivers to its Code of \nBusiness Conduct and Ethics online within \nfour business days following the date of \namendment or waiver. In addition, the \nCompany is always willing to discuss matters \nof concern to shareholders. Shareholders may \ncontact the Company at: \n(206) 303-3200 \ninvrelations@nordstrom.com \n\n**Annual Meeting**\nMay 5, 2015 at 11:00 a.m. \nPacific Standard Time \nNordstrom Downtown Seattle Store \nJohn W. Nordstrom Room, fifth floor \n1617 Sixth Avenue \nSeattle, Washington 98101 \n\n**Certifications**\nWe have filed the required certifications under \nSection 302 of the Sarbanes-Oxley Act of 2002 \nregarding the quality of our public disclosures \nas Exhibits 31.1 and 31.2 to our annual report on \nForm 10-K for the year ended January 31, 2015. \nAfter our 2015 Annual Meeting of Shareholders, \nwe intend to file with the New York Stock \nExchange the CEO certification regarding \nour compliance with the NYSE’s corporate \ngovernance listing standards as required \nby NYSE Rule 303A.12(a).", + "page_start": 93, + "page_end": 93, + "source_file": "NYSE_JWN_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HNI_2003.pdf", + "query": "What explains the decrease in net sales of HON industries in 2002 ?", + "target_page": 34, + "target_passage": "The decrease in 2002 was due to the decline in the office furniture market due to unstable economic conditions and the deletion of less profitable product lines in the hearth products segment", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Nature of Operations** date. Equity securities are classified as available-for-sale and are stated \n\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a at current market value with unrealized gains and losses included as a \n\nprovider of office furniture and hearth products. Both industries are separate component of equity, net of any related tax effect. Debt securi- \n\nreportable segments; however, the Company’s office furniture business ties are classified as held-to-maturity and are stated at amortized cost. \n\nis its principal line of business. Refer to the Operating Segment The specific identification method is used to determine realized gains \n\nInformation note for further information. Office furniture products are and losses on the trade date. Short-term investments include municipal \n\nsold through a national system of dealers, wholesalers, mass merchan- bonds, money market preferred stock, and U.S. treasury notes. Long- \n\ndisers, warehouse clubs, retail superstores, end-user customers, and to term investments include U.S. government securities, municipal bonds, \n\nfederal and state governments. Dealer, wholesaler, and retail super- certificates of deposit, and asset- and mortgage-backed securities. \n\nstores are the major channels based on sales. Hearth products include \n\nAt January 3, 2004, and December 28, 2002, cash, cash \n\nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire- equivalents and investments consisted of the following (cost approxi- \n\nplace inserts, stoves, and gas logs. These products are sold through a mates market value): \n\nnational system of dealers, wholesalers, large regional contractors, and \n\nCash and \ncash \nequivalents Short- \nterm \ninvestments Long- \nterm \ninvestments \nCompany-owned retail outlets. The Company’s products are marketed \n*(In thousands)*\npredominantly in the United States and Canada. The Company exports \n\nY E A R - E N D 2 0 0 3 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nselect products to a limited number of markets outside North America, \n\n**$ 31,000**\n**–**\n**–**\n\n**$**\n\n**–**\n**–**\n**–** **$ 2,396**\n**–**\n**400**\nprincipally Latin America and the Caribbean, through its export subsid- \n\niary; however, based on sales, these activities are not significant. \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities \n\n**Summary of Significant Accounting Policies**\n\n**–**\n**–**\n**–** **4,259**\n**–**\n**60,949** **–**\n**–**\n**12,835**\n\n**107,982** **–** **–**\n\n**$ 138,982** **$ 65,208** **$ 15,631**\n\n***PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END***\n*Cash and money market accounts*\nThe consolidated financial statements include the accounts and trans- \n Total \nactions of the Company and its subsidiaries. Intercompany accounts \n\nY E A R - E N D 2 0 0 2 \n*Held-to-maturity securities*\nMunicipal bonds \nU.S. government securities \nCertificates of deposit \n\nand transactions have been eliminated in consolidation. \n\n$ 82,300 \n– \n– \n\nThe Company follows a 52/53-week fiscal year which ends \n\non the Saturday nearest December 31. Fiscal year 2003 ended on \n\nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \n\n*Available-for-sale securities*\nU.S. treasury notes \nMoney market preferred stock \nAsset- and mortgage-backed securities – \n– \n– 3,478 \n 11,000 \n– \n\non December 29, 2001. The financial statements for fiscal year 2003 \n\nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n*Cash and money market accounts* 56,865 **–**\n52-week basis. \n$ 16,378 \n\n$ \n\n1,900 \n– \n– $ 5,396 \n11,995 \n400 \n\n– \n– \n7,098 \n\n**–**\n Total $ 24,889", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "L E F T : St an A . A skren, P R E S I D E N T \n\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R \n\nAs we celebrate our 60th year, HON INDUSTRIES has seen leaner, more focused, and have more clearly defined brands \n\nmuch change. The industry has changed. The world has than ever before. Our challenge is to grow, aggressively and \n\nchanged. Our business has changed. What has not changed profitably, through market-driven solutions while maintain- \n\nare the culture and values on which we were founded: integ- ing focus on what we do best — operational excellence. Our \n\nrity, fairness, and respect — in the treatment of others, transformation continues: \n\ncontinuous improvement, and responsiveness to those who \n\nbuy our products and services. In our unique and powerful **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nmember-owner culture, throughout our history, every member We are investing significantly in our brands and increasing our \n\nhas had an opportunity to participate in making the business understanding of our diverse range of end-users and the solu- \n\nbetter. We did so again in 2003. tions they want. We are building market power through several \n\n We outperformed our peers. We grew our sales and initiatives: focused selling models; clear brand identity; tar- \n\nprofits. We gained market share by providing strong brands, geted advertising; expanded channel presence; and aggressive \n\ninnovative products and services, and greater value to our end- products and solutions development. We are strengthening our \n\nusers. We continued to increase our gross margins, a direct ability to be the “perfect match” with end-users in every seg- \n\nresult of our ongoing commitment to lean initiatives. We used ment we serve. \n\nour strong, positive cash flow to invest in our business for the \n\nlong term and returned profits to shareholders. We accom- **A C H I E V I N G B E S T T O T A L C O S T A N D**\n\nplished all of this in a very challenging economy and market. **L E A N E N T E R P R I S E**\n\n Although we are proud of what we achieved, our phi- “Best total cost” means more than being a low-cost manufac- \n\nlosophy of constructive discontent drives us to continue to turer. It requires us to think about the entire value stream — \n\nchallenge ourselves to do better. We believe to succeed in a where and how to manufacture, ship, install, outsource, \n\nbusiness environment of ongoing change and continuous trans- assemble, service, procure, and sell — all to provide the best \n\nformation we also must continue to change. Today, we are total value to our end-users. We implemented lean initiatives,", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "*Millions of yen*\n\nSales \nFiscal year 2002*(For the year ended Mar. 31, 2003)*\nFinancing \nNet sales.................................................................................... ¥6,432,720 ¥395,868 \nCost of sales........................................................................... \n254,956 \nGross profit .............................................................................. \n140,912 \nOperating income............................................................... \n59,882 \nOperating income as a percentage of net sales......... \n15.1% \nNet financial cost................................................................ \n3 \nIncome before income taxes and \nminority interests.............................................................. \n59,806 \nNet income............................................................................... ¥ 458,611 ¥ 36,554 \nTotal net financial cost ................................................... ¥ (16,543) ¥ \n3 \n\nAutomobile and \nEliminations Consolidated \ntotal \n\n¥6,828,588 \n4,872,324 \n1,956,264 \n737,230 \n10.8% \n(16,540) 4,617,368 \n1,815,352 \n677,348 \n10.5% \n(16,543) \n\n634,818 \n\n694,624 \n¥ 495,165 \n¥ (16,540) \n\nIntersegment elimination.............................................. \nNet financial cost for segment ................................ \nNet financial cost for segment ................................ (5,677) \n(10,866) \n(5,744) — \n3 \n(10)", + "page_start": 98, + "page_end": 98, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \n\nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \n\nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \n\nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \n\nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \n\naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \n\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \n\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \n\nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \n\nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \n\nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera- \n\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002. \n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \n\nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \n\nIntangible Assets, on December 30, 2001. \n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \n\naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \n\nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \n\nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo- \n\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \n\nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \n\nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n\n2001 financial statements taken as a whole.", + "page_start": 57, + "page_end": 57, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "*(Amounts in thousands, except for per share data)* For the Years **2003**2002 2001 \n\nNet sales **$ 1,755,728** $ 1,692,622 $ 1,792,438 \n\nCost of products sold **1,116,513** 1,092,743 1,181,140 \n\n Gross Profit **639,215** 599,879 611,298 \n\nSelling and administrative expenses **480,744** 454,189 464,206 \n\nRestructuring related charges **8,510** 3,000 24,000 \n\n Operating Income **149,961** 142,690 123,092 \n\nInterest income **3,940** 2,578 1,717 \n\nInterest expense **2,970** 4,714 8,548 \n\nIncome Before Income Taxes **150,931** 140,554 116,261 \n\nIncome taxes **52,826** 49,194 41,854 \n\n Net Income **$** **98,105** $ 91,360 $ 74,407 \n\n Net Income Per Common Share – Basic **$** **1.69** $ 1.55 $ 1.26 \n\n Weighted Average Shares Outstanding – Basic 59,087,963 \n\n Net Income Per Common Share – Diluted $ 1.26 \n\n Weighted Average Shares Outstanding – Diluted 59,210,049 \n\n*The accompanying notes are an integral part of the consolidated financial statements.*\n\n*(Amounts in thousands of dollars and shares except par value)* As of Year-End **2003**2002 2001 \n\nA S S E T S \n\nC U R R E N T A S S E T S \n\n Cash and cash equivalents **$ 138,982** $ 139,165 $ 78,838 \n\n Short-term investments **65,208** 16,378 – \n\n Receivables **181,459** 181,096 161,390 \n\nInventories **49,830** 46,823 50,140 \n\n Deferred income taxes **14,329** 10,101 14,940 \n\n Prepaid expenses and other current assets **12,314** 11,491 14,349 \n\n Total Current Assets **462,122** 405,054 319,657 \n\nProperty, Plant, and Equipment **312,368** 353,270 404,971 \n\nGoodwill **192,086** 192,395 214,337 \n\nOther Assets **55,250** 69,833 22,926 \n\n Total Assets **$ 1,021,826** $ 1,020,552 $ 961,891", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**S C H E D U L E O F Q U A R T E R L Y**\n**R E S U L T S**\n**I N V E S T O R R E L A T I O N S** **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades \n\non the New York Stock Exchange under the \n\nsymbol: HNI. Stock price quotations can be \n\nfound in major daily newspapers and*The*\n\n*Wall Street Journal*. \n\n**T R A N S F E R A G E N T**\n\nShareholders may report a change of address \n\nor make inquiries by writing or calling: \n\nComputershare Investor Services, LLC \n\n2 North LaSalle Street \n\nChicago, IL 60602 \n\nTelephone: 312.588.4991 \n\nSend inquiries to: \nThe Company operates on a fiscal year ending \nInvestor Relations \non the Saturday nearest December 31. Quar- \nHON INDUSTRIES Inc. \nterly results are typically announced within 25 \n414 East Third Street \ndays after the end of each quarter, and audited \nMuscatine, IA 52761 \nresults are typically announced within 40 days \nTelephone: 563.264.7400 \nafter year-end. \nFax: 563.264.7655 \n\nE-mail: investorrelations@honi.com \n\n**F I S C A L 2 0 0 4**\n**Q U A R T E R - E N D D A T E S**\n**C O R P O R A T E H E A D Q U A R T E R S**\n1st Quarter: Saturday, April 3 \nHON INDUSTRIES Inc. \n2nd Quarter: Saturday, July 3 \n414 East Third Street \n3rd Quarter: Saturday, October 2 \nP.O. Box 1109 \n4th Quarter: Saturday, January 1 \nMuscatine, IA 52761-0071 \n\nTelephone: 563.264.7400 **A N N U A L M E E T I N G**\n\nThe Company’s annual shareholders’ meeting Fax: 563.264.7217 \n\nwill be held at 10:30 a.m. on May 4, 2004, at Website: www.honi.com \n\nthe Holiday Inn, Highways 61 & 38 North, \n\n**I N D E P E N D E N T P U B L I C**\n**A C C O U N T A N T S**\nMuscatine, Iowa. Shareholders and other \n\ninterested investors are encouraged to attend \nPricewaterhouseCoopers LLP \nthe meeting. \nOne North Wacker Drive \n\nChicago, IL 60606 \n\n**F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to **•**changes in demand and order patterns from the Company’s customers, par- \n\nplans, objectives, and future financial performance, are “forward-looking” state- ticularly its top ten customers, which represented approximately 36% of net sales \n\nments that are made pursuant to the safe harbor provisions of the Private Securities in 2003; \n\nLitigation Reform Act of 1995. Forward-looking statements involve known and **•** issues associated with acquisitions and integration of acquisitions; \n\nunknown risks, which may cause the Company’s actual results in the future to dif- **•**the ability of the Company to realize cost savings and productivity improve- \n\nfer materially from expected results. These risks include, among others: ments from its cost containment and business simplification initiatives; \n\n**•**competition within the office furniture and fireplace industries, including **•**the ability of the Company to realize financial benefits from investments in new \n\ncompetition from imported products and competitive pricing; products; \n\n**•** increases in the cost of raw materials, including steel, which is the Company’s **•**the ability of the Company’s distributors and dealers to successfully market \n\nK \nR \nO \nY \n\nW \nE \nN \n, \n\nO \nI \nD \nU \nT \nS \n\nL \nE \nU \nQ \nE \nS \n: \n\nN \nG \nI \nS \nE \nD \n\nlargest raw material category; and sell the Company’s products; \n\n**•** increases in the cost of health care benefits provided by the Company; **•**the availability and cost of capital to finance planned growth; and \n\n**•**reduced demand for the Company’s storage products caused by changes in **•**other risks, uncertainties, and factors described from time to time in the \n\noffice technology; including the change from paper record storage to electronic Company’s filings with the Securities and Exchange Commission. \n\nrecord storage; We caution the reader that the above list of factors may not be exhaustive. The", + "page_start": 62, + "page_end": 62, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "$6,736,113 $ 677,280 $7,413,393 \n4,915,196 \n1,651,991 3,263,205 \n\n160,103 \n(1,942,178) (7,583,925) \n489,888 (7,423,822) \n(1,452,290) \n\n3) Summarized consolidated statements of cash flows by business segment \n\n*Millions of yen* *Thousands of U.S. dollars*\n\nAutomobile and \nEliminations Sales \nFinancing Consolidated \ntotal Automobile and \nEliminations Sales \nFinancing Consolidated \ntotal Fiscal year 2004*(For the year ended Mar. 31, 2005)*\n\nOperating activities \n\nIncome before income taxes and \nminority interests................................................................... ¥720,764 \nDepreciation and amortization ...................................... \n349,163 \n(Increase) decrease in sales \nfinance receivables.............................................................. \nOthers ............................................................................................... \nNet cash provided by (used in) \noperating activities............................................................... 879,245 (509,830) 369,415 8,217,243 (4,764,766) 3,452,477 \n\nInvesting activities \n\nProceeds from sales of investment securities \nincluding shares of subsidiaries ............................... \nProceeds from sales of property, \nplant and equipment........................................................... \nPurchases of fixed assets ................................................ \nPurchases of leased vehicles........................................ \nProceeds from sales of leased vehicles ............... \nOthers ............................................................................................... \nNet cash used in investing activities........................ \n\n10,285 \n\n71,256 \n(453,357) \n(15,926) \n16,143 \n(79,115) \n(450,714) — \n(7,789) \n(574,679) \n157,669 \n9,968 \n(414,321) 71,256 \n(461,146) \n(590,605) \n173,812 \n(69,147) \n(865,035) \n\n96,122 4,766 100,888 \n\n665,944 \n(4,236,982) \n(148,841) \n150,869 \n(739,392) \n(4,212,280) — \n(72,794) \n(5,370,832) \n1,473,542 \n93,159 \n(3,872,159) 665,944 \n(4,309,776) \n(5,519,673) \n1,624,411 \n(646,233) \n(8,084,439) \n\n1,630,841 4,595,243 6,226,084 \n\n(3,656,486) \n\n2,771,505 \n— 1,314,607 \n8,252 (884,981) \n1,314,607 \n(1,786,121) (1,794,373) \n\n(3,820,018) 8,689,607 4,869,589 \n\nFinancing activities \n\nIncrease (decrease) in short-term \nborrowings.................................................................................. \n(Decrease) increase in long-term \nborrowings.................................................................................. \nIncrease in bonds and debentures............................ \nOthers ............................................................................................... \nNet cash (used in) provided by \nfinancing activities................................................................ \n\n174,500 491,691 666,191 \n\n(391,244) \n— \n(191,998) 296,551 \n140,663 \n883 (94,693) \n140,663 \n(191,115) \n\n(408,742) 929,788 521,046 \n\nEffect of exchange rate changes on cash \nand cash equivalents .................................................................. \nIncrease in cash and cash \nequivalents .......................................................................................... \nCash and cash equivalents at beginning \nof the year............................................................................................ \n190,135 \nIncrease due to inclusion in consolidation ................... \n65,825 \nCash and cash equivalents at end of the year.......... ¥280,176 \n\n4,427 (58) 4,369 \n\n5,579 29,795 \n\n194,164 \n65,825 \n¥ 9,608 ¥289,784 \n\n4,029 \n— \n\n41,373 (542) 40,831 \n\n226,318 52,140 278,458 \n\n1,776,963 \n615,187 \n$2,618,468 $ \n\n37,654 \n— \n\n1,814,617 \n615,187 \n89,794 $2,708,262", + "page_start": 99, + "page_end": 99, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "NISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS \n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO \n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005. \n\n• Product enrichment and the cost of regulations had \n\na negative impact of ¥92 billion. \n\n• An additional ¥44 billion was allocated to R&D to \n\nreinforce product and technology development. \n\n• Cost reductions from manufacturing efficiencies were \n\noffset by costs associated with expanding the Canton \n\nplant’s capacity, which resulted in a ¥15 billion \n\nincrease in manufacturing and logistics expenses. \n\n• Warranty costs increased by ¥41 billion, partly due to \n\ngreater volume. \n\n• General, administrative and other expenses increased \n\nby ¥25.7 billion. \n\nBy region, operating profits in Japan came to ¥341.1 \n\nbillion, a decrease of 3.2 percent compared to last year. \n\nThis was mainly due to unfavorable exchange rate \n\nfluctuations and an increase in R&D expenses, which \n\nreached a record level. \n\nDue to higher volumes, profitability in the U.S. and \n\nCanada increased 7.9 percent from last year and totaled \n\n¥379.7 billion. \n\nOperating profit in Europe was ¥56 billion, an increase \n\nof 13.8 percent compared to last year, owing to a better \n\nmix and higher contributions from Russia. \n\nIn General Overseas Markets, including Mexico, \n\noperating profits came to ¥84.8 billion, an increase of 28.5 \n\npercent compared to last year. This was primarily due to the \n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor. \n\nInter-regional eliminations were negative ¥0.4 billion. \n\n**Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 \n\npercent from last year. A higher volume and mix had a \n\npositive impact of ¥707.0 billion. Movements in foreign \n\nexchange rates produced a negative impact of ¥173.0 \n\nbillion. Changes in the scope of consolidation, including \n\nDongfeng Motor and Yulon Nissan Motor, raised revenues \n\nby ¥432.0 billion. \n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from \n\nlast year to a record ¥861.2 billion. This resulted in an \n\noperating profit margin of 10.0 percent. Operating profit \n\nwas affected by the following factors: \n\n• The effect of foreign exchange rates produced a ¥78 \n\nbillion negative impact for the full year. The \n\ndepreciation of the U.S. dollar against the yen resulted \n\nin a negative impact of ¥74 billion, with an additional \n\n¥13 billion from other currencies. The appreciation of \n\nthe euro resulted in a positive impact of ¥9 billion. \n\n• The change in the scope of consolidation produced \n\na positive impact of ¥31 billion. This was primarily \n\nfrom the consolidation of Dongfeng Motor and Yulon \n\nNissan Motor. \n\n• The impact of the higher volume and mix contributed \n\n¥284 billion. This was mainly driven by an increase in \n\nU.S. sales volume. \n\n• Selling expenses increased by ¥114 billion, also \n\nmainly due to the increase of sales in the U.S. \n\n• The improvement in purchasing costs amounted to \n\n¥131 billion.", + "page_start": 13, + "page_end": 13, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Dear Shareholders:**\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \n\nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \n\nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \n\ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day. \n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \n\na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \n\nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors. \n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \n\naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \n\nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years. \n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \n\nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \n\nHON INDUSTRIES governance practices were already in accord with the spirit of the rules. \n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man- \n\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance. \n\n\nStan A. Askren \n\n\nAbbie J. Smith \n\n\nDennis J. Martin \n\n\nGary M. Christensen \n\n Richard H. Stanley \n\n\nJack D. Michaels \n\n\nCheryl A. Francis \n\n\nBrian E. Stern \n\n\nJoseph Scalzo \n\n\n\n\n\nRobert L. Katz", + "page_start": 60, + "page_end": 60, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| | IN THOUSANDS EXCEPT PER SHARE DATA 2002 | 2001 CHANGE |\n| | | |\n\n\nNet Income $ 33,953 $ 29,355 15.7% \n\nBasic Earnings per Share 2.75 2.38 15.5 \n\nDividends Declared 16,680 14,365 16.1 \n\nDividends per Share 1.35 1.16 16.4", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_FFIN_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_ATRI_2003.pdf", + "query": "What operations were discontinued in 1997 by Atrion Corp ?", + "target_page": 17, + "target_passage": "During 1997, the Company sold all of its natural gas operations. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**C o r p o r a t e O f f i c e :**\nAtrion Corporation \nOne Allentown Parkway \nAllen, Texas 75002 \n(972) 390-9800 \nwww.atrioncorp.com \n\n**R e g i s t r a r a n d T r a n s f e r A g e n t**\nAmerican Stock Transfer and Trust Company \n59 Maiden Lane \nNew York, New York 10007 \n\n**F o r m 1 0 - K**\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange \nCommission, may be obtained by any stockholder without charge by written request to: \n\n*Corporate Secretary*\n*Atrion Corporation*\n*One Allentown Parkway*\n*Allen, Texas 75002*\n\n**S t o c k I n f o r m a t i o n**\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were \napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the \nCompany for each quarter of 2002 and 2003. \n\n| Low | Dividends |\n|---|---|\n| $ 26.91 26.82 18.31 17.31 | $ — — — — |\n| Low | Dividends |\n| $ 17.95 22.75 26.80 40.00 | $ — — .12 .12 |\n\n\nHigh \n38.14 \n32.51 \n28.09 \n23.90 \n\nHigh \n22.85 \n30.80 \n45.20 \n50.00 \n\n2003 Quarter Ended \nMarch 31 \nJune 30 \nSeptember 30 \nDecember 31 \n\n$ \n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying \nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "S U M M A R Y O F S I G N I F I C A N T A C C O U N T I N G P O L I C I E S 1 \n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its \nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of \nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion \nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”). \n\n**P R I N C I P L E S O F C O N S O L I D A T I O N**\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany \ntransactions and balances have been eliminated in consolidation. \n\n**F A I R V A L U E**\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these \nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates. \n\n**E S T I M A T E S**\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management \nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates \nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates. \n\n**F I N A N C I A L P R E S E N T A T I O N**\nCertain prior-year amounts have been reclassified to conform with the current-year presentation. \n\n**C A S H A N D C A S H E Q U I V A L E N T S**\nCash equivalents are securities with original maturities of 90 days or less. \n\n**T R A D E R E C E I V A B L E S**\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect \nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is \nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company \nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’ \ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and \nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected. \n\n**I N V E N T O R I E S**\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major \ncomponents of inventory (in thousands): \n\nDECEMBER 31, \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 5,641 4,044 1,629 | $ 6,082 2,818 1,411 |\n| $ 11,314 | $ 10,311 |\n| | |\n\n\nRaw materials \n\nFinished goods \n\nWork in process \n\nTotal inventories \n\n**I N C O M E T A X E S**\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are \ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are \nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", + "page_start": 13, + "page_end": 13, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 \nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit. \nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors \nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting \nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits \nprovide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation \nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then \nended in conformity with accounting principles generally accepted in the United States of America. \n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by \nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required \nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our \naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued \nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those \nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation \nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. \nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such \ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \n\nGrant Thornton LLP \nDallas, Texas \nFebruary 13, 2004 \n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report*\n*for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The*\n*consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended*\n*December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 \nand 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit \nto obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence \nsupporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made \nby management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries \nas of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, \n2001 in conformity with accounting principles generally accepted in the United States.", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income \nfrom discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the \ntwo months of its operations in 2003. \n\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a \nresult recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes. \n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating \nresults in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations. \n\n**DISCONTINUED OPERATIONS**\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990’s. The partnership’s \nlocal customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December \n31, 2002. The decline was the result of competition with digital technologies and increased competition from national \ncarriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to \ntransform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the \npartnership to one of the minority partners. The agreement was signed in November 2002, and closing was February \n28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, \n$7.4 million and $6.7 million, respectively. \n\n**CONTINUING OPERATIONS**\n\n**2002 compared to 2001**\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million \nof wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 \nmillion or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%. \n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS \nservice revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which \ntotaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end. \n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party’s network, \nwas $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the \nCompany’s network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The \nrate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 \nthrough April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from \nOctober 1, 2001 through December 31, 2001. \n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 \nmillion of rebates and discounts given at the time of sale, which became more pronounced during the year to meet \nindustry competition for subscriber additions and subscriber retention. \n\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) service in August 2002. \nThe impact of 3G 1X-network enhancements on revenues was not significant in 2002. \n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the \nresult of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the \n82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.", + "page_start": 50, + "page_end": 50, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Discontinued Operations**\nA discontinued operation is a component of our business that has \noperations and cash flows that are clearly distinguished from the rest of \nRogers and: \n(cid:129) represents a separate major line of business \n(cid:129) is part of a single coordinated plan to dispose of a separate major \n\n(cid:129)*IFRS 13, Fair Value Measurement (IFRS 13)*– On January 1, 2013, we \nadopted IFRS 13, on a prospective basis, which provides a single \nsource of guidance on how fair value is measured, replacing the fair \nvalue measurement guidance contained in individual IFRSs. IFRS 13 \ndefines fair value and establishes a framework for measuring fair \nintroduce new fair value measurements or \nvalue. \neliminate the practicability exceptions to fair value measurements \nthat currently exist in certain standards. We have incorporated the \nrelevant \nthese consolidated \nfinancial statements. \n\nIt does not \nline of business, or \n(cid:129) is a subsidiary we have acquired with the intention to re-sell. \n\nWhen we classify a component as a discontinued operation, we restate \nour comparative income and comprehensive income as though the \noperation had been discontinued from the start of the comparative \nyear. \n\n(cid:129)*IAS 19, Employee Benefits (2011) (IAS 19)*– On January 1, 2013, we \nadopted IAS 19, which changes the basis for determining the income \nor expense related to defined benefit plans. This amendment \neliminated the concept of return on plan assets and interest cost \n(income) and replaced it with a net interest cost that is calculated by \napplying the discount rate to the net liability (asset). The net interest \ncost takes into account any changes in the net defined benefit \nliability (asset) during the period as a result of contributions and \nbenefit payments. The adoption of the amended standard resulted in \nan increase in finance costs of $7 million and a decrease in other \ncomprehensive income, for a net effect of nil \nin comprehensive \nincome for the year ended December 31, 2012 and did not have a \nmaterial impact on net assets as at December 31, 2012. See note 22 \nfor more information about our pension plans. \n\nSee note 6 for information about discontinued operations. \n\n**New Accounting Pronouncements Effective in 2013**\nWe adopted the following accounting changes \nconsolidated financial statements on January 1, 2013. \n(cid:129) IFRS 10, Consolidated Financial Statements \n(cid:129) IFRS 11, Joint Arrangements \n(cid:129) IFRS 12, Disclosure of Interest in Other Entities \n(cid:129) IFRS 13, Fair Value Measurement \n(cid:129) IAS 19, Employee Benefits (2011) \n(cid:129) IAS 28, Investments in Associates and Joint Ventures \n(cid:129) IAS 36, Impairment of Assets \n\nfor our 2013 \n\n(cid:129)*IAS 36,*\n\n*Impairment of Assets (IAS 36)*– In May 2013, the IASB \namended IAS 36 to clarify the circumstances in which the recoverable \namount of assets or cash-generating units is required to be disclosed, \nto clarify the disclosures required, and to introduce an explicit \nrate used in determining \nrequirement \nimpairment (or reversals) where the recoverable amount (based on \nfair value less costs of disposal) is determined using a present value \ntechnique. The amendments are effective for annual periods \nJanuary 1, 2014, with early adoption \nbeginning on or after \npermitted. We early adopted this policy as of January 1, 2013 and \nmade the required disclosures.", + "page_start": 104, + "page_end": 104, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Our financial performance earned recognition from*Investors Business Daily*, which ranked Atrion sixth \n\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than \n\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price \n\nhas increased by 468 percent. \n\n**We make products that meet the specific needs of niche markets.**\n\n2003 Revenues \nby Product Line \n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes \n\nmedical devices and components for end-users and manufacturers throughout the health care industry, \n\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, \n\nprecision and reliability has helped a number of our products gain the leading market positions in the United \n\nStates in their respective niches. \n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In \naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the \n\ntreatment of tear duct blockages. \n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive \nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues \n\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. \n\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only \n\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of \n\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which \n\nC A R D I O VA S C U L A R O P H T H A L M O L O G Y \n\n| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | | | |\n| | | | | |\n| 22% 30% | | | | |\n| | | | | |\n| | | | | |\n| 24% | | | 24% | |\n| | | | | |\n| | | | | |\n| | | | | |\n\n\nF L U I D D E L I V E R Y O T H E R \n\nare used in many surgical and medical settings. \n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. \n\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety \n\nproducts. \n\nWe support this stable of solidly performing products with two essential programs. One is a highly \n\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is \n\ncomprised of professionals who possess clinical knowledge and specific product experience, and also \n\nconcentrate on building strong relationships with customers and within the industry. \n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of \n\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities \n\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent \n\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from \n\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development \n\nprogram ensures that we are committing the resources and time required to successfully stay the course.", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "**B O A R D O F D I R E C T O R S**\n\nEmile A. Battat \n*Chairman of the Board and President*\n*Atrion Corporation*\n\nRichard O. Jacobson \n*Chairman of the Board*\n*Jacobson Companies*\n*Des Moines, Iowa*\n\nJohn H. P. Maley \n*Chairman of the Board*\n*Compex Technologies, Inc.*\n*Minneapolis, Minnesota*\n\nHugh J. Morgan, Jr. \n*Private Investor, Former Chairman of the Board*\n*National Bank of Commerce of Birmingham*\n*Birmingham, Alabama*\n\nRoger F. Stebbing \n*President and Chief Executive Officer*\n*Stebbing and Associates, Inc.*\n*Signal Mountain, Tennessee*\n\nJohn P. Stupp, Jr. \n*President*\n*Stupp Bros., Inc.*\n*St. Louis, Missouri*\n\n**E X E C U T I V E O F F I C E R S**\n\nEmile A. Battat \n*Chairman of the Board and President*\n\nJeffery Strickland \n*Vice President and Chief Financial*\n*Officer, Secretary and Treasurer*", + "page_start": 29, + "page_end": 29, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "**(10) Asset Write Down**\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset \nwrite-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the \nC o m p a n y ’s acquisition of Arkansas Systems, Inc. (“Euronet USA”) in December 1998. The remaining $800,000 write-down related to the \nC o m p a n y ’s ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the \nBudapest Bank ATM network in Hungary. \n\nAs a result of the Company’s inability to achieve operating improvements, including software license and service orders for Euronet USA’s \ntraditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e \nq u a rters of 2000. The Company calculated the expected cash flows of the Company’s Software Solutions Segment, which identified an \ni m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the \np resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon \nthe acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction \npayment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to \nthe Company’s Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h \ndevelopment and release of a new set of products that are independent of Euronet USA’s traditional core product lines, including a new, \np l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile \nphone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and \nsolutions rather than Euronet USA’s traditional ITM solution will be the primary source of software solutions revenues in the future. \n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows \nof the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible \nassets. The Company’s estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t \np rojections, and internal earnings targets, net of applicable taxes. The Company’s discounted cash flow analysis indicated that the carry i n g \nvalue of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible \nassets prior to the write down was $11.2 million. \n\nThe asset write-down is disclosed as a separate operating expense item in the Company’s Consolidated Statements of Operations and \nC o m p rehensive Loss. \n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets \nwill be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and \nS e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company’s standards. Specifically, these assets \nw e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its \nATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value \nof ATM hard w a re, adjusting to its net realizable value. \n\n**(11) Notes Payable**", + "page_start": 35, + "page_end": 35, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "**Note 1. Summary of Significant Accounting Policies (Continued)**\n\n***Reclassifications:***Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to \nconform with the 2003 presentation, with no effect on net income or shareholders' equity. \n\n**Note 2. Discontinued Operations**\n\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10 \nRSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place \nat the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million \nheld in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post \nclosing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand \ncharge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues \nthat may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003 \nconsolidated balance sheet. The Company’s gain on the transaction was approximately $35 million. Post closing, the \nCompany provided transition services to Verizon for a period of approximately three months, with compensation for \nthose services being approximately $40 thousand per month during the transition period. \n\n| ation have been classified as held for sale in the consolidated 31, 2002 and 2001: | | classified as held for sale in the consolidated 001: | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| 2002 200220022001 22000011 (in thousands) (in th(ionu ts(haionnu dtshsa)onudssa)nds) $ 2,608 $ $$ 2,60$28 ,620,8759 $$ 2,759 309 309309214 214 2,631 2,6321,633,1272 3,272 $ 5,548 $ $$ 5,54$58 ,564,8245 $$ 6,245 $ 381 $ $$ 38$1381499 $$ 499 161 161161236 236 1,666 1,6616,616,6838 1,838 $ 2,208 $ $$ 2,20$28 ,220,8573 $$ 2,573 | | 2002 200220022001 22000011 | | | | | | | | | | | | | | | |\n| | | 2002 | | | | | | | | | | | | | | | |\n| | (in thousands $ 2,608 $ 309 2,631 | | s | ands | | ) (in th( | | | ionu ts(haionnu dtshsa)onudssa)nds) | | | | | | | | |\n| | | | | | $ | $$ | | | | 59 14 72 | | | $$ | | | | |\n| | | | | | | | | | | | | | | | | | |\n| | $ 5,548 | | $ | | | $$ | | 5,54$58 ,564,82 | | 45 | | | | $$ | 6,245 | | |\n| | $ 381 $ 161 1,666 | | | | | $$ 38$13814 1611612 1,6616,616,68 | | | | 99 36 38 | | | | $$ 499 236 1,838 | | | |\n| | $ 2,208 | | $ | | | $$ | | 2,20$28 ,220,85 | | 73 | | | | $$ 2,573 | | | |\n\n\n| $ | $$ |\n|---|---|\n| $ | $$ |\n\n\nAssets \n\nAccounts receivable \nOther current assets \nProperty, plant and equipment, (net) \n\nTotal assets \n\nLiabilities and minority interest \n\n| | $$ |\n|---|---|\n| | $$ |\n\n\nAccounts payable and accrued expenses \nDeferred revenue and deposits \nMinority interest \n\nTotal liabilities and minority interest \n\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued \noperations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the \nsale of the discontinued operations are summarized as follows: \n\n| | | 20023003 20022002 20200101 |\n|---|---|---|\n| | | 20023003 20022002 20200101 |\n| | | $ (in th$ ousand5 s) $ |\n| | | $ 3,056 $ 20,895 $ 20,012 453 3,618 4,674 - 3 16 $ 2,603 $ 17,280 $ 15,354 (773) (5,200) (4,526) 34,973 - - (14,414) (4,668) (4,150) $ 22,389 $ 7,412 $ 6,678 |", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_SHEN_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_ATRI_2003.pdf", + "query": "How much share of Atrion's revenues did its major customer representin in 2003 ? ", + "target_page": 21, + "target_passage": "The Company had one major customer which represented approximately $9.1 million (14.4 percent", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Our financial performance earned recognition from*Investors Business Daily*, which ranked Atrion sixth \n\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than \n\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price \n\nhas increased by 468 percent. \n\n**We make products that meet the specific needs of niche markets.**\n\n2003 Revenues \nby Product Line \n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes \n\nmedical devices and components for end-users and manufacturers throughout the health care industry, \n\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, \n\nprecision and reliability has helped a number of our products gain the leading market positions in the United \n\nStates in their respective niches. \n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In \naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the \n\ntreatment of tear duct blockages. \n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive \nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues \n\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. \n\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only \n\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of \n\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which \n\nC A R D I O VA S C U L A R O P H T H A L M O L O G Y \n\n| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | | | |\n| | | | | |\n| 22% 30% | | | | |\n| | | | | |\n| | | | | |\n| 24% | | | 24% | |\n| | | | | |\n| | | | | |\n| | | | | |\n\n\nF L U I D D E L I V E R Y O T H E R \n\nare used in many surgical and medical settings. \n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. \n\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety \n\nproducts. \n\nWe support this stable of solidly performing products with two essential programs. One is a highly \n\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is \n\ncomprised of professionals who possess clinical knowledge and specific product experience, and also \n\nconcentrate on building strong relationships with customers and within the industry. \n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of \n\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities \n\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent \n\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from \n\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development \n\nprogram ensures that we are committing the resources and time required to successfully stay the course.", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "**C o r p o r a t e O f f i c e :**\nAtrion Corporation \nOne Allentown Parkway \nAllen, Texas 75002 \n(972) 390-9800 \nwww.atrioncorp.com \n\n**R e g i s t r a r a n d T r a n s f e r A g e n t**\nAmerican Stock Transfer and Trust Company \n59 Maiden Lane \nNew York, New York 10007 \n\n**F o r m 1 0 - K**\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange \nCommission, may be obtained by any stockholder without charge by written request to: \n\n*Corporate Secretary*\n*Atrion Corporation*\n*One Allentown Parkway*\n*Allen, Texas 75002*\n\n**S t o c k I n f o r m a t i o n**\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were \napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the \nCompany for each quarter of 2002 and 2003. \n\n| Low | Dividends |\n|---|---|\n| $ 26.91 26.82 18.31 17.31 | $ — — — — |\n| Low | Dividends |\n| $ 17.95 22.75 26.80 40.00 | $ — — .12 .12 |\n\n\nHigh \n38.14 \n32.51 \n28.09 \n23.90 \n\nHigh \n22.85 \n30.80 \n45.20 \n50.00 \n\n2003 Quarter Ended \nMarch 31 \nJune 30 \nSeptember 30 \nDecember 31 \n\n$ \n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying \nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "S U M M A R Y O F S I G N I F I C A N T A C C O U N T I N G P O L I C I E S 1 \n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its \nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of \nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion \nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”). \n\n**P R I N C I P L E S O F C O N S O L I D A T I O N**\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany \ntransactions and balances have been eliminated in consolidation. \n\n**F A I R V A L U E**\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these \nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates. \n\n**E S T I M A T E S**\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management \nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates \nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates. \n\n**F I N A N C I A L P R E S E N T A T I O N**\nCertain prior-year amounts have been reclassified to conform with the current-year presentation. \n\n**C A S H A N D C A S H E Q U I V A L E N T S**\nCash equivalents are securities with original maturities of 90 days or less. \n\n**T R A D E R E C E I V A B L E S**\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect \nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is \nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company \nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’ \ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and \nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected. \n\n**I N V E N T O R I E S**\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major \ncomponents of inventory (in thousands): \n\nDECEMBER 31, \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 5,641 4,044 1,629 | $ 6,082 2,818 1,411 |\n| $ 11,314 | $ 10,311 |\n| | |\n\n\nRaw materials \n\nFinished goods \n\nWork in process \n\nTotal inventories \n\n**I N C O M E T A X E S**\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are \ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are \nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", + "page_start": 13, + "page_end": 13, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 \nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit. \nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors \nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting \nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits \nprovide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation \nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then \nended in conformity with accounting principles generally accepted in the United States of America. \n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by \nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required \nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our \naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued \nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those \nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation \nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. \nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such \ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \n\nGrant Thornton LLP \nDallas, Texas \nFebruary 13, 2004 \n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report*\n*for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The*\n*consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended*\n*December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "2003. Net income was $98.1 million or $1.68 per diluted share in 2003, December 28, 2002, and fiscal year 2001, the year ended December 29, \n\nas compared to $91.4 million or $1.55 per diluted share in 2002. 2001, contained 52 weeks. A 53-week year occurs approximately every \n\nThe Company generated $141.3 million in cash flow from sixth year. \n\noperating activities and increased its cash position, including short- \n***Revenue recognition***– Revenue is normally recognized upon \nterm investments, by $48.6 million to $204.2 million. The Company \nshipment of goods to customers. In certain circumstances revenue is \npaid dividends of $30.3 million and repurchased $21.5 million of its \nnot recognized until the goods are received by the customer or upon \ncommon stock, while investing $35.7 million in net capital expendi- \ninstallation and customer acceptance based on the terms of the sale \ntures and repaying $20.2 million of debt. \nagreement. Revenue includes freight charged to customers; related", + "page_start": 31, + "page_end": 31, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 \nand 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit \nto obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence \nsupporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made \nby management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries \nas of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, \n2001 in conformity with accounting principles generally accepted in the United States.", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "In recent years, the economic climate has presented significant \nchallenges to growth—and, in some cases, survival—for American \nbusinesses. The companies that have fared well are those with solid \nfinancial foundations and sound growth strategies that provide a \nmeasure of protection against the changing winds of the economy. \nAtrion is one of those companies. For the past five years, we have \nproduced earnings per share growth of more than 15 percent each \nyear. Despite fluctuations in our markets and product demand, we \nhave continued to return value to our stockholders through strong \nearnings growth, year after year. As a leading provider of medical \ndevices and components to niche markets in the health care \nindustry, we are committed to doing everything we can to continue \nthat level of performance. \n\nF I N A N C I A L H I G H L I G H T S 1 \n\nL E T T E R T O S T O C K H O L D E R S 2 \n\nF I N A N C I A L I N F O R M A T I O N 7 \n\nC O R P O R A T E I N F O R M A T I O N 2 8", + "page_start": 1, + "page_end": 1, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "| | 2003 | | | | |\n|---|---|---|---|---|---|\n| | 2003 | | | | |\n| Revenues Income from continuing operations Net income Total assets Long-term debt Income from continuing operations, per diluted share Net income per diluted share Cash dividends per common share Average diluted shares outstanding | $ 62,803 4,892 5,057 60,050 4,287 2.66 2.75 .24(a) 1,839 | $ 59,533 4,065 2,589(b) 60,807 10,337 2.18 1.39(b) — 1,863 | $ 57,605 4,262 9,754(c) 65,555 17,125 1.88 4.30(c) — 2,272 | $ 51,447 2,663 2,792 63,690 7,400 1.25 1.31 — 2,135 | $ 49,917 2,128 2,293 64,640 10,417 .81 .87 — 2,631 |\n| | | | | | |\n\n\n(a) Dividends on outstanding common shares paid in the 3rd and 4th quarter at $.12 per share (see Note 6) \n(b) Includes a $1.6 million after-tax goodwill impairment charge ($ .88 per diluted share) (see Note 2) \n(c) Includes a $5.5 million after-tax gain ($ 2.42 per diluted share) from discontinued operations (see Note 3) \n\nEBITDA Per Diluted Share From Continuing Operations \n\n(IN THOUSANDS, EXCEPT PER SHARE AMOUNTS) \n\nIncome from continuing operations \n\nAdd: \n\nInterest expense (income), net \n\nIncome tax expense \n\nDepreciation and amortization \n\nEBITDA \n\nAverage diluted shares outstanding \n\nEBITDA per Diluted Share from Continuing Operations \n\n| 2003 | | | | |\n|---|---|---|---|---|\n| 2003 | | | | |\n| $ 4,892 126 1,879 4,746 | $ 4,065 354 1,403 4,384 | $ 4,262 223 1,803 4,569 | $ 2,663 654 923 4,119 | $ 2,128 257 741 3,975 |\n| $ 11,643 | $ 10,206 | $ 10,857 | $ 8,359 | $ 7,101 |\n| 1,839 $ 6.33 | 1,863 $ 5.48 | 2,272 $ 4.78 | 2,135 $ 3.92 | 2,631 $ 2.70 |\n| | | | | |\n\n\nEBITDA per diluted share from continuing operations, a non-GAAP financial measure, is computed by the Company as EBITDA divided by weighted average diluted shares outstanding. \nThe company computes EBITDA by adding income from continuing operations, net interest expense/(income), income tax expense, depreciation and amortization. \n\nReturn on Equity \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 5,057 $ 41,691 12% | $ 2,293 $ 49,369 5% |\n| | |\n\n\n(IN THOUSANDS) \n\nNet Income \n\nStockholders’ Equity \n\nReturn on Equity \n\nReturn on equity, a non-GAAP financial measure, is computed by the Company by dividing annual net income by the Company’s beginning \nof the year stockholders’ equity balance as shown on its balance sheet.", + "page_start": 8, + "page_end": 8, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "2.3% 1.8% 1.4% \nCore price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n.2 \nFuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n.5 \nRecycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n3.0 \nTotal price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n3.6 \nCore volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n.1 \nNon-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n3.7 \nTotal volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n6.7 \nTotal internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n.9 \nAcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nTaxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Ì \n\n2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the \ncomponents of our revenue growth for the years ended December 31, 2004, 2003 and 2002: \n\n**2004** **2003** **2002**\n\n.2 Ì \n.4 \n.1 \n1.8 \n2.1 \n1.6 \n2.1 \nÌ .4 \n2.0 \n2.1 \n3.8 \n4.2 \n.8 \n1.8 \n.5 \n.2 \n7.6% 6.5% 4.8% Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n(a) Represents new taxes levied on landÑll volumes in certain states that are passed on to customers. \n\n‚*2004:*During the year ended December 31, 2004, our revenue growth from core pricing beneÑted \nfrom a broad-based pricing initiative which we started during the fourth quarter of 2003. During the \nyear ended December 31, 2004, we experienced core volume growth in all lines of our business, \nincluding our residential collection business resulting from the addition of several new municipal \ncontracts, and our landÑll and transfer station businesses resulting from newly opened sites and new \ncontracts. Our internal growth from our core operations was 5.9% in 2004. \n\n‚*2003:*During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an \nincrease in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing \nincreased at a more rapid pace due to our broad-based pricing initiative. \n\nDuring 2003, the economic slowdown which began during 2001 continued to negatively impact our \nbusiness. However, during 2003, our revenue growth from core volume continued to be positively \nimpacted by long-term franchise and municipal contracts that were secured during 2002. Our internal \ngrowth from core operations was 3.9% in 2003. \n\n‚*2002:*The economic slowdown which began in 2001 continued to negatively impact the portion of our \nbusiness servicing the manufacturing sector and non-residential construction industry during 2002. \nVolumes attributable to manufacturing and construction activity continued to weaken during 2002. \n\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase \nin recycling commodity prices in the early part of 2002. \n\nDespite the weakness we experienced in the aspects of our business noted above, our internal growth \nfrom core operations for 2002 was 3.0%. During 2002, we secured several long-term franchise and \nmunicipal contracts. We also beneÑted from the geographic mix of our business which favors high- \ngrowth markets. \n\n‚*2005 Outlook:*We anticipate internal growth from core operations to be in the range of 4.0% to 4.5% \nduring 2005 assuming no deterioration or improvement in the overall economy from that experienced \nduring the fourth quarter of 2004. However, our price and volume growth may remain Öat or may \ndecline in 2005 depending upon economic conditions and our success in implementing pricing \ninitiatives. \n\n*Cost of Operations.*Cost of operations was $1,714.4 million, $1,605.4 million and $1,472.9 million, or, \nas a percentage of revenue, 63.3%, 63.8% and 62.3%, for the years ended December 31, 2004, 2003 and 2002, \nrespectively. \n\n35", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "1,981,104 \n4,537,787 \n4,196,667 81,794 \n3,808,250 \n3,392,676 51,109 \n1,305,116 \n1,249,110 7,622 \n1,046,753 \n996,529 2,121,629 ¥(2,121,629) \n(2,121,629) \n(2,119,865) \n\n10,697,906 \n9,834,982 \n862,924 56,006 ¥ 50,224 ¥ \n\nGeographical areas \n\nThe geographical segment information for the Company and its consolidated subsidiaries for the years ended March 31, 2005, 2004 and 2003 \nis as follows: \nFiscal year 2004*(For the year ended Mar. 31, 2005)*\n\nOther foreign \ncountries \n*Millions of yen*\nJapan North America Europe \n\nSales to third parties .......................................... ¥2,556,683 ¥3,726,456 ¥1,254,007 ¥1,039,131 ¥ 8,576,277 ¥ \n— ¥8,576,277 \nInter-area sales and transfers .................... \n— \nTotal sales................................................................... \n8,576,277 \nOperating expenses ........................................... \n7,715,117 \nOperating income................................................. ¥ 341,120 ¥ 415,574 ¥ \n¥(1,764) ¥ 861,160 \nTotal assets ............................................................... ¥5,590,397 ¥4,714,272 ¥ 799,778 ¥ 637,065 ¥11,741,512 ¥(1,892,989) ¥9,848,523 \n\n*Thousands of U.S. dollars*\n\nSales to third parties .......................................... $23,894,234 $34,826,692 $11,719,692 \nInter-area sales and transfers .................... \n477,654 \nTotal sales................................................................... \n12,197,346 \nOperating expenses ........................................... \n11,673,925 \nOperating income................................................. $ 3,188,038 $ 3,883,870 $ \n523,421 \nTotal assets ............................................................... $52,246,701 $44,058,617 $ 7,474,561 — $80,152,121 \n— \n80,152,121 \n72,103,897 \n$ 469,382 $ 8,064,711 $ \n(16,487) $ 8,048,224 \n$5,953,878 $109,733,757 $(17,691,485) $92,042,272 \n\n$9,711,503 $ 80,152,121 $ \n\n18,514,991 \n42,409,225 \n39,221,187 764,430 \n35,591,122 \n31,707,252 71,234 \n9,782,737 \n9,313,355 19,828,309 \n99,980,430 \n91,915,719 (19,828,309) \n(19,828,309) \n(19,811,822) \n\nFiscal year 2003*(For the year ended Mar. 31, 2004)*\n\nOther foreign \ncountries \n*Millions of yen*\nJapan North America Europe Total \n\nSales to third parties .......................................... ¥2,559,806 ¥3,278,966 ¥1,164,032 \nInter-area sales and transfers.............................. \n31,690 \nTotal sales................................................................... \n1,195,722 \nOperating expenses ........................................... \n1,146,549 \nOperating income................................................. ¥ 352,462 ¥ 399,821 ¥ \n49,173 \nTotal assets ............................................................... ¥4,805,718 ¥3,664,382 ¥ 607,926 ¥426,415 \n4,663 \n431,078 \n412,938 \n¥ 18,140 \n¥219,109 ¥7,429,219 ¥ \n— ¥7,429,219 \n1,797,228 \n— \n9,226,447 \n7,429,219 \n8,406,851 \n6,604,364 \n5,259 ¥ 824,855 \n¥ 819,596 ¥ \n¥9,297,135 ¥(1,437,279) ¥7,859,856 \n\na) As described in Note 2(b), effective April 1, 2003, Nissan Motor Manufacturing (UK) Ltd., a consolidated subsidiary, implemented early \nadoption of a new accounting standard for retirement benefits in the United Kingdom. The effect of this change was to decrease operating \nincome in the “Europe” segment by ¥1,686 million for the year ended March 31, 2004 as compared with the corresponding amount which \nwould have been recorded if the previous method had been followed.", + "page_start": 102, + "page_end": 102, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_ATRI_2003.pdf", + "query": "What was Atrion's gross profit in 2003 (in thousands) ? ", + "target_page": 10, + "target_passage": "Gross Profit 22,239", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Our financial performance earned recognition from*Investors Business Daily*, which ranked Atrion sixth \n\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than \n\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price \n\nhas increased by 468 percent. \n\n**We make products that meet the specific needs of niche markets.**\n\n2003 Revenues \nby Product Line \n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes \n\nmedical devices and components for end-users and manufacturers throughout the health care industry, \n\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, \n\nprecision and reliability has helped a number of our products gain the leading market positions in the United \n\nStates in their respective niches. \n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In \naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the \n\ntreatment of tear duct blockages. \n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive \nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues \n\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. \n\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only \n\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of \n\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which \n\nC A R D I O VA S C U L A R O P H T H A L M O L O G Y \n\n| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | | | |\n| | | | | |\n| 22% 30% | | | | |\n| | | | | |\n| | | | | |\n| 24% | | | 24% | |\n| | | | | |\n| | | | | |\n| | | | | |\n\n\nF L U I D D E L I V E R Y O T H E R \n\nare used in many surgical and medical settings. \n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. \n\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety \n\nproducts. \n\nWe support this stable of solidly performing products with two essential programs. One is a highly \n\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is \n\ncomprised of professionals who possess clinical knowledge and specific product experience, and also \n\nconcentrate on building strong relationships with customers and within the industry. \n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of \n\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities \n\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent \n\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from \n\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development \n\nprogram ensures that we are committing the resources and time required to successfully stay the course.", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "**C o r p o r a t e O f f i c e :**\nAtrion Corporation \nOne Allentown Parkway \nAllen, Texas 75002 \n(972) 390-9800 \nwww.atrioncorp.com \n\n**R e g i s t r a r a n d T r a n s f e r A g e n t**\nAmerican Stock Transfer and Trust Company \n59 Maiden Lane \nNew York, New York 10007 \n\n**F o r m 1 0 - K**\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange \nCommission, may be obtained by any stockholder without charge by written request to: \n\n*Corporate Secretary*\n*Atrion Corporation*\n*One Allentown Parkway*\n*Allen, Texas 75002*\n\n**S t o c k I n f o r m a t i o n**\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were \napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the \nCompany for each quarter of 2002 and 2003. \n\n| Low | Dividends |\n|---|---|\n| $ 26.91 26.82 18.31 17.31 | $ — — — — |\n| Low | Dividends |\n| $ 17.95 22.75 26.80 40.00 | $ — — .12 .12 |\n\n\nHigh \n38.14 \n32.51 \n28.09 \n23.90 \n\nHigh \n22.85 \n30.80 \n45.20 \n50.00 \n\n2003 Quarter Ended \nMarch 31 \nJune 30 \nSeptember 30 \nDecember 31 \n\n$ \n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying \nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "S U M M A R Y O F S I G N I F I C A N T A C C O U N T I N G P O L I C I E S 1 \n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its \nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of \nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion \nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”). \n\n**P R I N C I P L E S O F C O N S O L I D A T I O N**\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany \ntransactions and balances have been eliminated in consolidation. \n\n**F A I R V A L U E**\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these \nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates. \n\n**E S T I M A T E S**\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management \nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates \nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates. \n\n**F I N A N C I A L P R E S E N T A T I O N**\nCertain prior-year amounts have been reclassified to conform with the current-year presentation. \n\n**C A S H A N D C A S H E Q U I V A L E N T S**\nCash equivalents are securities with original maturities of 90 days or less. \n\n**T R A D E R E C E I V A B L E S**\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect \nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is \nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company \nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’ \ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and \nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected. \n\n**I N V E N T O R I E S**\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major \ncomponents of inventory (in thousands): \n\nDECEMBER 31, \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 5,641 4,044 1,629 | $ 6,082 2,818 1,411 |\n| $ 11,314 | $ 10,311 |\n| | |\n\n\nRaw materials \n\nFinished goods \n\nWork in process \n\nTotal inventories \n\n**I N C O M E T A X E S**\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are \ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are \nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", + "page_start": 13, + "page_end": 13, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "*(Amounts in thousands, except for per share data)* For the Years **2003**2002 2001 \n\nNet sales **$ 1,755,728** $ 1,692,622 $ 1,792,438 \n\nCost of products sold **1,116,513** 1,092,743 1,181,140 \n\n Gross Profit **639,215** 599,879 611,298 \n\nSelling and administrative expenses **480,744** 454,189 464,206 \n\nRestructuring related charges **8,510** 3,000 24,000 \n\n Operating Income **149,961** 142,690 123,092 \n\nInterest income **3,940** 2,578 1,717 \n\nInterest expense **2,970** 4,714 8,548 \n\nIncome Before Income Taxes **150,931** 140,554 116,261 \n\nIncome taxes **52,826** 49,194 41,854 \n\n Net Income **$** **98,105** $ 91,360 $ 74,407 \n\n Net Income Per Common Share – Basic **$** **1.69** $ 1.55 $ 1.26 \n\n Weighted Average Shares Outstanding – Basic 59,087,963 \n\n Net Income Per Common Share – Diluted $ 1.26 \n\n Weighted Average Shares Outstanding – Diluted 59,210,049 \n\n*The accompanying notes are an integral part of the consolidated financial statements.*\n\n*(Amounts in thousands of dollars and shares except par value)* As of Year-End **2003**2002 2001 \n\nA S S E T S \n\nC U R R E N T A S S E T S \n\n Cash and cash equivalents **$ 138,982** $ 139,165 $ 78,838 \n\n Short-term investments **65,208** 16,378 – \n\n Receivables **181,459** 181,096 161,390 \n\nInventories **49,830** 46,823 50,140 \n\n Deferred income taxes **14,329** 10,101 14,940 \n\n Prepaid expenses and other current assets **12,314** 11,491 14,349 \n\n Total Current Assets **462,122** 405,054 319,657 \n\nProperty, Plant, and Equipment **312,368** 353,270 404,971 \n\nGoodwill **192,086** 192,395 214,337 \n\nOther Assets **55,250** 69,833 22,926 \n\n Total Assets **$ 1,021,826** $ 1,020,552 $ 961,891", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 \nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit. \nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors \nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting \nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits \nprovide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation \nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then \nended in conformity with accounting principles generally accepted in the United States of America. \n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by \nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required \nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our \naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued \nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those \nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation \nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. \nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such \ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \n\nGrant Thornton LLP \nDallas, Texas \nFebruary 13, 2004 \n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report*\n*for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The*\n*consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended*\n*December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "| | 2003 | | | | |\n|---|---|---|---|---|---|\n| | 2003 | | | | |\n| Revenues Income from continuing operations Net income Total assets Long-term debt Income from continuing operations, per diluted share Net income per diluted share Cash dividends per common share Average diluted shares outstanding | $ 62,803 4,892 5,057 60,050 4,287 2.66 2.75 .24(a) 1,839 | $ 59,533 4,065 2,589(b) 60,807 10,337 2.18 1.39(b) — 1,863 | $ 57,605 4,262 9,754(c) 65,555 17,125 1.88 4.30(c) — 2,272 | $ 51,447 2,663 2,792 63,690 7,400 1.25 1.31 — 2,135 | $ 49,917 2,128 2,293 64,640 10,417 .81 .87 — 2,631 |\n| | | | | | |\n\n\n(a) Dividends on outstanding common shares paid in the 3rd and 4th quarter at $.12 per share (see Note 6) \n(b) Includes a $1.6 million after-tax goodwill impairment charge ($ .88 per diluted share) (see Note 2) \n(c) Includes a $5.5 million after-tax gain ($ 2.42 per diluted share) from discontinued operations (see Note 3) \n\nEBITDA Per Diluted Share From Continuing Operations \n\n(IN THOUSANDS, EXCEPT PER SHARE AMOUNTS) \n\nIncome from continuing operations \n\nAdd: \n\nInterest expense (income), net \n\nIncome tax expense \n\nDepreciation and amortization \n\nEBITDA \n\nAverage diluted shares outstanding \n\nEBITDA per Diluted Share from Continuing Operations \n\n| 2003 | | | | |\n|---|---|---|---|---|\n| 2003 | | | | |\n| $ 4,892 126 1,879 4,746 | $ 4,065 354 1,403 4,384 | $ 4,262 223 1,803 4,569 | $ 2,663 654 923 4,119 | $ 2,128 257 741 3,975 |\n| $ 11,643 | $ 10,206 | $ 10,857 | $ 8,359 | $ 7,101 |\n| 1,839 $ 6.33 | 1,863 $ 5.48 | 2,272 $ 4.78 | 2,135 $ 3.92 | 2,631 $ 2.70 |\n| | | | | |\n\n\nEBITDA per diluted share from continuing operations, a non-GAAP financial measure, is computed by the Company as EBITDA divided by weighted average diluted shares outstanding. \nThe company computes EBITDA by adding income from continuing operations, net interest expense/(income), income tax expense, depreciation and amortization. \n\nReturn on Equity \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 5,057 $ 41,691 12% | $ 2,293 $ 49,369 5% |\n| | |\n\n\n(IN THOUSANDS) \n\nNet Income \n\nStockholders’ Equity \n\nReturn on Equity \n\nReturn on equity, a non-GAAP financial measure, is computed by the Company by dividing annual net income by the Company’s beginning \nof the year stockholders’ equity balance as shown on its balance sheet.", + "page_start": 8, + "page_end": 8, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "2003. Net income was $98.1 million or $1.68 per diluted share in 2003, December 28, 2002, and fiscal year 2001, the year ended December 29, \n\nas compared to $91.4 million or $1.55 per diluted share in 2002. 2001, contained 52 weeks. A 53-week year occurs approximately every \n\nThe Company generated $141.3 million in cash flow from sixth year. \n\noperating activities and increased its cash position, including short- \n***Revenue recognition***– Revenue is normally recognized upon \nterm investments, by $48.6 million to $204.2 million. The Company \nshipment of goods to customers. In certain circumstances revenue is \npaid dividends of $30.3 million and repurchased $21.5 million of its \nnot recognized until the goods are received by the customer or upon \ncommon stock, while investing $35.7 million in net capital expendi- \ninstallation and customer acceptance based on the terms of the sale \ntures and repaying $20.2 million of debt. \nagreement. Revenue includes freight charged to customers; related", + "page_start": 31, + "page_end": 31, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "To the Stockholders and the Board of Directors of Atrion Corporation: \n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 \nand 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial \nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit \nto obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence \nsupporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made \nby management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries \nas of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, \n2001 in conformity with accounting principles generally accepted in the United States.", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "In recent years, the economic climate has presented significant \nchallenges to growth—and, in some cases, survival—for American \nbusinesses. The companies that have fared well are those with solid \nfinancial foundations and sound growth strategies that provide a \nmeasure of protection against the changing winds of the economy. \nAtrion is one of those companies. For the past five years, we have \nproduced earnings per share growth of more than 15 percent each \nyear. Despite fluctuations in our markets and product demand, we \nhave continued to return value to our stockholders through strong \nearnings growth, year after year. As a leading provider of medical \ndevices and components to niche markets in the health care \nindustry, we are committed to doing everything we can to continue \nthat level of performance. \n\nF I N A N C I A L H I G H L I G H T S 1 \n\nL E T T E R T O S T O C K H O L D E R S 2 \n\nF I N A N C I A L I N F O R M A T I O N 7 \n\nC O R P O R A T E I N F O R M A T I O N 2 8", + "page_start": 1, + "page_end": 1, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "| 2003 | |\n|---|---|\n| 2003 | |\n| $ 62,803,000 6,923,000 4,892,000 $ 2.66 1,839,000 | $ 59,533,000 5,782,000 4,065,000 $ 2.18 1,863,000 |\n| 2003 | 2002 |\n| $ 60,050,000 13,803,000 4,287,000 $ 44,604,000 | $ 60,807,000 14,787,000 10,337,000 $ 41,691,000 |\n| | |", + "page_start": 2, + "page_end": 2, + "source_file": "NASDAQ_ATRI_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EEFT_2000.pdf", + "query": "What the name of the first bridge buildt over Danube ?", + "target_page": 16, + "target_passage": "he Chain Bridge was the first bridge over the Danube", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| | Iron Age, Denmark Early Viking, Salme | | | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | Iron Age, Denmark Early Viking, Salme | | | | | | | | | | | | | | | | | | | |\n| | Iron Age, Denmark | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | II | | | |\n| | | | | | | | | | | | | | | | | I | | II | | |\n| | Driffe Roma | | | ld Terrace n outlier | | | | | | | | | | | | Wielbark, Polan | | | | d |\n| | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | |\n| | Early medie | | | | | | | | | | | | | | Zohor | | Early mediev | | | al |\n| | | | | | | | | | Friesland, the Netherlands | | | | | | | | | | | |\n| L | ow CN | | | E | Mid CNE | | | | | | Baiuvarii | | | | Longobard | | | | | |\n| | | | | | | | | | | | | | | | | | | | | |\n\n\nBritain \nEastern Europe \n1 \n0 \n\nn \no \ns \nn \ne \nm \nD \n\nCentral Europe \ni \nHungary and Slovakia \n\nPortugal \n\n–0.002 \n\nItaly \n\nTwigstats f3-statistics \n–0.004 \n–0.002 –0.001 0 \n0.001 \nDimension 2 \n0.002 0.003 0.004 \n\nb \n\n3.3 \n2 \n\nIron Age, Denmark \n(first to third century CE) \n\n3 \nFriesland, the Netherlands \n(fifth to sixth century CE) \n\nII I III \n13 \n\n6 \nMedieval Poland (tenth \nto eleventh century CE) \nWielbark, Poland \n(first to third century CE) \n3 \n\nLa Tène, Slovakia \n(first century BCE \nto first century CE) \n\n2 \nBaiuvarii \n(fifth century CE) \n1 \n9 \nZohor, Slovakia \n(first to second \ncentury CE) \nLongobard \n(sixth century CE) \nI II 7 \n\nEarly medieval \nSlovakia \n(third to fifth century CE) \n\n4.7 \n\nScandinavian_Peninsula_EIA(I) \nScandinavian_Peninsula_EIA(II) \nSlovakia_Zohor_Germanic_Roman \nSlovakia_earlyMED \nSlovenia.lronRoman \nSlovenia.Roman.oNorthEurope \n\nPoland_Middle_Ages(I) \nPoland_Middle_Ages(II) \nPoland_Wielbark(I) \nPoland_Wielbark(II) \nPoland_Wielbark(III) \nPolandUkraine_MLBA(I) \nPolandUkraine_MLBA(II) \nPortugal.lronRoman \nRussia_Sarmatian \nSaami \n\nScandinavian Peninsula EIA \nRegular f3-statistics 0.002 \n\nEngland Diffield Terrace \nDenmark IA \nBritain \n\n0 1 \n\nn \no \ns \nn \ne \nm \nD \n\ni \n\nCentral \nEurope \n\nEarly medieval, \nincluding Wielbark, \nBaiuvarii, \nLongobards, \nEngland earlyMED, \nSlovakia earlyMED \n\nPortugal \n–0.002 \n\nItaly \n\nTwigstats f3-statistics \n–0.004 \n0.002 0.003 –0.002 –0.001 0 0.001 0.004 \nDimension 2 \n\nAnatolia_EBA \nAustria_Klosterneuburg_Roman \nBaiuvari_earlyMED \nBritain.lronRoman \nCentraIEurope.IronRoman(l) \nCentraIEurope.IronRoman(Il) \nCentraIEurope.IronRoman(IIl) \nCordedWare_EBA \nCroatia.IronRoman_oNorthEurope \nDenmark_BA Denmark_EVA \nDenmark_IA \nEngland_earlyMED_highCNE \nEngland_earlyMED_lowCNE \nEngland_earlyMED_midCNE \nEngland.Driffield.Terrace.Scandinavia \nHungary_earlyMED(I) \nHungary_earlyMED(II) \nHungarySlovakia.lronRoman \nIrelandOrkney_BA \n\nItaly.lmperial(l) \nltaly.lmperial(ll) \nltaly.lronRepublic \nKyrgyzstan_TianShanHun \nLithuania.lronRoman \nLongobard_earlyMED(I) \nLongobard_earlyMED(II) \nMontenegro_earlyMED \nNetherlands_Friesland_earlyMED \nPoland_BA", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed3.pdf" + }, + { + "text": "**19th century and modern city**\n\nOpéra Nouvel (1831), renovated in 1993 by Jean Nouvel \nThéâtre des Célestins (1877), designed by Gaspard André \nBasilica of Notre-Dame de Fourvière, large 19th-century basilica on the top of Fourvière Hill \nTour métallique de Fourvière (1894) \nVacherie du Parc (1904-1905), designed by Tony Garnier. \n*La Mouche*Cattle Market and Abattoir (1914, 1928), also by Garnier", + "page_start": 11, + "page_end": 11, + "source_file": "wikipedia4.pdf" + }, + { + "text": "a \nTime \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| Poland EBA MLBA Wielbark Middle | | |\n| | EBA | |\n| | | |\n| Southeastern Europe | | |\n| | | |\n\n\nb \n\nc \n2000 BCE \n2000 BCE 0 3000 BCE 1000 BCE 1000 CE \nCentral Europe \n\nBell Beaker/EBA Iron Roman Early Medieval \n\nBaiuvarii \n\n\n\n\n\n\n\nScandinavia \n\n\n\n3000 BCE 2000 BCE \n\n| | Iron Roman Early Medieval Me |\n|---|---|\n| | Iron Roman Early Medieval Me |\n| Driffeld Terrace | |\n\n\nBA \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| BA EIA Viking Age Me | | |\n| | | EIA Viking Age Me |\n| | | |\n\n\n**Fig. 3 | Time transects across six geographical regions in Europe.**\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze \nAge to the present day in Poland (**a**), southeastern Europe (**b**), central Europe \n(**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample \nlocations of all available ancient genomes with at least 0.5× coverage from these regions (Supplementary Table 1). Their ancestry is shown on the same \nMDS model as in Fig. 2a for each time period. For each geographic region, \nthe early medieval period is highlighted in orange and the area in the MDS \ncorresponding to Scandinavian and central European ancestries is highlighted \nin an orange box. \n\nmedieval individuals (*P*≪ 1 × 10−32). Instead, the majority of individuals \nfrom medieval Poland can be modelled only as a mixture of ancestries \nrelated to Roman Iron Age Lithuania, which is similar to ancestries of \nindividuals from middle to late Bronze Age Poland (44%, 95% confidence \ninterval 36–51%), an ancestry component related to Hungarian Scyth- \nians or Slovakian La Tène individuals (49%, 95% confidence interval \n41–57%) and potentially a minority component of ancestry related to \nSarmatians from the Caucasus (*P*= 0.13) (Fig. 2c). Four out of twelve \nindividuals from medieval Poland, three of whom are from the late \nViking Age6, carried detectable Scandinavian-related ancestry. Some \nof the ancestry detected in individuals from later medieval Poland may \nhave persisted during the late first millennium ce in the cremating \nportion of the population, but regardless, this points to large-scale \nancestry transformation in medieval Poland (Fig. 3a). Future data could \nshed light on the extent to which this reflects the influence of groups \nspeaking Slavic languages in the region. \n\nIn present-day Slovakia, individuals associated with the Iron \nAge La Tène period appear close to Hungarian Scythians in the two \ndimensions of our MDS analysis, and are modelled as a mixture of \ncentral and eastern European ancestry. However, a first-century ce \nburial of a 50–60-year-old woman from Zohor is modelled only with \nScandinavian-related ancestry, providing evidence of ancestry related \nto the Scandinavian EIA appearing southwest of the range of the Wiel- \nbark archaeological complex5,57 (Fig. 3b). Later early medieval individu- \nals from Slovakia have partial Scandinavian-related ancestry, providing \nevidence for the integration between expanding and local groups. \n\nNearby, in present-day Hungary, we observe Scandinavian-related \nancestry components in several burials dating to the sixth century \nce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). \nThis is consistent with the original study10, which reported affinity to \npresent-day groups from northwestern Europe (GBR, CEU and FIN in \nthe 1000 Genomes Project (1000GP))10 but which we can resolve with", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed3.pdf" + }, + { + "text": "**High-resolution genomic history of early**\n**medieval Europe**\n\n**Leo Speidel1,2,3**✉**, Marina Silva1, Thomas Booth1, Ben Raffield4, Kyriaki Anastasiadou1,**\n**Christopher Barrington5, Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1**✉ \nhttps://doi.org/10.1038/s41586-024-08275-2 \n\nReceived: 14 December 2023 \n\nAccepted: 23 October 2024 \n\nPublished online: 1 January 2025 \n\nOpen access \n\n Check for updates \n\nMany known and unknown historical events have remained below detection thresholds \nof genetic studies because subtle ancestry changes are challenging to reconstruct. \nMethods based on shared haplotypes1,2 and rare variants3,4 improve power but are not \nexplicitly temporal and have not been possible to adopt in unbiased ancestry models. \nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can \nimprove statistical power by an order of magnitude by focusing on coalescences in \nrecent times, while remaining unbiased by population-specific drift. We apply this \nframework to 1,556 available ancient whole genomes from Europe in the historical \nperiod. We are able to model individual-level ancestry using preceding genomes to \nprovide high resolution. During the first half of the first millennium ce, we observe \nat least two different streams of Scandinavian-related ancestry expanding across \nwestern, central and eastern Europe. By contrast, during the second half of the first \nmillennium ce, ancestry patterns suggest the regional disappearance or substantial \nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx \nby approximately 800 ce, when a large proportion of Viking Age individuals carried \nancestry from groups related to central Europe not seen in individuals from the early \nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a \nhigher-resolution lens for genetic history. \n\nAncient genome sequencing has revolutionized our ability to recon- \nstruct expansions, migrations and admixture events in the ancient past \nand understand their impact on human genetic variation today. How- \never, tracing history using genetic ancestry has remained challenging, \nparticularly in historical periods for which the richest comparative \ninformation from history and archaeology often exists. This is because \nancestries in many geographical regions are often so similar as to be \nstatistically indistinguishable with current approaches. One example is \nnorthern and central Europe since the start of the Iron Age around 500 \nbce, a period for which many long-standing questions remain, such as \nthe nature of large-scale patterns of human migration during the fourth \nto sixth centuries ce, their impact on the Mediterranean world and later \npatterns of human mobility during the Viking Age (around 750–1050 ce). \nSeveral recent studies have documented substantial mobility and \ngenetic diversity in these time periods, suggesting stable population \nstructure despite high mobility5, and have revealed genetic variation \nin Viking Age Scandinavia6–8, early medieval England3,9, early medieval \nHungary10,11 and Iron Age and medieval Poland12. However, previous \nstudies mostly used large modern cohorts to study ancestry change \nthrough time and space. This is because the differentiation between \nIron Age groups in central and northern Europe is an order of magnitude \nlower (fixation index (*F*ST) = 0.1–0.7%; Extended Data Fig. 1) than, for \nexample, the more commonly studied hunter-gatherer, early farmer \nand steppe-pastoralist groups that shaped the ancestry landscape of", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed3.pdf" + }, + { + "text": "TYPlChL L&i. PER kT. OF ‘SPAN ’ \nLIFT DISTRIBUTION", + "page_start": 92, + "page_end": 92, + "source_file": "00-80T-80.pdf" + }, + { + "text": "1,600,000 m2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48]*Cité Internationale*, created \nby the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide \nheadquarters of Interpol is located there. The district of*Confluence*, in the south of the historic centre, is a new pole of \neconomical and cultural development. \n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 \nprovided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon \nranked first in France for hostels business. The festivals most important for attracting tourists are the*Fête des lumières*, the \n*Nuits de Fourvière*every summer, the*Biennale d'art contemporain*and the*Nuits Sonores*. \n\n**Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco- \nProvençal. The Lyonnais dialect was replaced by the French language as the \nimportance of the city grew. However some \"frenchified\" Franco-Provençal words \ncan also be heard in the French of the Lyonnais, who call their little boys and girls \n\"gones\" and \"fenottes\" for example.[49] \n\n\n\nThe Lumière brothers pioneered cinema in the town in 1895. The Institut \nLumière, built as Auguste Lumiere's house, and a fascinating piece of \narchitecture in its own right, holds many of their first inventions and other \nearly cinematic and photographic artifacts. \n8 December each year is marked by the Festival of Lights (la Fête des \nlumières), a celebration of thanks to the Virgin Mary, who purportedly \nsaved the city from a deadly plague in the Middle Ages. During the event, \nthe local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale \nlight shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean. \nThe Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting \naudiences from around the world. \nThe Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house \nwas re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named \nafter him. \nLyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the \ncity. This old tradition is now finding a contemporary expression, for example in the art of Guillaume \nBottazzi.[50][51] \nThe Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North \nAmerica, was founded in Lyon in 1821. \nThe African Museum of Lyon is one of the oldest museums situated in Lyon.[52] \nThe Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance \nmovement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the \nFrench resistance and many members were shot in Place Bellecour in the town centre. The exhibition is \nlargely a series of , mini-biographies of those involved. \nLyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program. \n\nGuignol, created in the early 19th \nC., associated with the silk-workers \n\n**UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \n\"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and \nstrategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the \nRenaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture \nfrom the 12th century to modern times.[53]", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia4.pdf" + }, + { + "text": "500/km2 (1,300/sq mi) \n\n**Time zone**\n**• Summer (DST)** UTC+01:00 (CET) \nUTC+02:00 (CEST) \n\n**INSEE/Postal code**\n\n69123 (https://www.inse \ne.fr/fr/statistiques/14055 \n99?geo=COM-69123) \n/69001-69009 \n\n162–349 m (531– \n1,145 ft) \n\n**Website**\nlyon.fr (https://www.lyon. \nfr/) \n\n**1**French Land Register data, which excludes \nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or \n247 acres) and river estuaries. \n\n**• Metro density**\n\nEarly Christians in Lyon were martyred for their beliefs under the reigns \nof various Roman emperors, most notably Marcus Aurelius and \nSeptimius Severus.[28] Local saints from this period include Blandina, \nPothinus, and Epipodius, among others. The Greek Irenaeus was the \nsecond bishop of Lyon during the latter part of the second century.[29] \nTo this day, the archbishop of Lyon is still referred to as \"*Primat des*\n*Gaules*\".[30] \n**Elevation**\n\nBurgundians fleeing the destruction of Worms by the Huns in 437 were \nre-settled in eastern Gaul. In 443 the Romans established the Kingdom \nof the Burgundians, and Lugdunum became its capital in 461. In 843, \nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor \nLothair I. It later was made part of the Kingdom of Arles which was \nincorporated into the Holy Roman Empire in 1033. Lyon did not come \nunder French control until the \n14th century. \n\n**Timeline of Lyon**\n**Historical affiliations**\n\n\n\n**Modern Lyon**\n\n Roman Empire (Gallia Lugdunensis), 43 \n\nBC-286 \n\nFernand Braudel \nremarked, \n\"Historians of Lyon are not \nthe bi- \nsufficiently aware of \npolarity between Paris and Lyon, \nwhich is a constant structure in \nFrench development...from \nthe \nlate Middle Ages to the Industrial \nRevolution\".[31] In the late 15th century, the fairs introduced by Italian \nmerchants made Lyon the economic counting house of France. Even the \n*Bourse*(treasury), built in 1749, resembled a public bazaar where \naccounts were settled in the open air. When international banking moved \nto Genoa, then Amsterdam, Lyon remained the banking centre of \nFrance. \n\n Western Roman Empire (Gallia \n\nLugdunensis), 286-411 \n\n Kingdom of the Burgundians, 411–534 \n Francia, 534–843 \n Middle Francia, 843–855 \n Lotharingia, 855–879 \n Lower Burgundy, 879-933 \n Kingdom of Arles, 933–1312 \n Kingdom of France (Lyonnais), 1312– \n\nThe Roman-era Theatre on the \nFourvière Hill \n\n1792 \n\n French First Republic, 1792–1793 \n Counter-revolutionary, 1793 \n French First Republic, 1793–1804 \n First French Empire, 1804–1814 \n Kingdom of France, 1814–1815 \n First French Empire, 1815 \n Kingdom of France, 1815–1830 \n Kingdom of France, 1830–1848 \n French Second Republic, 1848–1852 \n Second French Empire, 1852–1870 \n French Third Republic, 1870–1940 \n Vichy France, 1940–1944 \n French Fourth Republic, 1944–1958 \n France, 1958–present \n\n\n\nDuring the Renaissance, the city's development was driven by the silk \ntrade, which strengthened its ties to Italy. Italian influence on Lyon's \narchitecture is still visible among historic buildings.[32] In the late 1400s \nand 1500s Lyon was also a key centre of literary activity and book \npublishing, both of French writers (such as Maurice Scève, Antoine \nHeroet, and Louise Labé) and of Italians in exile (such as Luigi \nAlamanni and Gian Giorgio Trissino).", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia4.pdf" + }, + { + "text": "55. Chyleński, M. et al. Patrilocality and hunter-gatherer-related ancestry of populations in \nEast-Central Europe during the Middle Bronze Age.*Nat. Commun.***14**, 4395 (2023). \n(2012). \n\n21. Patterson, N. et al. Ancient admixture in human history.*Genetics***192**, 1065–1093 (2012). \n22. Durand, E. Y., Patterson, N., Reich, D. & Slatkin, M. Testing for ancient admixture between \n56. Heather, P.*The Goths*(Wiley-Blackwell, 1996). \n57. Elschek, K. in*Grundprobleme. Thema: Macht des Goldes - Gold der Macht (Forschungen* closely related populations.*Mol. Biol. Evol.***28**, 2239–2252 (2011). \n\n*zu Spätantike und Mittelalter 2)*(eds Hardt, M. & Heinrich-Tamáska, O.) 91–123 (Greiner, \nBernhard A., 2013). 23. Harney, É., Patterson, N., Reich, D. & Wakeley, J. Assessing the performance of qpAdm: \na statistical tool for studying population admixture.*Genetics***217**, iyaa045 (2021). \n58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin 24. Antonio, M. L. et al. Ancient Rome: a genetic crossroads of Europe and the Mediterranean. \n\nand rapid trans-Eurasian migration of 7th century Avar elites.*Cell***185**, 1402–1413 (2022). \n59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive \nfemale-biased immigration in Early Medieval Bavaria.*Proc. Natl Acad. Sci. USA***115**, \n3494–3499 (2018). \n\n*Science***366**, 708–714 (2019). \n25. Leslie, S. et al. The fine-scale genetic structure of the British population.*Nature***519**, 309 \n(2015). \n26. Ringbauer, H. et al. Accurate detection of identity-by-descent segments in human ancient \n\nDNA.*Nat. Genet.***56**, 143–151 (2024). \n27. Mallick, S. et al. The Allen Ancient DNA Resource (AADR): a curated compendium of \nancient human genomes.*Sci. Data***11**, 182 (2023). \n\n60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the \nAnglo-Saxons.*Nat. Commun.***7**, 10326 (2016). \n61. Schiffels, S. & Sayer, D. in*Migration and Integration From Prehistory to the Middle Ages*\n\n(eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, \n2017). \n28. Lewanski, A. L., Grundler, M. C. & Bradburd, G. S. The era of the ARG: an introduction to \nancestral recombination graphs and their significance in empirical evolutionary \ngenomics.*PLoS Genet.***20**, e1011110 (2024). 62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early \n\nmedieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and \nthe modern people of the UK.*PLoS Genet.***19**, e1010360 (2023). \n29. Brandt, D. Y. C., Huber, C. D., Chiang, C. W. K. & Ortega-Del Vecchyo, D. The promise of \n\ninferring the past using the ancestral recombination graph.*Genome Biol. Evol.***16**, evae005 \n(2024). 63. Symmachus, Letters 2. 46.1-2.*WordPress*https://aleatorclassicus.wordpress.com/2011/08/ \n19/symmachus-letters-2-46-1-2/ (2011). 30. Rasmussen, M. D., Hubisz, M. J., Gronau, I. & Siepel, A. Genome-wide inference of \n64. Emperor, J.*The Works of the Emperor Julian*(translator Wright, W. C.) Vol. 1 (Project ancestral recombination graphs.*PLoS Genet.***10**, e1004342 (2014). \nGutenberg, 2015); https://www.gutenberg.org/ebooks/48664. 31. Speidel, L. et al. Inferring population histories for ancient genomes using genome-wide \n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration genealogies.*Mol. Biol. Evol.***38**, 3497–3511 (2021). \n\n32. Speidel, L., Forest, M., Shi, S. & Myers, S. R. A method for genome-wide genealogy \nestimation for thousands of samples.*Nat. Genet.***51**, 1321–1329 (2019). \n\npatterns in a Viking Age town.*Curr. Biol.***28**, 2730–2738 (2018). \n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the \nIron Age.*J. Archaeol. Sci. Rep.***12**, 183–196 (2017). 33. Kelleher, J. et al. Inferring whole-genome histories in large population datasets.*Nat. Genet.*", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed3.pdf" + }, + { + "text": "Further down, in the current Saint-Vincent district, was the Gallic \nvillage of Condate, probably a simple hamlet of sailors or fishermen \nliving on the banks of the Saône.*Condate*is a Gallic word meaning \n\"confluence\", from which the Confluence district gets its name. \n\nIn Roman times the city was called*Caput Galliæ*, meaning \"capital of \nthe Gauls\". As an homage to this title, the Archbishop of Lyon is still \ncalled the Primate of Gaul. \n\nDuring the revolutionary period, Lyon was renamed*Commune-*\n*Affranchie*(\"Emancipated Commune\") on 12 October 1793 by a decree \nof the Convention Nationale. It resumed its name in 1794, after the end \nof the Terror. \n\nLyon is called*Liyon*in Franco-Provençal.[24] \n\n**Ancient Lyon**\n\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate \nordered the creation of a settlement for Roman refugees of war with the \nAllobroges. These refugees had been expelled from Vienne and were \nnow encamped at the confluence of the Saône and Rhône rivers. The \nfoundation was built on Fourvière hill and officially called*Colonia*\n*Copia Felix Munatia*, a name invoking prosperity and the blessing of the \ngods. The city became increasingly referred to as*Lugdunum*(and \noccasionally*Lugudunum*[25]).[26] The earliest translation of this Gaulish \nplace-name as \"Desired Mountain\" is offered by the 9th-century \n*Endlicher Glossary*.[27] In contrast, some modern scholars have \nproposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god \nLugus (cognate with Old Irish*Lugh*, Modern Irish*Lú*), and*dúnon*(hill- \nfort). \n\n**Population**(2022)[5] \n**• Rank**\n**• Density**\n\n520,774 \n3rd in France \n11,000/km2 \n(28,000/sq mi) \n1,702,921 \n\nCoordinates: 45°46′N 4°50′E \n\n**Country**\n**Region**\n**Metropolis**\n**Arrondissement** France \nAuvergne-Rhône-Alpes \nLyon Metropolis \nLyon \n\n**Subdivisions** 9 arrondissements \n\n**Government**\n**• Mayor**(2020– \n2026) \nGrégory Doucet[2] \n(EELV) \n\n47.87 km2 (18.48 sq mi) \n1,141.4 km2 \n(440.7 sq mi) \n4,605.8 km2 \n(1,778.3 sq mi) \n\n**Area1**\n**• Urban**(2020[3]) \n\n**• Metro**(2020[4]) \n\nThe Romans recognised that Lugdunum's strategic location at the \nconvergence of two navigable rivers made it a natural communications \nhub. The city became the starting point of main Roman roads in the \narea, and it quickly became the capital of the province, Gallia \nLugdunensis. Two Emperors were born in this city: Claudius, whose \nspeech is preserved in the Lyon Tablet in which he justifies the \nnomination of Gallic Senators, and Caracalla. \n\n**• Urban**(Jan. \n2021[6]) \n**• Urban density**\n**• Metro**(Jan. \n2021[7])", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**Influx into pre-Viking Age Scandinavia**\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo- \ngeneity. Specifically, individuals from Denmark (100 ce–300 ce) were \nindistinguishable from contemporary people in the Scandinavian Pen- \ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry \nalready in the eighth century ce (Late Iron Age/early Viking Age) on \nZealand (present-day Denmark) for which a 100% EIA ancestry model \nis rejected (*P*= 1 × 10−17 using Twigstats;*P*= 7.5 × 10−4 without). This \nshift in ancestry persists among later Viking Age groups in Denmark, \nwhere all groups are modelled with varying proportions of ancestry \nrelated to Iron Age continental groups in central Europe (Figs. 3f \nand 4c). A non-parametric MDS of Viking Age individuals suggests \nthat variation between individuals forms a cline spanning from the \nEIA Scandinavian Peninsula individuals to ancestry characteristic of \ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark \ncannot be confounded by potentially earlier unknown gene flow into \nIron Age source groups in Austria, France and Germany, but such gene \nflow could affect the exact ancestry proportions. \n\nIn southern Germany, the genetic ancestry of individuals from \nearly medieval Bavaria probably associated with the historical \nGermanic-language-speaking Baiuvarii59 cannot be modelled as deriv- \ning ancestry solely from earlier groups in Iron Age central Germany \n(*P*≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the \nfifth century ce59, but their origins remain unresolved. Our current \nbest model indicates a mixture with ancestry derived from EIA Pen- \ninsular Scandinavia and central Europe, suggesting an expansion of \nScandinavian-related ancestry producing a regional ancestry shift \n(Figs. 2c and 3c). \n\nIn Italy, southward expansions of northern and central European ances- \ntries appear by the Late Antiquity (approximately fourth century ce), \nwhere a clear diversification of ancestry can be observed compared \nwith preceding time periods (Fig. 3d). However, no individuals with \nnear 100% Scandinavian ancestry can be observed in the sampling \ndata available so far. \n\nIn Britain, the ancestries of Iron Age and Roman individuals form a \ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available \npreceding Bronze Age individuals from Ireland and Orkney, and adja- \ncent to, but distinct from, available individuals in Iron Age and Roman \ncentral Europe. However, two first- to second-century ce burials from a \nRoman military fortress site in Austria (Klosterneuburg)5 carry ancestry \nthat is currently indistinguishable from Iron Age or Roman popula- \ntions of Britain, to the exclusion of other groups (qpWave cladality \n*P*= 0.11). One option is that they had ancestry from Britain; alternatively, \ncurrently unsampled populations from western continental Europe \ncarried ancestries similar to Iron Age southern Britain.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed3.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EEFT_2000.pdf", + "query": "What was the total amount of operating expenses of 2000 by Network Wordwide in 2000 ?", + "target_page": 17, + "target_passage": "Total operating expenses increased to $88.1 million for the year ended December 31, 2000", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "on the Company’s ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y \ni n t roduced to the market. The Company’s re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e \nmarketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total \nf i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company’s \naccounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. \nTechnological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and \ntesting activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , \nand technical perf o rmance re q u i rements. \n\n**Operating Loss**The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 \nmillion for the year ended December 31, 1999 as a result of the factors discussed above \n\nCorporate Services Segment \n\n**Operating Expenses**Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 \nf rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, \n2000 and 1999 were: \n\n*(in thousands)*\nYears ending December 31, \n2 0 0 0 1 9 9 9 \n\nSalaries and benefits \nSelling, general and administrative \nD e p reciation and amort i z a t i o n \n\n$ \n\n3 , 8 1 3 \n3 , 8 4 1 \n2 0 8 \n\n$ \n\n3 , 3 3 5 \n3 , 2 7 0 \n1 4 5 \n\nTotal direct operating expenses $ 7 , 8 6 2 $ 6 , 7 5 0 \n\nThe Company’s expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these \ni n c reased expenditures. \n\n**Non-Operating Results for the Years Ended December 31, 2000 and 1999**\n\n**Interest Income**I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December \n31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash \nas a result of negative cash flow from operations and capital expenditure s . \n\n**Interest Expense**I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended \nDecember 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange \nrate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the \nC o m p a n y ’s Notes Payable for a full year in 1999 in comparison to 6 months’ accretion in 1998.", + "page_start": 20, + "page_end": 20, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "**Operating Expenses**S o f t w a re Solutions Segment operating expenses consist primarily of salaries and benefits, selling, general and \nadministrative, and depreciation and amortization. In addition, the Company re c o rded a $11.2 million one-time write down of goodwill and other \nidentifiable intangible assets associated with the Company’s purchase of Euronet USA in December 1998 (see Note 10 to Consolidated Financial \nStatements – Asset Write Down). Total segment operating expenses increased to $37.5 million for the year ended December 31, 2000 from $22.3 \nmillion for the year ended December 31, 1999. The components of software solutions operating costs for the years ended December 31, 2000 and \n1999 were: \n\n*(in thousands)*\nYears ending December 31, \n2 0 0 0 1 9 9 9 \n\nD i rect operating costs \nSalaries and benefits \nSelling, general and administrative \nD e p reciation and amort i z a t i o n \nAsset write down \n\n$ \n\n8 0 0 \n1 8 , 0 0 4 \n5 , 2 6 6 \n2 , 2 1 5 \n1 1 , 1 9 0 \n\n$ \n\n1 , 0 8 9 \n1 3 , 9 5 3 \n4 , 5 6 5 \n2 , 6 8 3 \n— \n\n$ 2 2 , 2 9 0 \n\nTotal direct operating expenses $ 3 7 , 4 7 5 \n\nThe Company has made planned increases in staff in order to increase sales, accelerate development of certain software enhancements and re d u c e \nd e l i v e ry times for software. These staff increases have resulted in a significant increase in salaries and benefits, which has contributed to the net \nlosses of the Software Solutions Segment for the years ended December 31, 2000 and 1999. In January 2001, a reduction in the work force took \nplace with the objective being to reduce costs to bring them more in line with the anticipated revenue. \n\nThe Company has an ongoing commitment to the development, maintenance and enhancement of its products and services. As a result of this \ncommitment the Company has invested substantial amounts in re s e a rch and development. In part i c u l a r, the Company has invested and will \ncontinue to invest in new software products that will serve as the underlying application software that permits additional features and transactions", + "page_start": 19, + "page_end": 19, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "In April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the \nC o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s \ntook place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the \nexemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s \nto the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in \nthe private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of \n$12.50, expiring in each case on the one year anniversary date of the subscription agreement. \n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s \nw e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and \nRegulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was \n$6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between \n8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the \nConsolidated Financial Statements - Leases.) \n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company \nintends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This \nstrategy should reduce the Company’s reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and \ncapital lease payments for 2001 are expected to be approximately $6.2 million in the Company’s existing markets, notably We s t e rn and Central \nE u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company’s strategy may re q u i re additional \ncapital expenditures. \n\nBased on the Company’s current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash \nused in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M \nnetwork will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its \nATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t \noperating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m \ncommenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The \nCompany believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it \nachieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements. \n\nBA L A N C E SH E E T IT E M S", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "Total direct operating expenses \n\nAs a percentage of network revenue, direct operating costs fell from 83% for the year ended December 31, 1999 to 66% for the year ended \nDecember 31, 2000. On a per ATM basis the direct operating costs fell from $12,782 per ATM for the year ended December 31, 1999 to $9,807 \nper ATM for the year ended December 31, 2000, an improvement of 23%. On a per transaction basis the direct operating costs fell from $0.66 \nper transaction for the year ended December 31, 1999 to $0.46 per transaction for the year ended December 31, 2000, an improvement of 30%. \n\nSegment salaries and benefits increased to $7.4 million for the year ended December 31, 2000 from $7.2 million for the year ended December \n31, 1999, an increase of 3%. The increase in the year-on-year expenses reflect the continued expansion of the operations to We s t e rn Euro p e a n \nmarkets with significantly higher labor costs than Central Europe as well as some increases in staff levels at the processing center re q u i red to \nmaintain quality service in line with the rising transaction volumes. As a percentage of Network Services Segment revenue, salaries and benefits \nfell from 27% for the year ended December 31, 1999 to 20% for the year ended December 31, 2000. \n\nSelling, general and administrative costs allocated to the Network Services Segment decreased to $2.4 million for the year ended December 31, \n2000 from $2.9 million for the year ended December 31, 1999. The $500,000 cost decrease for the year ended December 31, 2000 results fro m \nthe net effect of (1) a $600,000 increase in the allocation of costs from the selling, general and administrative line of the Budapest pro c e s s i n g \ncenter to the operating cost line, as discussed above, from $2.9 million for the year ended December 31, 1999 to $3.5 for the year ended \nDecember 31, 2000 and (2) a $100,000 increase in costs associated with the expansion of the Company’s network operations. \n\nD e p reciation and amortization increased to $8.0 million for the year ended December 31, 2000 from $7.4 million for the year ended December \n31, 1999. The increases are due primarily to the increase in the number of owned ATMs as discussed pre v i o u s l y. The Company also re c o rded an \n$800,000 write-down of certain ATM hard w a re assets for the year ended December 31, 2000, as previously discussed.", + "page_start": 18, + "page_end": 18, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "**Comparison of Results of Operations for the Years Ended December 31, 2000, 1999 and 1998**\n\n**Annual Consolidated Revenues**\n27% increase for full year \n2000 over 1999 \n**5 2 . 7**\n\n**4 1 . 5**\n\n**Revenues**The Company’s total revenues increased to $52.7 million for the year ended December \n31, 2000 from $41.5 million for the year ended December 31, 1999 and $11.9 million for the year \nended December 31, 1998. The increase in revenues from 1999 to 2000 is primarily due to two \nfactors: (1) a $10.4 million increase in Network Services Segment revenues resulting from the \ni n c rease in transaction volumes in the Company owned ATMs and an increase in the number of AT M s \noperated by the Company during this period; and (2) an increase of $800,000 in Software Solutions \nSegment revenues. The increase in revenues from 1998 to 1999 is primarily due to two factors: (1) a \n$15.0 million increase in Network Services Segment revenues resulting from the increase in \ntransaction volume attributable to an increase in the number of ATMs operated by the Company \nduring this period; and (2) the addition of $14.6 million of Software Solutions Segment re v e n u e s . \nRevenues for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment \nResults of Operations sections below. \n\n**1 1 . 9**\n\n**5 . 3**\n\n**1 . 3**\n**0 . 1**\n\n**Operating Expenses**Total operating expenses increased to $88.1 million for the year ended \nDecember 31, 2000 from $68.3 million for the year ended December 31, 1999 and from $34.5 \nmillion for the year ended December 31, 1998. The increase from 1999 to 2000 can be broken down \nby segment as follows: (1) a $3.5 million increase in Network Services Segment operating costs due to growth in the size of the network \noperations; (2) a $15.2 million increase in Software Services Segment due to write down of intangibles of $11.2 million and investment in \npersonnel and re s o u rces; and (3) a $1.1 million increase in Corporate Services Segment operating costs due to the expended operations. The \ni n c rease from 1998 to 1999 can be broken down by segment as follows: (1) a $13.0 million increase in Network Services Segment operating costs, \n(2) the addition of $19.6 million of Software Solutions Segment operating costs, and (3) a $1.2 million increase in Corporate Services Segment \noperating costs. Operating expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of \nOperations sections below. \n\n**1995 1996 1997 1998 1999 2000**\n\n**Operating Loss**The Company generated an operating loss of $35.4 million for the year ended December 31, 2000 compared to $26.8 million \nfor the year ended December 31, 1999 and $22.6 million for the year ended December 31, 1998. The increased operating loss from 1999 to 2000 \nis due to the net effect of three factors: (1) a $6.8 million decrease in the operating loss from the Company’s Network Services Segment; (2) a \n$14.3 million increase in the operating loss from the Company’s Software Solutions Segment; and (3) a $1.1 million increase in the operating loss \nf rom the Company’s Corporate Services Segment. The increased operating loss from 1998 to 1999 is due to the net effect of three factors: (1) a \n$1.9 million decrease in operating losses from the Company’s Network Services Segment; (2) the addition of $4.8 million in operating losses fro m \nthe Company’s Software Solutions Segment; and (3) a $1.3 million increase in operating losses from the Company’s Corporate Services Segment.", + "page_start": 16, + "page_end": 16, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "Network operating costs were $33.6 million, an increase of $1.1 million or 3.4%. The largest item in network \noperating costs is travel expense. These costs made up 31.8% and 32.9% of the total network and other costs in 2003 \nand 2002, respectively. Travel expense is the cost of minutes used by the Company’s PCS subscribers on Sprint or \nother Sprint Affiliates’ networks. Travel expense in 2003 was $10.8 million, an increase of $0.1 million due to a \nsignificant increase in travel minutes in 2003 which was offset by the impact of the rate decline. The travel rate \ndeclined from $0.10 per minute in 2002 to $0.058 per minute in 2003. Our PCS customers increased their average \nmonthly travel minutes by 22% compared to 2002. In 2002, the average customer’s travel usage was 130 minutes per \nmonth and in 2003 that average travel usage increased to 159 minutes per month. \n\nNetwork infrastructure maintenance costs were $4.9 million or 14.6% of total network operating costs, a decrease of \n$0.2 million from 2002. Rent for towers, tower sites, and buildings increased $0.9 million or 27.3% to $4.2 million. \nLease escalators plus the increase in the number of sites leased contributed to the increase. Line costs in 2003 were \n$9.8 million or 29.1% of the network operating costs, an increase of $0.1 million. \n\nDepreciation and amortization expense was $16.6 million, an increase of $2.1 million or 14.8%. The PCS operation had \ndepreciation expense of $10.2 million, an increase of $1.6 million or 18.9%. The 16 additional PCS base stations placed \nin service during 2003 resulted in higher depreciation expense for the year. In the telephone operation, depreciation", + "page_start": 48, + "page_end": 48, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Operating Loss**The total Network Services Segment operating loss decreased to $6.1 million for the year ended December 31, 2000 from $12.9 \nmillion for the year ended December 31, 1999, an improvement of 53%, as a result of the factors discussed above. The Central European Sub- \nsegment re c o rded an operating loss of $3.1 million for the year ended December 31, 2000 compared to a loss of $8.0 million for the year ended \nDecember 30, 1999, an improvement of 61%, as a result of the factors discussed above. The We s t e rn European Sub-segment operating loss \nd e c reased to $2.3 million for year ended December 31, 2000 compared to a loss of $3.8 million for the year ended December 31, 1999, an \ni m p rovement of 39%, as a result of the factors discussed above. The Other ATM Operations Sub-segment incurred an operating loss of $700,000 \nfor the year ended December 31, 2000 compared to a loss of $1.0 million for the year ended December 31, 1999, an improvement of 30%, as a \nresult of the factors discussed above. \n\nSoftware Solutions Segment \n\n**Software Solutions Revenue**Revenues from the Software Solutions Segment totaled $16.0 million before inter-segment eliminations for the \nyear ended December 31, 2000 as compared to revenue of $15.1 for the year ended December 31, 1999. Software revenues are grouped into four \nb road categories: software license fees, professional service fees, maintenance fees and hard w a re sales. Software license fees are the initial fees \nc h a rged by the Company for the licensing of its pro p r i e t a ry application software to customers. Professional service fees are charged for \ncustomization, installation and consulting services provided to customers. Software maintenance fees are the ongoing fees charged to customers \nfor the maintenance of the software products. Hard w a re sales revenues are derived from the sale of computer products and are re p o rted net of \ncost of sales. The components of software solutions revenue for the years ended December 31, 2000 and 1999 were: \n\n*(in thousands)*\nYears ending December 31, \n2 0 0 0 1 9 9 9 \n\nS o f t w a re license fees \nP rofessional service fees \nMaintenance fees \nH a rd w a re sales \n\n$ \n\n4 , 1 1 7 \n6 , 8 6 7 \n4 , 4 8 7 \n5 3 5 \n\n$ \n\n2 , 4 3 0 \n8 , 2 9 8 \n4 , 0 5 1 \n3 7 0 \n\nTotal direct operating expenses $ 1 6 , 0 0 6 $ 1 5 , 1 4 9 \n\nThe increases in software license fees from 1999 to 2000 can be attributed to an increased number of software sales contracts signed in 2000 as \nc o m p a red to 1999, primarily in the first half of the year 2000. Sales of the Company’s core software products have dropped off substantially in \nthe third and fourth quarter of 2000 and are expected to be soft again during 2001. The Company believes that revenues of the Software \nSolutions Segment will increasingly be derived from the Company’s new set of software solutions, including its wireless banking solutions. \nThe decreases in professional service fees from 1999 to 2000 can be attributed to increased efficiency in the installation of software. \n\n**Software Sales Backlog**The Company defines “software sales backlog” as fees specified in contracts which have been executed by the \nCompany and for which the Company expects recognition of the related revenue within one year. At December 31, 2000 the revenue backlog was \n$3.5 million, as compared to December 31, 1999 the revenue backlog was $3.1 million. The increase in backlog from December 31, 1999 re s u l t s \nprincipally from growth in software sales. It is management’s intention to continue to focus on expediting delivery and implementation of software \nin an eff o rt to reduce backlog while continuing sales growth.", + "page_start": 19, + "page_end": 19, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "The results of segment operations expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of \nOperations section below. \n\n**Segment Results of Operations for the Years Ended December 31, 2000 and 1999**\n\n(In thousands) \nYear ended December 31, \nNetwork Serv i c e s \nCentral Euro p e \nWe s t e rn Euro p e \nO t h e r \n\nR e v e n u e s \n2 0 0 0 Operating Loss \n2 0 0 0 1 9 9 9 1 9 9 9 \n\n$ 1 8 , 5 9 9. \n1 6 , 6 1 5. \n1 , 7 0 0. $ 1 2 , 6 6 4. \n1 2 , 6 3 7. \n1 , 2 0 2. $ ( 3 , 0 7 0 ) \n( 2 , 2 8 6 ) \n( 7 0 9 ) \n\nTotal Network Serv i c e s 3 6 , 9 1 4. 2 6 , 5 0 3. ( 6 , 0 6 5 ) \n\n1 6 , 0 0 6. \n—. \n(180) 1 5 , 1 4 9. \n—. \n( 1 8 0 ) \n\n$ 5 2 , 7 4 0. $ 4 1 , 4 7 2. \n\n$ \n\n( 8 , 0 1 9 ) \n( 3 , 8 4 0 ) \n( 1 , 0 4 8 ) \n\n( 1 2 , 9 0 7 ) \n\n( 7 , 1 4 1 ) \n( 6 , 7 5 0 ) \n—. \n\n$ ( 2 6 , 7 9 8 ) \n\n**Revenues**Total segment revenues increased by $10.4 million or 39% to $36.9 million for the year ended December 31, 2000 from $26.5 million \nfor the year ended December 31, 1999. The increase in revenues is due primarily to the significant increase in transaction volume and an incre a s e \nin the number of ATMs operated by the Company during these periods. The Company had 2,283 ATMs installed as of December 31, 1999 and \np rocessed 32.9 million transactions for the year ended December 31, 1999. As of December 31, 2000, the Company’s owned and operated AT M \nnetwork increased by 351 ATMs, or 15%, to a total of 2,634 ATMs, of which 72% are owned by the Company and 28% are owned by banks or \nother financial institutions but operated by the Company through management agreements. The Company processed 52.7 million transactions for \nthe year ended December 31, 2000, an increase of 19.8 million transactions, or 60%, over the year \nended December 31, 1999. \n\n**Network Services: Revenue**\n39% increase for full year 2000 over 1999 \n\nRevenues for the Central European Sub-segment totaled $18.6 million for the year ended December \n31, 2000 as compared to $12.7 million for the year ended December 31, 1999, an increase of 47%. \nThe increase in revenues is largely the result of an increase in the number of ATMs operated by the \nCompany from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and incre a s e d \ntransaction volumes. \n\n**3 6 . 9**\n\n**2 6 . 5**\n\nRevenues for the We s t e rn European Sub-segment totaled $16.6 million for the year ended December \n31, 2000 as compared to $12.6 million for the year ended December 31, 1999, an increase of 31%. \nThe increase in revenues is largely the result of an increase in the number of ATMs operated by the \nCompany from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction \nvolumes. \n\n**1 1 . 5**\n\n**5 . 3**\n\n**1 . 3**\n**0 . 1**\n\n**1995 1996 1997 1998 1999 2000**\n\nRevenues for the Other ATM Operations Sub-segment were $1.7 million for the year ended \nDecember 31, 2000 as compared to $1.2 million for the year ended December 31, 1999, an incre a s e \nof 41%. The revenues from this segment are the result of the acquisition of the Dash network located in the United States in August 1999. \n\nOf total segment revenue, approximately 87% is attributable to those ATMs owned by the Company for the year ended December 31, 2000 and \n94% for the year ended December 31, 1999. Of total transactions processed, approximately 78% is attributable to those ATMs owned by the \nCompany for the year ended December 31, 2000 and 76% for the year ended December 31, 1999. The Company believes the shift from a larg e l y \np ro p r i e t a ry, Euronet Worldwide owned ATM network to a more balanced mix between pro p r i e t a ry ATMs and customer-owned ATMs is a positive \ndevelopment and will provide higher marginal re t u rns on investments.", + "page_start": 17, + "page_end": 17, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "increased $0.5 million or 12.7%, due to new assets deployed in the operation. There was no amortization of goodwill in \n2003 or 2002, compared to goodwill amortization of $360 thousand expensed in 2001, due to the required accounting \nchange. \n\nSelling, general and administrative expenses were $26.0 million, down $0.1 million or 0.4%. Customer support costs \nwere $8.7 million, an increase of $0.9 million or 11.4%. The growth in Sprint wireless subscribers is primarily \nresponsible for this change. Advertising expense was $4.6 million, an increase of $0.3 million or 6.4%. The change is \nprimarily due to increased marketing efforts in support of the PCS operations in both the Quad State and Central Penn \nmarkets. PCS sales staff expenses were $2.8 million, an increase of $0.1 million or 1.5% compared to 2002. Other \nsales staff expenses increased $0.3 million to $1.3 million as the Company worked to expand its other services in areas \noutside its historically defined service area. Bad debt expense decreased $2.6 million or 58.3%. \n\nAdministrative expenses increased $1.0 million or 17.1%. This increase is a result of increased professional fees, \ninsurance and pension costs. During 2003, the Company added several positions to expand the management team to \nsupport the Company’s growing operations. \n\nBad debt expense decreased $2.6 million to $1.8 million or 58.3%. This decrease was due to more restrictive credit \nterms for new PCS subscribers (limiting the high credit risk customers who obtained service), lower churn in the PCS \noperation and improvement in the interexchange carrier segment of the business. This expense is net of normal \nrecoveries and includes a recovery of $0.2 million for an interexchange carrier settlement the Company received in \n2003 which was written off in 2002. \n\nOperating income grew to $18.6 million, an increase of $9.3 million or 100%. Revenue growth, primarily in the PCS \noperation in addition to the reduced bad debt expenses, adjustments of management estimates, and the settlement of \ndisputed items with Sprint, all contributed to the operating income improvements. The Company’s operating margin \nwas 17.6%, compared to 10.0% in 2002. \n\nOther income (expense) is comprised of non-operating income and expenses, interest expense and gain or loss on \ninvestments. Collectively, the net impact of these items to pre-tax income was an expense of $3.6 million for 2003, \ncompared to expense of $14.3 million from 2002. The 2002 results were primarily the results of the previously \ndisclosed $9.0 million loss recorded on the sale of the VeriSign stock. \n\nInterest expense was $3.5 million, a decrease of $0.7 million or 16.3%. The Company’s average debt outstanding \ndecreased approximately $4.8 million. Long-term debt (inclusive of current maturities), was $43.3 million at year-end \n2003, versus $52.0 million at year-end 2002. The Company did not borrow any money on its revolving facilities in \n2003. \n\nNet losses on investments were $0.4 million, compared to a loss of $10.1 million from 2002. Results in 2002 include \nthe sale of the VeriSign, Inc. stock for a loss of $9.0 million. See Note 3 to the consolidated financial statements. \n\nNon-operating income was a gain of $0.4 million, an increase of $0.5 million, due to an increase in patronage equity \nearned from CoBank, the Company’s primary lender, and due to interest income from the proceeds on the sale of the \nVirginia 10 RSA Limited partnership, offset by losses recorded for the Company’s portfolio of investments.", + "page_start": 49, + "page_end": 49, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "$ ( 8 , 1 2 0 ) $ ( 2 1 , 3 6 5 ) $( 1 8 , 8 7 8 ) $ ( 4 8 , 3 6 3 ) \n\n3 , 6 5 2. \n1 , 6 8 2. \n1 , 1 0 0. \n— $ 4 6 , 1 0 4. \n3 0 , 5 3 4. \n7 , 9 6 1. \n7 7 8. \n\n$ 9 , 4 3 3. \n9 6 8. \n2 , 2 1 5. \n1 1 , 1 9 0 $ 5 , 3 5 3. \n1 5 5. \n2 0 8. \n—. $ 6 0 , 8 9 0. \n3 1 , 6 5 7. \n1 0 , 3 8 4. \n1 1 , 9 6 8. \n\nYear Ended December 31, 2000 \n\nNetwork Serv i c e s \n\nCentral \nE u rope We s t e rn \nE u rope \n\n$ 1 2 , 6 6 4. \n( 2 0 , 6 8 3 ) \n\nN e t w o r k \nS e rvices \nTo t a l \n*(in thousands)*\nO t h e r \n\n$ 1 2 , 6 3 7. \n( 1 6 , 4 7 7 ) \n$ \n1 , 2 0 2. \n( 2 , 2 5 0 ) $ 2 6 , 5 0 3. \n( 3 9 , 4 1 0 ) —. \n( 6 , 7 5 0 ) $ 4 1 , 6 5 2. \n( 6 8 , 4 5 0 ) ( 2 2 , 2 9 0 ) \n\n( 8 , 0 1 9 ) \n4 4 8. \n( 9 8 1 ) \n( 3 9 9 ) ( 3 , 8 4 0 ) \n1 6. \n( 1 0 1 ) \n( 1 9 ) ( 1 , 0 4 8 ) \n1 0 3. \n( 5 1 ) \n( 1 4 6 ) \n\nS o f t w a re \nSolutions C o r p o r a t e \nS e rvices To t a l \n\n$ 1 5 , 1 4 9. $ \n\n( 7 , 1 4 1 ) \n1 4 8. \n—. \n2. ( 6 , 7 5 0 ) \n1 , 2 3 5. \n( 9 , 7 6 6 ) \n( 1 , 5 4 8 ) ( 2 6 , 7 9 8 ) \n1 , 9 5 0. \n( 1 0 , 8 9 9 ) \n( 2 , 1 1 0 ) \n\nTotal Revenues \nTotal operating expenses \n\nOperating loss. \nI n t e rest income \nI n t e rest expense \nF o reign exchange (loss)/gain, net \n\nNet loss before income taxes \n\nSegment assets \nFixed assets \nD e p reciation and amort i z a t i o n \n\n( 1 2 , 9 0 7 ) \n5 6 7. \n( 1 , 1 3 3 ) \n( 5 6 4 ) \n\n$ ( 8 , 9 5 1 ) $ ( 3 , 9 4 4 ) $ ( 1 , 1 4 2 ) $ ( 1 4 , 0 3 7 ) $ ( 6 , 9 9 1 ) $ ( 1 6 , 8 2 9 ) $ ( 3 7 , 8 5 7 ) \n\nn / a. \nn / a. \nn / a. n / a. \nn / a. \nn / a. n / a. \nn / a. \nn / a. $ 5 6 , 6 5 8. \n3 5 , 4 3 8. \n7 , 4 1 0. $ 2 1 , 5 2 7. \n1 , 1 1 3. \n2 , 6 8 3. $ 1 8 , 6 5 9. \n1 4 2. \n1 4 5. $ 9 6 , 8 4 4. \n3 6 , 6 9 3. \n1 0 , 2 3 8.", + "page_start": 42, + "page_end": 42, + "source_file": "NASDAQ_EEFT_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EEFT_2000.pdf", + "query": "What was the share of revenues of Netwrok Wordwide made in Poland and Hungary in 2000 ?", + "target_page": 24, + "target_passage": "In 2000, 30% of the Company’s revenues were generated in Poland and Hungary", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**(10) Asset Write Down**\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset \nwrite-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the \nC o m p a n y ’s acquisition of Arkansas Systems, Inc. (“Euronet USA”) in December 1998. The remaining $800,000 write-down related to the \nC o m p a n y ’s ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the \nBudapest Bank ATM network in Hungary. \n\nAs a result of the Company’s inability to achieve operating improvements, including software license and service orders for Euronet USA’s \ntraditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e \nq u a rters of 2000. The Company calculated the expected cash flows of the Company’s Software Solutions Segment, which identified an \ni m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the \np resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon \nthe acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction \npayment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to \nthe Company’s Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h \ndevelopment and release of a new set of products that are independent of Euronet USA’s traditional core product lines, including a new, \np l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile \nphone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and \nsolutions rather than Euronet USA’s traditional ITM solution will be the primary source of software solutions revenues in the future. \n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows \nof the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible \nassets. The Company’s estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t \np rojections, and internal earnings targets, net of applicable taxes. The Company’s discounted cash flow analysis indicated that the carry i n g \nvalue of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible \nassets prior to the write down was $11.2 million. \n\nThe asset write-down is disclosed as a separate operating expense item in the Company’s Consolidated Statements of Operations and \nC o m p rehensive Loss. \n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets \nwill be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and \nS e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company’s standards. Specifically, these assets \nw e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its \nATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value \nof ATM hard w a re, adjusting to its net realizable value. \n\n**(11) Notes Payable**", + "page_start": 35, + "page_end": 35, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "The subsidiaries of Euronet Services Inc., all of which are, directly or indire c t l y, wholly owned are: \n\n- EFT Services Holding B.V., incorporated in the Netherlands \n- Euronet Banktechnikai Szolgaltato Kft. (“Bank Tech”), incorporated in Hungary \n- Euronet Adminisztracios Szolgaltato Kft. (“Administrative Services”) (formerly SatComNet), incorporated in Hungary \n- Bankomat 24/Euronet Sp. z o.o. (“Bankomat”), incorporated in Poland \n- EFT-Usluge d o.o., incorporated in Croatia \n- Euronet Services GmbH, incorporated in Germany \n- EFT Services France SAS, incorporated in France \n- Euronet Services spol. s.r.o., incorporated in the Czech Republic \n- Euronet Services SRL, incorporated in Romania \n- Euronet Services (UK) Limited, incorporated in the United Kingdom \n- Euronet USA Inc. (formerly Arkansas Systems, Inc.) (“Euronet USA”) incorporated in Arkansas, United States of America \n- EFT Network Services LLC (“Dash”), incorporated in Arkansas, United States of America \n- Euronet Holding N.V., incorporated in the Netherlands Antilles (in liquidation) \n- Euronet Eft Services Hellas, incorporated in Greece \n\n**( 2 ) Financial Position and Basis of Preparation**\n\nThe Company generated an operating loss of $35.4 million and negative cash flows from operations of $16.4 million for the year ended \nDecember 31, 2000, primarily due to the significant costs associated with its investment in delivery, support, re s e a rch and development in its \ns o f t w a re subsidiary which was acquired in December 1998. Based on the Company’s current business plan and financial projections, the \nCompany expects to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the \nCompany anticipates that increased transaction levels in its ATM network will result in additional revenues without a corresponding incre a s e \nin expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will \np rovide continued revenue growth without significantly increasing direct operating expenses or capital investments. In the Software Solutions \nSegment, the Company expects reduced operating expenses and improved operating perf o rmance due to a cost re s t ructuring pro g r a m \ni n t roduced in the first quarter of 2001. The Company believes that the credit facility (see note 13), certain asset sales and cash and cash \nequivalents at December 31, 2000 will provide the Company with sufficient cash re s o u rces until it achieves positive cash flow. \n\nBased on the above, management is confident that the Company will be able to continue as a going concern. Accord i n g l y, these consolidated \nfinancial statements have been pre p a red on a going concern basis which contemplates the continuation and expansion of trading activities as \nwell as the realization of assets and liquidation of liabilities in the ord i n a ry course of business. \n\n**( 3 ) S u m m a ry of Significant Accounting Policies and Practices**\n\n(a) Basis of presentation \n\nThe accompanying consolidated financial statements have been pre p a red in accordance with generally accepted accounting principles in \nthe United States of America. \n\nAll significant intercompany balances and transactions have been eliminated. \n\n(b) Foreign currencies \n\nF o reign currency transactions are re c o rded at the exchange rate prevailing on the date of the transactions. Assets and \nliabilitiesdenominated in foreign currencies are re m e a s u red at rates of exchange on the balance sheet date. Resulting gains and losses on \nf o reign currency transactions are included in the consolidated statement of operations and comprehensive loss.", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "In April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the \nC o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s \ntook place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the \nexemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s \nto the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in \nthe private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of \n$12.50, expiring in each case on the one year anniversary date of the subscription agreement. \n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s \nw e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and \nRegulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was \n$6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between \n8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the \nConsolidated Financial Statements - Leases.) \n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company \nintends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This \nstrategy should reduce the Company’s reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and \ncapital lease payments for 2001 are expected to be approximately $6.2 million in the Company’s existing markets, notably We s t e rn and Central \nE u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company’s strategy may re q u i re additional \ncapital expenditures. \n\nBased on the Company’s current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash \nused in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M \nnetwork will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its \nATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t \noperating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m \ncommenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The \nCompany believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it \nachieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements. \n\nBA L A N C E SH E E T IT E M S", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "| | The Promise of\nEmerging Markets\nExpanding Poland’s\nPayment\nInfrastructure\nAlthough still under-\ndeveloped compared to western economies,\nPoland is one of the most dynamic and\npromising markets in all of Europe.\nSince entering Poland in 1995, Euronet\nWorldwide has become one of the largest\ntransaction processing service providers in\nthe country, establishing a network of over\n600 ATMs and providing software to eight\nmajor banks. Our agreement for electronic\nairtime distribution with all three mobile\nphone operators in the country – ERA GSM,\nPlus GSM and IDEA Centertel – further\nconfirms that Euronet is embedded in the\nfinancial payments fabric in Poland. |\n|---|---|\n| | The Promise of Emerging Markets Expanding Poland’s Payment Infrastructure Although still under- developed compared to western economies, Poland is one of the most dynamic and promising markets in all of Europe. Since entering Poland in 1995, Euronet Worldwide has become one of the largest transaction processing service providers in the country, establishing a network of over 600 ATMs and providing software to eight major banks. Our agreement for electronic airtime distribution with all three mobile phone operators in the country – ERA GSM, Plus GSM and IDEA Centertel – further confirms that Euronet is embedded in the financial payments fabric in Poland. |\n\n\nAlthough bank card use is just starting in these markets, the demand \nfor non-cash payment is gaining momentum. The foundation for this \nmarketplace is rapidly taking shape with greater technology support, \nwell-designed infrastructure and rapidly growing networks, as well \nas a critical mass of users. So the shift to new electronic payment \nchannels is on, and the number of electronic financial transactions \nhas grown tremendously. \n\nEuronet Worldwide continuously monitors cash-based economies to \nidentify their readiness to embrace electronic payment and transaction \nalternatives. With ATM, point-of-sale (POS), interactive voice response \n(IVR), Internet, mobile solutions and other innovative payment options, \nwe can play a vital role in developing the electronic payments fabric \nof these countries. \n\nIn Greece, we are delivering ATM outsourcing solutions for a number \nof multinational banks with Greek operations. For Credigen Bank in \nHungary, we are helping to open up the consumer credit market to a \nnew base of shoppers who can perform POS and ATM transactions \nover Euronet’s network. And in the Czech Republic we are providing \noutsourcing services for ABN AMRO’s Visa Charge Card Program. \n\nLooking ahead, we see great potential for extending Euronet’s brand into cash-based markets and for connecting \na new world of users to dynamic transaction services.", + "page_start": 11, + "page_end": 11, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "| Connecting aWorld in Motion | | | | | |\n|---|---|---|---|---|---|\n| Connecting aWorld in Motion | | | | | |\n| | | | | | |\n| | | | | | |\n| Euronet Worldwide Annual Report 2000 SECURE FINANCIAL TRANSACTIONS ANY TIME, ANY PLACE | | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "The Company re c o rded an $800,000 write-down of certain ATM hard w a re assets associated with the \np u rchase of the Budapest Bank ATM network in May 2000 and the Service Bank ATM network in \nM a rch 1999 (see Note 10 to the Consolidated Financial Statements – Asset Write Down). In addition, \nthe Company re c o rded a one-time gain in its Central European Sub-segment of $1.2 million. The \ngain is related to a change in Hungarian law that eliminates a major portion of the Company’s \nliability for import taxes on ATM hard w a re to the Hungarian government. The gain is included as an \nelement of direct operating costs. \n\n**Network Services: EBITDA**\n**1 . 3**\n\n**0 . 7**\n**0 . 4**\n\n**- 0 . 7**\n\nThe operating expenses for the Central European Sub-segment totaled $21.7 million for the year \nended December 31, 2000 as compared to $20.7 million for the year ended December 31, 1999, an \ni n c rease of 5%. The increase in operating expenses is largely the result of an increase in the number \nof ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31, \n2000, and increased transaction volumes. \n\n**Q1 Q2 Q3 Q4**\n\nThe operating expenses for the We s t e rn European Sub-segment totaled $18.9 million for the year \nended December 31, 2000 as compared to $16.5 million for the year ended December 31, 1999, an increase of 15%. The increase in operating \nexpenses is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at \nDecember 31, 2000, and increased transaction volumes. \n\nThe operating expenses for the Other ATM Operations Sub-segment were $2.4 million for the year ended December 31, 2000 as compared to \n$2.2 million for the year ended December 31, 1999, an increase of 9%. The operating expenses from this segment are the result of the acquisition \nof the Dash network located in the United States in August 1999 and the unallocated costs associated with the Company's processing facilities. \n\nD i rect operating costs in the Network Services Segment consist primarily of: ATM installation costs; ATM site rentals; and costs associated with \nmaintaining ATMs, ATM telecommunications, interest on network cash and cash delivery and security services to ATMs. Such costs increased to \n$24.4 million for the year ended December 31, 2000 from $21.9 million for the year ended December 31, 1999. The increase in direct operating \ncosts is primarily attributable to costs associated with operating the increased number of ATMs in the network during the periods. Also, \ni n t e rcompany allocations were made to charge the ATM operations with transaction switching and bank connection fees associated with the \noperations central processing center in Budapest. These allocations totalled $3.5 million and $2.9 million for the years ended December 31, 2000 \nand 1999, re s p e c t i v e l y. Direct operating costs for 2000 include a one-time gain of $1.2 million due to a change in Hungarian law that eliminates a \nmajor portion of the Company’s liability for import taxes on ATM hard w a re. Direct operating costs also include a $657,000 gain realized in 1999 \nf rom the sale of the Croatian network assets. The components of direct operating costs for the years ended December 31, 2000 and 1999 were: \n\nYears ending December 31, \n2 0 0 0 1 9 9 9 \n\n$ \n\n4 , 1 8 3 \n7 , 4 2 6 \n3 , 9 8 7 \n2 , 2 5 8 \n6 7 5 \n5 , 2 4 2 \n6 0 0 \n\n$ \n\n3 , 9 8 2 \n5 , 9 0 0 \n2 , 9 6 7 \n2 , 4 2 1 \n7 8 3 \n4 , 2 0 5 \n1 , 6 6 3 \n\n$ 2 4 , 3 7 1 $ 2 1 , 9 2 1 \n\n*(in thousands)*\n\nATM communication \nATM cash filling and interest on network cash \nATM maintenance \nATM site re n t a l \nATM installation \nTransaction processing and ATM monitoring \nO t h e r \n\nTotal direct operating expenses", + "page_start": 18, + "page_end": 18, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "**2 0 0 0**\n\n*“In 2000 we took great pride in Euronet’s Fast 500*\n*ranking by Deloitte & Touche as the second fastest*\n*growing technology company in North America.”*\n\nDuring 2000, we failed to meet our revenue target Touche as the second fastest growing technology \n\nfor our software division. In the Fourth Quarter, we company in North America based on our five-year \n\ninitiated the steps necessary to rightsize our revenue growth of 66,790%. \n\nsoftware business and to bring costs in line with \n\nWe’re continuing to build on our recurring revenue \nongoing revenue expectations. However, owning \n\nstream through transaction channels that reinforce \nthis software division gives us control of software \n\nour strengths as an electronic payments processor. \ndevelopment. It also provides the expertise and \n\nToday, we’re expanding the \nflexibility to adapt to emerging \n\n**Annual Consolidated Revenues**\n27% increase for full year \n2000 over 1999 \nreach of our ATM networks, \n**52.7**\ntransaction needs and to bring \n\ndelivering innovative new \n**41.5**\nnew payment solutions quickly \n**n**\n**o**\n**i**\n**l**\n**l**\n**i**\nmobile operator services and \n\n**M**\n**D**\n**S**\n**U**\nto market, which enhances our \n\ntapping the promise of mobile \noutsourcing opportunities. The \n**11.9**\n\ncommerce with an expanding \nsoftware business is very valuable \n\n**5.3**\n\n**1.3**\nsuite of wireless solutions. \n**0.1**\nto Euronet and completes our \n**1995 1996 1997 1998 1999 2000**\nBased on this strong foundation, \nservice offering. We expect it to be a \n\nour future has more potential than ever before. \npositive contributor to our bottom line going forward. \n\nWe’re excited about the possibilities ahead as we \nSince founding Euronet in 1994, we’ve worked \n\ncontinue to form the digital bridges that will \nhard to establish the company as a leader in the \n\nposition Euronet Worldwide as a global leader in \nfield of secure electronic financial transactions and \n\nsecure electronic financial transactions. \nto grow our presence worldwide. So in 2000 we took \n\ngreat pride in Euronet being ranked by Deloitte &", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "1,981,104 \n4,537,787 \n4,196,667 81,794 \n3,808,250 \n3,392,676 51,109 \n1,305,116 \n1,249,110 7,622 \n1,046,753 \n996,529 2,121,629 ¥(2,121,629) \n(2,121,629) \n(2,119,865) \n\n10,697,906 \n9,834,982 \n862,924 56,006 ¥ 50,224 ¥ \n\nGeographical areas \n\nThe geographical segment information for the Company and its consolidated subsidiaries for the years ended March 31, 2005, 2004 and 2003 \nis as follows: \nFiscal year 2004*(For the year ended Mar. 31, 2005)*\n\nOther foreign \ncountries \n*Millions of yen*\nJapan North America Europe \n\nSales to third parties .......................................... ¥2,556,683 ¥3,726,456 ¥1,254,007 ¥1,039,131 ¥ 8,576,277 ¥ \n— ¥8,576,277 \nInter-area sales and transfers .................... \n— \nTotal sales................................................................... \n8,576,277 \nOperating expenses ........................................... \n7,715,117 \nOperating income................................................. ¥ 341,120 ¥ 415,574 ¥ \n¥(1,764) ¥ 861,160 \nTotal assets ............................................................... ¥5,590,397 ¥4,714,272 ¥ 799,778 ¥ 637,065 ¥11,741,512 ¥(1,892,989) ¥9,848,523 \n\n*Thousands of U.S. dollars*\n\nSales to third parties .......................................... $23,894,234 $34,826,692 $11,719,692 \nInter-area sales and transfers .................... \n477,654 \nTotal sales................................................................... \n12,197,346 \nOperating expenses ........................................... \n11,673,925 \nOperating income................................................. $ 3,188,038 $ 3,883,870 $ \n523,421 \nTotal assets ............................................................... $52,246,701 $44,058,617 $ 7,474,561 — $80,152,121 \n— \n80,152,121 \n72,103,897 \n$ 469,382 $ 8,064,711 $ \n(16,487) $ 8,048,224 \n$5,953,878 $109,733,757 $(17,691,485) $92,042,272 \n\n$9,711,503 $ 80,152,121 $ \n\n18,514,991 \n42,409,225 \n39,221,187 764,430 \n35,591,122 \n31,707,252 71,234 \n9,782,737 \n9,313,355 19,828,309 \n99,980,430 \n91,915,719 (19,828,309) \n(19,828,309) \n(19,811,822) \n\nFiscal year 2003*(For the year ended Mar. 31, 2004)*\n\nOther foreign \ncountries \n*Millions of yen*\nJapan North America Europe Total \n\nSales to third parties .......................................... ¥2,559,806 ¥3,278,966 ¥1,164,032 \nInter-area sales and transfers.............................. \n31,690 \nTotal sales................................................................... \n1,195,722 \nOperating expenses ........................................... \n1,146,549 \nOperating income................................................. ¥ 352,462 ¥ 399,821 ¥ \n49,173 \nTotal assets ............................................................... ¥4,805,718 ¥3,664,382 ¥ 607,926 ¥426,415 \n4,663 \n431,078 \n412,938 \n¥ 18,140 \n¥219,109 ¥7,429,219 ¥ \n— ¥7,429,219 \n1,797,228 \n— \n9,226,447 \n7,429,219 \n8,406,851 \n6,604,364 \n5,259 ¥ 824,855 \n¥ 819,596 ¥ \n¥9,297,135 ¥(1,437,279) ¥7,859,856 \n\na) As described in Note 2(b), effective April 1, 2003, Nissan Motor Manufacturing (UK) Ltd., a consolidated subsidiary, implemented early \nadoption of a new accounting standard for retirement benefits in the United Kingdom. The effect of this change was to decrease operating \nincome in the “Europe” segment by ¥1,686 million for the year ended March 31, 2004 as compared with the corresponding amount which \nwould have been recorded if the previous method had been followed.", + "page_start": 102, + "page_end": 102, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "guarantees for financial instruments and as deposits with customs officials. The decrease resulted primarily from the settlement of the forw a rd \nf o reign exchange contracts using restricted cash and a release of restricted cash resulting from the posting of a surety bond with the Hungarian \nbanking institution that supplies cash to the Company’s ATM network in Hungary. \n\n**Trade Accounts**Trade accounts receivable increased to $9.5 million at December 31, 2000 from $7.9 million at December 31, 1999 due \nprimarily to sales from the Software Solutions Segment and increased Network Services Segment revenues. \n\n**P r o p e r t y, Plant and Equipment**Net pro p e rt y, plant and equipment decreased to $31.7 million at December 31, 2000 from $36.7 million at \nDecember 31, 1999. This decrease is due primarily to a reduction in the rate of installation of ATMs and fixed asset additions. Fixed asset \nd e p reciation was in excess of fixed asset additions, and the write-off of $800,000 in ATM hard w a re further reduced the net fixed asset position. \n\n**Intangible Assets**The decrease in net intangible assets to $2.6 million at December 31, 2000 from $16.3 million at December 31, 1999 is due \nprimarily to the $11.2 million write-down of goodwill and other identifiable intangible assets associated with the Software Solutions Segment (see \nNote 9 to the Consolidated Financial Statements – Intangibles). In addition, the decrease is the result of amortization of purchased intangibles \na c q u i red in the Euronet USA acquisition in 1998, and the SBK and Dash acquisitions in 1999. \n\n**Current Liabilities**C u rrent liabilities decreased to $20.5 million at December 31, 2000 from $26.9 million at December 31, 1999. This decre a s e \nis due primarily to decreases in accrued expenses, billings in excess of costs and estimated earnings on software installation costs and settlement of \nthe forw a rd foreign exchange contracts. \n\n**Capital Lease**Total capital lease obligations including current installments increased to $11.5 million at December 31, 2000 from $10.6 million \nat December 31, 1999. This increase is due primarily to additional capital leases resulting from the Company's purchase of Budapest Bank’s AT M \nnetwork, consisting of 147 ATMs on May 1, 2000. \n\n**Notes Payable**Notes payable increased to $77.2 million at December 31, 2000 from $72.8 million at December 31, 1999. This is the result of \nseveral transactions as follows: \n\n*(in millions)*\n7 2 . 8. \n(4.4) \n8 . 8. Balance at December 31, 1999 \nU n realized foreign exchange gain (DEM vs. US$) \nA c c retion of bond intere s t \n\n$ \n\nBalance at December 31, 2000 $ 7 7 . 2. \n\n**S t o c k h o l d e r’s Deficit**Stockholders’ deficit increased to $44.8 million at December 31, 2000 from $9.5 million at December 31, 1999. This is \ndue to the net loss for the year ended December 31, 2000 of $49.6 million which was offset by an increase in additional paid in capital of $14.4 \nmillion due to the sale of 1,882,723 shares of common stock for proceeds of $13.0 million, the issue of $400,000 of warrants and the exercise of \n390,231 stock options for proceeds of $900,000. \n\n**Year 2000 Compliance**\n\nThe Company’s European and U.S. Year 2000 compliance teams re p o rted no material Year 2000 problems during the advent of the year 2000, \neither with Euro n e t ’s own systems or the systems of its customers. The Company is unaware of any material Year 2000 complications to date. \n\n**Impact of New Accounting Pronouncements Not Yet Adopted**\n\n**S FAS 133**The Company is re q u i red to adopt Statement of Financial Accounting Standard (SFAS) No. 133 “Accounting for Derivative \nI n s t ruments and Hedging Activities” as amended by SFAS No. 138 for US GAAP re p o rting as of 1 January 2001. SFAS 133 and 138 establish \naccounting and re p o rting standards for derivative instruments, including certain derivative instruments embedded in other contracts (collectively \nre f e rred to as derivatives).", + "page_start": 22, + "page_end": 22, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "In the week of March 13, 2000, the Company entered into put options with Merrill Lynch to sell Euro 79.0 million for $75.1 million on May \n26, 2000. The contracts were purchased to limit the Company's exposure on the call option described above against a fall of the Euro below \n$0.95. \n\nThe Company was re q u i red to cash collateralize the net fair value of such options contracts measured on a mark-to-market basis, and on \nMay 26, 2000, the Company had on deposit $8.3 million with Merrill Lynch. \n\nOn May 26, 2000, the rate of the Euro was $0.9118 and the Company settled the above option contracts in the amount of $8.3 million \nresulting in a total net loss on such contracts of $10.3 million inclusive of the cost of the contracts. At December 31, 2000, the Company had \nnot entered into any further option contracts. \n\n**(15) Leases**\n\n(a) Capital leases \n\nThe Company leases many of its ATMs under capital lease agreements that expire between 2001 and 2005 and bear interest at rates \nbetween 8% and 12%. Lease installments are paid on a monthly, quarterly or semi-annual basis. Euronet has the right to extend the \nt e rm of certain leases at the conclusion of the basic lease period. \n\nThe gross amount of the ATMs and computer equipment and related accumulated amortization re c o rded under capital leases were as \nfollows: December 31, \n2 0 0 0 1 9 9 9 \n*(in thousands)*\n\n1 3 , 9 2 4. \n3 6 6. 1 8 , 0 2 7. \n7 6 8. \n$ $ \n\n1 4 , 2 9 0. \n(3,429) 1 8 , 7 9 5. \n( 4 , 8 1 3 ) \n$ $ \nLess accumulated amort i z a t i o n \n\n1 0 , 8 6 1. 1 3 , 9 8 2. Net book value $ $ \n\nD e p reciation of assets held under capital leases amounted to $2.0 million, $2.1 million, and $2.9 million for the years ended December 31, \n2000, 1999, and 1998, re s p e c t i v e l y, and is included in depreciation and amortization expense. \n\n(b) Operating leases \n\nThe Company also has noncancelable operating rental leases for office space which expire over the next 3 to 9 years. Rent expense under \nthese leases amounted to $1.4 million, $2.1 million, and $1.1 million for the years ended December 31, 2000, 1999, and 1998, \nre s p e c t i v e l y. \n\n(c) Future minimum lease payments \n\nF u t u re minimum lease payments under the capital leases and the noncancelable operating lease (with initial or remaining lease terms in \nexcess of one year) as of December 31, 2000 are: \n\nC a p i t a l \nL e a s e s O p e r a t i n g \nL e a s e s \n*(in thousands)*\n\n5 , 1 3 7. \n4 , 4 7 0. \n2 , 9 5 1. \n1 , 5 1 2. \n3 6 3. \n— . 1 , 3 1 5 \n1 , 0 4 9 \n7 7 9 \n5 1 5 \n5 1 5 \n8 2 \n\n1 4 , 4 3 3. \n( 2 , 9 3 3 ) \n\nYear ending December 31, \n\n2 0 0 1 \n2 0 0 2 \n2 0 0 3 \n2 0 0 4 \n2 0 0 5 \n2006 and there a f t e r \n\nTotal minimum lease payments \nLess amounts re p resenting intere s t \nP resent value of net minimum capital \nlease payments 1 1 , 5 0 0. \nLess current installments of obligations \nunder capital leases ( 3 , 4 6 6 ) \n\nLong term capital lease obligations $ 8 , 0 3 4. .", + "page_start": 37, + "page_end": 37, + "source_file": "NASDAQ_EEFT_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_AIT_2012.pdf", + "query": "Under which name was the Applied company initially fouded ?", + "target_page": 6, + "target_passage": "The Company was founded in 1923 by Joseph M. Bruening as The Ohio Ball Bearing Company", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**SHAREHOLDER INFORMATION**\n\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most \nfinancial listings as “AppliedIndlTch.” \n\n**RESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:**\n\n**BB&T CAPITAL MARKETS** **KEYBANC CAPITAL MARKETS** **STEPHENS INC.**\nHolden Lewis, 703/471-3894 Jeffrey D. Hammond, 216/689-0236 Matt Duncan, 501/377-3723 \n\n**CJS SECURITIES** **SIDOTI & CO.** **WELLS FARGO SECURITIES, LLC**\nJonathan Tanwanteng, 914/287-7600 Joseph Mondillo, 212/894-3339 Allison Poliniak-Cusic, 212/214-5062 \n\n**CLEVELAND RESEARCH COMPANY** **GREAT LAKES REVIEW – Division of** **WUNDERLICH SECURITIES**\nAdam Uhlman, 216/649-7241 **Wellington Shields & Co.** Brent D. Rakers, 901/251-2236 \nElliott Schlang, 216/767-1340 \n\n**SHAREHOLDER INQUIRIES**\n\nRequests to transfer Applied Industrial \nTechnologies, Inc. shares and all \ncorrespondence regarding address change \ninformation, duplicate mailings, missing \ncertificates, failure to receive dividend \nchecks in a timely manner or to participate \nin the Company’s direct stock purchase \nprogram should be directed to the \nCompany’s transfer agent and registrar: \n\n**COMPUTERSHARE TRUST COMPANY, N.A.**\n250 Royall Street \nCanton, MA 02021 \n800/988-5291 \n\n**INVESTOR RELATIONS INQUIRIES SHOULD** **ANNUAL REPORT ON FORM 10-K**\n\n**BE DIRECTED TO:** **The Applied Industrial Technologies, Inc.**\n**Annual Report on Form 10-K for the fiscal**\n**MARK O. EISELE**\n**year ended June 30, 2012, including the**\nVice President – Chief Financial Officer \n**financial statements and schedules thereto,**\n & Treasurer \n**is available at our website at**\nApplied Industrial Technologies \n**www.Applied.com. It is also available**\n1 Applied Plaza \n**without charge upon written request to the**\nCleveland, OH 44115-5014 \n**Vice President – Chief Financial Officer &**\nTelephone: 216/426-4000, Fax: 216/426-4845 \n**Treasurer at the address shown.**\n\n**ANNUAL MEETING**\nThe Annual Meeting of Shareholders will be held \nat 10:00 a.m., Tuesday, October 23, 2012, at the \nCorporate Headquarters of Applied Industrial \nTechnologies, 1 Applied Plaza, East 36th and \nEuclid Avenue, Cleveland, Ohio 44115. \n\n**COMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN**\n\nApplied Industrial Technologies, Inc., Standard & Poor’s 500, and Peer Group \n\n(Performance Results from 7/1/2007 through 6/30/2012) \n\nAssumes $100 invested at the close of trading 6/30/07 in \nApplied Industrial Technologies, Inc. common stock, Standard \n& Poor’s 500, and Peer Group. \n\n| Applied Industr\nStandard & Po\nPeer Group | | | | |\n|---|---|---|---|---|\n| Applied Industr Standard & Po Peer Group | | | | |\n| | ial Technologies, Inc. or's 500 | | | |\n| | | | | |\n\n\nCumulative total return assumes reinvestment of dividends. \n\nThe returns of the companies in the Peer Group are weighted \nbased on the companies’ relative stock market capitalization. \n\nPeer Group companies selected on a line-of-business basis \ninclude: DXP Enterprises, Inc.; Fastenal Company; Genuine \nParts Company; W. W. Grainger, Inc.; Kaman Corporation; \nLawson Products, Inc.; MSC Industrial Direct Co., Inc.; and \nWESCO International, Inc.", + "page_start": 46, + "page_end": 46, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | Applied at a Glance Headquarters: Cleveland, Ohio, USA Operating Facilities: More than 500 in the United States, Canada, Mexico, Puerto Rico, Australia and New Zealand |\n| | | | | E-Commerce: www.Applied.com Distribution Centers: 9 |", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(In thousands, except per share amounts)\nNOTE 1: BUSINESS AND ACCOUNTING POLICIES\nBusiness\nApplied Industrial Technologies, Inc. and subsidiaries (the “Company” or “Applied”) is a leading industrial distributor serving\nMaintenance Repair Operations (MRO) and Original Equipment Manufacturing (OEM) customers in virtually every industry. In\naddition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as\ncustomized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory\nmanagement solutions that provide added value to its customers. Although the Company does not generally manufacture the\nproducts it sells, it does assemble and repair certain products and systems.\nConsolidation\nThe consolidated financial statements include the accounts of Applied Industrial Technologies, Inc. and its subsidiaries.\nIntercompany transactions and balances have been eliminated in consolidation. The financial results of the Company’s Canadian\nand Mexican subsidiaries are included in the consolidated financial statements for the twelve months ended May 31.\nStatements of Consolidated Comprehensive Income\nAccounting Standards Codification (ASC) Topic 220 \"Comprehensive Income\" requires the reporting of comprehensive income in\naddition to net income. Effective for fiscal 2012 and retrospective for fiscal 2011 and 2010, the Company has elected to include a\nstatement of consolidated comprehensive income as part of its basic consolidated financial statements. Prior to inclusion of the\nstatement of consolidated comprehensive income, comprehensive income, other comprehensive income and the components of\nother comprehensive income were reported as part of the statement of consolidated shareholders' equity.\nForeign Currency\nThe financial statements of the Company’s Canadian and Mexican subsidiaries are measured using local currencies as their\nfunctional currencies. Assets and liabilities are translated into U.S. dollars at current exchange rates, while income and expenses are\ntranslated at average exchange rates. Translation gains and losses are reported in other comprehensive income (loss) in the\nstatements of consolidated comprehensive income. Gains and losses resulting from transactions denominated in foreign currencies\nare included in the statements of consolidated income as a component of other expense (income), net.\nEstimates\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America\nrequires management to make estimates and assumptions that affect the reported amount of assets and liabilities and disclosure of\ncontingent assets and liabilities at the date of the financial statements and the reported amount of revenues and expenses during\nthe period. Actual results may differ from the estimates and assumptions used in preparing the consolidated financial statements.\nCash and Cash Equivalents\nThe Company considers all short-term, highly liquid investments with maturities of three months or less at the date of purchase to\nbe cash equivalents. Cash and cash equivalents are carried at cost, which approximates fair value.\nMarketable Securities\nThe primary marketable security investments of the Company include money market and mutual funds held in a rabbi trust for a\nnon-qualified compensation plan. These are included in other assets in the consolidated balance sheets, are classified as trading\nsecurities, and reported at fair value based on quoted market prices. Unrealized gains and losses are recorded in other expense\n(income), net in the statements of consolidated income and reflect changes in the fair value of the investments during the period.\nConcentration of Credit Risk\nThe Company has a broad customer base representing many diverse industries primarily across North America. As such, the", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (In thousands, except per share amounts) NOTE 1: BUSINESS AND ACCOUNTING POLICIES Business Applied Industrial Technologies, Inc. and subsidiaries (the “Company” or “Applied”) is a leading industrial distributor serving Maintenance Repair Operations (MRO) and Original Equipment Manufacturing (OEM) customers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers. Although the Company does not generally manufacture the products it sells, it does assemble and repair certain products and systems. Consolidation The consolidated financial statements include the accounts of Applied Industrial Technologies, Inc. and its subsidiaries. Intercompany transactions and balances have been eliminated in consolidation. The financial results of the Company’s Canadian and Mexican subsidiaries are included in the consolidated financial statements for the twelve months ended May 31. Statements of Consolidated Comprehensive Income Accounting Standards Codification (ASC) Topic 220 \"Comprehensive Income\" requires the reporting of comprehensive income in addition to net income. Effective for fiscal 2012 and retrospective for fiscal 2011 and 2010, the Company has elected to include a statement of consolidated comprehensive income as part of its basic consolidated financial statements. Prior to inclusion of the statement of consolidated comprehensive income, comprehensive income, other comprehensive income and the components of other comprehensive income were reported as part of the statement of consolidated shareholders' equity. Foreign Currency The financial statements of the Company’s Canadian and Mexican subsidiaries are measured using local currencies as their functional currencies. Assets and liabilities are translated into U.S. dollars at current exchange rates, while income and expenses are translated at average exchange rates. Translation gains and losses are reported in other comprehensive income (loss) in the statements of consolidated comprehensive income. Gains and losses resulting from transactions denominated in foreign currencies are included in the statements of consolidated income as a component of other expense (income), net. Estimates The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amount of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amount of revenues and expenses during the period. Actual results may differ from the estimates and assumptions used in preparing the consolidated financial statements. Cash and Cash Equivalents The Company considers all short-term, highly liquid investments with maturities of three months or less at the date of purchase to be cash equivalents. Cash and cash equivalents are carried at cost, which approximates fair value. Marketable Securities The primary marketable security investments of the Company include money market and mutual funds held in a rabbi trust for a non-qualified compensation plan. These are included in other assets in the consolidated balance sheets, are classified as trading securities, and reported at fair value based on quoted market prices. Unrealized gains and losses are recorded in other expense (income), net in the statements of consolidated income and reflect changes in the fair value of the investments during the period. Concentration of Credit Risk The Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| | Applied Industrial Technologies, Inc. and Subsidiaries 19 |", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "Accumulated \nOther \nComprehensive \nIncome (Loss) Total’ \nShareholders’ \nEquity’ \n\n42,284 $ 10,000 $ 136,895 $ 560,574 $ (191,518 ) $ 508,102 (7,849 ) $ \n\n65,903 65,903 \n\n1,801 1,801 \n\n(25,416 ) (25,416 ) \n\n(160 ) (3,929 ) (3,929 ) \n\nNOTE 1: BUSINESS AND ACCOUNTING POLICIES \n\nBusiness \n\nApplied Industrial Technologies, Inc. and subsidiaries (the “Company” or “Applied”) is a leading industrial distributor serving \nMaintenance Repair Operations (MRO) and Original Equipment Manufacturing (OEM) customers in virtually every industry. In \naddition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as \ncustomized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory \nmanagement solutions that provide added value to its customers. Although the Company does not generally manufacture the \nproducts it sells, it does assemble and repair certain products and systems. \n\nConsolidation \n\nThe consolidated financial statements include the accounts of Applied Industrial Technologies, Inc. and its subsidiaries. \nIntercompany transactions and balances have been eliminated in consolidation. The financial results of the Company’s Canadian \nand Mexican subsidiaries are included in the consolidated financial statements for the twelve months ended May 31. \n\nStatements of Consolidated Comprehensive Income \n\nAccounting Standards Codification (ASC) Topic 220 \"Comprehensive Income\" requires the reporting of comprehensive income in \naddition to net income. Effective for fiscal 2012 and retrospective for fiscal 2011 and 2010, the Company has elected to include a \n\nIncome \nRetained \nfor Use \nin the \nBusiness Shares of \nCommon \nStock \nOutstanding Additional \nPaid-In \nCapital Treasury \nShares- \nat Cost Common \nStock For the Years Ended June 30, 2012, 2011 and 2010 \n\n**Balance at July 1, 2009**\n\nNet income \n\nOther comprehensive income (loss) \n\nCash dividends — $0.60 per share \n\nPurchases of common stock for treasury \n\nTreasury shares issued for: \n\n214 1,499 1,372 Exercise of stock appreciation rights and options \n\n11 68 187 Deferred compensation plans \n\nCompensation expense — stock appreciation rights \nand options 3,020 \n\n2,106 Other share-based compensation expense \n\n27 420 309 Other (403 ) \n\n42,376 10,000 143,185 601,370 (193,468 ) **Balance at June 30, 2010**\n\n96,759 Net income \n\nOther comprehensive income (loss) \n\nCash dividends — $0.70 per share (29,751 ) \n\n(190 ) (6,085 ) Purchases of common stock for treasury \n\nTreasury shares issued for: \n\nstatement of consolidated comprehensive income as part of its basic consolidated financial statements. Prior to inclusion of the \nstatement of consolidated comprehensive income, comprehensive income, other comprehensive income and the components of \nother comprehensive income were reported as part of the statement of consolidated shareholders' equity. \n\nForeign Currency \n\nThe financial statements of the Company’s Canadian and Mexican subsidiaries are measured using local currencies as their \nfunctional currencies. Assets and liabilities are translated into U.S. dollars at current exchange rates, while income and expenses are \ntranslated at average exchange rates. Translation gains and losses are reported in other comprehensive income (loss) in the \nstatements of consolidated comprehensive income. Gains and losses resulting from transactions denominated in foreign currencies \nare included in the statements of consolidated income as a component of other expense (income), net. \n\nEstimates", + "page_start": 19, + "page_end": 19, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "During December 1998, the Company re p u rchased notes with a face value of DM 26.4 million and 31,173 warrants for a total purc h a s e \nprice of $5.5 million. This re p u rchase was accounted for as an extinguishment of debt with a resulting $2.9 million (net of income taxes of \n$1.5 million) recognized as an extraord i n a ry gain on such extinguishment. The extinguishment gain (pre-tax) re p resents the diff e re n c e \nbetween the allocated carrying value of the debt extinguished ($10.2 million) and the consideration paid ($5.5 million), offset by the write- \no ff of the allocated unamortized deferred financing costs ($341,000). \n\nThe following table provides the composition of notes payable at December 31: \n\n2 0 0 0 \n1 9 9 9 \n*(in thousands)*\n\nPrincipal amount \nU n a m o rtized discount \n$ \n9 3 , 8 1 9. \n( 1 6 , 6 2 8 ) \n\nC a rrying balance $ 7 7 , 1 9 1. \n\n$ 1 0 0 , 1 1 3. \n( 2 7 , 3 1 3 ) \n\n$ 7 2 , 8 00. \n\nThe effective interest rate relating to the aforementioned notes payable was 13.09% for 2000 and 1999. The interest expense was \na p p roximately $8.8 million and $9.5 million for the years ended December 31, 2000 and 1999, re s p e c t i v e l y. \n\n**(12) Private Placement of Common Shares**\n\nIn July 2000, the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. Closing with \nrespect to such sale took place on July 14, 2000 and August 29, 2000. These agreements were signed with accredited investors in \ntransactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price \nof each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \n\nIn April 2000, the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common share s \nof the Company. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to \n100,000 shares took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt fro m \nregistration under the United States Securities Act of 1933 (the “Act”) pursuant the exemption provided in Regulation S of the Act. The \nweighted average purchase price of each share was $7.50. The aggregate amount of proceeds to the Company from the private placement \nwas $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the accre d i t e d \ninvestors were issued one warrant, expiring in each case on the one year anniversary date of the subscription agreement, to purchase a share \nof Euronet common stock at a weighted average exercise price of $12.50. \n\nIn Febru a ry 2000, the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the \nC o m p a n y. Closing under these agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in \ntransactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price \nof each share was $6.615, which re p resents 90% of the average closing price for the ten trading days prior to and including Febru a ry 15, \n2000. The aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for \neach two shares of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euro n e t \ncommon stock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement. \n\n**(13) Credit Facility**", + "page_start": 36, + "page_end": 36, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "OVERVIEW Industrial production increased 0.4% in June after having declined \n\n0.2% in May. In the manufacturing sector, outputs advanced \nWith more than 4,600 associates across North America, Applied \n0.7% in June, reversing a decline of 0.7% in May and increased at \nIndustrial Technologies (“Applied,” the “Company,” “We,” “Us” \nan annual rate of 1.4% in the second quarter. In June, capacity \nor “Our”) is a leading industrial distributor serving MRO and OEM \n\n**Celebrating**\n**90 Years**\n**of Strength in**\n**Distribution**\n\nutilization for manufacturing moved up 0.4% to 77.7%, a rate \ncustomers in virtually every industry. In addition, Applied \n13.9 percentage points above its trough in June of 2009 and was \nprovides engineering, design and systems integration for \nstill 1.1 percentage points below its long-run average. The ISM PMI \nindustrial and fluid power applications, as well as customized \nregistered 49.7 in June, the first time this indicator dropped below \nmechanical, fabricated rubber and fluid power shop services. \n50 (its expansionary threshold) since July 2009. We remain \nApplied also offers maintenance training and inventory \noptimistic about the U.S. industrial economy for our fiscal 2013. \n\nmanagement solutions that provide added value to its customers. \n\nWe have a long tradition of growth dating back to 1923, the year \nYEAR ENDED JUNE 30, 2012 vs. 2011 \nour business was founded in Cleveland, Ohio. At June 30, 2012, \nThe following table is included to aid in review of Applied’s \nbusiness was conducted in the United States, Canada, Mexico \nstatements of consolidated income. \nand Puerto Rico from 476 facilities. \n\nWhen reviewing the discussion and analysis set forth below, \nChange in \nplease note that the majority of SKUs we sell in any given year Year Ended June 30, $'s Versus \nAs a % of Net Sales Prior Period \nwere not sold in the prior year, resulting in the inability to \n\n**2012** 2011 % Increase quantify certain commonly used comparative metrics analyzing \n\nsales, such as changes in product mix and volume. Net Sales **100.0 %**100.0 % 7.3 % \n\nGross Profit **27.6 %** 27.7 % 6.7 % Our fiscal 2012 sales were $2.4 billion, an increase of $162.6 \n\nLong-Range Strategy:*Translating Potential Into Results (continued)*\n\nAs a leadership team, we have developed a long-range strategic plan \n\nto accelerate profitable growth. Our plan includes numerous growth \n\nopportunities across our business, and implementation is underway, including: \n\n• Leveraging sales capabilities and existing CRM (Customer Relationship \n\nManagement) processes to expand our value-add and reach new customers \n\n• Strengthening our position in attractive vertical markets while growing in \n\nour core segments \n\n• Expanding our products and solutions; growing our core bearings and \npower transmission business at a rate greater than the market, along \nwith focused product expansion via logical extensions and enhanced local \ncapabilities \n\n• Building on our fluid power market leadership via strengthened product \n\nofferings and value-added services for OEM and MRO customers \n\n• Enhancing our operational excellence by capturing the full benefits of our \n\nERP system and driving continuous improvement with customers, suppliers \nand throughout our operations \n\n• Accelerating strategic acquisitions by leveraging our cash generation and \n\nstrong financial position to extend into new markets \n\nToday, nearly 90 years since our founding, we are well-positioned and \n\ncommitted to realizing our potential – a potential that builds upon a proud \n\npast and the dedication of our associates around the globe. \n\nmillion or 7.3% compared to the prior year. Net sales from \nSelling, Distribution & Administrative **20.5 %** 20.9 %", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "Naturally, our success is greatly aided by the partnerships \n\nwith our suppliers. We represent leading manufacturers \n\nwith the highest quality brands – delivering innovative \n\nsolutions for our customers’ needs. Across our collective \n\nsupply chain, we are committed to expanding our value-add \n\nand to generating success for our customers. \n\nAt every level of the organization, our associates are \n\ncommitted to our customers’ success. Simply stated, we \n\nkeep industry running – productively – and our efforts and \n\nperformance are regularly acknowledged. For the twelfth \n\nconsecutive year, we earned Supplier of the Year status from \n\nAcquisitions: \n*Extending Our Reach*\nVulcan Materials Company for our strong execution in the \n\nareas of product quality, service, support, ease of transaction \nStrategic acquisitions continue to play an important role \nand value. And, just recently, Applied was named the \nin our overall growth strategy, as demonstrated in fiscal \nrecipient of Excellence, Innovation, and Sustainability awards \n2012. In August 2011, we entered the Montreal market \nfrom Eastman Chemical Company. This marks the first time \nwith the acquisition of Chaines-Plus. In February 2012, we \nin Eastman Chemical history that one company was selected \npurchased two additional Quebec distributors – Solutions \nto receive all three awards in a single year. \nIndustrielles Chicoutimi and Spécialités Industrielles \n\nWhile our Company is proud of these past achievements \nHarvey – as part of our continuing strategy to expand in \n\nand our associates have earned well-deserved recognition \n\nEastern Canada. Together, these businesses distribute \n\nfor their hard work and dedication, we are not satisfied. \nbearings, power transmission products, fluid power, and \n\nWe are committed to expanding our product offering, fully \nelectrical components, in addition to providing various \n\nleveraging our service capabilities and delivering value-added \nrepair services. \n\nsolutions to our existing customers – and to new customers. \n\n| | | | | | | | | | | | | | | | | | | | $2.4 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| $1.5 $1.5 $1.7 $1 | | | | | | | | | | | | $1 $1 | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | |", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| 2012 | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| 2012 | | | | | | | | | | | | |\n| First Quarter | $ | 579,574 | $ | 158,704 | $ | 43,267 | $ | 26,382 | $ | 0.61 | $ | 0.19 |\n| Second Quarter | | 570,397 | | 155,469 | | 33,335 | | 20,935 | | 0.49 | | 0.19 |\n| Third Quarter | | 605,461 | | 167,613 | | 42,019 | | 29,418 | | 0.69 | | 0.21 |\n| Fourth Quarter | | 620,013 | | 172,686 | | 49,774 | | 32,044 | | 0.75 | | 0.21 |\n| | $ | 2,375,445 | $ | 654,472 | $ | 168,395 | $ | 108,779 | $ | 2.54 | $ | 0.80 |\n\n\n$ \n\n527,501 \n529,517 \n565,970 \n589,861 \n$ 2,212,849 \n\n$ \n\n437,743 \n446,253 \n486,141 \n523,071 \n$ 1,893,208 \n\nOn August 6, 2012 there were 5,975 shareholders of record including 4,295 shareholders in the Applied Industrial Technologies, Inc. Retirement Savings Plan. The Company’s common stock is listed on the New York Stock \nExchange. The closing price on August 6, 2012 was $37.96 per share. \nThe sum of the quarterly per share amounts may not equal per share amounts reported for year-to-date. This is due to changes in the number of weighted shares outstanding and the effects of rounding for each period. \nCost of sales for interim financial statements are computed using estimated gross profit percentages which are adjusted throughout the year based upon available information. Adjustments to actual cost are primarily made based \non periodic physical inventory and the effect of year-end inventory quantities on LIFO costs. \nDuring the year ended June 30, 2012, overall LIFO expense was $7,100, which is net of $3,400 of LIFO layer liquidations recorded in the fourth quarter. The Company recorded overall LIFO benefits of $600 in the fourth quarter \n(including the liquidation), which reduced cost of goods sold. \nDuring the year ended June 30, 2011, the Company recorded overall LIFO benefits of $5,294, which reduced cost of goods sold. The overall LIFO reserves were reduced by the same amount. Total fiscal year 2011 LIFO benefits \nwere recorded as follows: $301 in the first quarter, $1,823 in the second quarter, $356 in the third quarter and $2,814 in the fourth quarter. \nDuring the year ended June 30, 2010, the Company recorded overall LIFO benefits of $23,500, which reduced cost of goods sold. The overall LIFO reserves were reduced by the same amount. Total fiscal year 2010 LIFO benefits \nwere recorded as follows: $710 in the first quarter, $1,800 in the second quarter, $4,840 in the third quarter and $16,150 in the fourth quarter. \nIn the second quarter of fiscal 2011, Applied commenced its ERP project to transform the Company’s technology platforms and enhance its business information and transaction systems for future growth. Fiscal 2012 cash \nexpenses associated with this project totaled $18,300 and were recorded as follows: $3,700 in the first quarter, $4,100 in the second quarter, $5,700 in the third quarter and $4,800 in the fourth quarter. Fiscal 2011 cash \nexpenses associated with this project totaled $8,500 and were recorded as follows: $800 in the second quarter, $2,900 in the third quarter and $4,800 in the fourth quarter. \nIn the second quarter of fiscal 2012, the Company’s earnings were reduced by $4,400 due to two one-time items: freezing the Company’s Supplemental Executive Retirement Benefits Plan and CEO transition expense. \nIn the third quarter of fiscal 2011, the Company received death benefits under life insurance policies and realized a gain of $1,722. \n\nPrice Range \nShares Traded Average Daily Volume High \n\n| 2012 | | | | | | | |\n|---|---|---|---|---|---|---|---|\n| 2012 | | | | | | | |\n| First Quarter | 26,284,500 | 410,700 | | $ | 36.77 | $ | 24.50 |\n| Second Quarter | 19,521,900 | 309,900 | | | 36.07 | | 25.63 |\n| Third Quarter | 15,756,700 | 254,100 | | | 42.01 | | 34.78 |\n| Fourth Quarter | 16,697,600 | 265,000 | | | 41.79 | | 34.44 |\n\n\n2011", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_AIT_2012.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_AIT_2012.pdf", + "query": "By how much does Applied company plan to contribute to its pension benefits between 2018 and 2022 ?", + "target_page": 36, + "target_passage": "2018 through 2022 15,200", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "a limited number of salaried and hourly employees at certain subsidiar- \n\nies. The Company’s funding policy is generally to contribute annually \n\n*Expected Contributions During Fiscal 2004*\n Total $ 12,873 \nthe minimum actuarially computed amount. Net pension costs relating \n\nto these plans were $176,000; $0; and $0 for 2003, 2002, and 2001, \nPlan Assets – Percentage of Fair Value by Category \n**2003**\nrespectively. The actuarial present value of obligations, less related plan \n\n Equity \n Debit \n Other **0%**\n**0%**\n**100%**\n\nassets at fair value, is not significant. \n\nThe Company also participates in a multiemployer plan, \n Total **100%**\nwhich provides defined benefits to certain of the Company’s union", + "page_start": 50, + "page_end": 50, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**Change in plan assets:**\n\nFair value of plan assets at beginning of year \n\nActual (loss) gain on plan assets \n\nEmployer contributions \n\nPlan participants’ contributions \n\nBenefits paid \n\nFair value of plan assets at end of year \n\n**Funded status at end of year**\n\n**4,667**$ 4,593 \n\n**30** 39 \n\n**237** 235 \n\n**47** 37 \n\n**(256 )** (227 ) \n\n— — \n\n**423**\n(10 ) \n\n— — \n\n**5,148**$ 4,667 \n\n— $ — \n**$** **6,056**\n $ 5,229**$**\n\n— — \n**(30 )**\n984 \n\n**4,557**\n1,699 **209** 190 \n\n— \n— **47** 37 \n\n**(4,144 )** (1,856 ) **(256 )** (227 ) \n\n— $ — \n**$** **6,439**\n $ 6,056**$**\n\n**$** **(40,712 )** $ (47,434 ) **$** **(5,148 )** $ (4,667 ) \n\nJune 30, \nAssumptions used to determine benefit obligations at year end: \n\nDiscount rate \nRate of compensation increase \n\nAssumptions used to determine net periodic benefit cost: \n\nDiscount rate \nExpected return on plan assets \nRate of compensation increase \n\n| 2012 | | 2011 | 2012 | |\n|---|---|---|---|---|\n| 2012 | | 2011 | 2012 | |\n| | | 4.5 % 5.5 % 4.3 % 7.5 % 5.5 % | | |\n| 2.8 | % | | 4.0 | % |\n| N/A | | | N/A | |\n| | | | | |\n| 3.5 | % | | 5.5 | % |\n| 7.5 | % | | N/A | |\n| 5.5 | % | | N/A | |\n\n\nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the \npostemployment plans were as follows: \n\nPension Benefits Retiree Health Care Benefits \n\nJune 30, **2012** 2011 **2012** 2011. \n\n**Amounts recognized in the consolidated balance sheets:**\n\nOther current liabilities **$** **6,018**\n $ 4,151**$** **220**$ 220 \n\nPostemployment benefits **34,694**\n43,283 **4,928** 4,447 \n\nNet amount recognized **40,712**\n $ 47,434**$** **5,148**$ 4,667 \n\n**Amounts recognized in accumulated other comprehensive income (loss):**\n\nNet actuarial (loss) gain **(10,112 )** $ (15,012 ) **$** **398** $ 892 \n\nPrior service cost **(279 )** (3,808 ) **(135 )** (274 ) \n\n**263**$ Total amounts recognized in accumulated other comprehensive income (loss) **(10,391 )** $ (18,820 ) **$** 618 \n\n5.5 % \nN/A \n\n5.5 % \nN/A \nN/A \n\nDue to freezing participant benefits in the SERP plan, the rate of compensation increase is no longer applicable. The assumed health \ncare cost trend rates used in measuring the accumulated benefit obligation for retiree health care benefits were 7.5% and 8% as of \nJune 30, 2012 and 2011, respectively, decreasing to 5% by 2018. \n\nA one-percentage point change in the assumed health care cost trend rates would have had the following effects as of June 30, \n2012 and for the year then ended: \nOne-Percentage Point \n\nIncrease Decrease \n\nEffect on total service and interest cost components of periodic expense $ \n\n48 \n854 \n\n$ (39 ) \n\nEffect on postretirement benefit obligation (701 )", + "page_start": 34, + "page_end": 34, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "The following benefit payments, which reflect expected future service, as applicable, are expected to be paid in each of the next \nfive years and in the aggregate for the subsequent five years: \n\nService Center \nBased Distribution Total \n**Year Ended June 30, 2012**\n\nRetiree Health Care \nBenefits \n240 \n240 \n240 \n240 \n260 \n1,420 \n\nNet sales \n**$ 1,904,564** **$ 2,375,445**\nDuring Fiscal Years \n\nPension Benefits \n6,200 \n5,900 \n5,700 \n4,500 \n1,700 \n15,200 \n\nOperating income for reportable segments \n**135,240** **178,476**\n2013 $ $ \nAssets used in the business \n**731,915** **962,183**\n2014 \nDepreciation and amortization of property \n**9,403** **11,236**\n2015 \nCapital expenditures \n**24,339** **26,021**\n2016 \nYear Ended June 30, 2011 \n2017 \nNet sales \n$ 1,770,798 $ 442,051 $ 2,212,849 \n2018 through 2022 \nOperating income for reportable segments \n115,798 41,793 157,591 \n\nAssets used in the business \n700,486 214,445 914,931 \n\nDepreciation and amortization of property \n9,152 2,082 11,234 \n\nCapital expenditures \n19,392 1,039 20,431 \n\nYear Ended June 30, 2010 \n\nNet sales \n$ 1,536,543 $ 356,665 $ 1,893,208 \n\nOperating income for reportable segments \n77,029 26,794 103,823 \n\nAssets used in the business \n690,970 200,550 891,520 \n\nDepreciation and amortization of property \n9,336 2,129 11,465 \n\nCapital expenditures \n6,389 827 7,216", + "page_start": 35, + "page_end": 35, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "employees. Pension expense for this plan amounted to $309,000, \nNumber of Weighted-Average \nExercise Price Shares \n$309,000, and $310,000 in 2003, 2002, and 2001, respectively. \n\n918,250 \n266,500 \n(17,500) \n(37,000) $ 21.89 \n 23.39 \n 18.31 \n 21.57 \n**Postretirement Health Care**\n\nIn accordance with the guidelines of revised SFAS No. 132, “Employers’ \n\n1,130,250 \n290,000 \n– \n(17,000) $ 22.32 \n 25.77 \n– \n 21.69 \n\nDisclosures about Pensions and other Postretirement Benefits,” the fol- \n\nlowing table sets forth the funded status of the plan, reconciled to the \n\naccrued postretirement benefits cost recognized in the Company’s bal- \n\n 1,403,250 \n446,500 \n(362,000) \n(18,500) $ 23.03 \n 26.78 \n 23.10 \n 23.57 \n\nance sheet at: \n\n**2003** 2002 2001 *(In thousands)*\n\n**$ 24.15**\n\n*Change in benefit obligation*\n Benefit obligation at beginning \n\n**$ 25.47**\n**25.02**\n**24.86**\n\n of year \n Service cost \nInterest cost \n Benefits paid \n Actuarial (gain) or loss \n Current year prior service cost **$ 17,617**\n**249**\n**1,105**\n**(1,206)**\n**566**\n**–** $ 17,351 \n398 \n1,091 \n (1,356) \n133 \n– $ 12,229 \n278 \n941 \n(952) \n 3,042 \n1,813 \n Benefit obligation at end of year**$ 18,331** $ 17,617 $ 17,351 \n\n*Change in plan assets*\n Fair value at beginning of year**$**\n Employer contributions \n Benefits paid **–**\n**11,456**\n**(1,206)**\n\n$ \n\n– \n1,356 \n (1,356) – \n952 \n(952) \n\nNumber \nAverage Exercisable \nExercise at January 3, \n2004 \n\n Fair value at end of year **$ 10,250** $ – $ – \n\nPrice \n**$ (8,081)** $ (17,617) $ (17,351) \n\n539 364 \n\n 5,942 \n1,352 6,523 \n 1,582 \n\n*Outstanding at December 30, 2000*\nGranted \nExercised \nForfeited \n\n*Outstanding at December 29, 2001*\nGranted \nExercised \nForfeited \n\n*Outstanding at December 28, 2002*\nGranted \nExercised \nForfeited \n\n*Outstanding at January 3, 2004*\nOptions exercisable at: \n January 3, 2004 \n December 28, 2002 \n December 29, 2001 \n\n**1,469,250**\n\n**202,250**\n**156,250**\n**105,000**\n\nThe following table summarizes information about fixed stock options \n\noutstanding at January 3, 2004: \n\nOptions \nExercisable Options Outstanding \n\nWeighted- \nAverage \nRange of \nRemaining \nExercise Prices Outstanding Contractual Life \n\nWeighted- \n\nNumber \n\n$24.50–$28.25 \n $32.22 \n $23.47 \n$18.31–$26.69 \n$23.32–$25.27 \n$25.75–$25.77 \n$25.50–$42.98 31,000 \n20,000 \n101,250 \n411,000 \n223,500 \n261,000 \n421,500 2.9 years \n4.1 years \n5.1 years \n6.6 years \n7.1 years \n8.1 years \n9.2 years $ 25.71 \n$ 32.22 \n$ 23.47 \n$ 20.42 \n$ 23.41 \n$ 25.77 \n$ 26.83 31,000 \n 20,000 \n 101,250 \n 50,000 \n– \n– \n– \n\n*Reconciliation of funded status*\n Funded status \n Unrecognized actuarial (gain) \n or loss **1,105**\n\n Unrecognized transition \n obligation or (asset) \n**5,361**\n**1,122** Unrecognized prior service cost \n\n Net amount recognized at \nyear-end **$** **(493)** $ (9,784) $ (8,882) \n\n*Amounts recognized in the*\n**Retirement Benefits**\n\n*statement of financial position*\n*consist of:*\nThe Company has defined contribution profit-sharing plans cover- \n Accrued benefit liability **$** **(493)** $ (9,784) $ (8,882) \ning substantially all employees who are not participants in certain \n Net amount recognized at \nyear-end, included in \ndefined benefit plans. The Company’s annual contribution to the de- \n Other Liabilities **$** **(493)** $ (9,784) $ (8,882) \nfined contribution plans is based on employee eligible earnings and \nEstimated Future Benefit Payments (In thousands) \nresults of operations and amounted to $26,489,000, $23,524,000, \n$ \nand $24,826,000 in 2003, 2002, and 2001, respectively. \n\n Fiscal 2004 \n Fiscal 2005 \n Fiscal 2006 \n Fiscal 2007 \n Fiscal 2008 \n Fiscal 2009 – 2013 1,133 \n1,189 \n1,195 \n1,217 \n 1,265 \n 6,874 \n\nThe Company sponsors defined benefit plans which include \n\na limited number of salaried and hourly employees at certain subsidiar- \n\nies. The Company’s funding policy is generally to contribute annually", + "page_start": 50, + "page_end": 50, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "| | $ 486 |\n|---|---|\n| | 615 |\n| | (494) |\n| | 31 |\n| | 32 |\n| | (29) |\n\n\n| | |\n|---|---|\n| | |\n\n\n**Note 9. Retirement Plans (Continued)**\n\n| | 2003 |\n|---|---|\n| | 2003 |\n| | |\n\n\n2002 \n$ (2,880) \n1,505 \n283 \n(38) \n$ (1,130) \n\n| | 2003 $(3,797) |\n|---|---|\n| | 2,229 |\n| | 252 |\n| | (9) |\n\n\nFunded status \nUnrecognized net (gain) loss \nUnrecognized prior service cost \nUnrecognized net transition asset \nAccrued benefit cost \n\nThe accumulated benefit obligation for the qualified retirement plan was $7,872, $6,551 and $5,399 at December 31, \n2003, 2002 and 2001, respectively. \n\nWeighted average assumptions used by the Company in the determination of benefit obligations at December 31, 2003, \n2002 and 2001 were as follows: \n\n| 20023003 | | 20200202 | 20012001 |\n|---|---|---|---|\n| 20023003 | | 20200202 | 20012001 |\n| 6.060.%00% 4.540.%50% | | 6.560.5%0% 4.540.5%0% | 7.007%.00% 5.005%.00% |\n\n\nDiscount rate \nRate of increase in compensation levels \n\nWeighted average assumptions used by the Company in the determination of net pension cost for the years ended \nDecember 31, 2003, 2002, and 2001 were as follows: \n\n**2003**\n**6.50%**\n**4.50%**\n**7.50%** 2002 \n7.00% \n5.00% \n8.00% 2001 \n7.50% \n5.00% \n8.00% 2002 \n7.00% \n5.00% \n8.00% Discount Rate \nRate of increase in compensation level \nExpected long-term rate of return on plan assets \n\n2001 \n7.50% \n5.00% \n8.00% **2003**\n**6.50%**\n**4.50%**\n**7.50%**\n\nThe Company’s pension plan asset allocations based on market value at December 31, 2003 and 2002, by asset \ncategory were as follows: \n\nAsset Category \nEquity securities \nDebt securities \nCash and cash equivalents \n\n2002 \n62.9% \n32.2% \n4.9% \n100.0% **2003**\n**69.8%**\n**26.6%**\n**3.6%**\n**100.0%** 2002 \n62.9% \n32.2% \n4.9% \n100.0% **2003**\n**69.8%**\n**26.6%**\n**3.6%**\n**100.0%**\n\n**Investment Policy**\n\nThe investment policy of the Company’s Pension Plan is for assets to be invested in a manner consistent with the \nfiduciary standards of ERISA. More specifically, the investment focus is to preserve capital which includes \ninflationary protection as well as protection of the principal amounts contributed to the Plan. Of lesser importance is \nthe consistency of growth, which will tend to minimize the annual fluctuations in the normal cost. It is anticipated that \ngrowth of the fund will result from both capital appreciation and the re-investment of current income. \n\n**Contributions**\n\nThe Company expects to contribute $0.5 million to the noncontributory defined benefit plan in 2004, and contributed \n$0.4 million in 2003, and $0.3 million in 2002. \n\n31 ■ 2003 ANNUAL REPORT", + "page_start": 32, + "page_end": 32, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**C H A N G E I N B E N E F I T O B L I G A T I O N :**\n\nBenefit obligation, January 1 \n\nService cost \n\nInterest cost \n\nAmendments \n\nActuarial (gain)/loss \n\nBenefits paid \n\nBenefit obligation, December 31 \n\n**C H A N G E I N P L A N A S S E T S :**\n\nFair value of plan assets, January 1 \n\nActual return on plan assets \n\nEmployer contributions \n\nBenefits paid \n\nFair value of plan assets, December 31 \n\nFunded status of plan \n\nUnrecognized actuarial loss \n\nUnrecognized prior service cost \n\nUnrecognized net transition obligation \n\nNet amount recognized as other assets \n\nE M P L O Y E E R E T I R E M E N T A N D B E N E F I T P L A N S 11 \n\nA noncontributory defined benefit retirement plan is maintained for all regular employees of the Company except those of Quest Medical. This plan was \namended effective January 1, 1998 to become a cash balance pension plan. The Company’s funding policy is to make the annual contributions required by \napplicable regulations and recommended by its actuary. The Company uses a December 31 measurement date for the plan. \n\n| thousands): | |\n|---|---|\n| 2003 | |\n| $ 4,170 214 298 —- 529 (333) | $ 4,599 320 307 (616) (93) (347) |\n| $ 4,878 | $ 4,170 |\n| | |\n\n\nIn December 2002, the plan was amended to reduce benefit accruals for future service by plan participants by approximately 50 percent. This amendment \ncaused a reduction in the PBO of approximately $616,000, and is reflected as a reduction in pension expense over the estimated employee service lives. \n\nThe changes in the fair value of plan assets, funded status of the plan and the status of the prepaid pension benefit recognized, which is included in the \nCompany’s balance sheets as of December 31, 2003 and 2002 are as follows (in thousands): \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| $ 4,383 963 400 (333) | $ 4,550 (750) 930 (347) |\n| $ 5,413 | $ 4,383 |\n| $ 535 1,941 (502) (88) | $ 213 2,154 (539) (132) |\n| $ 1,886 | $ 1,696 |\n| | |", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "**Note 9. Retirement Plans (Continued)**\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 \nthousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively. \n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named \nexecutives. The plan was established to provide retirement benefits in addition to those provided under the Retirement \nPlan that covers all employees. The following table presents the actuarial information for the plan. \n\n| | $$ |\n|---|---|\n| | $$ |\n| 22 | |\n| 23 | |\n| 278 | |\n| 546 | |\n\n\n| 22 23 278 546 $ 869 | | |\n|---|---|---|\n| | | |\n| | $ | (869) |\n| 278 | | |\n| (380) | | |\n| 380 | | |\n| 521 | | |\n\n\nChange in benefit obligation: \n Benefit obligation, beginning \n\nService cost \nInterest cost \nActuarial loss \nPlan adoption \n\n Benefit obligation, ending \n\nFunded status \nUnrecognized net loss \nAdditional minimum liability \nIntangible asset \nUnrecognized prior service cost \nAccrued benefit cost \n\nComponents of net periodic benefit costs: \n\n| | $ 22 | |\n|---|---|---|\n| | $ 22 | |\n| | 23 | |\n| | | 25 |\n| | | |\n\n\nService cost \nInterest cost \nAmortization of prior service costs \n\nNet periodic benefit cost \n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted \nof the following at December 31, 2003: \n\n**2003**\n**6.00%**\n**4.50%**\n\n**Note 10. Stock Incentive Plan**\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the “Plan”), providing for the grant of \nincentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options \nto purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all \ngrants has been at the current market price at the time of the grant. The grants have generally provided that one-half of \nthe options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five \nyears after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period \nbeginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant \nafter each anniversary date through the eighth year, with the options expiring after ten years. \n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the \nfollowing weighted average assumptions:", + "page_start": 33, + "page_end": 33, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**C O M P O N E N T S O F N E T P E R I O D I C P E N S I O N C O S T :**\n\nService cost \n\nInterest cost \n\nExpected return on assets \n\nPrior service cost amortization \n\nActuarial loss \n\nTransition amount amortization \n\nNet periodic pension cost \n\nThe accumulated benefit obligation for the pension plan was $4,801,000 and $4,170,000 at December 31, 2003 and 2002, respectively. The components \nof net periodic pension cost for 2003, 2002 and 2001 were as follows (in thousands): \n\nYEAR ENDED DECEMBER 31, \n\n| 2003 | | |\n|---|---|---|\n| 2003 | | |\n| $ 214 298 (349) (37) 128 (44) | $ 320 307 (405) 7 28 (44) | $ 369 296 (477) 6 — (44) |\n| $ 210 | $ 213 | $ 150 |\n| | | |\n\n\nActuarial assumptions used to determine benefit obligations at December 31 were as follows: \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| 6.50% 5.00% | 7.00% 5.00% |\n| | |\n\n\nDiscount rate \n\nRate of compensation increase \n\nActuarial assumptions used to determine net periodic pension cost were as follows: \n\nYEAR ENDED DECEMBER 31, \n\n| 2003 | | |\n|---|---|---|\n| 2003 | | |\n| 7.00% 8.00% 5.00% | 7.25% 9.00% 5.00% | 7.25% 9.00% 5.00% |\n| | | |\n\n\nThe Company’s expected long-term rate of return assumption is based upon the plan’s actual long-term investment results as well as the long-term outlook \nfor investment returns in the marketplace at the time the assumption is made. The reduction in the Company’s assumption for this expected return rate in \nthe beginning of 2003 to 8 percent from 9 percent reflected the major downturn in returns on debt and equity investments that occurred in the investment \nmarkets in 2001 and 2002. \n\nThe Company’s pension plan assets at December 31, 2003 and 2002 were invested in the following asset categories: \n\n| 2003 | |\n|---|---|\n| 2003 | |\n| 73% 25% 2% | 64% 28% 8% |\n| 100% | 100% |\n| | |\n\n\n**A S S E T C A T E G O R Y :**\n\nEquity securities \n\nDebt securities \n\nOther \n\nTotal", + "page_start": 22, + "page_end": 22, + "source_file": "NASDAQ_ATRI_2003.pdf" + }, + { + "text": "The estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other \ncomprehensive income (loss) into net periodic benefit cost over the next fiscal year are $735 and $83, respectively. The estimated \nnet actuarial gain and prior service cost for the retiree health care benefits that will be amortized from accumulated other \ncomprehensive income (loss) into net periodic benefit cost over the next fiscal year are $(53) and $107, respectively. \n\nAssumptions \n\nThe discount rate is used to determine the present value of future payments. In general, the Company’s liability increases as the \ndiscount rate decreases and decreases as the discount rate increases. The Company computes a weighted-average discount rate \ntaking into account anticipated plan payments and the associated interest rates from the Citigroup Pension Discount Yield Curve. \n\nThe weighted-average actuarial assumptions used to determine benefit obligations and net periodic benefit cost for the plans were \nas follows: \n\nPension Benefits Retiree Health Care Benefits \n\n**2012** 2011 **2012** 2011 \n\n**2.8 %** 4.5 % **4.0 %** 5.5 % \n\n**N/A** 5.5 % **N/A** N/A \n\nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the \npostemployment plans were as follows: \n\nPension Benefits Retiree Health Care Benefits \n\n| 2012 | | | 2011 | 2012 | | |\n|---|---|---|---|---|---|---|\n| 2012 | | | 2011 | 2012 | | |\n| | | | $ 4,151 43,283 | | | |\n| $ | 6,018 | | | $ | 220 | |\n| 34,694 | | | | 4,928 | | |\n| | 40,712 | | $ 47,434 | $ | 5,148 | |\n| | | | $ (15,012 ) (3,808 ) | | | |\n| | (10,112 | ) | | $ | 398 | |\n| (279 | | ) | | (135 | | ) |\n| | | | $ (18,820 ) | | | |\n| | (10,391 | ) | | $ | 263 | |\n\n\nJune 30, 2011. \n\n**Amounts recognized in the consolidated balance sheets:**\n\nOther current liabilities \n\n220 \n4,447 \n4,667 \n\nPostemployment benefits \n\nNet amount recognized \n\n**Amounts recognized in accumulated other comprehensive income (loss):**\nNet actuarial (loss) gain $ 892 \n\nPrior service cost (274 ) \n\nTotal amounts recognized in accumulated other comprehensive income (loss) 618 \n\nJune 30, \n\nAssumptions used to determine benefit obligations at year end: \n\nDiscount rate \n\nRate of compensation increase \n\nAssumptions used to determine net periodic benefit cost: \n\nDiscount rate **3.5 %** 4.3 % \n\nExpected return on plan assets **7.5 %** 7.5 % \n\nRate of compensation increase **5.5 %** 5.5 % \n\nDue to freezing participant benefits in the SERP plan, the rate of compensation increase is no longer applicable. The assumed health \ncare cost trend rates used in measuring the accumulated benefit obligation for retiree health care benefits were 7.5% and 8% as of \nJune 30, 2012 and 2011, respectively, decreasing to 5% by 2018. \n\nA one-percentage point change in the assumed health care cost trend rates would have had the following effects as of June 30, \n2012 and for the year then ended: \nOne-Percentage Point \n\nIncrease Decrease \n\nEffect on total service and interest cost components of periodic expense $ \n48 \n$ (39 ) \n\nEffect on postretirement benefit obligation \n854 \n(701 )", + "page_start": 33, + "page_end": 33, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "The following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in \nexcess of plan assets: \n\nPension Benefits \n\n**2012** 2011 \n\n**$**\n**47,151**$ 53,490 \n\n**47,151** 43,528 \n\n**6,439** 6,056 \n\nThe net periodic costs are as follows: \n\nPension Benefits Retiree Health Care Benefits \n\nYear Ended June 30, **2012--** 2011-- 2010-- **2012--** 2011-- 2010-- \n\nService cost **$**\n**289**$ 460 $ 574**$** **30**$ 39 $ 52 \n\nInterest cost \n**2,047** 2,232 2,911 **237** 235 259 \n\n— — — \nExpected return on plan assets **(396 )** (385 ) (351 ) \n\nRecognized net actuarial loss (gain) \n**644** 1,449 924 \n**(72 )** (83 ) (87 ) \n\nAmortization of prior service cost \n**412** 710 797 **139** 139 148 \n\n— — —— — — \nRecognition of prior service cost upon plan curtailment \n**3,117**\n\nNet periodic cost **$**\n**6,113**$ 4,466 $ 4,855**$** **334**$ 330 $ 372 \n\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued) \n(In thousands, except per share amounts) \n\nSalary Continuation Benefits \n\nThe Company has agreements with certain retirees of acquired companies to pay monthly retirement benefits through fiscal 2020. \n\nRetiree Health Care Benefits \n\nThe Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. \nPremium payments are based upon current insurance rates for the type of coverage provided and are adjusted annually. \nCertain monthly health care premium payments are partially subsidized by the Company. Additionally, in conjunction with a \nfiscal 1998 acquisition, the Company assumed the obligation for a postretirement medical benefit plan which provides health \ncare benefits to eligible retired associates at no cost to the individual. \n\nThe Company uses a June 30 measurement date for all plans. \n\nThe following table sets forth the changes in benefit obligations and plan assets during the year and the funded status for the \npostemployment plans at June 30: \n\nPension Benefits Retiree Health Care Benefits \n\n2011. \n\n**Change in benefit obligation:**\n\nBenefit obligation at beginning of the year \n\n4,593 \n39 \n235 \n37 \n(227 ) \n— \n(10 ) \n— \n4,667 \n\nService cost \n\nInterest cost \nPlan participants’ contributions \n\nBenefits paid \n\nAmendments \nActuarial loss (gain) during year \n\nCurtailment \n\nBenefit obligation at end of year \n\n**Change in plan assets:**\n\n— \n— \n190 \n37 \n(227 ) \n— \n(4,667 ) \n\nFair value of plan assets at beginning of year \n\nActual (loss) gain on plan assets \n\nEmployer contributions \nPlan participants’ contributions \n\nBenefits paid \n\nFair value of plan assets at end of year \n\n**Funded status at end of year**\n\n| 2012 | | | 2011 | 2012 | | |\n|---|---|---|---|---|---|---|\n| 2012 | | | 2011 | 2012 | | |\n| | | | $ 51,114 460 2,232 — (1,856 ) 151 1,389 — | | | |\n| $ | 53,490 | | | $ | 4,667 | |\n| 289 | | | | 30 | | |\n| 2,047 | | | | 237 | | |\n| — | | | | 47 | | |\n| (4,144 | | ) | | (256 | | ) |\n| 150 | | | | — | | |\n| 4,179 | | | | 423 | | |\n| (8,860 | | ) | | — | | |\n| $ | 47,151 | | $ 53,490 | $ | 5,148 | |\n| | | | $ 5,229 984 1,699 — (1,856 ) | | | |\n| $ | 6,056 | | | $ | — | |\n| (30 | | ) | | — | | |\n| 4,557 | | | | 209 | | |\n| — | | | | 47 | | |\n| (4,144 | | ) | | (256 | | ) |\n| $ | 6,439 | | $ 6,056 | $ | — | |\n| $ | (40,712 | ) | $ (47,434 ) | $ | (5,148 | ) |", + "page_start": 33, + "page_end": 33, + "source_file": "NYSE_AIT_2012.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_AIT_2012.pdf", + "query": "What does Applied has to say regarding the potential creadit risk it could be exposed to ?", + "target_page": 21, + "target_passage": "The Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a significant concentration of credit risk exists in its accounts receivable", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "RISKS AND UNCERTAINTIES AFFECTING OUR BUSINESS \n\nThis section describes the principal risks and uncertainties that could \nhave a material adverse effect on our business and financial results. \nTECHNOLOGY RISKS \n\n**Competing Technologies**\nSeveral technologies may affect the way our services are delivered, \nincluding: \n(cid:129) broadband \n(cid:129) IP-based voice, data and video delivery services \n(cid:129) increased use of optical fibre technologies to businesses and, or \n\nGENERAL RISKS \n\n**Economic Conditions**\nOur businesses are affected by general economic conditions and \nconsumer confidence and spending. Recessions, declines in economic \nactivity and economic uncertainty can erode consumer and business \nconfidence and reduce discretionary spending. Any of these factors can \nnegatively affect us through reduced advertising, lower demand for our \nproducts and services, decreased revenue and profitability, higher churn \nand bad debt expense. A significant portion of our broadcasting, \npublishing and digital revenues come from the sale of advertising. \n\nresidences \n(cid:129) broadband wireless access and wireless services using a radio \nfrequency spectrum that we may have limited access to. \n\nThese technologies may also lead to significantly different cost \nstructures for users and therefore affect the long-term viability of some \nof our current technologies. Some of the new technologies may allow \ncompetitors to enter our markets with similar products or services at \nlower costs, and they may be larger and have greater access to financial \nresources than we have. \n\nPoor economic conditions can also have an impact on our pension plans \nbecause there is no assurance that the plans will be able to earn the \nassumed rate of return. Capital market volatility may result in changes \nrequiring us to make \nin the discount \ncontributions \nsignificantly from current \ncontributions and assumptions being used in the actuarial valuation \nprocess. \n\nrates and other variables, \n\nImprovements in the quality of streaming video over the Internet, \ncoupled with the increasing availability of television shows and movies \nonline are anticipated to increase competition for Canadian cable \ntelevision systems. If changes in technology are made to any alternative \nCanadian multi-channel broadcasting distribution system, our cable \nservices may face increased competition. In addition, wireless Internet is, \nin some instances, \nthe \ntechnology for wireless Internet continues to develop. \n\nin the future that differ \n\n**Substantial Competition**\nThere is no assurance that our current or future competitors will not \nprovide services that are superior to ours or at lower prices, adapt more \nquickly to evolving industry trends or changing market requirements, \nenter markets we operate in, or introduce competing services. Any of \nthese factors could reduce our business market share or revenues, or \nincrease churn. \n\nreplacing traditional wireline Internet as \n\nThe growing use of PVRs could affect our ability to generate television \nadvertising revenues because viewers can skip advertising aired on the \ntelevision networks. The emergence of subscriber-based satellite and \ndigital radio products could change radio audience listening habits and \nhave a negative effect on the results of our radio stations. Certain \naudiences are also migrating to the Internet as more video and audio \ncontent becomes available. \n\nWireless could face increased competition due to recent changes to \nforeign ownership and control of wireless licences. \n(cid:129) Foreign telecommunication companies could enter the Canadian \nmarket by acquiring wireless licences or a holder of wireless licences. \nIf companies with significantly greater capital resources enter the \nCanadian market, it could reduce our wireless market share. See \n“Foreign ownership and control” in “Regulation in Our Industry” for \ndetails.", + "page_start": 77, + "page_end": 77, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Particularly difficult is the assessment of the**quality of risk assessments**. A complete quality \nassessment would require specific knowledge of several aspects: of the specific topic, of the — real — \nsituation at the workplaces in an enterprise, and of the expected reduction of these risks by the proposed \nor recommended risk mitigation measures. This has rarely been done. Moreover, even inside one \nenterprise the**quality of a risk assessment might differ depending on the topic**, for example, \nbetween ‘easier’ topics as ‘correct provision of warning signals’ or ‘adequate temperatures’, and more \ncomplex topics like psychosocial, musculoskeletal, or chemical and biological risks.414", + "page_start": 126, + "page_end": 126, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "These factors can also affect our objectives, strategies and intentions. \nthese factors are beyond our control or our current \nMany of \nexpectations. Should one or more of these risks, uncertainties or other \nfactors materialize, our objectives, strategies or intentions change, or \nany other \nfactors or assumptions underlying the forward-looking \ninformation prove incorrect, our actual results and our plans could vary \nsignificantly from what we currently foresee. \n\nAccordingly, we warn investors to exercise caution when considering \nstatements containing forward-looking information and that it would \nbe unreasonable to rely on such statements as creating legal rights \nregarding our future results or plans. We are under no obligation (and \nwe expressly disclaim any such obligation) to update or alter any \nstatements containing forward-looking information or the factors or \nassumptions underlying them, whether as a result of new information, \nfuture events or otherwise, except as required by law. All of the \nforward-looking information in this MD&A is qualified by the cautionary \nstatements herein. \n\nBEFORE MAKING AN INVESTMENT DECISION \nBefore making any investment decisions and for a detailed discussion of \nthe risks, uncertainties and environment associated with our business, \nfully review “Regulation in Our Industry” and “Governance and Risk \nManagement”, in this MD&A, as well as our various other filings with \nCanadian and US securities regulators which can be found at sedar.com \nand sec.gov. \n\nFOR MORE INFORMATION \nYou can find more information about us, including our Information \nCircular and Annual \nInformation Form, on our website (rogers.com/ \ninvestors), on SEDAR (sedar.com) and on EDGAR (sec.gov), or you can \ne-mail us at \nInformation on or \nconnected to these and any other websites referenced in this document \nis not part of this MD&A. \n\ninvestor.relations@rci.rogers.com. \n\nYou can also go to rogers.com/investors for information about our \ngovernance practices, corporate social \nresponsibility reporting, a \nglossary of communications and media industry terms, and additional \ninformation about our business.", + "page_start": 28, + "page_end": 28, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "on occupation and sector, between 15% and 30% of workers are exposed to such risks. No or very \nminor decreases of these risks could be seen during the past 15 years. \n\nIn both the ESENER and the EWCS surveys52 there is a similar share of ‘Yes responses’ when asked \nfor the presence of such risks.53 In ESENER a set of questions is related to the risks present in the \nenterprise. The figure below shows the responses from ESENER 2014 and ESENER 2019 regarding \nphysical health risks.54", + "page_start": 38, + "page_end": 38, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "and services on a timely basis, it could have a material adverse effect on \nfinancial condition and results of operations. Any \nour business, \ninterruption in the supply of equipment for our networks could also \naffect the quality of our service or impede network development and \nexpansion. \nindustry associations and agencies. If our radio and television ratings or \nmagazine readership levels decrease substantially, our advertising sales \nvolumes and the rates that we charge advertisers could be adversely \naffected. \n\nFINANCIAL RISKS \n\n**Organizational Structure and Talent**\nThe industry is competitive in attracting and retaining a skilled \nworkforce. Losing certain employees or changes in morale due to a \nrestructuring or other event could affect our revenue and profitability in \ncertain circumstances. \n\n**Capital Commitments Liquidity, Debt and Interest Payments**\nOur capital commitments and financing obligations could have \nimportant consequences including: \n(cid:129) requiring us to dedicate a substantial portion of cash flow from \noperations to pay dividends, interest and principal, which reduce \nfunds available for other business purposes including other financial \noperations \n(cid:129) making us more vulnerable to adverse economic and industry \nconditions \n(cid:129) limiting our flexibility in planning for, and/or reacting to, changes in \n\n**Holding Company Structure**\nAs a holding company, our ability to meet our financial obligations \ndepends primarily on receiving interest and principal payments on \nintercompany advances, rental payments, cash dividends and other \npayments from our subsidiaries, together with proceeds raised by us \nthrough issuing debt and equity and selling assets. \n\nour business and/or industry \n\n(cid:129) putting us at a competitive disadvantage compared to competitors \nless financial \n\nSubstantially all of our business activities are operated by our \nsubsidiaries. All of our subsidiaries are distinct legal entities that have no \nobligation, contingent or otherwise, to make funds available to us \nwhether by dividends, \nloans, advances or other \npayments, \nto payment arrangements on intercompany \nadvances. Any of these payments must meet statutory or contractual \nrestrictions, are contingent on the earnings of those subsidiaries, and \nare subject to various businesses and other considerations. \n\nwho may have more financial \nleverage, or \nresources and, or \n\n(cid:129) restricting our ability to obtain additional financing to fund working \ncapital and capital expenditures and for other general corporate \npurposes. \n\ninterest payments, \nsubject \n\nOur ability to satisfy our financial obligations depends on our future \noperating performance and economic, financial, competitive and other \nfactors, many of which are beyond our control. Our business may not \ngenerate sufficient cash flow and future financings may not be available \nto provide sufficient net proceeds to meet these obligations or to \nsuccessfully execute our business strategy. \n\n**Increasing Programming Costs**\nAcquiring programming is the single most significant purchasing \ncommitment in our cable business. Programming costs have increased \nsignificantly over the past few years, particularly with the recent growth \nin subscriptions to digital specialty channels. Programming is also a \nmaterial cost for Media television properties. Higher programming costs \ncould adversely affect the operating results of our business if we are \nunable to pass on these costs to subscribers. \n\nWe have recorded significant amounts of deferred income tax liabilities \nand current income tax expense, and calculated these amounts based \non substantively enacted income tax rates in effect at the relevant time. \nA legislative change in these rates could have a material impact on the \namounts recorded and payable in the future.", + "page_start": 80, + "page_end": 80, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "• \n\n• \n\n•**Compliance**with and impact of legislation. Currently, there are data on the percentage of \nenterprises with a risk assessment but very limited information about the**quality of these risk**\n**assessments and of implemented risk management and reduction measures**. Previous \nstudies indicate that in many cases the risk assessment is conducted by an enterprise just to \ncomply with legal obligations (paper compliance). A possible approach could be an**anonymous**\n**evaluation of the quality of a representative share**of risk assessments.", + "page_start": 139, + "page_end": 139, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "The figure below displays the relation between**major risks**and the**health outcome in DALYs**. The \nestimates of DALYS that are attributable to work vary between 6.8 million years (ICOH) and 4.4 million \nyears (WHO/ILO), both for the EU27. \n\n**Figure 26: Work-related DALYs – estimates by WHO/ILO and ICOH for the EU27**\n\nPutting the absolute numbers of WHO/ILO in relation to the EU27 population above 16 years this results \nin approximately**1,172 lost life years per 100,000 working-age population**(WHO/ILO). ICOH \ncalculates in absolute numbers 6.8 million lost life years for the labour force population, resulting**in**\n**3,364 DALYs per 100,000 labour force**. \n\nIt can be concluded that despite methodological differences the estimates**do not vary that much if the**\n**same reference population**is used in the calculation. Future research will contribute to a better \nattribution of the impact of work on these diseases.**In the future, relevant disease groups will be**\n**incorporated in these estimates**, that is, the impact of work on the prevalence of**mental diseases**\nand of communicable diseases caused by biological agents needs to be incorporated. \n\nThe next table shows the**difference between major occupational risk factors and deaths**at the \nEU27 level and the global level. At EU27 level asbestos-related cancers are clearly the most frequent \nreason for work-related deaths with nearly 60% of all cases; the two next main causes are COPD (15.9%) \nand CVD (12.3%). The global situation is quite different. CVD account for nearly 40%, COPD for 24% \nand injuries for 19%.", + "page_start": 83, + "page_end": 83, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**RISKS DUE TO LEGAL AND REGULATORY FACTORS**\n\n**We are subject to certain laws, litigation, regulatory matters and ethical standards, and our failure to comply with or adequately**\n**address developments as they arise could adversely affect our reputation and operations.**\nOur policies, procedures and practices and the technology we implement are designed to comply with federal, state, local and foreign laws, \nrules and regulations, including those imposed by the SEC and other regulatory agencies, the marketplace, the banking industry and foreign \ncountries, as well as responsible business, social and environmental practices, all of which may change from time to time. Significant \nlegislative changes, including those that relate to employment matters and health care reform, could impact our relationship with our \nworkforce, which could increase our expenses and adversely affect our operations. In addition, if we fail to comply with applicable laws and \nregulations or implement responsible business, social, environmental and supply chain practices, we could be subject to damage to our \nreputation, class action lawsuits, legal and settlement costs, civil and criminal liability, increased cost of regulatory compliance, restatements \nof our financial statements, disruption of our business and loss of customers. Any required changes to our employment practices could result \nin the loss of employees, reduced sales, increased employment costs, low employee morale and harm to our business and results of \noperations. In addition, political and economic factors could lead to unfavorable changes in federal, state and foreign tax laws, which may \nincrease our tax liabilities. An increase in our tax liabilities could adversely affect our results of operations. We are also regularly involved in \nvarious litigation matters that arise in the ordinary course of business. Litigation or regulatory developments could adversely affect our \nbusiness and financial condition. \n\n**We continue to face uncertainties due to financial services industry regulation and supervision that could have an adverse affect**\n**on our operations.**\nFederal and state regulation and supervision of the financial industry has increased in recent years due to implementation of consumer \nprotection and financial reform legislation such as the Credit Card Accountability Responsibility and Disclosure Act of 2009 (“CARD Act”) and \nthe Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Financial Reform Act”). The Financial Reform Act significantly \nrestructured regulatory oversight and other aspects of the financial industry, created the Consumer Financial Protection Bureau (“CFPB”) to \nsupervise and enforce consumer lending laws and regulations, and expanded state authority over consumer lending. The CARD Act included \nnew and revised rules and restrictions on credit card pricing, finance charges and fees, customer billing practices and payment application. \nWe anticipate more regulation and interpretations of the new rules to continue, and, depending on the nature and extent of these new \nregulations and interpretations, we may be required to make changes to our credit card practices and systems, which could adversely impact \nthe revenues and profitability of our Credit segment. In addition, we operate in a regulated environment where financial supervisory agencies \nprovide oversight over our activities. Compliance with applicable laws and regulations could limit or restrict our activities and the conduct of \nour business and enforcement actions by those agencies for failure to comply could have an adverse impact on us.", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "Lately, the**WHO and ILO have made joint efforts**to identify the best possible estimates based on the \nsystematic review of scientific literature on such connections. The newest WHO/ILO review of risk \npairs 214 identified several significant relations between specific risks of work conditions and related \ndiseases, for example, long working hours and stroke, or exposure to particulate matter, gases and \nchronic obstructive pulmonary diseases. For some specific chemicals and metals, the AF is very low \nbecause other exposures — nutrition, environment — might have a much bigger impact than workplace \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n81", + "page_start": 80, + "page_end": 80, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**(23) Concentrations of Business and Credit Risk**\n\nE u ronet is subject to concentrations of business and credit risk. Euro n e t ’s financial instruments mainly include trade accounts re c e i v a b l e s , \ncash and cash equivalents and investment securities. Euro n e t ’s customer base, although limited, includes the most significant intern a t i o n a l \nc a rd organizations and certain banks in the markets in which it operates. There f o re, the Company’s operations are directly affected by the \nfinancial condition of those entities. \n\nCash and cash equivalents, and investment securities are placed with high-credit quality financial institutions or in short - t e rm duration, \nhigh-quality debt securities. Euronet does not re q u i re collateral or other security to support financial instruments subject to credit risk. \nManagement believes that the credit risk associated with its financial instruments is minimal due to the control pro c e d u res which monitor \nc redit worthiness of customers and financial institutions. \n\n**(24) Research and Development**\n\nThe Company regularly engages in re s e a rch and development activities aimed at the development and delivery of new products, services and \np rocesses to its customers including, but not limited to, bill payment and presentment, telephone banking products, applications for wire l e s s \napplication protocol (“WAP”) enabled customer touch points, other wireless banking products, GSM mobile prepaid re c h a rge products AT M \nb rowser products and internet banking solutions as well as significant improvements to core software products. \n\nThe Company’s re s e a rch and development costs incurred for computer products to be sold, leased or otherwise marketed totaled $6.7 \nmillion, $3.2 million and $153,000 for the years ended December 31, 2000, 1999 and 1998, re s p e c t i v e l y. In 2000, $1.0 million was \ncapitalized and appears on the Company’s balance sheet in prepaid expenses and other assets, net of accumulated amortization of $137,000. \nIn 1999, $322,000 was capitalized, net of accumulated amortization of $70,000. \n\n**(25) Employee Loans for Common Stock Program**\n\nIn October 1999 the Company’s Board of Directors approved and implemented a Loan Agreement Program (“Program”) for cert a i n \nemployees under which the Company has loaned sums of money to participating employees in order for them to purchase shares of the \nC o m p a n y ’s stock on the open market. The shares are pledged to the Company to secure the loans. As of December 31, 2000 166,195 share s \na re held by the Company as collateral for the loans. The loans carry five-year terms are non-recourse, non-interest bearing loans. The share s \nvest to the employees in five equal tranches of 20 percent of the shares for five years, commencing at the date each employee began \nemployment with the Company. As the shares vest, the employees are entitled to pay off the loans and free the shares of the pledge. These \nloans are considered an award of stock options as the loans are non-recourse and the employee is not obligated to pay any interest on the \nloans. The loans have been accounted for as a separate component of stockholders’ deficit. In the event that any one of the employees \ndefaults on the term of the loans, the shares received by the Company will be re c o rded as tre a s u ry stock. \n\n**(26) Sale of Croatian Network**\n\nOn November 19, 1999, the Company completed the sale of its Croatian ATM network to Raiffeisenbank Austria, d.d., a Croatian financial \ninstitution (“RBA”), for consideration of $2.7 million. The carrying value of the Croatian assets was $2.0 million, resulting in a gain to the \nCompany of $657,000, re c o rded as an offset to operating costs. Subsequent to the sale of the network assets, the Company and RBA entere d \ninto an ATM services agreement whereby the Company will provide ATM management and other related services to RBA for an initial term \nof 15 years.", + "page_start": 45, + "page_end": 45, + "source_file": "NASDAQ_EEFT_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", + "query": "To what system of logic do OWL ontologies belong to ?", + "target_page": 7, + "target_passage": "OWL ontologies are an implementation of Description Logic (DL) which is a decidable subset of First Order Logic", + "chunk_present": { + "presence": true, + "index": 5 + } + }, + "top_chunk": [ + { + "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551 \n\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins \n\n**Preprint**· April 2021 \n\nCITATIONS \n0 READS \n36,030 \n\n**1 author:**", + "page_start": 0, + "page_end": 0, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "This introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n\n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n\n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an*Entity*. Individuals and classes can also be \nreferred to as objects. \n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", + "page_start": 4, + "page_end": 4, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that \nthese superclass-subclass relationships (aka subsumption relationships) can be computed automatically by \na reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – \nclasses are represented as ovals, like sets in Venn diagrams. \n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an \nindividual for it to be a member of the class. How to formulate these descriptions will be explained as the \ntutorial progresses.", + "page_start": 9, + "page_end": 9, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "***Term subsumption algorithm***\n*Hierarchical clustering* Different**serialization techniques**can be used to export and \nleverage the learned ontology in an application system. \nHierarchisation \n\nWe designed the proposed framework focusing on**automation**with very little, if any, human involvement in mind. Unlike most existing approaches, \nparticular attention is brought to the**learned ontology final production use case**. We implement the framework as an open-source and open- \naccess python library. We aim to**gather feedback and grow a community**to develop and test multiple algorithms. Various satellite tools could be \ndeveloped to enhance the framework implementation. However, we should focus on developing**axiom extraction**and**automatic ontology**\n**evaluation**. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter \nfield is known as \"SemOps\". \n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 \nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: \nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 \nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI: \n10.1162/COLI_a_00146 \nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, \nDatabase, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101", + "page_start": 0, + "page_end": 0, + "source_file": "infographic5.pdf" + }, + { + "text": "**OLAF : Ontology Learning Applied Framework**\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) \nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK \n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically**extracting and structuring knowledge**\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a**modular ontology**\n**learning framework**considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning \nsystems as tools to help the domain expert, we developed the proposed framework with**full automation**in mind. An implementation as an**open-**\n**source and collaborative python library**is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning. \n\n**STATE OF THE ART**\n\nSystem Overview Pros and cons \n\nIt is the reference in the field as it defines a \nrepresentation-agnostic structure with modular \nsteps and takes into account uncertainty. The \nsystem is implemented as a GATE module. Ontologies can be exported in \nvarious formats. GATE system \nadds great visualisations. But it is \nnot maintained since 2011. \n\nText2Onto, \n2005, [1] \n\nIt focuses on multiword terms to construct a \n\"lexicalised ontology\" by adapting an agglomerative \nclustering and an FCA method. It implements 4 \nsteps: text preprocessing, concept extraction (C/NC- \nvalue), taxonomy construction, and non-taxonomic \nrelation acquisition (rule-based and probabilistic). It considers only multiword \nterms and relies on WordNet \nand POS tags. It does not \ndistinguish between terms and \nconcepts and implements \ndifferent adaptable approaches. \n\nOntoGain, \n2010, [2] \n\nIt focuses on \"lexicalised ontologies\" and uses seed \nknowledge. It implements 5 steps: terminology \nextraction, hypernym graph construction, domain \nfiltering of hypernyms, hypernym graph pruning and \nedge recovery. It relies on WordNet and POS \ntags and does not distinguish \nbetween terms and concepts. \nIt implements different \nadaptable approaches. \n\nOntoLearn \n(Reloaded), \n2013, [3] \n\n\n\n\n\nMost ontology learning systems do not consider the targeted ontology- \nbased system. Though an ideal ontology should model a domain in an \napplication-independent manner, in practice,**concepts and relations**\n**represented largely depend on one or more business use cases**. As \nwe designed our framework with industry application in mind, we need \nto consider it within its**real-world usage context**. \n\n***C-value-based filtering***\n***Linguistic-based filtering***\n***TF-IDF value-based filtering***\n\nOur implementation is largely based on the**Python NLP**\n**library spaCy**. The text processing on spaCy helps us \nwork with data in**many different languages**while \nstaying flexible on the methods used. The only constraint \nis to end up with a list of**spaCy Doc objects**. \n\nTerm Extraction \n\n***Embedding-based similar term extraction***\n***ConceptNet synonym extraction***\n***WordNet synonym extraction***\n\nTerm Enrichment \n\n***ConceptNet-based extraction***\n***Grouping terms based on synonyms***\n***Term cooccurrences-based extraction***\n***Similarity-based extraction***\n*Formal concept Analysis*\n\n**OLAF**\n\nConcept/Relation \nExtraction \n\n***Term subsumption algorithm***\n*Hierarchical clustering* Different**serialization techniques**can be used to export and \nleverage the learned ontology in an application system. \nHierarchisation", + "page_start": 0, + "page_end": 0, + "source_file": "infographic5.pdf" + }, + { + "text": "In order to follow this tutorial, you must have Protégé 5, which is available from the Protégé website,1 \nand some of the Protégé Plugins which will be described in more detail below. For now, just make sure \nyou have the latest version of Protégé. At the time this is being written the latest version is 5.5 although \nthe tutorial should work for later versions as well. \n\nThe Protégé user interface is divided up into a set of major tabs. These tabs can be seen in the \nWindow>Tabs option. This option shows all the UI tabs that are currently loaded into the Protégé \nenvironment. Any tabs that are currently opened have a check mark next to them. To see a tab that is not \nvisible just select it from the menu and it will be added to the top with the other major tabs and its menu \nitem will now be checked. You can add additional major tabs to your environment by loading plugins. For \nexample, when we load the SHACL4Protégé plugin the SHACLEditor will be added to the menu. \n\nOntologies are used to capture knowledge about some domain of interest. An ontology describes the \nconcepts in the domain and also the relationships that hold between those concepts. Different ontology \nlanguages provide different facilities. The most recent development in standard ontology languages is \nOWL from the World Wide Web Consortium (W3C). A good primer on the basic concepts of OWL can \nbe found at: https://www.w3.org/TR/owl2-primer/ \n\nOWL makes it possible to describe concepts in an unambiguous manner based on set theory and logic. \nComplex concepts can be built up out of simpler concepts. The logical model allows the use of a reasoner \nwhich can check whether all of the statements and definitions in the ontology are mutually consistent and \ncan also recognize which concepts fit under which definitions. The reasoner can therefore help to \nmaintain the hierarchy correctly. This is particularly useful when dealing with cases where classes can \nhave more than one parent. The reasoner can also infer additional information. For example, if two \nproperties are inverses only one value needs to be asserted by the user and the inverse value will be \nautomatically inferred by the reasoner. \n\n3.1 Components of OWL Ontologies \nAn OWL ontology consists of Classes, Properties, and Individuals. OWL ontologies are an \nimplementation of Description Logic (DL) which is a decidable subset of First Order Logic. A class in \nOWL is a set, a property is a binary relation, and an individual is an element of a set. Other concepts from \nset theory are also implemented in OWL such as Disjoint sets, the Empty set (owl:Nothing), inverse", + "page_start": 6, + "page_end": 6, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "This chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost \neveryone is familiar with. \n\n**Exercise 1: Create a new OWL Ontology**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| using | File>Check for plugins | |\n|---|---|---|\n| using | File>Check for plugins | |\n| Not now | | button. |\n\n\n| er-interface consists of several tabs such as Active ontology, Entities, etc. When you should be in the Active Ontology tab. This is for overview information about the entire always opens with a new untitled ontology you can start with. Your ontology should | e consists of several tabs such as Active ontology, Entities, etc. When you in the Active Ontology tab. This is for overview information about the entire pens with a new untitled ontology you can start with. Your ontology should |\n|---|---|\n| hing like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology- of the ontology (the part after the last “/” in this case untitled-ontology-27) and change i PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the | http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology- |\n| PizzaTutorial | |\n\n\n| on your name or the name of your organization. | | | | |\n|---|---|---|---|---|\n| 3. Now you want to save your new ontology. Select | | | File>Save | . T |\n| Choose a format to use when saving the ‘PizzaTutorial’ ontology | | | | |\n| to use. The default | RDF/XML Syntax | should be selected by click | | |\n\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if \nsomething goes wrong you don’t lose your work. At certain points in the tutorial where saving \nis especially important the tutorial will prompt you to do so but it is a good idea to save your \nwork often, not just when prompted. \n\n\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé \nany class, individual, object property, data property, annotation property, or rule is referred to as an entity. \nThe term name in OWL can actually refer to two different concepts. It can be the last part of the IRI3 or it \ncan refer to the annotation property (usually rdfs:label) used to provide a more user friendly name for \nthe entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the \nparameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will \nwork appropriately.", + "page_start": 10, + "page_end": 10, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Chapter 9 Queries: Description Logic and SPARQL \nNow that we have some individuals in our ontology, we can do some interesting queries. There are \nseveral tools for doing queries in Protégé. \n\n9.1 Description Logic Queries \nTo start with the most straight forward one based on what you have already learned are Description Logic \n(DL) queries. These are essentially the same kind of statements you have been using to define classes. \nHowever, in addition to using such statements to define a class you can use it as a query. \n\n**Exercise 33: Try Some Description Logic Queries**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. To begin with navigate to the DL Query tab. If it doesn’t exist create it using: Window>Tabs>DL \nQuery. \n\n2. At the top right of this tab you should see a view that says DL query: and below it Query (class \nexpression). \n\n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, \nsuperclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping \nsome (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness \nHot. At first you may not see anything but don’t worry there is one more step. \n\n| see owl:Nothing you can uncheck the box | x toward the bottom right that says Display o |\n|---|---|\n| 5. Try some additional DL queries such as: | hasTopping some (hasSpiciness value Hot) |\n| VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))) | |\n\n\n6. You can also do queries for strings in the names of your entities. For example, first do a query simply \nwith Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the \nclasses and individuals with*Hot*in their name. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 66, + "page_end": 66, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "next section. Which option you choose for your ontology will depend on the specific requirements you \nhave as well as the standards established by your organization or organizations that you work with. \n\nFinally, another name related concept you should be aware of is the concept of a namespace. If you have \nworked with most modern programming languages such as Python or Java, you are already familiar with \nthe concept of a namespace. The concept is identical in OWL. A namespace is used to avoid naming \nconflicts between different ontologies. For example, you may have a class called Network in an ontology \nabout telecommunications. You might also have a class called Network in an ontology about graph \ntheory. The two concepts are related but are different. Just as with programming languages you use \nnamespace prefixes to determine what specific namespace a name refers to. E.g., in this example you \nmight have the prefix tc for the Telecom ontology and gt for the Graph Theory ontology. Thus, when \nyou referred to the Network class for the Telecom ontology you would use tc:Network and \ngt:Network for the graph theory class. \n\nNote that you already have some experience with other namespaces. The OWL namespace prefix is owl \nand is used to refer to classes such as owl:Thing and owl:Nothing. The Resource Description \nFramework Schema (RDFS) is a model that OWL is built on top of and thus some properties that \nontologies use such as rdfs:label leverage this namespace. \n\nIn the bottom view of the Active ontology tab there is a tab called Ontology Prefixes. This tab shows all \nthe current namespace mappings in your ontology. There are certain concepts from OWL, RDF, RDFS, \nXML and XSD that are required for every ontology, so those namespaces are by default mapped in every \nnew Protégé ontology. There is also a mapping to the empty string for whatever the namespace is for your \nontology. This allows you to display and refer to entities in your ontology without entering a namespace \nprefix. If you look at that tab now you should see a row where the first column is blank, and the second \ncolumn has the base IRI for your ontology. It should be the same IRI as the Ontology IRI at the top of the \nActive ontology tab, except it also has a # sign at the end. E.g., the Pizza tutorial developed for this \ntutorial has an IRI of: http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial and the \nrow that has a blank first column in Ontology Prefixes has the IRI: \nhttp://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#.", + "page_start": 61, + "page_end": 61, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "To understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \n\nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \n\nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:**s**ubClassOf \nPizza. \n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:**s**ubClassOf and the object is any other \nentity. The*?*before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a*for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \n\nPREFIX pizza: ", + "page_start": 68, + "page_end": 68, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", + "query": "Concerning ontologies, what is an anonymous class ?", + "target_page": 30, + "target_passage": "They are created by the reasoner when you use class expressions. For example, if you define the range of a property to be PizzaTopping or PizzaBase then the reasoner will create an anonymous class representing the intersection of those two classes", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n4.3 Disjoint Classes \n\nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say \nthat these classes are*disjoint*. I.e., no individual can be an instance of more than one of those classes. In \nset theory terminology the intersection of these three classes is the empty set: owl:Nothing. \n\n**Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 15, + "page_end": 15, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "**Exercise 3: Add a Comment Annotation to Your Ontology**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| | Active Ontology | |\n|---|---|---|\n| | Active Ontology | |\n| Annotations | | optio |\n\n\n2. The rdfs:comment annotation should be highlighted by default. If it isn’t highlighted click on it. Then \ntype a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain. \n\n3. Click OK. Your Active Ontology tab should like Figure 4.3. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\nAdd Subclass \n\nAdd Sibling Class \n\n\n\n\nDelete Class \n\n\n\n4.1 Named Classes \nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in \nthe Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the \nClass hierarchy view as shown in Figure 4.5.4 All empty ontologies contains one class called owl:Thing. \nOWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing \nall individuals. Because of this all classes are subclasses of owl:Thing. \n\n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the \nClass hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or \nto create them as independent tabs. \n\n13", + "page_start": 13, + "page_end": 13, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551 \n\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins \n\n**Preprint**· April 2021 \n\nCITATIONS \n0 READS \n36,030 \n\n**1 author:**", + "page_start": 0, + "page_end": 0, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "| | So far, we have created some simple named classes and subclasses which hopefully seem\nintuitive and obvious. However, what does it actually mean to be a subclass of something in\nOWL? For example, what does it mean for VegetableTopping to be a subclass of\nPizzaTopping? In OWL subclass means necessary implication. I.e., if VegetableTopping is a\nsubclass of PizzaTopping then all instances of VegetableTopping are also instances of\nPizzaTopping. It is for this reason that we try to have standards such as having all\nPizzaTopping classes end with the word “Topping”. Otherwise, it might seem we are saying\nthat anything that is a kind of Ham like the Ham in your sandwich is a kind of MeatTopping or\nPizzaTopping which is not what we mean. For large ontologies strict attention to the naming\nof classes and other entities can prevent potential confusion and bugs. |\n|---|---|\n| | So far, we have created some simple named classes and subclasses which hopefully seem intuitive and obvious. However, what does it actually mean to be a subclass of something in OWL? For example, what does it mean for VegetableTopping to be a subclass of PizzaTopping? In OWL subclass means necessary implication. I.e., if VegetableTopping is a subclass of PizzaTopping then all instances of VegetableTopping are also instances of PizzaTopping. It is for this reason that we try to have standards such as having all PizzaTopping classes end with the word “Topping”. Otherwise, it might seem we are saying that anything that is a kind of Ham like the Ham in your sandwich is a kind of MeatTopping or PizzaTopping which is not what we mean. For large ontologies strict attention to the naming of classes and other entities can prevent potential confusion and bugs. |", + "page_start": 21, + "page_end": 21, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "| n the Object properties | |\n|---|---|\n| Domains (intersection) | |\n| Pizza | from the class hi |\n\n\n3. Repeat step 2 but this time start by using the (+) icon next to the Ranges (intersection) in the \nDescription for hasBase. This time select the class PizzaBase as the range. \n\n4. Synchronize the reasoner. Now select isBaseOf You should see that the Domain and Range for \nisBaseOf have been filled in by the reasoner. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n4.10 Describing and Defining Classes \nNow that we have defined some properties, we can use these properties to define some more interesting \nclasses. There are 3 types of classes in OWL: \n\n1. Primitive classes. These are classes that are defined by conditions that are*necessary*(but not \nsufficient) to hold for any individuals that are instances of that class or its subclasses. The \ncondition may be as simple as:*Class A is a subclass of class B*. To start with we will define \nprimitive classes first and then defined classes. When the reasoner encounters an individual that is \nan instance of a primitive class it infers that all the conditions defined for that class must hold for \nthat individual. \n\n2. Defined classes. These are classes that are defined by both*necessary*and*sufficient*conditions. \nWhen the reasoner encounters an individual that satisfies all the conditions for a defined class it \nwill make the inference that the individual is an instance of that class. The reasoner can also use \nthe conditions defined on classes to change the class hierarchy, e.g., to infer that*Class A is a*\n*subclass of Class B*. We will see examples of this later in the tutorial. \n\n3. Anonymous classes. These are classes that you won’t encounter much and that won’t be \n\ndiscussed much in this tutorial, but it is good to know about them. They are created by the \nreasoner when you use class expressions. For example, if you define the range of a property to be \nPizzaTopping or PizzaBase then the reasoner will create an anonymous class representing \nthe intersection of those two classes. \n\n4.10.1 Property restrictions \nIn OWL properties define binary relations with the same semantics and characteristics as binary relations \nin First Order Logic. There are two types of OWL properties for describing a domain: Object properties \nand Data properties. Object properties have classes as their domain and range. Data properties have \nclasses as their domain and simple datatypes such as xsd:string or xsd:dateTime as their range. In \nfigure 3.3 the individual Michael is related to the individual USA by the property livesIn. Consider all \nthe individuals who are an instance of Person and also have the same relation, that each livesIn the \nUSA. This group is a set or OWL class such as USAResidents. In OWL a class can be defined by \ndescribing the various properties and values that hold for all individuals in the class. Such definitions are \ncalled*restrictions*in OWL.", + "page_start": 29, + "page_end": 29, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "This introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n\n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n\n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an*Entity*. Individuals and classes can also be \nreferred to as objects. \n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", + "page_start": 4, + "page_end": 4, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Figure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza \n\n4.14 Defining an Enumerated Class \nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. \nThe idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a \nspecific code library. One of the first and most common design patterns was the Model-View-Controller \npattern first used in Smalltalk and now almost the default standard for good user interface design. Since \nthere are significant differences between OWL and standard OOP the many excellent books on OOP \ndesign patterns don’t directly translate into OWL design patterns. Also, since the use of OWL is more \nrecent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP \ncommunity has. However, there are already many design patterns that have been documented for OWL \nand that can provide users with ways to save time and to standardize their designs according to best \npractices. \n\nOne of the most common OWL design patterns is an enumerated class. When a property has only a few \npossible values it can be useful to create a class to represent those values and to explicitly define the class \nby listing each possible value. We will show an example of such an enumerated class by creating a new", + "page_start": 44, + "page_end": 44, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "| | | | Share |\n|---|---|---|---|\n| | | | Share |\n| Settings | | from that menu. Scroll | |\n| Universally Unique ID (UUID) | | | |\n| Apply | button at the bottom righ | | |\n\n\n| wn to | New Entity Settings | |\n|---|---|---|\n| wn to | New Entity Settings | |\n| Supplied name | | . Leave the |\n\n\nWhen you select Apply, you should return to the main Web Protégé view with the Class hierarchy tab \nselected. If it doesn’t select that tab. Select the Pizza class. Your UI should look like figure 12.3. \n\n\n\nFigure 12.3 Browsing the Pizza Ontology in Web Protégé \n\nNote that the axioms for the Pizza class are there but they are not editable. Protégé uses the reasoner even \nwhen entering or editing axioms to ensure that any axioms have the proper syntax so since there is no \nreasoner in Web Protégé it is not possible to edit axioms (since one might introduce syntactically \nincorrect axioms) only delete them using the X at the right of each axiom. \n\nAlso note the panels on the right: Comments and Project Feed. These are new capabilities in Web Protégé \nto facilitate collaborative design of ontologies. We will demonstrate that shortly. First, you can navigate \nthe class hierarchy by clicking on the triangles at the left of each class that has at least one subclass. This \nwill expand the class and show its subclasses. Click on Pizza to see its subclasses. For our scenario \nimagine we are opening a new branch of our pizza store in Chicago and we are dealing with a domain \nexpert in Chicago pizza. As they examine the hierarchy, they are appalled to see that there is no class for \nChicagoPizza, a type of deep dish Pizza that first became popular in Chicago. Click on NamedPizza. \nThen click on the icon at the left corner of the Comments view. If you hover the mouse over this icon you", + "page_start": 85, + "page_end": 85, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "To understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \n\nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \n\nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:**s**ubClassOf \nPizza. \n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:**s**ubClassOf and the object is any other \nentity. The*?*before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a*for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \n\nPREFIX pizza: ", + "page_start": 68, + "page_end": 68, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "This chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost \neveryone is familiar with. \n\n**Exercise 1: Create a new OWL Ontology**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| using | File>Check for plugins | |\n|---|---|---|\n| using | File>Check for plugins | |\n| Not now | | button. |\n\n\n| er-interface consists of several tabs such as Active ontology, Entities, etc. When you should be in the Active Ontology tab. This is for overview information about the entire always opens with a new untitled ontology you can start with. Your ontology should | e consists of several tabs such as Active ontology, Entities, etc. When you in the Active Ontology tab. This is for overview information about the entire pens with a new untitled ontology you can start with. Your ontology should |\n|---|---|\n| hing like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology- of the ontology (the part after the last “/” in this case untitled-ontology-27) and change i PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the | http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology- |\n| PizzaTutorial | |\n\n\n| on your name or the name of your organization. | | | | |\n|---|---|---|---|---|\n| 3. Now you want to save your new ontology. Select | | | File>Save | . T |\n| Choose a format to use when saving the ‘PizzaTutorial’ ontology | | | | |\n| to use. The default | RDF/XML Syntax | should be selected by click | | |\n\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if \nsomething goes wrong you don’t lose your work. At certain points in the tutorial where saving \nis especially important the tutorial will prompt you to do so but it is a good idea to save your \nwork often, not just when prompted. \n\n\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé \nany class, individual, object property, data property, annotation property, or rule is referred to as an entity. \nThe term name in OWL can actually refer to two different concepts. It can be the last part of the IRI3 or it \ncan refer to the annotation property (usually rdfs:label) used to provide a more user friendly name for \nthe entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the \nparameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will \nwork appropriately.", + "page_start": 10, + "page_end": 10, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", + "query": "When to use an enumerated class in OWL ontologies ?", + "target_page": 46, + "target_passage": "When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Figure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza \n\n4.14 Defining an Enumerated Class \nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. \nThe idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a \nspecific code library. One of the first and most common design patterns was the Model-View-Controller \npattern first used in Smalltalk and now almost the default standard for good user interface design. Since \nthere are significant differences between OWL and standard OOP the many excellent books on OOP \ndesign patterns don’t directly translate into OWL design patterns. Also, since the use of OWL is more \nrecent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP \ncommunity has. However, there are already many design patterns that have been documented for OWL \nand that can provide users with ways to save time and to standardize their designs according to best \npractices. \n\nOne of the most common OWL design patterns is an enumerated class. When a property has only a few \npossible values it can be useful to create a class to represent those values and to explicitly define the class \nby listing each possible value. We will show an example of such an enumerated class by creating a new", + "page_start": 44, + "page_end": 44, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551 \n\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins \n\n**Preprint**· April 2021 \n\nCITATIONS \n0 READS \n36,030 \n\n**1 author:**", + "page_start": 0, + "page_end": 0, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "This introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n\n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n\n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an*Entity*. Individuals and classes can also be \nreferred to as objects. \n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", + "page_start": 4, + "page_end": 4, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that \nthese superclass-subclass relationships (aka subsumption relationships) can be computed automatically by \na reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – \nclasses are represented as ovals, like sets in Venn diagrams. \n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an \nindividual for it to be a member of the class. How to formulate these descriptions will be explained as the \ntutorial progresses.", + "page_start": 9, + "page_end": 9, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Chapter 9 Queries: Description Logic and SPARQL \nNow that we have some individuals in our ontology, we can do some interesting queries. There are \nseveral tools for doing queries in Protégé. \n\n9.1 Description Logic Queries \nTo start with the most straight forward one based on what you have already learned are Description Logic \n(DL) queries. These are essentially the same kind of statements you have been using to define classes. \nHowever, in addition to using such statements to define a class you can use it as a query. \n\n**Exercise 33: Try Some Description Logic Queries**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. To begin with navigate to the DL Query tab. If it doesn’t exist create it using: Window>Tabs>DL \nQuery. \n\n2. At the top right of this tab you should see a view that says DL query: and below it Query (class \nexpression). \n\n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, \nsuperclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping \nsome (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness \nHot. At first you may not see anything but don’t worry there is one more step. \n\n| see owl:Nothing you can uncheck the box | x toward the bottom right that says Display o |\n|---|---|\n| 5. Try some additional DL queries such as: | hasTopping some (hasSpiciness value Hot) |\n| VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))) | |\n\n\n6. You can also do queries for strings in the names of your entities. For example, first do a query simply \nwith Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the \nclasses and individuals with*Hot*in their name. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 66, + "page_end": 66, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "| n the Object properties | |\n|---|---|\n| Domains (intersection) | |\n| Pizza | from the class hi |\n\n\n3. Repeat step 2 but this time start by using the (+) icon next to the Ranges (intersection) in the \nDescription for hasBase. This time select the class PizzaBase as the range. \n\n4. Synchronize the reasoner. Now select isBaseOf You should see that the Domain and Range for \nisBaseOf have been filled in by the reasoner. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n4.10 Describing and Defining Classes \nNow that we have defined some properties, we can use these properties to define some more interesting \nclasses. There are 3 types of classes in OWL: \n\n1. Primitive classes. These are classes that are defined by conditions that are*necessary*(but not \nsufficient) to hold for any individuals that are instances of that class or its subclasses. The \ncondition may be as simple as:*Class A is a subclass of class B*. To start with we will define \nprimitive classes first and then defined classes. When the reasoner encounters an individual that is \nan instance of a primitive class it infers that all the conditions defined for that class must hold for \nthat individual. \n\n2. Defined classes. These are classes that are defined by both*necessary*and*sufficient*conditions. \nWhen the reasoner encounters an individual that satisfies all the conditions for a defined class it \nwill make the inference that the individual is an instance of that class. The reasoner can also use \nthe conditions defined on classes to change the class hierarchy, e.g., to infer that*Class A is a*\n*subclass of Class B*. We will see examples of this later in the tutorial. \n\n3. Anonymous classes. These are classes that you won’t encounter much and that won’t be \n\ndiscussed much in this tutorial, but it is good to know about them. They are created by the \nreasoner when you use class expressions. For example, if you define the range of a property to be \nPizzaTopping or PizzaBase then the reasoner will create an anonymous class representing \nthe intersection of those two classes. \n\n4.10.1 Property restrictions \nIn OWL properties define binary relations with the same semantics and characteristics as binary relations \nin First Order Logic. There are two types of OWL properties for describing a domain: Object properties \nand Data properties. Object properties have classes as their domain and range. Data properties have \nclasses as their domain and simple datatypes such as xsd:string or xsd:dateTime as their range. In \nfigure 3.3 the individual Michael is related to the individual USA by the property livesIn. Consider all \nthe individuals who are an instance of Person and also have the same relation, that each livesIn the \nUSA. This group is a set or OWL class such as USAResidents. In OWL a class can be defined by \ndescribing the various properties and values that hold for all individuals in the class. Such definitions are \ncalled*restrictions*in OWL.", + "page_start": 29, + "page_end": 29, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "**Exercise 3: Add a Comment Annotation to Your Ontology**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| | Active Ontology | |\n|---|---|---|\n| | Active Ontology | |\n| Annotations | | optio |\n\n\n2. The rdfs:comment annotation should be highlighted by default. If it isn’t highlighted click on it. Then \ntype a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain. \n\n3. Click OK. Your Active Ontology tab should like Figure 4.3. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\nAdd Subclass \n\nAdd Sibling Class \n\n\n\n\nDelete Class \n\n\n\n4.1 Named Classes \nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in \nthe Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the \nClass hierarchy view as shown in Figure 4.5.4 All empty ontologies contains one class called owl:Thing. \nOWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing \nall individuals. Because of this all classes are subclasses of owl:Thing. \n\n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the \nClass hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or \nto create them as independent tabs. \n\n13", + "page_start": 13, + "page_end": 13, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "There are no mandatory naming conventions for OWL entities. In chapter 7, we will discuss \nnames and labels in more detail. A best practice is to select one set of naming conventions and \nthen abide by that convention across your organization. For this tutorial we will follow the \nstandard where class and individual names start with a capital letter for each word and do not \ncontain spaces. This is known as CamelBack notation. For example: Pizza, PizzaTopping, \netc. Also, we will follow the standard that class names are always singular rather than plural. \nE.g., Pizza rather than Pizzas, PizzaTopping rather than PizzaToppings. \n\n\n\n4.2 Using a Reasoner \nYou may notice that one or more of your classes is highlighted in red as in Figure 4.5. This is because we \nhaven’t run the reasoner yet so Protégé has not been able to verify that our new classes have no \ninconsistencies. When just creating classes and subclasses in a new ontology there is little chance of an \ninconsistency. However, it is a good idea to run the reasoner often. When there is an inconsistency the \nsooner it is discovered the easier it is to fix. One common mistake that new users make is to do a lot of \ndevelopment and then run the reasoner only to find that there are multiple inconsistencies which can make \ndebugging significantly more difficult. So let’s get into the good habit of running the reasoner often. \nProtégé comes with some reasoners bundled in and others available as plugins. Since we are going to \nwrite some SWRL rules later in the tutorial, we want to use the Pellet reasoner. It has the best support for \nSWRL at the time this tutorial is being written. \n\n**Exercise 5: Install and Run the Pellet Reasoner**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. Check to see if the Pellet reasoner is installed. Click on the Reasoner menu. At the bottom of the menu \nthere will be a list of the installed reasoners such as Hermit and possibly Pellet. If Pellet is visible in that \nmenu then select it and skip to step 3. \n\n2. If Pellet is not visible then do File>Check for plugins and select Pellet from the list of available plugins \nand then select Install. This will install Pellet and you should get a message that says it will take effect the \nnext time you start Protégé. Do a File>Save to save your work then quit Protégé and restart it. Then go to \nFile>Open recent. You should see your saved Pizza tutorial in the list of recent ontologies. Select it to \nload it. Now you should see Pellet under the Reasoner menu and be able to select it so do so. \n\n4. It is possible that one or more of your classes will still be highlighted in red after you run the reasoner. \nIf that happens do: Window>Refresh user interface and any red highlights should go away. Whenever \nyour user interface seems to show something you don’t expect the first thing to do is to try this command. \n\n5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all \npossible inferences because some inferences can take a long time for large and complex ontologies. In \nthis tutorial we will always be dealing with small and simple ontologies so we want to see everything the \nreasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of \ninferences that the reasoner can perform. If they aren’t all checked then check them all. You may receive \na warning that some inferences can take a lot of time, but you can ignore those since your ontology will \nbe small. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n4.3 Disjoint Classes", + "page_start": 15, + "page_end": 15, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n4.3 Disjoint Classes \n\nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say \nthat these classes are*disjoint*. I.e., no individual can be an instance of more than one of those classes. In \nset theory terminology the intersection of these three classes is the empty set: owl:Nothing. \n\n**Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 15, + "page_end": 15, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "property called hasSpiciness with only a few possible values ranging from Mild to Hot. In this \nsection we will also create the first individuals in our ontology. \n\n**Exercise 24: Create an Enumerated Class to Represent the Spiciness of a Pizza**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. Create a new subclass of owl:Thing called Spiciness. \n\n2. Make sure that Spiciness is selected. Click on the Add icon (+) next to the Instances field in the \nDescription view. \n\n| X | thro |\n|---|---|\n| X | thro |\n| d | Mild |\n\n\n4. You may notice that only one of the new individuals was actually created as an instance of \nSpiciness. That’s okay. The next step will supply the reasoner with enough information to make the \nother two also be instances of Spiciness. \n\n5. Make sure that Spiciness is still selected. Click on the Add icon (+) next to the Equivalent To field in \nthe Description view. This time we will create a defined class by directly entering the definition for the \nclass into this field. Select the Class expression editor tab and enter the DL axiom: {Hot, Medium, Mild}. \nSelect OK. \n\n6. Now run the reasoner. You should see that Spiciness is now a defined class and all three individuals: \nHot, Medium, and Mild, are now instances of that class. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 45, + "page_end": 45, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "sg246915.pdf", + "query": "Howcan I specify to Content Manager OnDemand to store the data on the server on which the program runs ?", + "target_page": 121, + "target_passage": "Local: Content Manager OnDemand stores data in a primary storage node on the server on which the data loading program runs", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Content Manager OnDemand servers manage control information and index data, store and \nretrieve documents and resource group files, and process query requests from Content \nManager OnDemand Client programs. The documents can be on disk and tape storage \nvolumes. New reports can be loaded into Content Manager OnDemand every day. This way, \nContent Manager OnDemand can retrieve the latest information that is generated by \napplication programs. \n\nWhen a user submits a query, the client program sends a search request to the Content \nManager OnDemand library server. The library server returns a list of the documents that \nmatch the query to the user. When the user selects a document for viewing, the client \nprogram retrieves a copy of the document from the object server where the document is \nstored, opens a viewing window, and displays the document. \n\nFull text search allows users to search the full content of stored documents. For example, \nusers can perform wildcard searches, fuzzy (or similar) searches, proximity searches, and \nboolean searches. \n\nDocuments or reports can also be automatically distributed to users through email or network \nprinters. The distributions can be scheduled to occur at the time that the data is loaded or at \nspecific times during the day. \n\n**1.2 Content Manager OnDemand concepts**\n\nIn this section, we examine basic concepts of Content Manager OnDemand: \n\n(cid:2) Report and document \n(cid:2) Application, application group, folder, and cabinet \n\n**1.2.1 Background information of an example company**\n\nAs we examine these concepts, we use an example company. Our fictitious company is called \nAFinancial Co. AFinancial Co is one of the largest custodians of financial transactions in the \nworld. It is one of the leaders in managing customer assets, providing financial services and \nforeign exchange services. It is also one of the leading credit card providers in the world. \n\nThe timely delivery of information and reports is fundamental to maintaining this leadership \nstatus. Products and services that provide real-time, online access to a customer’s account \nand fund information are key to competitive differentiation and are key to customer retention. \nAFinancial Co’s customers want personalized fund information, in various standard formats, \nwhich are delivered through both web and desktop interfaces. \n\n**1.2.2 Reports and documents**\n\nA*report*is one or more pages of data that is typically generated on a periodic basis by a \ncomputer software system. Content Manager OnDemand*documents*represent indexed \ngroups of pages from a report. A Content Manager OnDemand document can be a logical \nsection of a large report, such as an individual account statement within a report of thousands \nof statements. A Content Manager OnDemand document can also represent a physical \nportion of a large report. For example, if a large report does not contain logical groups of \npages, such as transaction logs, Content Manager OnDemand can divide the report into \ngroups of pages. The groups of pages are individually indexed and can be retrieved much \nmore efficiently than the entire report.", + "page_start": 29, + "page_end": 29, + "source_file": "sg246915.pdf" + }, + { + "text": "**10.1 Introduction**\n\nFor this chapter, unless explicitly stated otherwise, the term “data” is used to refer to the \nreport data, the extracted documents or segments, and their related indexes and the \nextracted resources. \n\nA Content Manager OnDemand system logically stores data in*application groups*. An \napplication group is defined by the Content Manager OnDemand administrator. It consists of \ndata that has the same indexing, data storage, and expiration requirements. The application \ngroup definition also specifies where the report and document data are stored, how long the \ndata is stored, and how the data expires. The method or methods that can be used to expire \nthe data are a function of the application group parameters that are defined before the data is \nloaded into Content Manager OnDemand. In a Content Manager OnDemand system, data \ntypically goes through a lifecycle of loading, storing, migration, and an expiration process. \n\n**10.2 Loading and storing the data**\n\nThe Content Manager OnDemand architecture allows the control and management of the \ndata throughout its lifecycle. The data lifecycle begins with running an efficient load process. \nEach load process invocation ingests report data for a specified application group. \n\nDuring a load process, Content Manager OnDemand stores report (document) data, its \nresources, and index data, as shown in Figure 10-1. \n\n\n\n**Load**\n**Process**\n\n**Indexes**\nSeg ment-1 \ntabl e \n\nAg Data \nTab le \nD ataba se \nMa nag er \n\nSeg ment-n \ntabl e \n\n*Figure 10-1 Data and index storage locations*\n\nThe Content Manager OnDemand load process identifies, segments, and compresses \ngroups of documents into storage objects that are then stored in the Content Manager \nOnDemand archive, as illustrated in Figure 10-1. To improve the efficiency of the storage \nprocess, Content Manager OnDemand aggregates the stored documents (typically a few \nkilobytes in size) into storage objects. This aggregation provides efficient, high-volume \nstorage, retrieval, and expiration performance.", + "page_start": 243, + "page_end": 243, + "source_file": "sg246915.pdf" + }, + { + "text": "OnDemand \nObject Server \n\n\n\n\n\n\n\nOnDemand \nLibrary Server Full Text Search \nServer \n\n*Figure 1-1 Content Manager OnDemand system overview*\n\nContent Manager OnDemand Client programs provide authorized users with high-speed \naccess to the archived data that runs on the user devices (workstations) that are attached to \nthe network and communicate with the Content Manager OnDemand servers. \n\nA Content Manager OnDemand server consists of multiple components that can be installed \non a single system or multiple systems. In all cases, the installation appears to the users as a \nsingle server. The installation and is administered by the Content Manager OnDemand \nadministrator as a single system. \n\nThe Content Manager OnDemand server includes the following components: \n\n(cid:2) A single library server: The library server manages a database that contains the \n\ninformation about the users of the system, and the reports and data that are stored on the \nsystem. \n\n(cid:2) One or more object servers: The object servers manage the data on disk or tape storage \ndevices. \n\n(cid:2) One or more archive servers: The archive server stores the archived data objects. \n\nDepending on the operating system, the archive servers might be IBM Tivoli® Storage \nManager, object access method (OAM), or Archive Storage Manager (ASM). \n\nThe library server and the object server can be packaged separately or as a single executable \nfile. \n\n**Content Manager OnDemand Client programs**\nContent Manager OnDemand Client programs operate on various environments, including \npersonal computers that are running on Windows, web browsers, and mobile devices. By \nusing the client program, users can search for and retrieve reports that are stored on the \nsystem. Specifically, users can construct queries and search for reports, retrieve documents \nfrom Content Manager OnDemand, view, print, and fax copies or pages of documents, and \nattach electronic notes to the pages of a document.", + "page_start": 28, + "page_end": 28, + "source_file": "sg246915.pdf" + }, + { + "text": "18.2.7 Content Manager OnDemand server hangs or crashes . . . . . . . . . . . . . . . . . . 396 \n18.2.8 Exporting information to a local server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397 \n18.3 Content Manager OnDemand trace facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399 \n18.3.1 Enabling the trace facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400 \n18.3.2 Setting trace parameters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400 \n18.4 Other tracing options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402 \n18.4.1 ARSLOAD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402 \n18.4.2 MidServer trace (z/OS only) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403 \n18.4.3 ODWEK trace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403 \n18.4.4 TCP/IP packet trace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404 \n18.4.5 Language Environment (z/OS only) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405 \n18.4.6 ARSSUPPORT utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405 \n18.4.7 ARSJESD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406 \n18.4.8 PDF Indexer trace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406 \n18.4.9 Trace resolver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407 \n18.4.10 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407 \n\n**Related publications**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409 \nIBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409 \nOther publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409 \nOnline resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410 \nHelp from IBM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411", + "page_start": 11, + "page_end": 11, + "source_file": "sg246915.pdf" + }, + { + "text": "Log on to the Content Manager OnDemand Administrator Client and configure tracing by \ncompleting the following steps: \n\n1. Right-click the server name and select**Trace Parameters**, as shown in Figure 18-16. \n\n*Figure 18-16 Configure trace parameters*\n\n2. In the System Trace Setting window (Figure 18-17), complete the following steps: \n\na. Select the**Activate System Trace**check box to turn on tracing for the whole system. \n\nb. Enter information in the Trace Parameters entry field. The trace parameters can be \nname=value pairs that are separated by commas to define the trace level. These \nname=value pairs are provided by IBM Support. For an example, see Figure 18-17. \n\n*Figure 18-17 System trace settings*\n\nc. Click**Update**. You do not need to restart Content Manager OnDemand. \n\nAfter the trace is collected, you can send the trace file to IBM Support. \n\n**Note:**You can stop or start the runtime trace from the Content Manager OnDemand \nAdministrator Client anytime without restarting**arssockd**. \n\n**Important:**Use trace only with the help of IBM Support because activating trace might \nseverely affect the performance of the Content Manager OnDemand system.", + "page_start": 424, + "page_end": 424, + "source_file": "sg246915.pdf" + }, + { + "text": "**2.3 Implementing a Content Manager OnDemand instance on a**\n**multiplatform UNIX environment**\n\nIn this section, we describe how to set up a single instance in a Content Manager OnDemand \nfor a multiplatform UNIX environment. Always refer to the product documentation of your \nrelease for the specific steps to follow. \n\n**2.3.1 Defining a single instance**\n\nBy default, the initial instance on any library server is named archive. Creating a single \ninstance can be summarized by the following steps: \n\n1. Creating a user \n2. Creating a DB2 instance \n3. \n4. Setting up Secure Sockets Layer (SSL) \n5. Storing user IDs and passwords in a stash file \n6. \n7. Configuring the instance \n8. Creating a Content Manager OnDemand database \nInitializing the system log and system load facility \n9. \n\nInstalling IBM Global Security Kit \n\nInstalling and configuring Tivoli Storage Manager \n\n**Creating a user**\nNew installations (instances) of Content Manager OnDemand can be configured to run under \na user other than the root user. If you plan to run an instance under a user other than root, \ncomplete the following steps: \n\n1. Create the user for the Content Manager OnDemand instance owner that is a member of \nthe database owners group. \n\n2. Give the user administrator authority to the database. \n\n3. Set permissions for the cache storage file systems. \n\n4. Set permissions for the Content Manager OnDemand configuration and script files. \n\n5. Give the instance owner permission to write to the system console. \n\n6. Specify the instance owner in the ARS.INI file. \n\nIf you plan to run a distributed library and object server system, with one or more object \nservers on different workstations or nodes than the library server, you must also configure \nContent Manager OnDemand on the object servers. \n\nTo configure Content Manager OnDemand on the object servers, complete the following \nsteps: \n\n1. Create a group and user for the Content Manager OnDemand instance owner. \n\n2. Give ownership of the cache storage file systems that are listed in the ARS.CACHE file to the \ngroup and user for the Content Manager OnDemand instance owner. \n\n3. Give permission to read the following files to the Content Manager OnDemand instance \nowner: \n\n– ARS.CACHE \n– ARS.CFG \n– ARS.INI \n– ARS.DBFS \n\n4. Give permission to write to the console to the Content Manager OnDemand instance \nowner. \n\n**Creating a DB2 instance**\nWhen you create a DB2 instance, you must install DB2 on the server. Complete the following \nsteps: \n\n1. Install IBM DB2 Universal Database™ Enterprise Edition. \n\n2. Select**Typical**as the installation type to install all of the DB2 components that are \nrequired to support Content Manager OnDemand. \n\n3. Create the DB2 instance for Content Manager OnDemand when you install DB2. Use the \nfollowing values: \n\n– Instance Owner: archive*.*\n– Group Name: gname*.*The group must have SYSADM authority. \n– Home Directory: /home/archive. \n– Auto start DB2 instance at boot time: no. \n– Create a sample database for DB2 instance: no. \n\n**Installing IBM Global Security Kit**\nWhen you install the IBM Global Security Kit (GSKit), you can complete the task by using one \nof the following methods: \n\n(cid:2) SMIT GUI \n(cid:2)**installp**command", + "page_start": 42, + "page_end": 42, + "source_file": "sg246915.pdf" + }, + { + "text": "**17.1 Content Federation Services for Content Manager**\n**OnDemand and IBM Enterprise Records overview**\n\nIBM FileNet Content Federation Services enables organizations to access content from \nnumerous heterogeneous repositories anywhere in the enterprise and federate this \ninformation to provide a single enterprise source for critical business content. Content \nFederation Services for Content Manager OnDemand enables enterprises to perform \nfederation, search, retrieve, and records management functions across Content Manager \nOnDemand repositories. \n\nIBM Enterprise Records positions your business to provide legally compliant records that \nmeet government regulations at the time of inquiry that follow your corporate record policy file \nplan. \n\nContent Manager OnDemand handles a high volume of document ingestion to the system, \ntypically of a static nature, such as credit card or bank statements. Each document ingestion \nmight contain thousands of individual documents or pages. Content Manager OnDemand \noffers a retention feature so that you can set the document retention for a fixed period at the \ndocument ingestion time, for example, an investment company that applies a simple retention \npolicy of eight years to all of their customer statements. \n\nContent Manager OnDemand does not apply an event-based retention policy that is based \non, for example, the date that the customer closed an account. In this scenario, the clock \ndoes not begin the eight-year period until the customer closes the account. By enabling \nrecords federation services by using Content Federation Services for Content Manager \nOnDemand, you can manage Content Manager OnDemand content in a manner that is \nconsistent with your organization’s records retention policies. \n\nWhen Content Manager OnDemand content is federated and declared as a record in \nEnterprise Records, Content Manager OnDemand content can be tied to dynamic retention \npolicies, such as account closure, policy termination, contract execution, or any other event. \nIn these circumstances, records federation services can allow your organization to retain \ncontent for a certain amount of time, starting on the date of the event. Companies must \ndesign their policies carefully to manage a large collection of data correctly when the \ncompany deals with various regulatory policies and litigation. \n\nWhen it is time to expire data, with federated and declared content by using Content \nFederation Services for Content Manager OnDemand, Content Manager OnDemand can \ndelete the original load (which contained multiple documents) and at the same time reingest \nthose documents that must be retained. \n\nWhen you use Enhanced Retention Management, you enable the holding documents \nimmediately and prevent expiration. Although this feature is powerful, it does not position your \nbusiness to make a Content Manager OnDemand captured report or document a compliant \nrecord to meet government regulations. You must enable the feature that meets your business \nrequirements: \n\n(cid:2) Use Enhanced Retention Management in Content Manager OnDemand to hold \ndocuments and prevent expiration. \n\n(cid:2) Use Enterprise Records to make documents into compliant records and to enable them for \nevent-based expiration.", + "page_start": 389, + "page_end": 389, + "source_file": "sg246915.pdf" + }, + { + "text": "*Figure 5-24 Content Manager OnDemand for i Add an Application Group Storage Management tab*\n\n**Cache Data**\nThe Cache Data setting determines whether the report data is stored in disk cache, and if so, \nhow long it is kept in cache before it expires. If the Cache Data for n Days option is selected, \nthe search cache is always selected. \n\n*Search cache*determines whether Content Manager OnDemand searches cache storage \nwhen users retrieve documents from the application group. When you set Cache Data to No, \nyou can configure Content Manager OnDemand to retrieve existing documents from cache \nstorage while preventing new documents from being copied to cache storage. If you choose \nnot to store reports in cache, you must select a storage set that supports archive storage. \n\n**Life of Data and Indexes**\nThe Life of Data and Indexes settings determine the length of time that report data, indexes, \nand resources are maintained in the Content Manager OnDemand system before they are \ndeleted from the application group. The report data, indexes, and resources can be \nmaintained indefinitely, if set to never expire, or they can be kept for up to 273 years. If your \nretention requirements change, the Life of Data and Indexes value can be changed. The \nchange affects data that is already archived and new data that is stored to the application \ngroup. \n\nDisk Storage Manager maintains documents on disk. It is initiated by the Start Disk Storage \nManagement (**STRDSMOND**) command. Disk Storage Manager can delete documents after they \nexceed the cache data or Life of Data periods. For more information about running the \n**STRDSMOND**command, see the*IBM Content Manager OnDemand for i - Common Server*\n*Administration Guid*e, SC19-2792.", + "page_start": 150, + "page_end": 150, + "source_file": "sg246915.pdf" + }, + { + "text": "**Chapter 17. Content Federation Services for**\n**Content Manager OnDemand and**\n**IBM Enterprise Records**\n\nIn this chapter, we describe how to enable records management for an IBM Content Manager \nOnDemand (Content Manager OnDemand) solution. By default, report and document \nexpiration are controlled by the storage managers that are integrated with Content Manager \nOnDemand. By using the storage managers, you can assign a retention period at data \ncapture time. IBM Enterprise Records enhances retention capabilities with the flexibility to \nassign event-based retention and make a report or document an official compliant record to \nmeet numerous government regulations. \n\nIn this chapter, we cover the following topics: \n\n(cid:2) Content Federation Services for Content Manager OnDemand and IBM Enterprise \nRecords overview \n\n(cid:2) Administration of Content Federation Services for Content Manager OnDemand for \nEnterprise Records \n\n(cid:2) Content Federation Services for Content Manager OnDemand architecture \n\n(cid:2) Deployment considerations", + "page_start": 388, + "page_end": 388, + "source_file": "sg246915.pdf" + }, + { + "text": "(cid:2)*MustGather: IBM Content Manager OnDemand server hang or performance degradation*\n*on AIX*, reference # 1222374 \n\n(cid:2)*MustGather: IBM Content Manager OnDemand server crash on AIX*, reference # 1223109 \n\nFollow the instructions from the technotes to gather information when the server hangs or \ncrashes. \n\n**18.2.8 Exporting information to a local server**\n\nIBM Support might require information about the Content Manager OnDemand application \ngroup, application, and folder for problem determination. \n\nTo create a local server to export object information, complete the following steps: \n\n1. Create a local server on your workstation: \n\na. From your Content Manager OnDemand Administrator Client, select**OnDemand**\n**Servers**and then click**File**→**New Server**. See Figure 18-11. \n\n*Figure 18-11 Setting up a local server*\n\nb. From the Add a Server window that opens, for the Protocol field, select**Local**, and \n\nenter the information that is shown in Figure 18-12. Click**OK**. A local server with the \nname ODlocal is created. \n\n*Figure 18-12 Add a Server window*\n\n2. The local server cannot be used until it is set up. Right-click the ODlocal server and select \n**Setup,**as shown in Figure 18-13 on page 398. \n\n*Figure 18-13 Setting up the local server*\n\nWhen you see the prompt “Are you sure?”, click**OK**. \n\nWhen the setup is complete, the local server is ready to use. By default, the local server \nhas a user that is named admin without any password. \n\n3. Export the requested information from your server to the local server. Right-click the object \nand select**Export**. For example, if you want to export the application group with the name \nRedbk, right-click the object**Redbk**and select**Export**, as shown in Figure 18-14. \n\n*Figure 18-14 Export Application Groups*\n\n4. \nIn the Export Application Groups window (Figure 18-15) that opens, export your \napplication groups by completing the following steps: \n\na. From the Server list, select the server to be exported. \n\nb. Click**Export**. The information of the application group that you chose starts \ntransferring to ODlocal. \n\nc. Check the message at the end of the export to ensure that the export is successful. \n\nd. You can select either of the following options: \n\n(cid:129) Select**Ignore Warnings**if you want Content Manager OnDemand to add an item \n\nregardless of any warnings. Otherwise, Content Manager OnDemand stops \ntransferring the item when the first warning is encountered. For example, if the \napplication group has users and groups permissions that are defined in the source \nserver, but the users and groups are not present in the local server, the export fails. \nIf the item to be exported exists on the destination server, the export also fails. \n\n(cid:129) Select**No Storage Set**if you do not want Content Manager OnDemand to assign a \nstorage set to the application group.", + "page_start": 420, + "page_end": 420, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "sg246915.pdf", + "query": "Does the XML indexer of Content Manager OnDemand support large objects ?", + "target_page": 188, + "target_passage": "No", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "(cid:2)**Problem**: Content Manager OnDemand indexing fails when only one field is defined for an \napplication group. \n\n**Reason or resolution**: The Content Manager OnDemand file name indexing feature \nneeds at minimum one index and a field value that are defined in the application indexer \nparameters. \n\nVerify that you are using a file name index with one field that is defined in the application \ngroup and no field or indexing parameter defined for the application. If these conditions are \ntrue, you must use a field. You can define a dummy literal index and field value in the \napplication indexing parameter as a placeholder. This dummy value is not processed, but \nit allows the file name to be indexed successfully. \n\n(cid:2)**Problem**: Content Manager OnDemand does not break up the PDF file into separate \nreports when TRIGGERs are defined correctly and indexing is successful. For certain \nreports, the trigger is not honored and the reports are grouped. \n\n**Reason or resolution**: The field value*must change*for Content Manager OnDemand to \nindicate a report break. In Figure 18-2, there are several pages of a document. Page 1 is \nthe TRIGGER, and the name is the field that is placed into the index. \n\nIn this example, because the string Page 2 does not match the TRIGGER, it is ignored, \nand that page is included in report 1. Moreover, the report does not break until the name \nJohn Smith is read because it is different from the name John Doe. \n\n(cid:2)**Problem**: When the user views a document that is loaded with large object (LOB), the \nclient receives the message: \n\nViewer Page count does not match Load Page Count. Viewing may be adversely \naffected. Contact your system administrator. \n\nIf the user clicks OK, the document can be viewed in its entirety, except that the page \nnumber is incorrect. \n\n**Reason or resolution**: When a document is loaded as LOB, the Loader must count the \npages, because a certain number of pages go into a LOB segment. When the client \nretrieves a LOB segment, the client also counts the pages that it receives from the server. \nThe user will receive the message “Viewer Page count does not match Load Page Count” \nwhen the two page counts do not match. \n\nThis problem is usually caused by the user running ACIF to load a document that contains \nthe form feed character x'0C'. ACIF does not support the form feed character as the start \nof a new page, but the line data viewer does support the form feed character as the start of \na new page. Therefore, the viewer ends up with a different count of pages than the loader.", + "page_start": 403, + "page_end": 403, + "source_file": "sg246915.pdf" + }, + { + "text": "You must consider several factors when you use large object support: \n\n(cid:2) The report must be indexed with an indexing program that generates a large object by \n\ndividing large documents into smaller parts and defining the indexing information that is \nused to retrieve the documents. \n\n(cid:2) The amount of data per page and the number of pages that you divide documents into \naffects retrieval and viewing response time. The number of bytes per page typically \ndictates the number of pages that you can divide documents into. In general, the larger the \npage size in bytes, the smaller the number of pages that you can divide your documents \ninto. For example, if the average page in the document contains 2.5 KB of data, choose \n100 - 1000 pages per Large Object (LO) segment; if the average page in the document \ncontains 50 KB of data, choose 1 - 100 pages per LO segment. \n\n(cid:2) The capacity of your network and the traffic in the network might determine the number of \npages that you need to divide your documents into. Larger document sizes (large byte size \neven when compressed) require more network bandwidth (or more time if the bandwidth is \nnot available) to transfer from a Content Manager OnDemand server to a client. The \nnumber of users that are concurrently accessing Content Manager OnDemand and the \nsizes of the documents that are being retrieved determine the overall load in the network. \n\n(cid:2) Response time requirements. The goal of Content Manager OnDemand large objects is to \nprovide better performance and usability. Large object support clearly provides enhanced \nusability. However, you must implement large object support so that dividing your \ndocuments into parts provides better overall performance than other methods of \nsegmenting the input data. \n\nWhen you choose a large object, Content Manager OnDemand displays the Number of \nPages field. Specify the number of pages that you want Content Manager OnDemand to \ndivide documents into in the Number of Pages field. \n\nTo generate large objects, the indexer that is specified on the Indexing Information page must \nbe AFP Conversion and Indexing Facility (ACIF), OS/390, or OS/400. When you select the \nLarge Object check box, Content Manager OnDemand automatically adds the INDEXOBJ=ALL \nparameter to the indexing parameters (which causes the indexing program to generate the \nlarge object indexing information). \n\n**Exporting an application**\nIt is not possible to export an application to application groups with different database fields or \nattributes. However, you can export applications to a different server if the application group \non the target server is identical to the application group on the source server (the server on \nwhich the applications are defined). \n\nEnsure that no existing application has the same application ID in the target application \ngroup. For more information, see the section “Adding items to a server” in the*IBM Content*\n*Manager OnDemand for Multiplatforms, V9.5, Administration Guide*, SC19-3352. \n\n**Selecting font by line data graphical indexer**\nThe font that is used by the line data graphical indexer to display a document can be changed \nfrom within the line data graphical indexer at the Content Manager OnDemand Administrator \nClient.", + "page_start": 76, + "page_end": 76, + "source_file": "sg246915.pdf" + }, + { + "text": "– The*XML Indexer*allows the rapid increase in XML archiving mandates that are based \non ISO 20022 standards with XML (including SEPA in Europe). The XML Indexer is \noptimized for high-volume batch archiving of XML, batch PDF, AFP, Line Data, and \ncheck images. \n\n– The*Full Text Indexer*provides the capability to index the full text of a document (or \nreport). You can search through an indexed document. \n\n(cid:2)*Data loading programs*can be set up to automatically store report data into application \ngroups and update the database. The data loading programs can run on any Content \nManager OnDemand server. \n\n(cid:2)*Report Distribution Facility*provides an easy way to automatically group reports and \nportions of reports and distribute the reports to multiple users. Distributions can be \nprinted, created as an output file, or emailed as an attachment. \n\n(cid:2) Both the archived reports and their resources are stored in the Content Manager \n\nOnDemand Archive. The Content Manager OnDemand system manages the stored data \nthroughout its lifetime. It provides authorized users rapid access to the data and allows the \ndata to be converted into different formats for display or print. \n\n(cid:2) A*server print*facility allows users to reprint a large volume of documents at high speed. \nPrint servers, such as Infoprint (on AIX), can be started to manage the server print \ndevices. These print servers are not part of Content Manager OnDemand and must be \npurchased separately. \n\n(cid:2) Content Manager OnDemand*management programs*maintain the Content Manager \nOnDemand database and documents in cache storage. \n\n(cid:2) A*system logging*facility provides administrators with tools to monitor server activity and \nrespond to specific events as they occur. The interface to the system logging facility is \nthrough the system log folder and the system log user exit.", + "page_start": 35, + "page_end": 35, + "source_file": "sg246915.pdf" + }, + { + "text": "XML data is loaded into Content Manager OnDemand by using the**arsload**command. For \nexample, the following statement loads the bamboo.in file and its .res file (if found): \n\narsload -I localhost -u userName -p load.stach -g ci_stmts bamboo,in \n\nThe XML indexer uses the “Generic XML Index File Format” (GXIFF). The GXIFF format is \nfunctionally similar to the Generic Index File Format in that it allows the loading of any type of \ndata into Content Manager OnDemand. \n\nFor more information about using the XML indexer, see*IBM Content Manager OnDemand -*\n*Indexing Reference*, SC19-3354. \n\n**7.8 User exits**\n\nA*user exit*is a point during processing where control is handed from the indexer program to a \nuser-written program. After the user-written program finishes, the control is handed back to \nthe indexer program. \n\nThe ACIF indexer and the OS/390 indexer support multiple user exits. The OS/400, PDF, \nXML, and Generic indexers do not support any user exits. \n\nFor a description of the ACIF user exits in detail, see 11.2, “ACIF exits” on page 242. \n\nFor a description of the OS/390 indexer user exits, see 11.3, “OS/390 indexer exits” on \npage 248. \n\n**7.9 Additional references**\n\nFor more information, see the following IBM developerWorks® articles: \n\n(cid:2)*Creating PDF Indexing Parameters Using Floating Triggers*: \n\nhttp://ibm.co/1FHsXDq \n\n(cid:2)*Understanding the ACIF Input Exit for DB2 Content Manager OnDemand*: \n\nhttp://ibm.co/1UUcCT0", + "page_start": 206, + "page_end": 206, + "source_file": "sg246915.pdf" + }, + { + "text": "**Document indexing**\n*Document indexing*is used for reports that contain logical items, such as customer name or \nnumber. Each of the items in a report can be individually indexed on values, such as account \nnumber, customer name, and balance. Content Manager OnDemand supports up to 128 \nindex values per item. With document indexing, the user is not necessarily required to know \nabout reports or report cycles to retrieve a document from Content Manager OnDemand. \n\n**Report indexing**\n*Report indexing*is used for reports that contain many pages of the same type of data, such as \na transaction log. Each line in the report usually identifies a specific transaction, and it is not \ncost-effective to index each line. Content Manager OnDemand stores the report as groups of \npages and indexes each group. \n\nWhen reports include a sorted transaction value (for example, transaction date and number), \nContent Manager OnDemand can index the data on the transaction value. This indexing is \ndone by extracting the beginning and ending transaction values for each group of pages and \nstoring the values in the database. This type of indexing lets users retrieve a specific \ntransaction value directly. \n\n**1.3 Content Manager OnDemand server and its components**\n\nOn IBM z/OS® and Multiplatforms (MP) systems, the Content Manager OnDemand server \ncan be implemented as a library server and one or more object servers that are on one or \nmore nodes that are connected to a Internet Protocol network. For the Content Manager \nOnDemand system overview, see Figure 1-1 on page 5. \n\n**1.3.1 Library server and object server**\n\nA Content Manager OnDemand*library server*maintains two sets of database tables: \n\n(cid:2) The first set of database tables contains indexes about the reports that are stored in the \nContent Manager OnDemand Archive. \n\n(cid:2) The second set of database tables contains information about the objects that are defined \nto the system, such as users, groups, printers, application groups, applications, folders, \ncabinets, and storage sets. \n\nThe database manager provides the database engine and utilities to administer the database. \nThe library server processes client logons, queries, and print requests and updates to the \ndatabase. The major functions that run on the library server are the request manager, the \ndatabase manager, and the server print manager. \n\nA Content Manager OnDemand*object server*maintains documents on cache storage \nvolumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM \non z/OS systems, or ASM on IBM i systems, allow hierarchical storage management \ntechniques to be applied to the stored documents. An object server loads data, retrieves \ndocuments, and expires documents. The major functions that run on an object server are the \ncache storage manager, data loading and maintenance programs, and optionally, the ASM. \n\nThe basic Content Manager OnDemand configuration is a library server and an object server \non the same physical system or node. This single library or object server configuration \nsupports the database functions and cache storage on one system. You can add an ASM to \nthe single library or object server configuration to maintain documents on archive media.", + "page_start": 33, + "page_end": 33, + "source_file": "sg246915.pdf" + }, + { + "text": "Because this architecture enables a system to create tables when the maximum table size is \nreached, no logical limitation exists to the system; rather, the limitation is on the physical \nresources, such as processing power, disk space, object servers, and storage hardware. \n\n**4.4 Search sequence**\n\nTo better understand the relationship between the various Content Manager OnDemand \ntables, we describe a search sequence within a Content Manager OnDemand system in this \nsection. A search sequence scans through multiple Content Manager OnDemand tables. We \ndescribe the logical flow that the system goes through during a Content Manager OnDemand \nsearch. \n\nBy using the Content Manager OnDemand standard Windows client, you can open a search \ncriteria window (see Figure 4-3). In our example, four index fields exist: Name, Account, \nStatement Date, and Balance. The example shows a search for a specific date and balance \namount. \n\n*Figure 4-3 Content Manager OnDemand Client search criteria window*\n\nAfter you enter these values, Content Manager OnDemand uses the date information and \nsearches the segment table ARSEG to find the application group data table that contains that \ndate. Content Manager OnDemand then searches the identified table_name (in our example \nHAA1) for the index values (1994-03-07 and 104.18) and finds the matching*Statement_date*\nand the*Balance*and returns these values to the client in a search result list. \n\nAny individual document from within this result list can then be retrieved for display on the \nclient. Content Manager OnDemand locates the document in the archive by using the object \nname, document offset, and length. In the background, the document data is automatically \ndecompressed before it is displayed. \n\nFigure 4-4 on page 85 shows the details of this search sequence from a folder.", + "page_start": 107, + "page_end": 107, + "source_file": "sg246915.pdf" + }, + { + "text": "**7.1 Introduction**\n\nBefore documents can be loaded into Content Manager OnDemand, they must be indexed. \nThese indexes can be created during the load process (OS/390 indexer), directly before the \nload process (Advanced Function Presentation (AFP) Conversion and Indexing Facility \n(ACIF), OS/400, XML, and Portable Document Format (PDF) indexers), or before the load \nprocess (Generic indexer). When the indexes are not created as part of the load process, they \nare stored in an*index file*. The index file contains the index values that are associated with \nthe document and “pointers” to the documents. You cannot load documents into Content \nManager OnDemand without index values. \n\nThe index values are text strings that occur in the documents, for example, “John Doe”, or \n“Account 1234”. One or more index values identify a unique document in Content Manager \nOnDemand. \n\nAn*indexer*extracts the index values and optionally stores them in the index file by examining \nthe documents and copying the index values into the index file according to criteria that are \nspecified by the user. Depending on the indexer that is used, the data and indexes are either \ndirectly loaded into Content Management OnDemand or are stored in a set of files that are \nthen read by the load process to store the data to Content Manager OnDemand. The indexer \ncreates the following files: \n\n(cid:2) Output file (.out file extension), which contains the documents to load \n(cid:2) Index file (.ind file extension), which contains the index values for the documents \n\nThe indexer might also create a resource file with a .res extension, which contains the \nresources that are extracted from the documents. \n\nOperationally, the loading process**arsload**calls the indexer that is specified on the Indexer \nInformation tab for the specified application. Depending on the indexer type,**arsload**\nperforms one of the following tasks: \n\n(cid:2) Creates a set of files that is then loaded by the**arsload**program into the Content Manager \nOnDemand System \n\n(cid:2) Directly passes the indexing and document information to the arsload program so that \nthey can be loaded into the Content Manager OnDemand System \n\nOn Content Manager OnDemand for i,**arsload**is embedded within the (**ADDPRPTOND**) user \ninterface. Therefore, run the Add Report to Content Manager OnDemand (**ADDPRPTOND**) \ncommand instead of**ARSLOAD**. \n\nIt is possible for the indexing to complete successfully but for the load to fail. The following \nreasons are the most common reasons for a loading failure: \n\n(cid:2) Using insufficient system resources \n(cid:2) Connecting to the wrong database \n(cid:2) Extracting the wrong index value from the document \n\nFor information about investigating and resolving common load failures, see 18.1.2, “Indexing \nand loading issues” on page 379.", + "page_start": 185, + "page_end": 185, + "source_file": "sg246915.pdf" + }, + { + "text": "**13.3 Data retrieval performance**\n\nAll Content Manager OnDemand clients (such as the Windows client, CICS client, IBM \nContent Navigator, ODWEK application programming interfaces (APIs), and structured APIs) \nretrieve data from the Content Manager OnDemand server by using a standard proprietary \nContent Manager OnDemand protocol. From a Content Manager OnDemand server \nperspective, no difference exists between one client and another client. \n\n**13.3.1 Data retrieval parameters**\n\nVarious parameters affect data retrieval performance. \n\n**Folder parameters: General tab**\nIn the Content Manager OnDemand Administrator Client, under the Folder parameter and on \nthe General tab, the following option is available: \n\n(cid:2) Note Search: If the Annotation flags in a document database are set to No in the Advanced \ntab of the General window of the Application Group, this option determines when Content \nManager OnDemand searches the database for annotations and notifies users that \nannotations exist for the documents that match a query. Content Manager OnDemand \nprovides three search and notification methods: \n\n– Hit List: Content Manager OnDemand searches for annotations when the user runs a \nquery. When annotations exist for a document, the client programs display a note icon \nnext to it in the document list. This method has a direct performance impact on the \ngeneration of the document list. \n\n– Retrieve: Content Manager OnDemand searches for annotations when the user \nselects a document for viewing. This method is the default and recommended value. \n\n– Note: Content Manager OnDemand searches for annotations when the user chooses \nthe Note option while the user views a document. \n\n**Folder parameters: Permissions tab**\nIn the Content Manager OnDemand Administrator Client, under Folder parameters and on \nthe Permission tab, the following option is available: \n\n(cid:2) Max Hits: Determines the maximum number of hits that are retrieved and transmitted to \n\nthe client. By reducing the maximum number of hits, users are forced to enter queries that \nbetter match the documents that they are searching for. By reducing the maximum number \nof hits, the system resources are used optimally both in performing the queries and in \ndownloading the resulting document list. \n\n**TCP/IP considerations**\nA known Windows configuration setting might affect performance when you connect to a \nContent Manager OnDemand server. During repeated searches and retrievals on a Content \nManager OnDemand server, many Windows sockets are opened and closed. Two default \nWindows settings might affect heavy traffic between the client and the Content Manager \nOnDemand server: \n\n(cid:2) When an application closes a Windows socket, Windows places the socket’s port into \nTIME_WAIT status for 240 seconds; during this time, the port cannot be reused. \n\n(cid:2) Windows limits the number of ports that an application can use to 5000.", + "page_start": 327, + "page_end": 327, + "source_file": "sg246915.pdf" + }, + { + "text": "**Indexing and loading**\n\nIn this chapter, we describe the various indexers that are available for IBM Content Manager \nOnDemand (Content Manager OnDemand). \n\nIn this chapter, we cover the following topics: \n\n(cid:2) Introduction \n(cid:2) Getting started with PDF indexing \n(cid:2) Getting started with ACIF indexing \n(cid:2) OS/390 indexer on z/OS and AIX \n(cid:2) OS/400 indexer on Content Manager OnDemand on IBM i \n(cid:2) User exits \n(cid:2) Additional references", + "page_start": 184, + "page_end": 184, + "source_file": "sg246915.pdf" + }, + { + "text": "**13.1 Tuning Content Manager OnDemand to enhance**\n\n**performance**\n\nTwo components make up performance: throughput and response time: \n\n(cid:2) Throughput: The number of transactions (Content Manager OnDemand requests) that can \nbe satisfied for each unit of time. The more transactions that are run for each unit of time, \nthe higher the throughput. Higher throughput implies that more users can be served \nconcurrently and more load jobs can be run in parallel. If the throughput values are low, \nthe system might not be able to support the required number of users. \n\n(cid:2) Response time: The amount of time it takes to service a single transaction (Content \n\nManager OnDemand request). Faster response times imply that the users are able to \nretrieve their data faster from the archive, which in turn leads to more satisfied users. If the \nresponse time is slow, users are dissatisfied with the system. \n\nA high performance system, such as Content Manager OnDemand, provides both high \nthroughput and short response times. \n\nThe following sections describe the various components of a Content Manager OnDemand \nsystem and its architecture. They provide guidance about the parameters and configurations \nthat you can change to improve performance. \n\nThe ability to separate the object server from the library server offers two main advantages: \n\n(cid:2) The ability to share workload by dedicating machines to individual tasks \n\n(cid:2) The ability to reduce the impact of retrieving a large piece of data over a network that is \neither slow or overloaded \n\n**13.1.1 Content Manager OnDemand configuration**\n\nHow reports are defined, indexed, and stored within Content Manager OnDemand greatly \ninfluences the speed at which Content Manager OnDemand can retrieve them. Various hints \nand tips for the optimum way to define reports within Content Manager OnDemand are \ndescribed in Chapter 3, “Administration” on page 45. \n\n**13.1.2 System logging**\n\nUse Content Manager OnDemand system logging for usage monitoring, charge-back, or \ntroubleshooting. Because system logging involves writing all of the selected log messages to \ndisk, you incur an increase in both resource usage and response time. Logging increases \nboth the amount of the processor that is used and the amount of I/O to disk. For this reason, \nselect only the types of logging that you want performed for a particular application group. \nDepending on your system usage requirements, you might decide to perform any of the \nfollowing tasks: \n\n(cid:2) Turn off all system logging. \n\n(cid:2) Record a minimal amount of information (only the information that is needed for reporting \nfunctions). \n\n(cid:2) Record all transactions. \n\n(cid:2) Record the log information to one or more external files by using the system log exit. \n\n(cid:2) Turn on system logging only while you troubleshoot the system. \n\n(cid:2) Turn on system logging once every time period to sample the system usage patterns.", + "page_start": 321, + "page_end": 321, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "sg246915.pdf", + "query": "Considering storage efficiency, should I store my AFP documents as PDF to distribute them over the web ?", + "target_page": 232, + "target_passage": "If a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval tim", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "(cid:2) For IBM i, depending on your retrieval patterns and system hardware configuration, it \n\nmight be advantageous to*not*store a duplicate set of documents in the Content Manager \nOnDemand cache when you use ASM because ASM might already be using disk space. If \nthe application group uses ASM, caches the data, and specifies the migration of data at \nload time, two copies of the data are stored during the load. One copy is stored in cache, \nand one copy is stored in the ASMREQUEST directory. \n\nTo avoid storing a duplicate set of documents in cache for non-AFP data, change Cache \nData to No on the Storage Management tab of your application group definition. To avoid \nstoring a duplicate set of documents in cache for AFP data, you might change Document \nData to No Cache but leave Resource Data in cache for faster retrieval. \n\n(cid:2) For IBM i, every user that loads data must have a home directory. If users do not have a \nhome directory, the temporary files are stored in the root directory of the integrated file \nsystem (IFS). \n\n(cid:2) If the data source is on a remote system, you can load the data into Content Manager \nOnDemand on the remote system and directly store the export data to the specified \nContent Manager OnDemand library and object server. \n\nOr, if the data source is on a remote system, you also can upload the data to the specified \nContent Manager OnDemand server through FTP and then load the data on the selected \nContent Manager OnDemand system. \n\n(cid:2) For Multiplatforms and z/OS, all file systems must be dedicated file systems that are \nmounted on their own mount points. \n\n(cid:2) For z/OS, when you load PDF reports (by using the PDF Indexer), placing the input report \nin the HFS or zFS causes the load to run nearly 50 times faster that compared to the input \nreport that is placed in a VSAM file. \n\n**13.2.3 Load testing**\n\nThe goal of load testing is to verify that, under stressful system conditions, the required \namount of data can be loaded into the Content Manager OnDemand system within a time \nwindow. \n\nA general approach to load testing a system is described: \n\n(cid:2) Parallel loads: Run a single load and measure the load throughput. If the throughput does \nnot meet the requirements, run two loads in parallel and measure the throughput. While \nthe loads are run, collect system statistics to determine the system resources that are \nbeing used and any potential bottlenecks. Tune or acquire additional system resources as \nneeded. Progressively increase the number of parallel loads until the required throughput \nis met. \n\n**Note:**For most users, a single load process meets the ingestion throughput \nrequirements. \n\n(cid:2) Data types and exits: A different data type, and whether an exit is started during the load \nprocess, affects the load throughput. Test samples of the different types that represent the \ngeneral loads.", + "page_start": 326, + "page_end": 326, + "source_file": "sg246915.pdf" + }, + { + "text": "**9.1 Overview of data conversion**\n\nTo work with data conversion, understand the data conversions that are required, and when \nand how to convert the data. Perform detailed planning before you build your solution so that \nyou achieve a design that remains efficient for many years. \n\nIn this section, we describe why you might need data conversion, when to convert the data \nstream, and how to convert the data. \n\n**9.1.1 Why convert data streams**\n\nYou might want to convert data streams for many reasons: \n\n(cid:2) Certain data streams, such as Hewlett-Packard (HP) Printer Command Language (PCL) \nor Xerox metacode, are printer-specific and cannot be displayed. Before you archive or \ndisplay the documents, these data streams must be transformed into a compatible format. \n\n(cid:2) The archived data stream might need to comply with a company’s internal rules or \n\nregulations. Therefore, the produced data streams must be transformed into the defined \nand required final format before they are archived. \n\n(cid:2) The documents might need to be accessible by a user that is outside of the company. The \ndocument must be displayed through standard tools that are available on any or at least \nmost of the clients, such as an Internet browser or Adobe Acrobat Reader. \n\n(cid:2) The documents might need to be manipulated so that only part of the document is \ndisplayed in a personalized way. \n\n**9.1.2 When to convert data streams**\n\nThe decision of*when*to convert data streams relies mainly on the use of the system. \nTypically, converting data at load time requires more time to process the print stream file, and \nconverting data at retrieval time causes the user retrieval to be a little slower. The decision \nmight depend on how many documents are retrieved, compared to how many documents are \nloaded daily. It might also depend on legal requirements about the format of stored data. \n\n**AFP to PDF**\nIf a requirement exists to present AFP documents in the Portable Document Format (PDF) \nformat over the web, from a storage perspective, it is more efficient to store the documents in \ntheir native format and then convert them to PDF at retrieval time. AFP documents are stored \nmore efficiently than PDF documents. \n\nThe PDF print stream, when it is divided into separate customer statements, is larger than \nAFP because each statement contains its own set of structures that are required by the PDF \narchitecture to define a document. \n\nElapsed time and processor time are also essential factors in the decision-making process. \nThe amount of time (elapsed and CPU) that is needed to convert the document depends on \nhow large the document is and how many resources or fonts are associated with the \ndocument.", + "page_start": 231, + "page_end": 231, + "source_file": "sg246915.pdf" + }, + { + "text": "From a performance perspective, the use of the transaction data field for transaction-style line \ndata optimizes indexing performance by reducing the number of index values to be inserted \ninto the database. Therefore, the process of loading and retrieving these large reports is \nfaster and the Content Manager OnDemand database is many times smaller. \n\n**13.4.3 AFP data**\n\nAFP data is a multi-part data type. In addition to the variable data, external resources, such \nas images, fonts, and logos, are also referenced by the AFP data stream. When Content \nManager OnDemand stores AFP data, the resources are also archived. When the data is \nviewed, the referenced resources are displayed. \n\nIt is a common misconception that if fonts are collected when the data is loaded, they are \navailable for viewing in the Windows client. However, Windows does not recognize AFP fonts. \nIt is not possible to use these fonts even if they are sent to the client as part of the resource. \nWindows clients require a mapping from AFP fonts to Adobe Type Manager (ATM) fonts or \nTrueType (TT) fonts. Content Manager OnDemand provides this mapping for most standard \nfonts. For more information about mapping custom fonts, see*IBM Content Manager -*\n*Windows Client Customization Guide and Reference*, SC27-0837. \n\nOne possibly useful implementation of storing fonts with the resource group is when server \nreprint is necessary. If the fonts are stored with the resource group, they can be retrieved from \nContent Manager OnDemand and used by AFP printers. However, if fonts are collected, they \nare also sent to the client as part of the resources group and then discarded. Storing the fonts \nwith the resource group serves only to increase network traffic when transferring the resource \nto the workstation. A more practical option for server printing is to store the font in a fontlib \nand to keep only the reference (path) to the fontlib. Although the font is accessible on the \nserver, Print Services Facility (PSF) or InfoPrint does not need the font to be inline (stored in \nthe resource group). The use of this approach also allows all AFP data that references the \nfont to use the single instance of the font without redundant inline storage. \n\nFigure 13-5 on page 311 shows the indexer information in the application where you can \nselect the resources to collect with the Restype= parameter. Unless reprints to AFP printers \nwith 100% fidelity is a requirement, do not collect the fonts.", + "page_start": 333, + "page_end": 333, + "source_file": "sg246915.pdf" + }, + { + "text": "**13.4.1 PDF data**\n\nPortable Document Format (PDF) data is an increasingly common data type that can be \narchived within Content Manager OnDemand. The following key advantages are available by \nusing this data type as a document format: \n\n(cid:2) It is a read-only format that does not require any external resources, such as images or \nfonts. It is self-contained. \n\n(cid:2) The viewer for PDF can be downloaded at no charge from the Adobe website and the \nbrowser plug-ins for PDF are also available at no charge. \n\nDuring PDF document creation, resources, such as images and custom fonts, are placed in \nthe data stream once and then referenced many times from within the PDF file. If a large \nreport is produced from many small documents, that report requires only one copy of the \nresources. \n\nHowever, when the PDF is indexed, the PDF Indexer creates many PDF documents from the \ninput file. Each of these documents requires a certain number of PDF structures, which define \na document. These documents are concatenated together in the .out file, and then loaded \ninto Content Manager OnDemand as separate documents. Because the resources are \nextracted and placed into a separate resource file, they are not included in each document. \nFor an illustration of the process, see Figure 13-3. \n\n\n\n\n\n\n\n| Document\nResources\nConverted to\nOne PDF file\nwith\ndocuments\nand resources\nMany\nseparate PDF\ndocuments\nwith resources\nremoved in\nthe .out file | | |\n|---|---|---|\n| Document Resources Converted to One PDF file with documents and resources Many separate PDF documents with resources removed in the .out file | | |\n| | | |\n| Figure 13-3 PDF indexing | | |\n\n\nIf no resources are collected, the size of the .out file, which contains all of the individual \ndocuments, might be larger than the original file. For tips about how to reduce the size of the \noutput file, see 7.3.5, “PDF indexing: Using internal indexes (Page Piece Dictionary)” on \npage 173.", + "page_start": 331, + "page_end": 331, + "source_file": "sg246915.pdf" + }, + { + "text": "Another benefit to using ODF is that you can select and combine documents from different \nreports and organize them by defining their order and separating them by using banner \npages. \n\nFigure 14-2 is an overview of the OnDemand Distribution Facility and its interaction with the \nContent Manager OnDemand server. \n\n\n\n*Figure 14-2 Content Manager OnDemand Distribution Facility overview*\n\nFigure 14-2 shows that the Content Manager OnDemand server and its operation did not \nchange. Reports and documents are loaded into the server, and system users continue to \nview and print their documents normally. The only addition to the library server is a set of ODF \ntables that define the documents that are to be distributed to which users and when. The ODF \nprocess reads the ODF tables and collects the required documents and bundles them for \neach recipient. ODF then send out the “bundles” to the appropriate destinations (email, file, \nand print). Alternatively, ODF can send each recipient (based on system definitions) an email \nnotification that the report and document were loaded and are available for viewing. \n\nDifferent organizations have different report and document load and retrieval patterns. In \ncertain cases, documents are loaded and never retrieved. In other cases, a loaded document \nis retrieved multiple times by multiple users. In other cases, it is known that when a specific \nreport or document is loaded, one or more copies must be distributed to one or more \ndestinations. What benefit does automating this distribution process provide? \n\nThe biggest benefit is that as reports are loaded into Content Manager OnDemand regularly, \nthey can be delivered automatically to one or more users as they are loaded. Also, after the \ndistribution is set up, no other changes are required, such as changing the document \nselection criteria to identify the latest data that is loaded. \n\nFor example, suppose that your organization generates monthly statements for your \ncustomers. You must store these documents in Content Manager OnDemand, and you must \nprint the statements and mail them to the customers. With ODF, you can set up a distribution \nthat automatically retrieves these documents as they are loaded into Content Manager \nOnDemand and sends them to a spool file for printing.", + "page_start": 340, + "page_end": 340, + "source_file": "sg246915.pdf" + }, + { + "text": "You must consider several factors when you use large object support: \n\n(cid:2) The report must be indexed with an indexing program that generates a large object by \n\ndividing large documents into smaller parts and defining the indexing information that is \nused to retrieve the documents. \n\n(cid:2) The amount of data per page and the number of pages that you divide documents into \naffects retrieval and viewing response time. The number of bytes per page typically \ndictates the number of pages that you can divide documents into. In general, the larger the \npage size in bytes, the smaller the number of pages that you can divide your documents \ninto. For example, if the average page in the document contains 2.5 KB of data, choose \n100 - 1000 pages per Large Object (LO) segment; if the average page in the document \ncontains 50 KB of data, choose 1 - 100 pages per LO segment. \n\n(cid:2) The capacity of your network and the traffic in the network might determine the number of \npages that you need to divide your documents into. Larger document sizes (large byte size \neven when compressed) require more network bandwidth (or more time if the bandwidth is \nnot available) to transfer from a Content Manager OnDemand server to a client. The \nnumber of users that are concurrently accessing Content Manager OnDemand and the \nsizes of the documents that are being retrieved determine the overall load in the network. \n\n(cid:2) Response time requirements. The goal of Content Manager OnDemand large objects is to \nprovide better performance and usability. Large object support clearly provides enhanced \nusability. However, you must implement large object support so that dividing your \ndocuments into parts provides better overall performance than other methods of \nsegmenting the input data. \n\nWhen you choose a large object, Content Manager OnDemand displays the Number of \nPages field. Specify the number of pages that you want Content Manager OnDemand to \ndivide documents into in the Number of Pages field. \n\nTo generate large objects, the indexer that is specified on the Indexing Information page must \nbe AFP Conversion and Indexing Facility (ACIF), OS/390, or OS/400. When you select the \nLarge Object check box, Content Manager OnDemand automatically adds the INDEXOBJ=ALL \nparameter to the indexing parameters (which causes the indexing program to generate the \nlarge object indexing information). \n\n**Exporting an application**\nIt is not possible to export an application to application groups with different database fields or \nattributes. However, you can export applications to a different server if the application group \non the target server is identical to the application group on the source server (the server on \nwhich the applications are defined). \n\nEnsure that no existing application has the same application ID in the target application \ngroup. For more information, see the section “Adding items to a server” in the*IBM Content*\n*Manager OnDemand for Multiplatforms, V9.5, Administration Guide*, SC19-3352. \n\n**Selecting font by line data graphical indexer**\nThe font that is used by the line data graphical indexer to display a document can be changed \nfrom within the line data graphical indexer at the Content Manager OnDemand Administrator \nClient.", + "page_start": 76, + "page_end": 76, + "source_file": "sg246915.pdf" + }, + { + "text": "**Part 2. Data indexing, loading, retrieval, and expiration**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 \n\n**Chapter 7. Indexing and loading**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 \n7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162 \n7.1.1 Loading and indexing files that were created on another system . . . . . . . . . . . . 163 \n7.1.2 Understanding input data types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 \n7.1.3 Choosing an indexer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 \n7.2 Getting started with PDF indexing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 \n7.2.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 \n7.3 Performance considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 \n7.3.1 PDF fonts and output file size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 \n7.3.2 Reducing output file size with PDF documents. . . . . . . . . . . . . . . . . . . . . . . . . . 167 \n7.3.3 PDF indexing: Using PDF metadata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 \n7.3.4 PDF indexing: Using the report wizard (graphical indexer). . . . . . . . . . . . . . . . . 168 \n7.3.5 PDF indexing: Using internal indexes (Page Piece Dictionary) . . . . . . . . . . . . . 173 \n7.4 Getting started with ACIF indexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 \n7.4.1 Understanding the input data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 \n7.4.2 The index file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 \n7.4.3 Fully composed AFP input . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 \n7.5 OS/390 indexer on z/OS and AIX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 \n7.6 OS/400 indexer on Content Manager OnDemand on IBM i . . . . . . . . . . . . . . . . . . . . 180 \n7.7 Getting started with XML Indexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 \n7.8 User exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 \n7.9 Additional references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 \n\n**Chapter 8. User clients**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 \n8.1 Choosing the correct client for your implementation . . . . . . . . . . . . . . . . . . . . . . . . . . 186 \n8.1.1 Viewer options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 \n8.1.2 Client infrastructure options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 \n8.1.3 Client compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 \n8.2 Content Manager OnDemand Client options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 \n8.2.1 IBM Content Navigator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 \n8.2.2 Content Manager OnDemand Windows client . . . . . . . . . . . . . . . . . . . . . . . . . . 197 \n8.2.3 CICS Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199", + "page_start": 6, + "page_end": 6, + "source_file": "sg246915.pdf" + }, + { + "text": "**Installation**\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the \nclient. \n\nIf you install the client after you install Adobe Acrobat, the installation program copies the \napplication programming interface (API) file to the Acrobat plug-in directory. \n\nIf you install the client before you install Adobe Acrobat, you must copy the API file to the \nAcrobat plug-in directory manually. \n\nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat \nplug-in directory. \n\nThe default location of the ARSPDF32.API file is: \n\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF \n\nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat \n*x.y*\\Acrobat\\plug_ins. The variables*x.y*represent the version of Acrobat, for example, \nC:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug_ins. \n\n**Graphical indexer example**\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports \nwithin the application component of Content Manager OnDemand in a similar way to defining \nthem for line data. This section serves as an introduction to the PDF graphical indexer by \nstepping through an example of indexing a PDF document. \n\nThe example describes how to use the graphical indexer from the report wizard to create \nindexing information for an input file. The indexing information consists of a trigger that \nuniquely identifies the beginning of a document in the input file and the fields and indexes for \neach document. We elaborate on this example by clarifying several of the instructions, and \nthroughout each step, we add important hints, tips, and explanations. \n\nThe process consists of these steps: \n\n1. Start the Administrator Client and log on to a server. \n\n2. Start the report wizard. Click the report wizard icon on the toolbar. \n\n3. \nIn the Sample Data window, select**PDF**from the drop-down list of data types, and then \nclick**Select Sample Data**. \n\n4. \nIn the Open window, enter the name or full path name of your file in the space that is \nprovided or use the**Browse**option to locate your PDF file. \n\n5. Click**Open**. The graphical indexer opens the input file in the report window. \n\nIf the PDF data fails to display, or an error message, such as the message that is shown in \nFigure 7-2, is displayed, you must follow the steps in “Installation” on page 169 to verify \nthat the API file is in the correct Acrobat plug-in directory.", + "page_start": 192, + "page_end": 192, + "source_file": "sg246915.pdf" + }, + { + "text": "Depending on the data that you are working with, consider these options: \n\n(cid:2) For Line Data: \n\n– The line data applet supports annotations. It can work with large object (LOB) reports if \nthe large object functionality is employed at load time. \n\n– The Ajax viewer and direct rendering capabilities of Content Navigator work only on \n\nshorter reports. Additionally, the viewing of annotations and large object documents is \nnot supported. \n\n(cid:2) For AFP data: \n\n– The AFP plug-in is the best choice, because it is almost identical to the client. However, \nit does not support annotations. \n\nThe only viewers that use this functionality are the line data applet, the AFP plug-in \nviewer, and the Content Manager OnDemand Windows client. \n\n– AFP to PDF is a choice that does not require a plug-in rollout at the users’ computers if \n\nthe Acrobat plug-in is installed on their workstations. Font mappings must be \nconfigured at a central location. The additional workload on a rendering system and \nadditional license costs must be considered. Large reports might not be able to be \nrendered or viewed. \n\n**Note:**The AFP viewer plug-in, which is available with ODWEK and Content \nManager OnDemand, is a version of the AFP viewer plug-in from the InfoPrint \nSolutions Company. Although the standard InfoPrint viewer can be used for viewing \nAFP, the ODWEK version uses direct communication with the Content Manager \nOnDemand server, enabling segmented document transfer for LOB documents. \n\n**Annotations**\nOnly the native ODWEK viewers and the Windows client support annotations. These viewers \nand Windows clients support annotations in the following ways: \n\n(cid:2) Line data applet: Supports text. Starting with version 9, the viewer can work with graphical \nannotations, also. \n\n(cid:2) Windows Client: Supports maximum capabilities for all data types. \n\n(cid:2) Other viewers, for example, the AFP plug-in viewer: Do not support and are not aware of \nannotations. \n\nWeb clients, such as Content Navigator or the ODWEK Java API, can work with annotations \nand provide access to them through the hit list. Graphical annotations cannot be accessed \nthat way because they are not exposed through the Java API. \n\n**Large object support**\nLarge object (LOB) support is the methodology for working with large reports. For more \ninformation about how LOB affects your reports, see “Large object” on page 52. \n\nFrom a viewer’s perspective, if a large document is transferred, it generates high network \ntraffic, resource consumption, and long wait times for users. If the viewer supports LOB \ndocuments, the viewer communicates with the server to transfer only the chunk of data that \nthe user is looking at (for example, a 200 page chunk out of a 10,000 page report). If the user \nscrolls to a different chunk of pages, the viewer downloads only that relevant portion of the \ndocument that the user scrolled to.", + "page_start": 212, + "page_end": 212, + "source_file": "sg246915.pdf" + }, + { + "text": "**7.1 Introduction**\n\nBefore documents can be loaded into Content Manager OnDemand, they must be indexed. \nThese indexes can be created during the load process (OS/390 indexer), directly before the \nload process (Advanced Function Presentation (AFP) Conversion and Indexing Facility \n(ACIF), OS/400, XML, and Portable Document Format (PDF) indexers), or before the load \nprocess (Generic indexer). When the indexes are not created as part of the load process, they \nare stored in an*index file*. The index file contains the index values that are associated with \nthe document and “pointers” to the documents. You cannot load documents into Content \nManager OnDemand without index values. \n\nThe index values are text strings that occur in the documents, for example, “John Doe”, or \n“Account 1234”. One or more index values identify a unique document in Content Manager \nOnDemand. \n\nAn*indexer*extracts the index values and optionally stores them in the index file by examining \nthe documents and copying the index values into the index file according to criteria that are \nspecified by the user. Depending on the indexer that is used, the data and indexes are either \ndirectly loaded into Content Management OnDemand or are stored in a set of files that are \nthen read by the load process to store the data to Content Manager OnDemand. The indexer \ncreates the following files: \n\n(cid:2) Output file (.out file extension), which contains the documents to load \n(cid:2) Index file (.ind file extension), which contains the index values for the documents \n\nThe indexer might also create a resource file with a .res extension, which contains the \nresources that are extracted from the documents. \n\nOperationally, the loading process**arsload**calls the indexer that is specified on the Indexer \nInformation tab for the specified application. Depending on the indexer type,**arsload**\nperforms one of the following tasks: \n\n(cid:2) Creates a set of files that is then loaded by the**arsload**program into the Content Manager \nOnDemand System \n\n(cid:2) Directly passes the indexing and document information to the arsload program so that \nthey can be loaded into the Content Manager OnDemand System \n\nOn Content Manager OnDemand for i,**arsload**is embedded within the (**ADDPRPTOND**) user \ninterface. Therefore, run the Add Report to Content Manager OnDemand (**ADDPRPTOND**) \ncommand instead of**ARSLOAD**. \n\nIt is possible for the indexing to complete successfully but for the load to fail. The following \nreasons are the most common reasons for a loading failure: \n\n(cid:2) Using insufficient system resources \n(cid:2) Connecting to the wrong database \n(cid:2) Extracting the wrong index value from the document \n\nFor information about investigating and resolving common load failures, see 18.1.2, “Indexing \nand loading issues” on page 379.", + "page_start": 185, + "page_end": 185, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20200438_en.pdf", + "query": "Where can I consult a summary of the impact of the International tax compliance regulations ?", + "target_page": 3, + "target_passage": "A Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- uks-automatic-exchange-of-information-agreements", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *20th April 2020*\n\n*Laid before the House of Commons* *21st April 2020*\n\n*Coming into force -* *-* *13th May 2020*\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013(**a**): \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the International Tax Compliance (Amendment) \n\nRegulations 2020 and come into force on 13th May 2020. \n\n**Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” substitute “19th April 2020”(**c**). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n\n(a) in the table in paragraph (2), in the column headed “the CRS”— \n\n(i) at the beginning of the entry for “new account” insert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing account” insert “subject to regulation \n\n3(4A)(a) and paragraph (3)”, and \n\n(b) after paragraph (2) insert— \n\n“(3) In respect of the accounts listed in paragraph (4)— \n\n(**a**) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not \nrelevant to these Regulations. \n(**b**) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending instruments are S.I. \n\n2017/598, 2018/490 and 2019/881. \nIn accordance with the common reporting standard for automatic exchange of financial account information developed by \nthe Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom \nexchanges information received from financial institutions under the principal Regulations with a territory which is a \n“Reportable Jurisdiction” under the CRS and with which the United Kingdom has entered into international exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrc- \ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU. \n\n(**c**)", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be \nexcluded accounts. Regulation 2(3) and (4)(a) make consequential amendments. \n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts \nwhich were previously excluded accounts. \n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 \nwas published on 18th March 2015 and \nthe HMRC website at \nhttps://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- \nuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the \nimpacts that apply to this instrument. \n\nis available on \n\n© Crown copyright 2020 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20200438_en.pdf" + }, + { + "text": "• \n\n• \n\n•**Compliance**with and impact of legislation. Currently, there are data on the percentage of \nenterprises with a risk assessment but very limited information about the**quality of these risk**\n**assessments and of implemented risk management and reduction measures**. Previous \nstudies indicate that in many cases the risk assessment is conducted by an enterprise just to \ncomply with legal obligations (paper compliance). A possible approach could be an**anonymous**\n**evaluation of the quality of a representative share**of risk assessments.", + "page_start": 139, + "page_end": 139, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "retrospectively. We are assessing the impact of this amendment on \nour consolidated financial statements. \n\n*Cable*\n(cid:129) Cable Television and Internet subscribers are represented by a \ndwelling unit, and cable Phone subscribers are represented by line \ncounts. \n\n(cid:129)*IFRIC 21, Levies (IFRIC 21)*– In May 2013, the IASB issued a new \naccounting guidance IFRIC 21, which provides guidance on when to \nrecognize a liability for a levy imposed by a government, both for \nlevies that are accounted for in accordance with IAS 37 Provisions, \nContingent Liabilities and Contingent Assets and those where the \ntiming and amount of the levy is certain. The Interpretation identifies \nthe obligating event for the recognition of a liability as the activity \nthat triggers the payment of the levy in accordance with the relevant \nlegislation. It provides the following guidance on recognition of a \nliability to pay levies (i) the liability is recognized progressively if the \nobligating event occurs over a period of time, and (ii) if an obligation \nis triggered on reaching a minimum threshold, \nthe liability is \nrecognized when that minimum threshold is reached. The standard is \neffective for annual periods beginning on or after January 1, 2014, \nwith early adoption permitted. We are assessing the impact of this \nnew standard on our consolidated financial statements. \n\n(cid:129) When there is more than one unit in one dwelling, like an apartment \nbuilding, each tenant with cable service is counted as an individual \nsubscriber, whether the service is invoiced separately or included in \nthe tenant’s rent. Institutional units, like hospitals or hotels, are each \nconsidered to be one subscriber. \n\n(cid:129) Cable Television, Internet, and Phone subscribers include only those \nsubscribers who have service installed and operating, and who are \nbeing billed accordingly. \n\n**Subscriber Churn**\nSubscriber churn is a measure of the number of subscribers that \ndeactivated as a percentage of \nthe total subscriber base, usually \ncalculated on a monthly basis. Subscriber churn tells us our success in \nretaining our subscribers. We calculate it by dividing the number of \nWireless subscribers that deactivated (usually in a month) by the \naggregate numbers of subscribers at the beginning of the period. When \nused or reported for a period greater than one month, subscriber churn \nrepresents the sum of the number of subscribers deactivating for each \nperiod incurred divided by the sum of the aggregate number of \nsubscribers at the beginning of each period incurred. \n\n**Average Revenue per User**\nAverage Revenue per User (ARPU) helps us identify trends and measure \nour success in attracting and retaining higher value subscribers. We \ncalculate it by dividing revenue (usually monthly) by the average \nnumber of subscribers in the period. For Wireless, ARPU is calculated \nusing network revenue. When used in connection with a particular type \nof \nsubscriber, ARPU is monthly revenue generated from those \nsubscribers, divided by the average number of those subscribers during \nthe month. \n\n(cid:129)*IFRS 9, Financial*", + "page_start": 85, + "page_end": 85, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n**u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards \nand Interpretations applicable to its operations which became mandatory. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n\n**AASB 2011-4 -*Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel***\n***Disclosure***\nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n\n**Amendments to IAS 32 -*Offsetting Financial Assets and Financial Liabilities***\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set-off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \n\n**Recently issued accounting standards to be applied in future reporting periods:**\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these new standards, amendments to standards, and \ninterpretations is set out below. \n\n**AASB 9/IFRS 9 –*Financial Instruments***\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. The effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements.", + "page_start": 72, + "page_end": 72, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "changes in tax regulations (e.g., those affecting the use of the \nLIFO inventory accounting method and the taxation of foreign- \nsourced income); and the occurrence of extraordinary events \n(including prolonged labor disputes, natural events and acts of \nGod, terrorist acts, fires, floods, and accidents). Other factors \nforward-looking statements, and the making of those statements \nshould not be regarded as a representation by the Company or \nany other person that the results expressed in the statements will \nbe achieved. In addition, the Company assumes no obligation \n\npublicly to update or revise any forward-looking statements, \nwhether because of new information or events, or otherwise, \nexcept as may be required by law. \n\nand unanticipated events could also adversely affect our business, \nfinancial condition or results of operations. We discuss certain of \nthese matters more fully throughout our “Management’s \nDiscussion and Analysis” as well as other of our filings with the \nSecurities and Exchange Commission, including our Annual \n\nReport on Form 10-K for the year ended June 30, 2012.", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "**Future Accounting Policy Changes**\n\nIFRS 9 ‑ Financial Instruments (“IFRS 9”) \n\nIFRS 9, as issued in 2010, reflects the first phase of the IASB’s work on the replacement of IAS 39 and applies to classification and measurement \nof financial assets and financial liabilities as defined in IAS 39. The standard was initially effective for annual periods beginning on or after January \n1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, containing the effective date \nand transition provisions, was amended to remove the mandatory effective date of IFRS 9. This was intended to provide sufficient time for \npreparers to make the transition to the new requirements. The Company may still choose to apply IFRS immediately, but is not required to do so. \n\nIn subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the first phase of IFRS will have an effect on the \nclassification and measurement of the Company’s financial assets, but will not have an impact on the classification measurements of financial \nliabilities. The Company is in the process of assessing the impact IFRS 9 may have on future financial statements. \n\nIFRIC Interpretation 21 ‑ Levies (“IFRIC 21��) \n\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant legislation, \noccurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing the impact IFRIC \n21 may have on future financial statements. \n\n**Disclosure Controls and Procedures and Internal Controls**\n\nThe Company’s management, including the Chief Executive Officer and the Chief Financial Officer, does not expect that the Company’s Disclosure \nControls and Procedures and Internal Controls will prevent or detect all error and all fraud. Because of the inherent limitations in all control \nsystems, an evaluation of controls can provide only reasonable, not absolute, assurance that all control issues and instances of fraud or error, if \nany, within the company have been detected. \n\n*Disclosure Controls and Procedures*\nAs of December 31, 2013, the Company’s management evaluated the effectiveness of the operation of its disclosure controls and procedures \n(“Disclosure Controls”), as defined under rules adopted by the Canadian Securities Administrators. This evaluation was performed under the \nsupervision of, and with the participation of, the Chief Executive Officer and the Chief Financial Officer. \n\nDisclosure controls and procedures are designed to ensure that information required to be disclosed in documents filed with securities \nregulatory authorities is recorded, processed, summarized and reported on a timely basis, and is accumulated and communicated to the \nCompany’s management, including the Chief Executive Officer and the Chief Financial Officer, as appropriate, to allow timely decisions regarding \nrequired disclosure. \n\nBased on the evaluation of Disclosure Controls, the Chief Executive Officer and the Chief Financial Officer have concluded that, subject to the \ninherent limitations noted above, the Company’s Disclosure Controls are effective in ensuring that material information relating to the Company \nand its consolidated subsidiaries is made known to the Company’s management on a timely basis by others within those entities, and is included \nas appropriate in this mD&a. \n\n*Internal Controls over Financial Reportin*g \nInternal controls over financial reporting (“ICFR”) are designed to provide reasonable assurance regarding the reliability of the Company’s \nfinancial reporting and its preparation of financial statements for external purposes in accordance with IFRS. Management’s documentation and \nassessment of the effectiveness of the Company’s ICFR continues as of the date of this MD&A with the focus on processes and controls in areas \nidentified as being “key risks”.", + "page_start": 62, + "page_end": 62, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\n**Deferred tax assets**\n**and liabilities**\nDeferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis \nof assets and liabilities under the “balance sheet” approach which will result in the recognition of additional \ndeferred tax assets and liabilities. \n\n**Defined benefit**\n**superannuation surplus**\n**and deficits**\nDefined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position \nand the changes in these values each period will be recognised either directly in the statement of financial \nperformance, progressively using a “corridor” approach or directly in retained earnings. The effective date of this \nstandard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. \n\n**Restoration liabilities**\n\nRestoration liabilities will be discounted to present value and capitalised as a component part of capitalised \nexploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised \nover the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the \nliability unwinds. \n\n**Functional currency**\n\nThe majority of the controlled entities within the Santos Group that have petroleum operations in foreign \njurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in \nthe net assets of those foreign controlled entities to be translated from their US dollar functional currency to \nAustralian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this \naccounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. \n\n**Equity-based payments**\n\nUnder A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including \nshares and options) will be measured based on the fair value of those instruments and amortised to the profit and \nloss over the vesting period. \n\n**Exploration and**\n**evaluation expenditure**\n\nThere is no International Financial Reporting Standard (“IFRS”) which comprehensively deals with the accounting \nand reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies \noperating in the extractive industries will be required to determine their own accounting policy for accounting for \nexploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework \ndefinition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed \nunless they lead to a successful discovery of economic value. \n\nPending the completion of a comprehensive project on accounting for extractive industries, AASB 6 “Expenditure for \nand Evaluation of Mineral Resources” was issued in December 2004 to facilitate the introduction of A-IFRS in \nrespect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to \nIFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in \neach area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an \nasset so long as the following conditions are satisfied: \n\n(a) the rights to tenure of the area of interest are current; and \n\n(b) at least one of the following conditions is also met: \n\n(i) the exploration and evaluation expenditures are expected to be recouped through successful development \nand exploitation of the area of interest, or alternatively, by its sale; or", + "page_start": 88, + "page_end": 88, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "(cid:129)*IAS 36,*\n\n*Impairment of Asset (IAS 36)*– In May 2013, the IASB \namended IAS 36 to clarify the circumstances in which the recoverable \namount of assets or cash-generating units is required to be disclosed, \nto clarify the disclosures required, and to introduce an explicit \nrequirement \nrate used in determining \nimpairment (or reversals) where the recoverable amount (based on \nfair value less costs of disposal) is determined using a present value \ntechnique. The amendments are effective for annual periods \nbeginning on or after \nJanuary 1, 2014, with early adoption \npermitted. We early adopted this policy as of January 1, 2013 and \nmade the required disclosures. \n\nto disclose the discount \n\n**New Accounting Standards**\nWe adopted the following new accounting standards effective \nJanuary 1, 2013, of which none had a material impact on prior periods. \n(cid:129)*IFRS 10, Consolidated Financial Statements (IFRS 10) –*As a result of \nthe adoption of \nIFRS 10, we have changed our approach to \ndetermining whether we have control over and consequently whether \nwe consolidate our investees. IFRS 10 introduces a new control model \nthat is applicable to all investees. Among other things, it requires the \nconsolidation of an investee if we control the investee on the basis of \nde facto circumstances. In accordance with the transitional provisions \nof IFRS 10, we re-assessed the control conclusion for our investees at \nJanuary 1, 2013. We made no changes in the current or comparative \nperiod as a result of this assessment. \n\n**Recent Accounting Pronouncements**\nWe are required to adopt the following revised accounting standards on \nor after January 1, 2014. We are assessing the impact of adopting these \nrevised standards on our 2014 interim and consolidated financial \nstatements. \n(cid:129)*IAS 32, Financial*\n\n(cid:129)*IFRS 11, Joint Arrangements (IFRS 11) –*As a result of the adoption of \nIFRS 11, we have changed how we evaluate our interests in joint \narrangements. Under IFRS 11, we classify our interests in joint \narrangements as either joint operations or joint ventures depending \non our right to the assets and obligations for the liabilities of the \narrangements. When making this assessment, we consider \nthe \nstructure of \nform of any separate \nvehicles, the contractual terms of the arrangements and other facts \nthe arrangements, the legal \n\n*Instruments: Presentation (IAS 32)*– In December \n2011, the IASB amended IAS 32 to clarify the meaning of when an \nentity has a current \nset-off. The \namendments are effective for annual periods beginning on or after \nJanuary 1, 2014 and are required to be applied retrospectively. We \ndo not expect this to have a significant impact on our consolidated \nfinancial statements. \n\nlegally enforceable right of \n\n(cid:129)*IAS 39, Financial Instruments: Recognition and Measurement (IAS 39)*\n– In June 2013, the IASB amended IAS 39 to provide relief from \ndiscontinuing an existing hedging relationship when a novation that \nwas not contemplated in the original hedging documentation meets \nspecific criteria. The amendments are effective for annual periods \nbeginning on or after January 1, 2014 and are required to be applied", + "page_start": 84, + "page_end": 84, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**Year ended 31 December**\n\n**Parent Entity**\n**Assets**\nCurrent assets \nInvestment in subsidiaries \nDeferred tax assets \nRelated party note receivable \nTotal assets \n**Liabilities**\nCurrent liabilities \nTotal Liabilities \nTotal net assets \n**Equity**\nIssued capital \nShare options reserve \nForeign currency translation \nRetained earnings (loss) \nTotal equity \n**Financial Performance**\nProfit/(loss) for the year \nOther comprehensive income \n**Total profit or loss and other comprehensive income**\n\n**2014**\n**US$’000** **2013**\n**US$’000**\n\n 9,108 \n 159,606 \n3,998 \n 112,481 \n 285,193 1,962 \n 173,633 \n2,303 \n 40,537 \n 218,435 \n\n 34 \n 34 \n 285,159 425 \n 425 \n 218,010 \n\n306,853 \n386 \n(30,539) \n 8,459 \n 285,159 237,008 \n386 \n(20,509) \n 1,125 \n 218,010 \n\n 7,334 \n (10,030) \n (2,696) 275 \n (31,307) \n (31,032)", + "page_start": 103, + "page_end": 103, + "source_file": "ASX_SEA_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed12.pdf", + "query": "What was the muscle volume of the knee flexors of the 2024 word's strongest man ?", + "target_page": 7, + "target_passage": "Knee flexors 3,060 ", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "0 1000 2000 3000 4000 5000 \n\n**QF volume (cm3)**\n\nFigure 4. Quadriceps femoris (QF; A), \nvastus medialis (VM; B), vastus lateralis \n(VL; C), vastus intermedius (VI; D), and rec- \ntus femoris (RF; E) muscle volume of a \nWorld’s Strongest Man and deadlift cham- \npion (WSM) compared with long-term re- \nsistance-trained (n ¼ 16, from the work by \nMaden-Wilkinson et al. \n(10)], elite sprint \nrunners [n ¼ 5, from the work by Miller \net al. (13)], subelite sprint runners [n ¼ 26, \nfrom the work by Miller et al. (13)], and \nuntrained control populations [n ¼ 102, \npooled population from the works by \nMiller et al. (13) (n ¼ 11), Balshaw et al. (11) \n(n ¼ 52), and Balshaw et al. (14) (pretest \ndata n ¼ 39)]. \n\n**B** **C**\n\nWSM \n\nLong-term resistance-trained \n\n**D**\n\n0 200 400 600 800 1000 1200 0 200 400 600 800 1000 1200 1400 1600 \n\n**VM volume (cm3)** **VL volume (cm3)**\n\n**E**\n\nWSM \n\nLong-term resistance-trained \n\nElite sprint runners \n\nSub-elite sprint runners \n\nUntrained control \n\n0 200 400 600 800 1000 1200 1400 0 100 200 300 400 500 600 \n\n**VI volume (cm3)** **RF volume (cm3)**\n\nflexors, potentially placing a higher demand on the contract- \nile apparatus than for running and jumping tasks. \n\nConsidering individual muscles/compartments, the mus- \ncular development of the WSM was distinctly nonuniform. It \nis striking that the largest muscles relative to the untrained \ncontrol population were the three “guy ropes” (sartorius, gra- \ncilis, and semitendinosus: þ 140–202%). These three muscles \nprovide stability to the pelvis and femur by having origins at \ndiverse points around the pelvis while sharing a common \ninsertion onto the anteromedial tibia [via pes anserinus, the \nconjoined tendons of these three muscles (39)]. Large guy \nrope muscles likely enhance stabilization of the femur and \npelvis and would be expected to be critical during heavy \nweight-bearing tasks. In contrast, the WSM’s five smallest \nmuscles (relative to untrained controls) consisted of two hip \nflexors (iliopsoas and RF) and two monoarticular knee flexors; \nactions that appear far less important for lifting, carrying, and \npulling tasks. \n\nAlthough it was anticipated that the WSM would possess a \nlarger total lower-body muscle volume/mass than untrained \ncontrols and other athletic/trained groups we have previ- \nously measured, the magnitude and pattern of the differen- \nces were unknown. The results indicated that the total \nvolume of the measured muscles was almost twice that of av- \nerage untrained participants and 32–63% larger than subelite \nand elite sprinters. Pronounced development of the anti- \ngravity muscles (i.e., hip extensors, knee extensors, and plan- \ntar flexors) was perhaps not that surprising given the WSM’s \nbackground in heavy lifting events (including being a double \ndeadlift world champion and record holder). However, the \nhip flexors appear less important in these tasks, possibly \nexplaining their more modest size, which was inferior to that \nof three elite 100-m sprinters we have previously assessed. \nThe WSM’s plantar flexors were particularly large relative to \nuntrained controls ( þ 120%). This could be due to the plan- \ntar flexors being the smallest of the antigravity muscle \ngroups that may experience very high mechanical stress \nand, thus, a pronounced adaptive stimulus during heavy lift- \ning, carrying, and pulling tasks. Furthermore, the very heavy \nand, therefore, low-velocity nature of these tasks may limit \nthe contribution of the stretch-shortening cycle and tendon \nrecoil to the positive/concentric work done by the plantar \n\nThe WSM’s quadriceps volume and patellar \n\ntendon \nmoment arm were both greater than that of untrained con- \ntrols and indeed any individual we have previously measured. \nHowever, \nrelative to the \nuntrained controls, was noticeably larger for quadriceps femo- \nris volume (greater than or equal to twice as large) than for \n\nthe magnitude of difference,", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed12.pdf" + }, + { + "text": "| Table 1. Descriptive characteristics of a World’s Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data | |\n|---|---|\n| n Age, yr Height, m Body Mass, kg Source of Comparative Data | |\n| WSM Overall muscle morphology Elite sprint runners Subelite sprint runners Untrained controls Quadriceps femoris muscle morphology Long-term resistance-trained Untrained controls Hamstrings muscle morphology Long-term resistance-trained Untrained controls Patellar tendon CSA and moment arm Long-term resistance-trained Untrained controls | 1 30.6 1.90 172.0 5 27.4 ± 4.1 1.83 ± 0.06 86.4 ± 6.7 Miller et al. (13) 26 22.0 ± 2.2 1.78 ± 0.06 75.4 ± 7.3 11 25.8 ± 2.6 1.80 ± 0.08 75.2 ± 5.6 16 22 ± 2 1.83 ± 0.06 91 ± 10 Maden-Wilkinson et al. (10) 102 25 ± 3 1.78 ± 0.08 73 ± 10 Pooled sample from Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 91 ± 10 Unpublished observations from the sample in Maden-Wilkinson et al. (10) 50 26 ± 4 1.79 ± 0.08 75 ± 11 Pooled sample from Miller et al. (13) (n ¼ 11) and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 90 ± 10 Massey et al. (15) 39 25 ± 2 1.76 ± 0.06 72 ± 9 |\n\n\ninferior to the patellar tendon’s inferior insertion. Patellar \ntendon CSA was measured in each contiguous image along \nthe length of the tendon (i.e., from the first image where the \npatella was no longer visible to the final image before the tib- \nial insertion). The axial images of the patellar tendon were \nviewed in grayscale, sharpened, and the perimeter manually \noutlined. The average of all measured axial patellar tendon \nCSAs was calculated to produce a mean tendon CSA (mm2) \nfor each leg. The moment arm length of the patellar tendon \nfor each leg was estimated from sagittal plane images as the \nperpendicular distance from the patellar tendon to the mid- \npoint of tibiofemoral contact (17). \ntibialis anterior, extensor digitorum longus, and extensor hal- \nlucis longus. The lateral shank compartment included the \nperoneus longus and brevis. The deep posterior compartment \nconsisted of plantaris, tibialis posterior, flexor digitorum lon- \ngus, and flexor hallucis longus. All muscles were manually \nsegmented in every other image (i.e., every 20 mm) starting \nfrom the most proximal image in which the muscle appeared, \nexcept the tensor fasciae latae, gluteus medius and minimus \n(combined), and popliteus, which were manually segmented \nin every slice (i.e., every 10 mm) due to their short length. The \nvolume of each individual muscle (Vm) was calculated using \npreviously outlined methods (16) as follows: \n\nFollowing an (cid:6)10-min self-selected whole body loaded \nbarbell-based warm-up and three submaximum warm-up \nCMJs performed with (cid:6)50% of perceived maximum effort, \nthe WSM performed three maximal effort CMJs, with 30 s of \nrest between jumps, on a portable Kistler force plate (Quattro \nJump, Type 9290AD, Kistler, Switzerland), interfaced with a \npersonal computer. Prior to all jumps, the participant was \ninstructed to stand still on the force plate in an upright pos- \nture with their arms by their sides. Sampling was initiated \nwhen they provided an indication they were ready to begin, \nand after a 2-s pause to collect the force due to body mass \nand a 3-s countdown, the participant performed a CMJ for \nmaximal height, with arm movement and the depth of coun- \ntermovement self-selected by the participant. The Quattro \njump device records vertical ground reaction force at a sam- \npling frequency of 500 Hz and calculates jump height and \npeak power using integration/double integration of the force \nsignal (Quattro jump software, type 2822A1-1, version 1.1.1.4) \nto derive velocity (multiplied by force to calculate power) \nand displacement (jump height). \n\nXn(cid:5)1 \nh \nVm ¼ ðAmi þ Ami þ 1Þ \n2 \ni¼1", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed12.pdf" + }, + { + "text": "| control participants | |\n|---|---|\n| Muscle Group/Muscle or Compartment | Muscle Volume, cm3 |\n| | WSM Elite Sprinters (n 5 5) Subelite Sprinters (n 5 26) Untrained (n 5 11) |\n| All muscles Hip flexors Hip extensors Knee flexors Knee extensors Plantar flexors Iliopsoas Sartorius Tensor fasciae latae Adductor magnus Gracilis Gluteus maximus Gluteus medius and minimus Rectus femoris Vastus lateralis Vastus intermedius Vastus medialis Semimembranosus Semitendinosus Biceps femoris long head Biceps femoris short head Popliteus Lateral gastrocnemius Medial gastrocnemius Soleus Anterior compartment Lateral compartment Posterior compartment | 14,922 11,323 ± 1,328 9,164 ± 1,207 7,628 ± 1,548 1,704 1,620 ± 200 1,314 ± 216 1,031 ± 151 4,724 4,002 ± 489 3,029 ± 422 2,257 ± 220 3,060 2,304 ± 178 1,859 ± 301 1,460 ± 196 4,386 3,218 ± 400 2,636 ± 401 2,202 ± 315 1,888 1,112 ± 181 943 ± 156 860 ± 172 681 702 ± 97 618 ± 101 514 ± 75 429 306 ± 46 209 ± 50 142 ± 25 142 135 ± 41 86 ± 25 73 ± 24 1,334 1,056 ± 83 828 ± 128 624 ± 81 235 180 ± 37 142 ± 37 98 ± 23 1,980 1,797 ± 376 1,257 ± 197 931 ± 108 1,172 626 ± 129 575 ± 97 583 ± 76 453 476 ± 45 401 ± 78 303 ± 55 1,508 1,132 ± 180 925 ± 156 743 ± 98 1,336 962 ± 145 789 ± 140 680 ± 115 1,088 649 ± 97 521 ± 79 476 ± 111 392 359 ± 60 327 ± 59 262 ± 18 563 449 ± 70 350 ± 79 219 ± 39 454 340 ± 31 267 ± 47 221 ± 42 135 167 ± 26 131 ± 34 110 ± 28 27 23 ± 5 17 ± 5 19 ± 6 310 202 ± 34 170 ± 37 156 ± 41 515 300 ± 38 262 ± 58 251 ± 52 1,063 610 ± 137 510 ± 76 453 ± 95 445 302 ± 59 273 ± 47 291 ± 47 253 147 ± 32 161 ± 42 153 ± 35 406 401 ± 76 345 ± 71 326 ± 93 |\n\n\nIndividual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the \nindividual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM (n ¼ 1). Untrained \ncontrol participants from Miller et al. (13). \n\nassessed (Fig. 5B). BFsh volume (135 cm3) of the WSM was a \nmodest 26% greater than that of our pool of untrained control \nparticipants (107 ± 31 cm3; Fig. 5E) but smaller than that of \nboth long-term resistance-trained individuals ((cid:5)1%; 136 ± 27 \ncm3) and elite sprinters ((cid:5)19%; 167 ± 26 cm3; Fig. 5E). \n\nPatella Tendon Cross-Sectional Area and Moment Arm \n\nThe patellar tendon mean CSA of the WSM (133.8 mm2) was \nlarger than that of average untrained ( þ 30%; 103.2 ± 12.5 \nmm2) and long-term resistance-trained individuals ( þ 27%; \n105.4 ± 13.0 mm2; Fig. 6A) but was smaller than the largest \nindividual we have measured from these groups (149.5 mm2). \nThe WSM’s patellar tendon moment arm (51.5 mm) was also \nlarger than that of average untrained ( þ 18%; 43.8 ± 2.7 mm) \nor long-term resistance-trained groups ( þ 12%; 45.8 ± 2.5 mm; \nFig. 6B) as well as being 3% greater than the highest individ- \nual moment arm we have previously assessed within these \ngroups (49.9 mm).", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed12.pdf" + }, + { + "text": "and net) and CMJ power values previously reported by 54%, \n100%, and 164%, respectively. The WSM had overall lower- \nbody muscularity approximately twice that of untrained con- \ntrols ( þ 96%) and 32% greater than that of elite 100-m sprint- \ners. However, there was substantial anatomical variability in \nthe magnitude of the differences, ranging from the plantar \nflexors ( þ 120% vs. untrained) to the hip flexors ( þ 65% vs. \nuntrained). Similarly, some specific muscles, such as the guy \nrope muscles that stabilize the femur and pelvis, were 2.5–3.0 \ntimes the volume of untrained individuals (gracilis þ 140%, \nsemitendinosus þ 157%, and sartorius þ 202%) but others dis- \nplayed more marginal differences (BFsh þ 23%, iliopsoas \nþ 32% vs. untrained). Considering the knee extensors, the \nWSM had both quadriceps femoris volume greater than or \nequal to twofold that of untrained controls and a greater pa- \ntella tendon moment arm than we have previously measured \n( þ 18% vs. untrained), which would be expected to combine \nto facilitate extraordinary strength. Furthermore, despite the \nWSM’s extremely large quadriceps femoris, their patellar ten- \ndon CSA was only 30% greater than that of untrained controls \nand not outside the range of tendons we have previously \nassessed. The results of this study provide novel insights into \nthe muscle and tendon characteristics, as well as the strength \nand power capabilities, of an extraordinarily strong individual \nthat may be toward the upper limit of human variation in \nthese characteristics. \n\nDISCUSSION \n\nThis study is the first to document the lower-body muscle \nand tendon morphology of a World’s Strongest Man and \ndeadlift champion (i.e., an exceptionally strong individual), \nand these are presented alongside functional whole body \nassessments, which exceeded the highest IMTP force (gross \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed12.pdf" + }, + { + "text": "J Appl Physiol 137: 789–799, 2024. \nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024 \n\n| RESEARCH ARTICLE | |\n|---|---|\n| RESEARCH ARTICLE | |\n\n\nMuscle and tendon morphology of a world strongman and deadlift champion \n\nThomas G. Balshaw,1 Garry J. Massey,1,2 \nThomas M. Maden-Wilkinson,6 and \n\nRobert Miller,1,3,4 Emmet J. McDermott,1,5 \n\nJonathan P. Folland1 \n\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2College of Life \nand Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3UK Athletics, Loughborough University, \nLoughborough, United Kingdom; 4Department of Sport Science, Aspire Academy, Doha, Qatar; 5Department of Physical \nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and 6Academy of Sport and Physical Activity, Faculty \nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom \n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T \nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec- \ntional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The \nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature \n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than \nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls \n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group ( þ 120%) and the \nguy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the \nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs. \nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT \nCSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, \nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited \ndistinct anatomical variability and with muscle size largely uncoupled from tendon size. \n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the \nextent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differen- \nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten- \ndon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%). \n\nisometric force; magnetic resonance imaging; power; strength \n\nINTRODUCTION \nhealthy aging (5). However, our knowledge of extreme human \nstrength is limited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed12.pdf" + }, + { + "text": "sprinters (3,218 ± 400 cm3; Fig. 4A). Moreover, the WSM’s \nquadriceps femoris was 18% larger than the most muscular \nindividual we have previously assessed (elite sprinter: 3,716 \ncm3). The volumes of the individual vasti muscles of the WSM \n(VL: 1,508 cm3; VI: 1,336 cm3; VM: 1,088 cm3) were 130–138% \nlarger than untrained controls (VL: 633 ± 117 cm3; VI: 581 ± 120 \ncm3; VM: 461 ± 89 cm3) and also greater than any trained/ath- \nletic individual we have previously assessed (Fig. 4, B–D). \nHowever, the WSM’s RF (453 cm3) was not quite so large, being \n76% greater than untrained controls (257 ± 57 cm3) but smaller \nthan the average elite sprinter ((cid:5)5%; Fig. 4E), 13% greater than \nsubelite sprinters, and 21% greater than long-term resistance- \ntrained individuals. \n\nCompared with untrained control participants (n ¼ 11), \nall 22 of the WSM’s individual muscles/compartments \nwere larger than untrained controls (Table 2 and Fig. 3). \nHowever, the differences in muscle volume were extremely \nvariable, with the biggest differences being for the “guy \nropes,” which were 2.5–3.0 times that of untrained controls \n( þ 140% gracilis; þ 157% ST; þ 202% sartorius), compared \nwith more modest differences such as 23% (BFsh) and 32% \n(iliopsoas) greater. \n\nOverall hamstring volume of the WSM (1,545 cm3) was \n109% greater than a large pooled population of untrained con- \ntrols (739 ± 142 cm3; n ¼ 50), 44% greater than subelite sprint- \ners (1,075 ± 178 cm3), 53% greater than long-term resistance- \ntrained individuals (1,011 ± 142 cm3), and 17% greater than elite \nsprinters (1,315 ± 130 cm3; Fig. 5A). The WSM’s hamstring vol- \nume was also marginally larger ( þ 3%) than the most muscu- \nlar individual we have previously assessed (subelite sprinter, \n1,495 cm3). The ST (563 cm3) and BFlh (454 cm3) volumes of \nthe WSM were 132–182% larger than that of the pooled popula- \ntion of untrained controls (ST: 200 ± 48 cm3; BFlh: 196 ± 47 \ncm3; Fig. 5, C and D) and greater than the mean of any \ntrained/athletic group we have previously assessed (Fig. 5, C \nand D). SM (392 cm3) volume of the WSM was 66% greater \nthan untrained controls (SM 236 ± 46 cm3) and greater than \nthe mean for trained/athletic groups we have previously \n\nQuadriceps Femoris and Hamstring Size \n\nOverall quadriceps femoris volume of the WSM (4,386 cm3) \nwas 127% greater than a large, pooled population of untrained \ncontrols (1,932 ± 336; n ¼ 102), 66% greater than subelite sprint- \ners (2,636 ± 401 cm3), 53% greater than long-term resistance- \ntrained individuals (2,876 ± 311 cm3), and 36% greater than elite \n\n794 J Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed12.pdf" + }, + { + "text": "Xn(cid:5)1 \nh \nVm ¼ ðAmi þ Ami þ 1Þ \n2 \ni¼1 \n\nwhere Am represents the muscle CSA calculated from each \nimage, i is the image number, n is the total number of \nimages, and h is the distance between images. The volume of \nfive functional muscle groups was calculated as the sum \nof the following muscles: hip extensors (gluteus maxi- \nmus, adductor magnus, BFlh, SM, and ST), hip flexors \n(iliopsoas, RF, sartorius, and tensor fasciae latae), knee \nextensors (RF, VI, VM, and VL), knee flexors (gracilis, \nBFlh and BFsh, SM, ST, sartorius, popliteus, and medial \nand lateral gastrocnemius), and plantarflexors (medial \nand lateral gastrocnemius and soleus). The sum of all the \nmeasured lower-body muscles was also quantified as the \nvolume of “all muscles.” \n\nOnce muscle MRI scanning had been completed, a flex \ncoil (GE Medical) was used to acquire unilateral T1-weighted \naxial (time of repetition/time to echo 650/9.476 ms, image \nmatrix 512 (cid:3) 512, field of view 180 (cid:3) 180 mm, pixel size \n0.3516 (cid:3) 0.3516 mm, slice thickness 2 mm, and interslice gap \n0 mm) and sagittal images (time of repetition/time to echo \n606/9.512 ms, image matrix 512 (cid:3) 512, field of view 180 (cid:3) 180 \nmm, pixel size 0.3516 (cid:3) 0.3516 mm, slice thickness 2 mm, \nand interslice gap ¼ 0 mm) from both knee joints. The axial \nimages were obtained perpendicular to the line of the tendon \nfrom (cid:6)2 cm superior to the apex of the patella to (cid:6)2 cm \n\nIsometric Midthigh Pull \n\nIMTP contractions were performed within an isometric \nrig consisting of a base plate with stainless steel uprights \n(ESP Fitness, Loughborough, UK), which facilitated barbell \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org 791", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed12.pdf" + }, + { + "text": "Although the current investigation provides a detailed \nassessment of an individual at/toward the upper limit of \nhuman strength performance, it is important to appreciate \nstudy limitations. First, the participant was not measured im- \nmediately before their World’s Strongest Man championship \nsuccess or other landmark performances, and it is entirely pos- \nsible the functional and structural characteristics we assessed \nmay have been even higher directly prior to peak performan- \nces. Despite using a wide-bore MRI scanner, due to the size of \nthe WSM’s shoulders and arms, it was not possible to scan their \nupper body. Thus, we were not able to investigate this aspect of \nthe WSM’s muscle morphology; although given that greater hy- \npertrophy occurs in the upper body compared with the lower \nbody (42), it is possible that the WSM’s upper-body muscle size \nrelative to untrained controls may have been even more pro- \nnounced than what we have documented for the lower body. \nIn the current study to provide the most representative data on \nuntrained control participants, the largest available untrained \ncontrol populations were used for each category of measure- \nments. Thus, different untrained control populations were \nused [e.g., comparison of quadricep and hamstring size (n ¼ \n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to \nsome subtle discrepancies in the contrasts between these \ngroups and the WSM [e.g., quadriceps femoris/knee extensors, \nþ 127% and þ 99% relative to our large pooled (n ¼ 102) and \nsmaller (n ¼ 11) untrained control samples, respectively]. \nImportantly, however, this discrepancy does not appear to \nmeaningfully affect the interpretation of the findings. There \nwere subtle differences in the precise scanning and analysis \napproaches used with the reference populations featured in \nthis study, including 1) magnetic field strength [1.5 T (10, 11, 15) \nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to \nquantify quadriceps femoris and hamstrings muscle volume \n[1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation \nof muscle volume [area under the cubic spline ACSA-muscle \nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM \nand (13)]; and 4) the use of unilateral MRI measures derived \nfrom one limb (10, 11, 14, 15) or collapsed across two limbs \n[WSM and (13)]. However, it seems likely that these subtle dif- \nferences would have had at most a very minor effect on the \nfindings. Finally, it is also important to highlight that the differ- \nences documented between the WSM and comparative popula- \ntions for the various measures included in the current study \ncannot be assumed to be anything other than a combination of \nboth innate (genetic) and environmental (training and nutri- \ntion) factors. \n\n5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: \nthe importance of skeletal muscle strength for healthy ageing. \nBiogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7. \nKraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, \nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh \nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body com- \nposition in elite strongman competitors. J Strength Cond Res 34: \n3326–3330, 2020. doi:10.1519/jsc.0000000000003763. \nAbe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser \nJG, Loenneke JP. Skeletal muscle mass in human athletes: what is \nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ \najhb.23102. \n\n6. \n\nConclusions \n\nIn conclusion, this novel investigation documented the \nmuscle and tendon morphology and whole body strength \nand power characteristics of an exceptionally strong individ- \nual, relative to comparative athletic, trained, and untrained \n\n798 J Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed12.pdf" + }, + { + "text": "0 300 \n600 \n900 \n1200 \n**HAMS volume (cm3)**\n\n**B** **C**\n\nWSM \n\nLong-term resistance-trained \n\nElite sprint runners \n\nSub-elite sprint runners \n\nUntrained control \n\n0 100 200 300 400 500 600 \n\n**SM volume (cm3)**\n\n1500 1800 \n\nFigure 5. Overall hamstrings (HAMS; A), \nsemimembranosus (SM; B), semitendino- \nsus (ST; C), biceps femoris long head \n(BFlh; D), and biceps femoris short head \n(BFsh; E) muscle volume of a World’s \nStrongest Man and deadlift champion \n(WSM) compared with long-term resist- \nance trained [n ¼ 16, from the work by \n(10)], elite sprint \nMaden-Wilkinson et al. \nrunners [n ¼ 5, from the work by Miller et \nal. (13)], subelite sprint runners [n ¼ 26, \nfrom the work by Miller et al. (13)], and \nuntrained control populations [n ¼ 50, \npooled population from the works by \nMiller et al. (13) (n ¼ 11) and Balshaw et al. \n(14) (pretest data n ¼ 39)]. \n\n0 100 200 300 400 500 600 \n\n**ST volume (cm3)**\n\n**D** **E**\n\nWSM \n\nLong-term resistance-trained \n\npatellar tendon moment arm ( þ 18%). Therefore, of these two \nkey strength determinants, muscle size, rather than joint lever- \nage, appeared to be the predominant factor responsible for the \nWSM’s extraordinary strength. Indeed, when we previously \ncompared the muscle morphology and joint mechanics of indi- \nviduals with distinct maximum strength capacity (long-term \nresistance-trained individuals vs. untrained controls), muscle \nsize was the primary factor separating the groups with much \nmore subtle differences in moment arm (10). The extreme \nexample of muscle size provided by the WSM’s quadriceps femoris also gave the opportunity to investigate the scaling of \ntendon size to muscle size; extreme muscular size (greater \nthan or equal to twice that for untrained controls) might be \nexpected to be accompanied by comparable tendinous tissue \nsize to effectively transmit high muscular forces to the skele- \nton. However, the WSM’s patellar tendon CSA was only 30% \nlarger than untrained controls and within the range of indi- \nviduals we have previously measured (Fig. 6A). This obser- \nvation supports the notion that tendon structure may be \nlargely fixed by adulthood (40), with only slow/limited \n\n**A** **B**\n\nFigure 6. Patellar tendon mean cross-sec- \ntional area (A) and patellar tendon moment \narm (B) of a World’s Strongest Man and \ndeadlift champion (WSM) compared with \nlong-term resistance trained [n ¼ 16, from \nthe work by Massey et al. (15)] and untrained \ncontrol populations [n ¼ 39, from the work \nby Massey et al. (15)]. \n\nWSM \n\nUntrained control \n\n30 35 40 45 50 55 \n60 \n**Patellar tendon cross-sectional area (mm2)**\n160 \n**Patellar tendon moment arm (mm)**", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed12.pdf" + }, + { + "text": "supplement consumption included protein, branched-chain \namino acids, and electrolytes. \n\npredictions of skeletal muscle mass nor dual-energy X-ray \nabsorptiometry provides detailed information on the size of \nspecific individual muscles. Given the known importance of \nmuscle size as a determinant of muscular strength (9–11), pro- \nnounced muscle size seems likely to be critical to extreme \nthe specific muscle size of \nhuman strength; however, \nextremely strong individuals remains unknown. Similarly, a \nlarge moment arm (e.g., of the patella tendon at the knee joint) \ncould contribute to the expression of high muscular strength \n(10, 12), and a large tendon may mitigate the mechanical stress \nit experiences with very high muscular loads, and therefore, \nthese characteristics may also be expected in individuals \nselected for exceptional strength. \n\nOverview \n\nThe WSM reported for a single test session that involved \nthe following assessments (listed in order): axial T1 weighted \n3.0-T MRI scans from T12 to the lateral malleolus [to assess \nmuscle size throughout the lower body (left and right sides)], \naxial and sagittal T1-weighted MRI scans of both knees [to \nassess patellar tendon cross-sectional area (CSA) and patellar \ntendon moment arm], maximum countermovement jumps \n(CMJ), and maximum isometric midthigh pulls (IMTPs). The \nmuscle size, patellar tendon CSA, and patellar tendon \nmoment arm of the WSM were compared with various popu- \nlations measured within our laboratory, as indicated in \nTable 1, alongside participant descriptives (10, 11, 13–15). In \naddition, the IMTP and CMJ measures were compared with \nexisting published literature (included studies are summar- \nized in Supplemental Materials 1 and 2, alongside participant \ndescriptives). \n\nIn this paper, we present the findings from a unique op- \nportunity to examine the laboratory function, muscle size, \nand distribution of muscle mass, as well as patellar tendon \nsize and moment arm, of a World’s Strongest Man and dead- \nlift champion (WSM) in comparison with existing data on \nuntrained individuals, power athletes (100-m-track sprint- \ners), and long-term resistance-trained populations that we \nhave assessed previously (10, 11, 13–15). \n\nMRI Measurement of Muscle Tendon Unit Morphology \nand Moment Arm \nMATERIALS AND METHODS \n\nParticipant \n\nThe WSM’s achievements included one World’s Strongest \nMan title (14 mo prior to measurement), five Britain’s \nStrongest Man titles (the most recent 6 mo prior to measure- \nment), twice being World Deadlift Champion and Deadlift \nWorld Record holder (500 kg; at the time of measurement), \nand second place at Europe’s Strongest Man. Prior to agreeing \nto participate, the purpose of the research study and the test- \ning procedures were explained to the participant along with \nthe risks and benefits of taking part. The participant gave his \nwritten informed consent to participate in the study that was \napproved by the Loughborough University Ethical Advisory \nCommittee (Ethics Number R18-P090). Included in the writ- \nten consent was a statement providing permission for publi- \ncation of the collected data and the likelihood that their \nidentity may be evident based on their achievements and \ncharacteristics, despite anonymization.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed12.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed12.pdf", + "query": "What are the nutritionnal added components to the word's strongest man regime ?", + "target_page": 2, + "target_passage": "The WSM’s nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes", + "chunk_present": { + "presence": true, + "index": 5 + } + }, + "top_chunk": [ + { + "text": "isometric force; magnetic resonance imaging; power; strength \n\nINTRODUCTION \nhealthy aging (5). However, our knowledge of extreme human \nstrength is limited. \n\nTo date, there is little scientific information on the charac- \nteristics of extremely strong humans in terms of laboratory- \nbased tests of strength and power, particularly the size and dis- \ntribution of their muscle mass, as well as tendon size and joint \nmechanics (moment arm). Kraemer et al. (6) examined the \nbody composition of elite strongman competitors using dual- \nenergy X-ray absorptiometry scanning and found that they \nhad a body mass (153 ± 19 kg) and lean mass (118 ± 12 kg) \napproximately twice that of an average untrained healthy \nyoung man. Whole body skeletal muscle mass of athletes from \nstrength- and power-based sports has also been estimated \nusing ultrasound measurements at a limited number of ana- \ntomical locations (7, 8). However, neither ultrasound-derived Feats of strength have fascinated man since the early stages \nof human civilization, as shown by the archeological evidence \nof inscribed heavy stones at Olympia and Thera in Greece, \ndated to the 6th century BC, detailing the way they were lifted \nby Bybon and Eumastus, respectively (1). Over the centuries, \nmany types of strength competitions have existed; some of \nwhich have been codified and endured within modern sport- \ning competitions (e.g., weightlifting, powerlifting, and shot \nput). In addition, professional strongman competitions, such \nas the annually contested “World’s Strongest Man” event, \ngenerate extensive global interest (2). Moreover, scientific \nunderstanding of muscular strength is important because of \nits role in athletic performance (3), injury prevention (4), and \n\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk). \nSubmitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024 \n\n8750-7587/24 Copyright © 2024 The Authors. Licensed under Creative Commons Attribution CC-BY 4.0. \nPublished by the American Physiological Society. \nwww.jappl.org", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed12.pdf" + }, + { + "text": "and net) and CMJ power values previously reported by 54%, \n100%, and 164%, respectively. The WSM had overall lower- \nbody muscularity approximately twice that of untrained con- \ntrols ( þ 96%) and 32% greater than that of elite 100-m sprint- \ners. However, there was substantial anatomical variability in \nthe magnitude of the differences, ranging from the plantar \nflexors ( þ 120% vs. untrained) to the hip flexors ( þ 65% vs. \nuntrained). Similarly, some specific muscles, such as the guy \nrope muscles that stabilize the femur and pelvis, were 2.5–3.0 \ntimes the volume of untrained individuals (gracilis þ 140%, \nsemitendinosus þ 157%, and sartorius þ 202%) but others dis- \nplayed more marginal differences (BFsh þ 23%, iliopsoas \nþ 32% vs. untrained). Considering the knee extensors, the \nWSM had both quadriceps femoris volume greater than or \nequal to twofold that of untrained controls and a greater pa- \ntella tendon moment arm than we have previously measured \n( þ 18% vs. untrained), which would be expected to combine \nto facilitate extraordinary strength. Furthermore, despite the \nWSM’s extremely large quadriceps femoris, their patellar ten- \ndon CSA was only 30% greater than that of untrained controls \nand not outside the range of tendons we have previously \nassessed. The results of this study provide novel insights into \nthe muscle and tendon characteristics, as well as the strength \nand power capabilities, of an extraordinarily strong individual \nthat may be toward the upper limit of human variation in \nthese characteristics. \n\nDISCUSSION \n\nThis study is the first to document the lower-body muscle \nand tendon morphology of a World’s Strongest Man and \ndeadlift champion (i.e., an exceptionally strong individual), \nand these are presented alongside functional whole body \nassessments, which exceeded the highest IMTP force (gross \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed12.pdf" + }, + { + "text": "J Appl Physiol 137: 789–799, 2024. \nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024 \n\n| RESEARCH ARTICLE | |\n|---|---|\n| RESEARCH ARTICLE | |\n\n\nMuscle and tendon morphology of a world strongman and deadlift champion \n\nThomas G. Balshaw,1 Garry J. Massey,1,2 \nThomas M. Maden-Wilkinson,6 and \n\nRobert Miller,1,3,4 Emmet J. McDermott,1,5 \n\nJonathan P. Folland1 \n\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2College of Life \nand Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3UK Athletics, Loughborough University, \nLoughborough, United Kingdom; 4Department of Sport Science, Aspire Academy, Doha, Qatar; 5Department of Physical \nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and 6Academy of Sport and Physical Activity, Faculty \nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom \n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T \nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec- \ntional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The \nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature \n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than \nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls \n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group ( þ 120%) and the \nguy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the \nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs. \nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT \nCSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, \nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited \ndistinct anatomical variability and with muscle size largely uncoupled from tendon size. \n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the \nextent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differen- \nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten- \ndon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%). \n\nisometric force; magnetic resonance imaging; power; strength \n\nINTRODUCTION \nhealthy aging (5). However, our knowledge of extreme human \nstrength is limited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed12.pdf" + }, + { + "text": "| Table 1. Descriptive characteristics of a World’s Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data | |\n|---|---|\n| n Age, yr Height, m Body Mass, kg Source of Comparative Data | |\n| WSM Overall muscle morphology Elite sprint runners Subelite sprint runners Untrained controls Quadriceps femoris muscle morphology Long-term resistance-trained Untrained controls Hamstrings muscle morphology Long-term resistance-trained Untrained controls Patellar tendon CSA and moment arm Long-term resistance-trained Untrained controls | 1 30.6 1.90 172.0 5 27.4 ± 4.1 1.83 ± 0.06 86.4 ± 6.7 Miller et al. (13) 26 22.0 ± 2.2 1.78 ± 0.06 75.4 ± 7.3 11 25.8 ± 2.6 1.80 ± 0.08 75.2 ± 5.6 16 22 ± 2 1.83 ± 0.06 91 ± 10 Maden-Wilkinson et al. (10) 102 25 ± 3 1.78 ± 0.08 73 ± 10 Pooled sample from Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 91 ± 10 Unpublished observations from the sample in Maden-Wilkinson et al. (10) 50 26 ± 4 1.79 ± 0.08 75 ± 11 Pooled sample from Miller et al. (13) (n ¼ 11) and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 90 ± 10 Massey et al. (15) 39 25 ± 2 1.76 ± 0.06 72 ± 9 |\n\n\ninferior to the patellar tendon’s inferior insertion. Patellar \ntendon CSA was measured in each contiguous image along \nthe length of the tendon (i.e., from the first image where the \npatella was no longer visible to the final image before the tib- \nial insertion). The axial images of the patellar tendon were \nviewed in grayscale, sharpened, and the perimeter manually \noutlined. The average of all measured axial patellar tendon \nCSAs was calculated to produce a mean tendon CSA (mm2) \nfor each leg. The moment arm length of the patellar tendon \nfor each leg was estimated from sagittal plane images as the \nperpendicular distance from the patellar tendon to the mid- \npoint of tibiofemoral contact (17). \ntibialis anterior, extensor digitorum longus, and extensor hal- \nlucis longus. The lateral shank compartment included the \nperoneus longus and brevis. The deep posterior compartment \nconsisted of plantaris, tibialis posterior, flexor digitorum lon- \ngus, and flexor hallucis longus. All muscles were manually \nsegmented in every other image (i.e., every 20 mm) starting \nfrom the most proximal image in which the muscle appeared, \nexcept the tensor fasciae latae, gluteus medius and minimus \n(combined), and popliteus, which were manually segmented \nin every slice (i.e., every 10 mm) due to their short length. The \nvolume of each individual muscle (Vm) was calculated using \npreviously outlined methods (16) as follows: \n\nFollowing an (cid:6)10-min self-selected whole body loaded \nbarbell-based warm-up and three submaximum warm-up \nCMJs performed with (cid:6)50% of perceived maximum effort, \nthe WSM performed three maximal effort CMJs, with 30 s of \nrest between jumps, on a portable Kistler force plate (Quattro \nJump, Type 9290AD, Kistler, Switzerland), interfaced with a \npersonal computer. Prior to all jumps, the participant was \ninstructed to stand still on the force plate in an upright pos- \nture with their arms by their sides. Sampling was initiated \nwhen they provided an indication they were ready to begin, \nand after a 2-s pause to collect the force due to body mass \nand a 3-s countdown, the participant performed a CMJ for \nmaximal height, with arm movement and the depth of coun- \ntermovement self-selected by the participant. The Quattro \njump device records vertical ground reaction force at a sam- \npling frequency of 500 Hz and calculates jump height and \npeak power using integration/double integration of the force \nsignal (Quattro jump software, type 2822A1-1, version 1.1.1.4) \nto derive velocity (multiplied by force to calculate power) \nand displacement (jump height). \n\nXn(cid:5)1 \nh \nVm ¼ ðAmi þ Ami þ 1Þ \n2 \ni¼1", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed12.pdf" + }, + { + "text": "0 1000 2000 3000 4000 5000 \n\n**QF volume (cm3)**\n\nFigure 4. Quadriceps femoris (QF; A), \nvastus medialis (VM; B), vastus lateralis \n(VL; C), vastus intermedius (VI; D), and rec- \ntus femoris (RF; E) muscle volume of a \nWorld’s Strongest Man and deadlift cham- \npion (WSM) compared with long-term re- \nsistance-trained (n ¼ 16, from the work by \nMaden-Wilkinson et al. \n(10)], elite sprint \nrunners [n ¼ 5, from the work by Miller \net al. (13)], subelite sprint runners [n ¼ 26, \nfrom the work by Miller et al. (13)], and \nuntrained control populations [n ¼ 102, \npooled population from the works by \nMiller et al. (13) (n ¼ 11), Balshaw et al. (11) \n(n ¼ 52), and Balshaw et al. (14) (pretest \ndata n ¼ 39)]. \n\n**B** **C**\n\nWSM \n\nLong-term resistance-trained \n\n**D**\n\n0 200 400 600 800 1000 1200 0 200 400 600 800 1000 1200 1400 1600 \n\n**VM volume (cm3)** **VL volume (cm3)**\n\n**E**\n\nWSM \n\nLong-term resistance-trained \n\nElite sprint runners \n\nSub-elite sprint runners \n\nUntrained control \n\n0 200 400 600 800 1000 1200 1400 0 100 200 300 400 500 600 \n\n**VI volume (cm3)** **RF volume (cm3)**\n\nflexors, potentially placing a higher demand on the contract- \nile apparatus than for running and jumping tasks. \n\nConsidering individual muscles/compartments, the mus- \ncular development of the WSM was distinctly nonuniform. It \nis striking that the largest muscles relative to the untrained \ncontrol population were the three “guy ropes” (sartorius, gra- \ncilis, and semitendinosus: þ 140–202%). These three muscles \nprovide stability to the pelvis and femur by having origins at \ndiverse points around the pelvis while sharing a common \ninsertion onto the anteromedial tibia [via pes anserinus, the \nconjoined tendons of these three muscles (39)]. Large guy \nrope muscles likely enhance stabilization of the femur and \npelvis and would be expected to be critical during heavy \nweight-bearing tasks. In contrast, the WSM’s five smallest \nmuscles (relative to untrained controls) consisted of two hip \nflexors (iliopsoas and RF) and two monoarticular knee flexors; \nactions that appear far less important for lifting, carrying, and \npulling tasks. \n\nAlthough it was anticipated that the WSM would possess a \nlarger total lower-body muscle volume/mass than untrained \ncontrols and other athletic/trained groups we have previ- \nously measured, the magnitude and pattern of the differen- \nces were unknown. The results indicated that the total \nvolume of the measured muscles was almost twice that of av- \nerage untrained participants and 32–63% larger than subelite \nand elite sprinters. Pronounced development of the anti- \ngravity muscles (i.e., hip extensors, knee extensors, and plan- \ntar flexors) was perhaps not that surprising given the WSM’s \nbackground in heavy lifting events (including being a double \ndeadlift world champion and record holder). However, the \nhip flexors appear less important in these tasks, possibly \nexplaining their more modest size, which was inferior to that \nof three elite 100-m sprinters we have previously assessed. \nThe WSM’s plantar flexors were particularly large relative to \nuntrained controls ( þ 120%). This could be due to the plan- \ntar flexors being the smallest of the antigravity muscle \ngroups that may experience very high mechanical stress \nand, thus, a pronounced adaptive stimulus during heavy lift- \ning, carrying, and pulling tasks. Furthermore, the very heavy \nand, therefore, low-velocity nature of these tasks may limit \nthe contribution of the stretch-shortening cycle and tendon \nrecoil to the positive/concentric work done by the plantar \n\nThe WSM’s quadriceps volume and patellar \n\ntendon \nmoment arm were both greater than that of untrained con- \ntrols and indeed any individual we have previously measured. \nHowever, \nrelative to the \nuntrained controls, was noticeably larger for quadriceps femo- \nris volume (greater than or equal to twice as large) than for \n\nthe magnitude of difference,", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed12.pdf" + }, + { + "text": "supplement consumption included protein, branched-chain \namino acids, and electrolytes. \n\npredictions of skeletal muscle mass nor dual-energy X-ray \nabsorptiometry provides detailed information on the size of \nspecific individual muscles. Given the known importance of \nmuscle size as a determinant of muscular strength (9–11), pro- \nnounced muscle size seems likely to be critical to extreme \nthe specific muscle size of \nhuman strength; however, \nextremely strong individuals remains unknown. Similarly, a \nlarge moment arm (e.g., of the patella tendon at the knee joint) \ncould contribute to the expression of high muscular strength \n(10, 12), and a large tendon may mitigate the mechanical stress \nit experiences with very high muscular loads, and therefore, \nthese characteristics may also be expected in individuals \nselected for exceptional strength. \n\nOverview \n\nThe WSM reported for a single test session that involved \nthe following assessments (listed in order): axial T1 weighted \n3.0-T MRI scans from T12 to the lateral malleolus [to assess \nmuscle size throughout the lower body (left and right sides)], \naxial and sagittal T1-weighted MRI scans of both knees [to \nassess patellar tendon cross-sectional area (CSA) and patellar \ntendon moment arm], maximum countermovement jumps \n(CMJ), and maximum isometric midthigh pulls (IMTPs). The \nmuscle size, patellar tendon CSA, and patellar tendon \nmoment arm of the WSM were compared with various popu- \nlations measured within our laboratory, as indicated in \nTable 1, alongside participant descriptives (10, 11, 13–15). In \naddition, the IMTP and CMJ measures were compared with \nexisting published literature (included studies are summar- \nized in Supplemental Materials 1 and 2, alongside participant \ndescriptives). \n\nIn this paper, we present the findings from a unique op- \nportunity to examine the laboratory function, muscle size, \nand distribution of muscle mass, as well as patellar tendon \nsize and moment arm, of a World’s Strongest Man and dead- \nlift champion (WSM) in comparison with existing data on \nuntrained individuals, power athletes (100-m-track sprint- \ners), and long-term resistance-trained populations that we \nhave assessed previously (10, 11, 13–15). \n\nMRI Measurement of Muscle Tendon Unit Morphology \nand Moment Arm \nMATERIALS AND METHODS \n\nParticipant \n\nThe WSM’s achievements included one World’s Strongest \nMan title (14 mo prior to measurement), five Britain’s \nStrongest Man titles (the most recent 6 mo prior to measure- \nment), twice being World Deadlift Champion and Deadlift \nWorld Record holder (500 kg; at the time of measurement), \nand second place at Europe’s Strongest Man. Prior to agreeing \nto participate, the purpose of the research study and the test- \ning procedures were explained to the participant along with \nthe risks and benefits of taking part. The participant gave his \nwritten informed consent to participate in the study that was \napproved by the Loughborough University Ethical Advisory \nCommittee (Ethics Number R18-P090). Included in the writ- \nten consent was a statement providing permission for publi- \ncation of the collected data and the likelihood that their \nidentity may be evident based on their achievements and \ncharacteristics, despite anonymization.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed12.pdf" + }, + { + "text": "26. Suchomel TJ, Nimphius S, Stone MH. Scaling isometric mid-thigh \npull maximum strength in division I athletes: are we meeting the \nassumptions? Sports Biomech 19: 532–546, 2020. doi:10.1080/ \n14763141.2018.1498910. \n\n8. \n\nAbe T, Buckner SL, Mattocks KT, Jessee MB, Dankel SJ, Mouser \nJG, Bell ZW, Loenneke JP. Skeletal muscle mass and architecture \nof the world’s strongest raw powerlifter: a case study. Asian J Sports \nMed 9: e61763, 2018. doi:10.5812/asjsm.61763. \nPowell PL, Roy RR, Kanim P, Bello MA, Edgerton VR. Predictability \nof skeletal muscle tension from architectural determinations in \nguinea pig hindlimbs. J Appl Physiol Respir Environ Exerc Physiol \n57: 1715–1721, 1984. doi:10.1152/jappl.1984.57.6.1715. \n\n9. \n\n27. Cunningham DJ, Shearer DA, Drawer S, Pollard B, Cook CJ, \nBennett M, Russell M, Kilduff LP. Relationships between physical \nqualities and key performance indicators during match-play in senior \ninternational rugby union players. PLoS One 13: e0202811, 2018. \ndoi:10.1371/journal.pone.0202811. \n\n10. Maden-Wilkinson TM, Balshaw TG, Massey G, Folland JP. What \nmakes long-term resistance-trained individuals so strong? A com- \nparison of skeletal muscle morphology, architecture, and joint \nmechanics. J Appl Physiol (1985) 128: 1000–1011, 2019. doi:10.1152/ \njapplphysiol.00224.2019. \nBalshaw TG, Maden-Wilkinson TM, Massey GJ, Folland JP. The \nhuman muscle size and strength relationship: effects of architecture, \nmuscle force, and measurement location. Med Sci Sports Exerc 53: \n2140–2151, 2021. doi:10.1249/mss.0000000000002691. \n\n28. Doyle TLA, Fain AC, Wills JA, Cooper D, Toonen K, Kamphius B. \nMeasures of \nlower body strength associated with injuries in \nAustralian special forces selection candidates. J Appl Biomech 38: \n255–262, 2022. doi:10.1123/jab.2021-0134. \n\n29. Kawamori N, Rossi SJ, Justice BD, Haff EE, Pistilli EE, O’Bryant HS, \nStone MH, Haff GG. Peak force and rate of force development dur- \ning isometric and dynamic mid-thigh clean pulls performed at vari- \nous intensities. J Strength Cond Res 20: 483–491, 2006. doi:10.1519/ \n18025.1. \n\n11. \n\n12. Baxter JR, Piazza SJ. Plantar flexor moment arm and muscle volume \npredict torque-generating capacity in young men. J Appl Physiol \n(1985)116: 538–544, 2014. doi:10.1152/japplphysiol.01140.2013. \n13. Miller R, Balshaw TG, Massey GJ, Maeo S, Lanza MB, Johnston \nM, Allen SJ, Folland JP. The muscle morphology of elite sprint \nrunning. Med Sci Sports Exerc 53: 804–815, 2021. doi:10.1249/ \nmss.0000000000002522. \nBalshaw TG, Funnell MP, McDermott E, Maden-Wilkinson TM, \nAbela S, Quteishat B, Edsey M, James LJ, Folland JP. The effect of \nspecific bioactive collagen peptides on function and muscle remod- \neling during human resistance training. Acta Physiol \n(Oxf) 237: \n(Oxf) 237:e13952, 2023]. \ne13903, 2023 [Erratum in Acta Physiol \ndoi:10.1111/apha.13903. \n\n30. Wang R, Hoffman JR, Tanigawa S, Miramonti AA, Monica MB, \nBeyer KS, Church DD, Fukuda DH, Stout JR. Isometric mid-thigh \npull correlates with strength, sprint, and agility performance in colle- \ngiate rugby union players. J Strength Cond Res 30: 3051–3056, \n2016. doi:10.1519/jsc.0000000000001416. \n\n31. Haff GG, Stone M, O’Bryant HS, Harman E, Dinan C, Johnson R, \nHan KH. Force-time dependent characteristics of dynamic and iso- \nmetric muscle actions. J Strength Cond Res 11: 269–272, 1997. \ndoi:10.1519/1533-4287(1997)011<0269:FTDCOD>2.3.CO;2. \n\n14. \n\n32. Mercer RAJ, Russell JL, McGuigan LC, Coutts AJ, Strack DS, \nMcLean BD. Finding the signal in the noise—interday reliability and \nseasonal sensitivity of 84 countermovement jump variables in pro- \nfessional basketball players. J Strength Cond Res 37: 394–402, \n2023. doi:10.1519/jsc.0000000000004182.", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed12.pdf" + }, + { + "text": "Although the current investigation provides a detailed \nassessment of an individual at/toward the upper limit of \nhuman strength performance, it is important to appreciate \nstudy limitations. First, the participant was not measured im- \nmediately before their World’s Strongest Man championship \nsuccess or other landmark performances, and it is entirely pos- \nsible the functional and structural characteristics we assessed \nmay have been even higher directly prior to peak performan- \nces. Despite using a wide-bore MRI scanner, due to the size of \nthe WSM’s shoulders and arms, it was not possible to scan their \nupper body. Thus, we were not able to investigate this aspect of \nthe WSM’s muscle morphology; although given that greater hy- \npertrophy occurs in the upper body compared with the lower \nbody (42), it is possible that the WSM’s upper-body muscle size \nrelative to untrained controls may have been even more pro- \nnounced than what we have documented for the lower body. \nIn the current study to provide the most representative data on \nuntrained control participants, the largest available untrained \ncontrol populations were used for each category of measure- \nments. Thus, different untrained control populations were \nused [e.g., comparison of quadricep and hamstring size (n ¼ \n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to \nsome subtle discrepancies in the contrasts between these \ngroups and the WSM [e.g., quadriceps femoris/knee extensors, \nþ 127% and þ 99% relative to our large pooled (n ¼ 102) and \nsmaller (n ¼ 11) untrained control samples, respectively]. \nImportantly, however, this discrepancy does not appear to \nmeaningfully affect the interpretation of the findings. There \nwere subtle differences in the precise scanning and analysis \napproaches used with the reference populations featured in \nthis study, including 1) magnetic field strength [1.5 T (10, 11, 15) \nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to \nquantify quadriceps femoris and hamstrings muscle volume \n[1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation \nof muscle volume [area under the cubic spline ACSA-muscle \nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM \nand (13)]; and 4) the use of unilateral MRI measures derived \nfrom one limb (10, 11, 14, 15) or collapsed across two limbs \n[WSM and (13)]. However, it seems likely that these subtle dif- \nferences would have had at most a very minor effect on the \nfindings. Finally, it is also important to highlight that the differ- \nences documented between the WSM and comparative popula- \ntions for the various measures included in the current study \ncannot be assumed to be anything other than a combination of \nboth innate (genetic) and environmental (training and nutri- \ntion) factors. \n\n5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: \nthe importance of skeletal muscle strength for healthy ageing. \nBiogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7. \nKraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, \nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh \nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body com- \nposition in elite strongman competitors. J Strength Cond Res 34: \n3326–3330, 2020. doi:10.1519/jsc.0000000000003763. \nAbe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser \nJG, Loenneke JP. Skeletal muscle mass in human athletes: what is \nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ \najhb.23102. \n\n6. \n\nConclusions \n\nIn conclusion, this novel investigation documented the \nmuscle and tendon morphology and whole body strength \nand power characteristics of an exceptionally strong individ- \nual, relative to comparative athletic, trained, and untrained \n\n798 J Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed12.pdf" + }, + { + "text": "0 300 \n600 \n900 \n1200 \n**HAMS volume (cm3)**\n\n**B** **C**\n\nWSM \n\nLong-term resistance-trained \n\nElite sprint runners \n\nSub-elite sprint runners \n\nUntrained control \n\n0 100 200 300 400 500 600 \n\n**SM volume (cm3)**\n\n1500 1800 \n\nFigure 5. Overall hamstrings (HAMS; A), \nsemimembranosus (SM; B), semitendino- \nsus (ST; C), biceps femoris long head \n(BFlh; D), and biceps femoris short head \n(BFsh; E) muscle volume of a World’s \nStrongest Man and deadlift champion \n(WSM) compared with long-term resist- \nance trained [n ¼ 16, from the work by \n(10)], elite sprint \nMaden-Wilkinson et al. \nrunners [n ¼ 5, from the work by Miller et \nal. (13)], subelite sprint runners [n ¼ 26, \nfrom the work by Miller et al. (13)], and \nuntrained control populations [n ¼ 50, \npooled population from the works by \nMiller et al. (13) (n ¼ 11) and Balshaw et al. \n(14) (pretest data n ¼ 39)]. \n\n0 100 200 300 400 500 600 \n\n**ST volume (cm3)**\n\n**D** **E**\n\nWSM \n\nLong-term resistance-trained \n\npatellar tendon moment arm ( þ 18%). Therefore, of these two \nkey strength determinants, muscle size, rather than joint lever- \nage, appeared to be the predominant factor responsible for the \nWSM’s extraordinary strength. Indeed, when we previously \ncompared the muscle morphology and joint mechanics of indi- \nviduals with distinct maximum strength capacity (long-term \nresistance-trained individuals vs. untrained controls), muscle \nsize was the primary factor separating the groups with much \nmore subtle differences in moment arm (10). The extreme \nexample of muscle size provided by the WSM’s quadriceps femoris also gave the opportunity to investigate the scaling of \ntendon size to muscle size; extreme muscular size (greater \nthan or equal to twice that for untrained controls) might be \nexpected to be accompanied by comparable tendinous tissue \nsize to effectively transmit high muscular forces to the skele- \nton. However, the WSM’s patellar tendon CSA was only 30% \nlarger than untrained controls and within the range of indi- \nviduals we have previously measured (Fig. 6A). This obser- \nvation supports the notion that tendon structure may be \nlargely fixed by adulthood (40), with only slow/limited \n\n**A** **B**\n\nFigure 6. Patellar tendon mean cross-sec- \ntional area (A) and patellar tendon moment \narm (B) of a World’s Strongest Man and \ndeadlift champion (WSM) compared with \nlong-term resistance trained [n ¼ 16, from \nthe work by Massey et al. (15)] and untrained \ncontrol populations [n ¼ 39, from the work \nby Massey et al. (15)]. \n\nWSM \n\nUntrained control \n\n30 35 40 45 50 55 \n60 \n**Patellar tendon cross-sectional area (mm2)**\n160 \n**Patellar tendon moment arm (mm)**", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed12.pdf" + }, + { + "text": "changes in response to functional overload/resistance \ntraining. For example, we previously found patellar ten- \ndon CSA to show very subtle changes after 15 wk (45 train- \ning sessions) of heavy resistance training [ þ 1.4% (41)] and \nno differences between long-term resistance-trained indi- \nviduals and untrained controls (15). \n\npopulations. Overall leg muscle volume of the WSM was \napproximately twice that of untrained controls but with pro- \nnounced anatomical variability in the extent of muscular de- \nvelopment. The plantar flexor muscle group and the guy \nrope muscles (sartorius, gracilis, and semitendinosus: þ 140 \nto þ 202%), which stabilize the pelvis and femur, demon- \nstrated the largest differences. The pronounced quadriceps \nfemoris size of the WSM (greater than or equal to twice that \nof untrained) was accompanied by a more modest difference \nin patella tendon moment arm ( þ 18%) and was not matched \nby a proportional difference in tendon size ( þ 30%). \n\nLimitations \n\nDATA AVAILABILITY \n\nData will be made available upon reasonable request. \n\nSUPPLEMENTAL MATERIAL \n\nSupplemental Material: https://doi.org/10.6084/m9.figshare. \n26152939. \n\nACKNOWLEDGMENTS \n\nThe authors thank radiographer Julie Thompson. \n\nDISCLOSURES \nNo conflicts of interest, financial or otherwise, are declared by \nthe authors. \n\nAUTHOR CONTRIBUTIONS \n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., \nR.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., \nE.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted \nresults of experiments; T.G.B. prepared figures; T.G.B. and J.P.F. \ndrafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; \nT.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved final ver- \nsion of manuscript. \n\nREFERENCES \n\n1. \n\nCrowther NB. Weightlifting in antiquity: achievement and training. \nGreece Rome 24: 111–120, 1977. doi:10.1017/s0017383500018416. \n2. Dixon E. How Wave.tv is making the World’s Strongest Man think \nbigger with its digital plans (Online). SportsPro, 2020.https://www. \nsportspromedia.com/insights/analysis/worlds-strongest-man-wavetv- \nthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024]. \nSuchomel TJ, Nimphius S, Stone MH. The importance of muscular \nstrength in athletic performance. Sports Med 46: 1419–1449, 2016. \ndoi:10.1007/s40279-016-0486-0. \n\n3. \n\n4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ. \nEccentric hamstring strength and hamstring injury risk in Australian \nfootballers. Med Sci Sports Exerc 47: 857–865, 2015. doi:10.1249/ \nmss.0000000000000465.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed12.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed12.pdf", + "query": "Why constraint made the scanning of the word's strongest man's upper body impossible using a MRI ?", + "target_page": 10, + "target_passage": "Despite using a wide-bore MRI scanner, due to the size of the WSM’s shoulders and arms, it was not possible to scan their upper body", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Although the current investigation provides a detailed \nassessment of an individual at/toward the upper limit of \nhuman strength performance, it is important to appreciate \nstudy limitations. First, the participant was not measured im- \nmediately before their World’s Strongest Man championship \nsuccess or other landmark performances, and it is entirely pos- \nsible the functional and structural characteristics we assessed \nmay have been even higher directly prior to peak performan- \nces. Despite using a wide-bore MRI scanner, due to the size of \nthe WSM’s shoulders and arms, it was not possible to scan their \nupper body. Thus, we were not able to investigate this aspect of \nthe WSM’s muscle morphology; although given that greater hy- \npertrophy occurs in the upper body compared with the lower \nbody (42), it is possible that the WSM’s upper-body muscle size \nrelative to untrained controls may have been even more pro- \nnounced than what we have documented for the lower body. \nIn the current study to provide the most representative data on \nuntrained control participants, the largest available untrained \ncontrol populations were used for each category of measure- \nments. Thus, different untrained control populations were \nused [e.g., comparison of quadricep and hamstring size (n ¼ \n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to \nsome subtle discrepancies in the contrasts between these \ngroups and the WSM [e.g., quadriceps femoris/knee extensors, \nþ 127% and þ 99% relative to our large pooled (n ¼ 102) and \nsmaller (n ¼ 11) untrained control samples, respectively]. \nImportantly, however, this discrepancy does not appear to \nmeaningfully affect the interpretation of the findings. There \nwere subtle differences in the precise scanning and analysis \napproaches used with the reference populations featured in \nthis study, including 1) magnetic field strength [1.5 T (10, 11, 15) \nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to \nquantify quadriceps femoris and hamstrings muscle volume \n[1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation \nof muscle volume [area under the cubic spline ACSA-muscle \nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM \nand (13)]; and 4) the use of unilateral MRI measures derived \nfrom one limb (10, 11, 14, 15) or collapsed across two limbs \n[WSM and (13)]. However, it seems likely that these subtle dif- \nferences would have had at most a very minor effect on the \nfindings. Finally, it is also important to highlight that the differ- \nences documented between the WSM and comparative popula- \ntions for the various measures included in the current study \ncannot be assumed to be anything other than a combination of \nboth innate (genetic) and environmental (training and nutri- \ntion) factors. \n\n5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: \nthe importance of skeletal muscle strength for healthy ageing. \nBiogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7. \nKraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, \nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh \nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body com- \nposition in elite strongman competitors. J Strength Cond Res 34: \n3326–3330, 2020. doi:10.1519/jsc.0000000000003763. \nAbe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser \nJG, Loenneke JP. Skeletal muscle mass in human athletes: what is \nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ \najhb.23102. \n\n6. \n\nConclusions \n\nIn conclusion, this novel investigation documented the \nmuscle and tendon morphology and whole body strength \nand power characteristics of an exceptionally strong individ- \nual, relative to comparative athletic, trained, and untrained \n\n798 J Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed12.pdf" + }, + { + "text": "The participant reported for their MRI scan [3.0-T \nDiscovery MR750W (70-cm-wide bore), GE Medical] having \nnot completed any strenuous physical activity in (cid:2)24 h and \nhad received prior instruction to arrive in a relaxed state hav- \ning eaten and drunk normally. The participant sat quietly for \n15 min prior to their scan. The participant lay supine for the \nMRI scan of the lower-body musculature from T12 to the lat- \neral malleolus. A body coil (GE Medical) allowed axial T1- \nweighted images (time of repetition/time to echo 600/8.144 \nms, image matrix 512 (cid:3) 512, field of view 500 (cid:3) 500 mm, \npixel size 0.9766 (cid:3) 0.9766 mm, slice thickness 5 mm, and \ninterslice gap 5 mm) to be acquired in five overlapping \nblocks. Images of both sides of the body were acquired \nwithin a single scan for blocks 1 (T12 to pelvis), 4 (knee joint \nspace to midshank), and 5 (midshank to lateral malleolus). \nHowever, due to the size of the participant’s thighs, it was \nnecessary to scan each thigh individually for blocks 2 (pelvis \nto midthigh) and 3 (midthigh to knee joint space); this \ninvolved the radiographer repositioning the field of view \nbetween scanning the first and the second thigh but not \nphysically moving the coil or the participant. Oil-filled cap- \nsules were secured to the surface of the participant’s skin \nwith Transpore tape at intervals along the length of the lower \nbody prior to the scan and in an offline analysis used to ver- \nify the alignment of the blocks (Horos software, Version 3.36, \nhttps://horosproject.org/). \n\nTraining History \n\nThe WSM had been continuously involved in systematic, \nregular upper- and lower-body resistance training for 15 yr at \nthe time of testing. In the 12 mo prior to testing, the partici- \npant’s resistance training consisted of the following typical \nexercises: lower body: squats, deadlifts, leg press, and knee \nextension; and upper body: bench press, shoulder press, \ndumbbell/barbell rows, and lat pull-down. The proportion of \nthe participant’s training within the following repetition \nranges over the last 12 mo was as follows: near maximum \nloads [1–5 repetition maximum (RM)]: 10%; heavy loads (6– \n14 RM): 80%; and moderate loads ((cid:2)15 RM): 10%. The partici- \npant reported only occasional (<1(cid:3)/week) use of advanced \nresistance training practices (i.e., complex training and ac- \nfrequently (>3(cid:3)/ \ncommodating resistance method) but \nweek) executed training repetitions with the intention to \nmove the load as fast as possible. The WSM’s nutritional \n\n790 \n\nThe offline analysis was of the following muscles/com- \npartments (Fig. 1): iliopsoas (psoas major and iliacus com- \nbined); sartorius; tensor fasciae latae; adductor magnus; \ngracilis; gluteus maximus; gluteus medius and minimus \n(combined, due to difficulty separating the two muscles); \nrectus femoris (RF); vastus lateralis (VL), medialis (VM), and \nintermedius (VI); semimembranosus (SM); semitendinosus \n(ST); biceps femoris long (BFlh) and short heads (BFsh); pop- \nliteus; lateral and medial gastrocnemius; soleus; and the an- \nlateral, and deep posterior compartments of the \nterior, \nshank. The anterior shank compartment consisted of the \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed12.pdf" + }, + { + "text": "isometric force; magnetic resonance imaging; power; strength \n\nINTRODUCTION \nhealthy aging (5). However, our knowledge of extreme human \nstrength is limited. \n\nTo date, there is little scientific information on the charac- \nteristics of extremely strong humans in terms of laboratory- \nbased tests of strength and power, particularly the size and dis- \ntribution of their muscle mass, as well as tendon size and joint \nmechanics (moment arm). Kraemer et al. (6) examined the \nbody composition of elite strongman competitors using dual- \nenergy X-ray absorptiometry scanning and found that they \nhad a body mass (153 ± 19 kg) and lean mass (118 ± 12 kg) \napproximately twice that of an average untrained healthy \nyoung man. Whole body skeletal muscle mass of athletes from \nstrength- and power-based sports has also been estimated \nusing ultrasound measurements at a limited number of ana- \ntomical locations (7, 8). However, neither ultrasound-derived Feats of strength have fascinated man since the early stages \nof human civilization, as shown by the archeological evidence \nof inscribed heavy stones at Olympia and Thera in Greece, \ndated to the 6th century BC, detailing the way they were lifted \nby Bybon and Eumastus, respectively (1). Over the centuries, \nmany types of strength competitions have existed; some of \nwhich have been codified and endured within modern sport- \ning competitions (e.g., weightlifting, powerlifting, and shot \nput). In addition, professional strongman competitions, such \nas the annually contested “World’s Strongest Man” event, \ngenerate extensive global interest (2). Moreover, scientific \nunderstanding of muscular strength is important because of \nits role in athletic performance (3), injury prevention (4), and \n\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk). \nSubmitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024 \n\n8750-7587/24 Copyright © 2024 The Authors. Licensed under Creative Commons Attribution CC-BY 4.0. \nPublished by the American Physiological Society. \nwww.jappl.org", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed12.pdf" + }, + { + "text": "Figure 1. Example axial MRI images from \nthe World’s Strongest Man and deadlift \nchampion (WSM; A–C) and an untrained \nfrom the hip \ncontrol participant \n(A and D), thigh (B and E), and lower leg (C \nand F). Image location relative to femur \nand shank length was matched between \nthe WSM and the untrained control as fol- \nlows: hip image is at approximately midfe- \nmoral head, thigh image is at (cid:6)52% of \nfemur length (0% is distal end of femur, \n100% is greater trochanter), and lower leg \nimage is at (cid:6)70% of shank length (0% is \nlateral malleolus, 100% is proximal end of \ntibia). The untrained control participant \ndisplayed was from the work by Miller et al. \n(13) and had a total measured muscle vol- \nume of all measured muscles that was 5.1% \nsmaller than the mean of the untrained \ngroup within that study. \n\n(D–F) \n\nadjustment to different heights. A bar height producing a \nknee joint angle of 145(cid:7) (measured by a manual goniometer) \nwas selected, and the participant was instructed to keep his \ntorso upright while completing the IMTP efforts. Two cali- \nbrated 10-kN-capacity force platforms (model 9286B, Kistler \nInstruments, Ltd., London, UK), one underneath each foot, \nwere placed on top of the isometric rig’s base plate, and verti- \ncal force signals from the eight individual load cells across the \ntwo force platforms were outputted (External Control Unit \nmodel 5233 A, Kistler Instruments, Ltd.) and sampled at 2,000 \nHz using an external analog-to-digital converter (Micro 1401; \n\nCED, Cambridge, UK) and recorded with Spike 2 computer \nsoftware (CED, Cambridge, UK). \n\nFollowing a warm-up consisting of a series of incremental \nwarm-up contractions of (cid:6)5 s duration ranging from 50% to \n90% of maximum perceived effort, two maximum IMTP \nefforts of 3–5 s duration were performed under the instruc- \ntion to “pull as hard as possible.” Six minutes separated the \nmaximum efforts, based on a self-selected recovery period. \nWrist wraps were worn to remove the influence of grip \nstrength from the assessment. Real-time overall feedback \nfrom the force platforms (the sum of the force signals from", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed12.pdf" + }, + { + "text": "Xn(cid:5)1 \nh \nVm ¼ ðAmi þ Ami þ 1Þ \n2 \ni¼1 \n\nwhere Am represents the muscle CSA calculated from each \nimage, i is the image number, n is the total number of \nimages, and h is the distance between images. The volume of \nfive functional muscle groups was calculated as the sum \nof the following muscles: hip extensors (gluteus maxi- \nmus, adductor magnus, BFlh, SM, and ST), hip flexors \n(iliopsoas, RF, sartorius, and tensor fasciae latae), knee \nextensors (RF, VI, VM, and VL), knee flexors (gracilis, \nBFlh and BFsh, SM, ST, sartorius, popliteus, and medial \nand lateral gastrocnemius), and plantarflexors (medial \nand lateral gastrocnemius and soleus). The sum of all the \nmeasured lower-body muscles was also quantified as the \nvolume of “all muscles.” \n\nOnce muscle MRI scanning had been completed, a flex \ncoil (GE Medical) was used to acquire unilateral T1-weighted \naxial (time of repetition/time to echo 650/9.476 ms, image \nmatrix 512 (cid:3) 512, field of view 180 (cid:3) 180 mm, pixel size \n0.3516 (cid:3) 0.3516 mm, slice thickness 2 mm, and interslice gap \n0 mm) and sagittal images (time of repetition/time to echo \n606/9.512 ms, image matrix 512 (cid:3) 512, field of view 180 (cid:3) 180 \nmm, pixel size 0.3516 (cid:3) 0.3516 mm, slice thickness 2 mm, \nand interslice gap ¼ 0 mm) from both knee joints. The axial \nimages were obtained perpendicular to the line of the tendon \nfrom (cid:6)2 cm superior to the apex of the patella to (cid:6)2 cm \n\nIsometric Midthigh Pull \n\nIMTP contractions were performed within an isometric \nrig consisting of a base plate with stainless steel uprights \n(ESP Fitness, Loughborough, UK), which facilitated barbell \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org 791", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed12.pdf" + }, + { + "text": "and net) and CMJ power values previously reported by 54%, \n100%, and 164%, respectively. The WSM had overall lower- \nbody muscularity approximately twice that of untrained con- \ntrols ( þ 96%) and 32% greater than that of elite 100-m sprint- \ners. However, there was substantial anatomical variability in \nthe magnitude of the differences, ranging from the plantar \nflexors ( þ 120% vs. untrained) to the hip flexors ( þ 65% vs. \nuntrained). Similarly, some specific muscles, such as the guy \nrope muscles that stabilize the femur and pelvis, were 2.5–3.0 \ntimes the volume of untrained individuals (gracilis þ 140%, \nsemitendinosus þ 157%, and sartorius þ 202%) but others dis- \nplayed more marginal differences (BFsh þ 23%, iliopsoas \nþ 32% vs. untrained). Considering the knee extensors, the \nWSM had both quadriceps femoris volume greater than or \nequal to twofold that of untrained controls and a greater pa- \ntella tendon moment arm than we have previously measured \n( þ 18% vs. untrained), which would be expected to combine \nto facilitate extraordinary strength. Furthermore, despite the \nWSM’s extremely large quadriceps femoris, their patellar ten- \ndon CSA was only 30% greater than that of untrained controls \nand not outside the range of tendons we have previously \nassessed. The results of this study provide novel insights into \nthe muscle and tendon characteristics, as well as the strength \nand power capabilities, of an extraordinarily strong individual \nthat may be toward the upper limit of human variation in \nthese characteristics. \n\nDISCUSSION \n\nThis study is the first to document the lower-body muscle \nand tendon morphology of a World’s Strongest Man and \ndeadlift champion (i.e., an exceptionally strong individual), \nand these are presented alongside functional whole body \nassessments, which exceeded the highest IMTP force (gross \n\nJ Appl Physiol (cid:4) doi:10.1152/japplphysiol.00342.2024 (cid:4) www.jappl.org", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed12.pdf" + }, + { + "text": "**MRI acquisition.**MRI scanning sessions at the University of Califor- \nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners \nequipped with 64-channel phased-array head/neck coil (of which 50 \ncoils are used for axial brain imaging). High-resolution anatomical scans \nwere acquired using a T1-weighted (T1w) magnetization prepared rapid \ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, \ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, \n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, \nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) \nturbo spin echo scan was also acquired with an oblique coronal orienta- \ntion positioned orthogonally to the main axis of the hippocampus (TR/ \nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, \n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi- \ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) \nprotocol sampled the entire brain with the following parameters: \nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, \n*b*-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm \nvoxel resolution. These images were linearly registered to the \nwhole-brain T1w MPRAGE image. A custom foam headcase was used \nto provide extra padding around the head and neck, as well as to mini- \nmize head motion. Additionally, a custom-built sound-absorbing foam \ngirdle was placed around the participant’s waist to attenuate sound \nnear the fetus during second-trimester and third-trimester scanning. \n\n**Study design**\nThe participant underwent 26 MRI scanning sessions from 3 weeks \nbefore conception through 2 years postpartum (162 weeks), during \nwhich high-resolution anatomical and diffusion spectrum imaging \nscans of the brain were acquired. Scans were distributed throughout \nthis period, including prepregnancy (four scans), first trimester (four \nscans), second trimester (six scans), third trimester (five scans) and \npostpartum (seven scans; Fig. 1c). The first 6 sessions took place at \nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place \nat the UCI Facility for Imaging and Brain Research (FIBRE). The major- \nity of scans took place between 9 AM and 2 PM, limiting significant \nAM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) \nand software (version MR E11) were identical across sites. Each scan- \nner was checked weekly for the duration of the study and passed all \nQC reports indicating no significant alterations in the geometry. To \nensure the robustness of the findings, after the final study session, the \nparticipant completed back-to-back validation scans at UCI and UCSB \nwithin a 12-h window to assess reliability between scanners. Intraclass \ncorrelation coefficients (two-way, random effects, absolute agreement, \nsingle rater) reveal ‘excellent’ test–retest reliability between scanners, \nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level \nCT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, \n95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). \nFurthermore, when examining the relationship between gestation \nweek and GMV among UCI-only gestational sessions, findings were \nconsistent (Supplementary Fig. 12), indicating that site differences \nare highly unlikely to have contributed meaningfully to the observed \neffects. Although not applicable here, we note that having a control \nparticipant scanned over a similar duration within the same scanner is \ncritical for estimating how much variation in the brain can be attributed \nto within-scanner variability.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed4.pdf" + }, + { + "text": "J Appl Physiol 137: 789–799, 2024. \nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024 \n\n| RESEARCH ARTICLE | |\n|---|---|\n| RESEARCH ARTICLE | |\n\n\nMuscle and tendon morphology of a world strongman and deadlift champion \n\nThomas G. Balshaw,1 Garry J. Massey,1,2 \nThomas M. Maden-Wilkinson,6 and \n\nRobert Miller,1,3,4 Emmet J. McDermott,1,5 \n\nJonathan P. Folland1 \n\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2College of Life \nand Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3UK Athletics, Loughborough University, \nLoughborough, United Kingdom; 4Department of Sport Science, Aspire Academy, Doha, Qatar; 5Department of Physical \nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and 6Academy of Sport and Physical Activity, Faculty \nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom \n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T \nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec- \ntional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The \nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature \n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than \nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls \n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group ( þ 120%) and the \nguy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the \nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs. \nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT \nCSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, \nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited \ndistinct anatomical variability and with muscle size largely uncoupled from tendon size. \n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift \nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the \nextent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differen- \nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten- \ndon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%). \n\nisometric force; magnetic resonance imaging; power; strength \n\nINTRODUCTION \nhealthy aging (5). However, our knowledge of extreme human \nstrength is limited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed12.pdf" + }, + { + "text": "| Table 1. Descriptive characteristics of a World’s Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data | |\n|---|---|\n| n Age, yr Height, m Body Mass, kg Source of Comparative Data | |\n| WSM Overall muscle morphology Elite sprint runners Subelite sprint runners Untrained controls Quadriceps femoris muscle morphology Long-term resistance-trained Untrained controls Hamstrings muscle morphology Long-term resistance-trained Untrained controls Patellar tendon CSA and moment arm Long-term resistance-trained Untrained controls | 1 30.6 1.90 172.0 5 27.4 ± 4.1 1.83 ± 0.06 86.4 ± 6.7 Miller et al. (13) 26 22.0 ± 2.2 1.78 ± 0.06 75.4 ± 7.3 11 25.8 ± 2.6 1.80 ± 0.08 75.2 ± 5.6 16 22 ± 2 1.83 ± 0.06 91 ± 10 Maden-Wilkinson et al. (10) 102 25 ± 3 1.78 ± 0.08 73 ± 10 Pooled sample from Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 91 ± 10 Unpublished observations from the sample in Maden-Wilkinson et al. (10) 50 26 ± 4 1.79 ± 0.08 75 ± 11 Pooled sample from Miller et al. (13) (n ¼ 11) and pretest of Balshaw et al. (14) (n ¼ 39) 16 22 ± 2 1.83 ± 0.06 90 ± 10 Massey et al. (15) 39 25 ± 2 1.76 ± 0.06 72 ± 9 |\n\n\ninferior to the patellar tendon’s inferior insertion. Patellar \ntendon CSA was measured in each contiguous image along \nthe length of the tendon (i.e., from the first image where the \npatella was no longer visible to the final image before the tib- \nial insertion). The axial images of the patellar tendon were \nviewed in grayscale, sharpened, and the perimeter manually \noutlined. The average of all measured axial patellar tendon \nCSAs was calculated to produce a mean tendon CSA (mm2) \nfor each leg. The moment arm length of the patellar tendon \nfor each leg was estimated from sagittal plane images as the \nperpendicular distance from the patellar tendon to the mid- \npoint of tibiofemoral contact (17). \ntibialis anterior, extensor digitorum longus, and extensor hal- \nlucis longus. The lateral shank compartment included the \nperoneus longus and brevis. The deep posterior compartment \nconsisted of plantaris, tibialis posterior, flexor digitorum lon- \ngus, and flexor hallucis longus. All muscles were manually \nsegmented in every other image (i.e., every 20 mm) starting \nfrom the most proximal image in which the muscle appeared, \nexcept the tensor fasciae latae, gluteus medius and minimus \n(combined), and popliteus, which were manually segmented \nin every slice (i.e., every 10 mm) due to their short length. The \nvolume of each individual muscle (Vm) was calculated using \npreviously outlined methods (16) as follows: \n\nFollowing an (cid:6)10-min self-selected whole body loaded \nbarbell-based warm-up and three submaximum warm-up \nCMJs performed with (cid:6)50% of perceived maximum effort, \nthe WSM performed three maximal effort CMJs, with 30 s of \nrest between jumps, on a portable Kistler force plate (Quattro \nJump, Type 9290AD, Kistler, Switzerland), interfaced with a \npersonal computer. Prior to all jumps, the participant was \ninstructed to stand still on the force plate in an upright pos- \nture with their arms by their sides. Sampling was initiated \nwhen they provided an indication they were ready to begin, \nand after a 2-s pause to collect the force due to body mass \nand a 3-s countdown, the participant performed a CMJ for \nmaximal height, with arm movement and the depth of coun- \ntermovement self-selected by the participant. The Quattro \njump device records vertical ground reaction force at a sam- \npling frequency of 500 Hz and calculates jump height and \npeak power using integration/double integration of the force \nsignal (Quattro jump software, type 2822A1-1, version 1.1.1.4) \nto derive velocity (multiplied by force to calculate power) \nand displacement (jump height). \n\nXn(cid:5)1 \nh \nVm ¼ ðAmi þ Ami þ 1Þ \n2 \ni¼1", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed12.pdf" + }, + { + "text": "supplement consumption included protein, branched-chain \namino acids, and electrolytes. \n\npredictions of skeletal muscle mass nor dual-energy X-ray \nabsorptiometry provides detailed information on the size of \nspecific individual muscles. Given the known importance of \nmuscle size as a determinant of muscular strength (9–11), pro- \nnounced muscle size seems likely to be critical to extreme \nthe specific muscle size of \nhuman strength; however, \nextremely strong individuals remains unknown. Similarly, a \nlarge moment arm (e.g., of the patella tendon at the knee joint) \ncould contribute to the expression of high muscular strength \n(10, 12), and a large tendon may mitigate the mechanical stress \nit experiences with very high muscular loads, and therefore, \nthese characteristics may also be expected in individuals \nselected for exceptional strength. \n\nOverview \n\nThe WSM reported for a single test session that involved \nthe following assessments (listed in order): axial T1 weighted \n3.0-T MRI scans from T12 to the lateral malleolus [to assess \nmuscle size throughout the lower body (left and right sides)], \naxial and sagittal T1-weighted MRI scans of both knees [to \nassess patellar tendon cross-sectional area (CSA) and patellar \ntendon moment arm], maximum countermovement jumps \n(CMJ), and maximum isometric midthigh pulls (IMTPs). The \nmuscle size, patellar tendon CSA, and patellar tendon \nmoment arm of the WSM were compared with various popu- \nlations measured within our laboratory, as indicated in \nTable 1, alongside participant descriptives (10, 11, 13–15). In \naddition, the IMTP and CMJ measures were compared with \nexisting published literature (included studies are summar- \nized in Supplemental Materials 1 and 2, alongside participant \ndescriptives). \n\nIn this paper, we present the findings from a unique op- \nportunity to examine the laboratory function, muscle size, \nand distribution of muscle mass, as well as patellar tendon \nsize and moment arm, of a World’s Strongest Man and dead- \nlift champion (WSM) in comparison with existing data on \nuntrained individuals, power athletes (100-m-track sprint- \ners), and long-term resistance-trained populations that we \nhave assessed previously (10, 11, 13–15). \n\nMRI Measurement of Muscle Tendon Unit Morphology \nand Moment Arm \nMATERIALS AND METHODS \n\nParticipant \n\nThe WSM’s achievements included one World’s Strongest \nMan title (14 mo prior to measurement), five Britain’s \nStrongest Man titles (the most recent 6 mo prior to measure- \nment), twice being World Deadlift Champion and Deadlift \nWorld Record holder (500 kg; at the time of measurement), \nand second place at Europe’s Strongest Man. Prior to agreeing \nto participate, the purpose of the research study and the test- \ning procedures were explained to the participant along with \nthe risks and benefits of taking part. The participant gave his \nwritten informed consent to participate in the study that was \napproved by the Loughborough University Ethical Advisory \nCommittee (Ethics Number R18-P090). Included in the writ- \nten consent was a statement providing permission for publi- \ncation of the collected data and the likelihood that their \nidentity may be evident based on their achievements and \ncharacteristics, despite anonymization.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed12.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed13.pdf", + "query": "What is typical age at which multiple sclerosis is diagnosed ?", + "target_page": 2, + "target_passage": "Multiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of ag", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Prior to recruitment, the study was introduced to individuals \nwith multiple sclerosis (pwMS) through a seminar hosted by the \nNordland MS Association. Additionally, \nseminars were \nconducted for health professionals in community healthcare and \nat the regional hospital. Written information about this study \n(and the RCT) was sent from the MS clinic at the regional \nto all eligible individuals affiliated with the \nhospital by post \nIndividuals who wished to participate signed the \nhospital. \nattached consent \nin the pre-stamped \nfollows: had been \nenvelope. The inclusion criteria were as \ndiagnosed with MS, had a score on the Expanded Disability \nStatus Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed \n(10%–100% of \nfull-time) and residential address in the two \npredefined municipalities. The exclusion criteria were as follows: \npregnancy, exacerbation of symptoms within two weeks prior to \nenrollment and other serious conditions compromising balance, \nwalking or work capacity. All participants in the intervention \ngroup of the RCT (n = 15) were included (Table 3). \n\nform and returned it \n\nconducted (with pwMS who were not part of the sample), and the \ninterview guide was then refined around the following themes: \noverall experience and reflections from participation, content, \noutdoor setting, the group, and the physiotherapists. Questions \nin-depth reflections regarding \nwere open-ended to capture rich, \nparticipants’ experiences, following a phenomenological approach. \nThe interviewer asked for both negative and positive experiences \n\n2.6 Data collection \n\nThe interview guide (Table 4) was developed based on literature \nreviews, clinical experience and discussions within the research \ngroup and with user representatives. Two test interviews were", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "community healthcare in the two municipalities. The project team \nincluded three individuals representing users from the Nordland \nMS Association, along with an MS nurse and a neurologist from \nthe MS-outpatient clinic, and three physiotherapists/ researchers. \n\nTABLE 3 Participant demographic information. \n\n| Variable | Total (n = 15) |\n|---|---|\n| Variable | Total (n = 15) |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\n\n2.4 Research team and reflexivity \n\nin \nneurological physiotherapy. BN and ECA developed the \nCoreDISTparticipation intervention, and SSHD contributed to \nthe development of the outdoor part. \n\nAll researchers on the team are clinical specialists \n\nThe researchers’ closeness to the intervention and the \nclinical field may have strengthened the depth and relevance \nof their interpretations in this study (27), as it was easy to \nunderstand what participants described and helped form \nfollow-up questions during the interviews. However, closeness \nmay also produce a risk of “blind spots”, as the researchers \nmay prejudice participants’ experiences, omitting questions \nwhere the answers are believed to be obvious (27). Thus, \nand rigor were \nthe process, \nthroughout \nenhanced by discussing \nand \ninterpretations with external researchers (including specialists \nin enactive theory), as well as user \nrepresentatives. The \nframework (enactive theory) enhanced \npresented theoretical \nthe distance to the material, as recommended in qualitative \nresearch (28). \n\n| TABLE 4 Interview guide. | |\n|---|---|\n| Theme | Potential questions |\n| Overall experiences and reflections from participation | Generally, what are your main experiences of participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general • The high-intensity walking/running • The specific exercises • The combination of specific exercises and intervals of running/walking • The exercise intensity |\n| | How did you respond to the exercises? How did you experience getting tired? |\n| | How do you perceive your specific movement impairments (if any) being addressed? |\n| | Please elaborate on situations where you experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would you prefer to have been done differently? What did you enjoy? |\n| | What was the value of participating in the indoor exercise group beforehand? |\n| | How did you experience this kind of exercise intervention compared to other type of exercise you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park environment for exercise? |\n| Closing questions | Are there any experiences from participation that you would like to elaborate on? Is anything related to this project that we have not talked about that you would like to say? |\n| | How did you experience this interview? |\n\n\nOverall participants were asked to describe situations to exemplify their answers, \nand follow-up questions were used to capture in-depth reflections, for example, \nWhat was positive/negative?, How did it feel?, What do you think of that?, What \ndoes it mean to you?, Can you elaborate on that?.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "Acknowledgments \ninstitutional requirements. The participants provided their written \ninformed consent to participate in this study. \n\nThe authors would like to thank the participants in this study \nand the user representatives from Nordland MS Association for \ntheir valuable contributions. The authors also acknowledge \nphilosopher of \nthe mind and cognitive sciences Hanne De \nJaegher for the valuable comments on the interpretations and \ndiscussions of the results. \n\nAuthor contributions \n\ncuration, Formal Analysis, \nInvestigation, Methodology, Project administration, Resources, \nVisualization, Writing – original draft, Writing – review & \nediting. EA: Conceptualization, Formal Analysis, Methodology, \nSupervision, Writing – review & editing. BN: Conceptualization, \nFormal Analysis, Funding acquisition, Methodology, Project \nadministration, Resources, Supervision, Writing – review & editing. \n\nSD: Conceptualization, Data \n\nConflict of interest \n\nThe authors declare that the research was conducted in the \nabsence of any commercial or financial relationships that could \nbe construed as a potential conflict of interest. \n\nFunding \n\nPublisher’s note \n\nThe author(s) declare that financial support was received for \n\nthe research, authorship, and/or publication of this article. \n\nAll claims expressed in this article are solely those of the authors \nand do not necessarily represent those of their affiliated organizations, \nor those of the publisher, the editors and the reviewers. Any product \nthat may be evaluated in this article, or claim that may be made by its \nmanufacturer, is not guaranteed or endorsed by the publisher. The development of the CoreDISTparticipation and the RCT is \nfunded by the Northern Norway Health Authority (Helse Nord \nRHF). This interview study was funded by Nord University \n(PhD salary). \n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising \ninsights from the Atlas of MS, third \n\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the \nrelationship between trunk motor control and balance, functional mobility, and gait \ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor \nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin \nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017 \n\nprevalence of multiple sclerosis worldwide: \nedition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841 \n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in \npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 \n(9):1960–9. doi: 10.1111/sms.13214 \n\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple \nsclerosis: a review and content analysis of qualitative research identifying perceived \ndeterminants and consequences. Disabil Rehabil. (2016) 38(13):1227–42. doi: 10. \n3109/09638288.2015.1077397 \n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less \nphysically active than healthy controls but as active as those with other chronic \ndiseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. \ndoi: 10.1016/j.msard.2017.01.016 \n\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing \nsensorimotor function, physical activity and employment for people with MS—a \n10.52705/ \nfeasibility \nc14a8ca05f7546dabc18bd0275cf2edd \n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia \n(ESSA) position statement on exercise for people with mild to moderate multiple \nsclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015 \n\n90(1):32–42. study. Fysioterapeuten. (2023) doi:", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed13.pdf" + }, + { + "text": "| Week 1: MS outpatient\nclinic | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge\nof MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n|---|---|\n| Week 1: MS outpatient clinic | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n| | Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, motivate the patient. |\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2–5: Municipality | Physiotherapy assessment (60–90 min) to explore the patient’s impairments and potential for improvements in a clinical examination prior to group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to five participants in each group and one physiotherapist. Trunk control, balance and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7–10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was conducted in a city park where both flat and uneven surfaces and hilly terrain were available (Table 2). |\n| | Additionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder. |\n| Week 11–14 | Standardized testing (final, for the RCT) and qualitative interviews. |\n\n\n2 Materials and methods \n\n2.1 Design \n\nin-depth interviews using a phenomenological- \ninspired approach were chosen, as this is suitable for exploring \nthe meaning and significance of pwMS’s \nexperiences and \nreflections (23, 24). \n\nIndividual \n\n2.2 Ethical considerations \n\nThe study was conducted according to the Declaration of \nHelsinki and approved by the Regional Committee for Medical \nResearch Ethics in North Norway (REK North: 174837). Written \ninformed consent was obtained prior to the intervention and \nconfirmed verbally when arranging the interviews. Participation \nwas voluntary and anonymous, \nand the participants were \ninformed about the opportunity to withdraw from the study. The \nConsolidated Criteria for Reporting Qualitative Research (COREQ) \n(25) were used to optimize the conduct and reporting of the study.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed13.pdf" + }, + { + "text": "46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported \nphysical \na \ncross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- \n0981-4 \n\nactivity correlates in Swedish adults with multiple sclerosis: \n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience \nof a flexible exercise participation program (FEPP) for individuals with multiple \nsclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. \n1002/pri1922 \n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for \npersons with multiple sclerosis: a review and agenda for future research. Int J MS \nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066 \n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: \nTranslating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer \nHealth (2023). \n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among \nFive Approaches. 4th ed. California: Sage (2018).", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed13.pdf" + }, + { + "text": "s \nt \nh \ng \ni \ne \nw \nn \no \ni \nt \ns \ne \nu \nQ \n\n; \ny \nr \nt \ne \nm \no \nr \ni \np \ns \n\nd \ne \nr \ni \na \np \nm \n\n. \nn \nw \no \nh \ns \ni \n\no \ni \nt \na \nr \ne \nr \na \n\nd \ne \nv \nr \ne \ns \ne \nr \np \n¼ \nm \nS \nI \nR \nP \n\ns \ne \ny \n\nd \ne \nr \ne \nw \ns \nn \na \n\no \nh \nw \ns \nt \nn \na \np \ni \nc \ni \nt \nr \na \np \n\n; \nt \ns \ne \nT \n\nt \nn \ne \nm \n\ns \ns \ne \ns \ns \nA \nD \nP \nO \nC \n¼ \nT \nA \nC \n\nf \no \n\ns \ne \ng \na \nt \nn \ne \nc \nr \ne \np \n\ne \nr \ne \nh \nw \n\nHowever, 1,415 either did not attend or were unable to \ncomplete adequate spirometry. Ultimately, 2,857 (67%) \nof those eligible underwent both pre- and post-BD \nspirometry. \n\nOf these 2,857 participants, 2,090 (73.2%) had normal \nspirometry, 265 (9.3%) had undiagnosed asthma, 330 \n(11.5%) had undiagnosed COPD, and 172 (6.0%) had \nPRISm based on post-BD spirometry. Of the 595 \nindividuals with spirometric evidence of asthma or \nCOPD, 253 were independently assessed by a \npulmonologist. In 245 of these 253 cases (97%), the \nindependent physician diagnosis agreed with the study \ndiagnosis of asthma or COPD. \n\nIndividuals in the COPD group were generally older \nand more likely to be male compared with all other \nstudy groups (Table 1). All groups, including healthy \ncontrol participants, had mean BMIs in the overweight \nor obese ranges. The PRISm group was heaviest with an \naverage BMI of 34.7, and 22% of PRISm patients met \nBMI criteria for morbid obesity. Compared with all \nother groups, those with COPD were the most likely to \nhave active or previous tobacco use, with the highest \naverage total pack-years of 32.7. The control group had \nthe lowest number of people with active or previous \ntobacco use. \n\n. \ns \nn \no \ni \nt \ns \ne \nu \nq \n\n, \ns \nn \no \ni \nt \ns \ne \nu \nq \nl \n\na \nu \nd \ni \nv \ni \nd \nn \no \nn \nr \no \ni \ns \ne \ny \nw \no \ne \nb \nl \ns \na \n\ns \nt \nn \na \np \ni \nc \ni \nt \nr \na \np \n\nn \nw \no \nh \ns \n\ne \nr \na \n\nt \nn \ne \nm \no \nt \n\nd \ne \nt \nn \ne \ns \ne \nr \np \ns \ns \ne \ns \ns \na \n\na \ne \nn \np \ns \ny \nd \n\ne \nr \ne \nw \n5 \n1 \nQ \no \nt \ne \nh \nt \n\ng \nn \ni \nt \na \nu \nc \na \nc \n3 \nQ \nd \nn \na \n\n, \n) \nl \na \nt \no \nt \n( \nr \no \nf \n\nd \ne \ns \nu \n\nTable 2 shows mean responses to the 15 dyspnea \nquestions for each disease classification and presents \nquestion weights (PCA scoring coefficients) used for \ncalculating the dyspnea impact assessment. \n\nIndividuals with PRISm reported the highest dyspnea \nimpact, with a significantly greater mean score (63.0; \n95% CI, 59.5-66.4) than those with undiagnosed \nasthma or COPD (Table 3). Those with undiagnosed \nasthma or COPD had similar mean scores (56.6; \n95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, \nrespectively), followed by those with normal \nspirometry (51.8; 95% CI, 50.7-52.8). All four groups \nreported significantly more impactful dyspnea than \nthe control group (mean score, 13.8; 95% CI, 11.8- \n15.7). Table 3 shows between-group differences in \nmean dyspnea impact assessments for each pair of \ndisease outcomes. Figure 2 compares box plots of the \ndyspnea impact assessment values across disease \nclassifications. \n\n| PRISm Group (n 172) ¼ | 74 | 81 | 88 |\n|---|---|---|---|\n| PRISm Group (n 172) ¼ | 74 | 81 | 88 |\n| COPD Group (n 330) ¼ | 69 | 78 | 85 |\n| Asthma Group (n 265) ¼ | 59 | 71 | 79 |\n| Normal Spirometry Group (n 2,090) ¼ | 54 | 65 | 74 |\n| Control Group (n 231) ¼ | 8 | 13 | 17 |\n| Questions About Dyspnea From CAT and SGRQ | My breathing makes it to do things such as difficult climbing up hills, carrying things up stairs, light gardening such as weeding, dancing, bowling, or % golfing, | My breathing makes it to do things such as difficult carrying heavy loads, digging the garden or shoveling snow, jogging, or walking at 5 km/h, playing tennis or swimming, % | My breathing makes it to do things such as very difficult heavy manual work, running, cycling, swimming fast, or playing competitive sports, % |\n| | Q13 (weight 0.132) ¼ | Q14 (weight 0.123) ¼ | Q15 (weight 0.108) ¼ |\n\n\nl \n\n. \ne \nr \ni \na \nn \nn \no \ni \nt \ns \ne \nu \nQ \n\nl \n\n3 \nQ \nd \nn \na \n\n) \ns \nt \nn \ne \ni \nc \nfi \nf \ne \no \nc \ny \nr \no \nt \na \nr \ni \np \ns \ne \nR", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "**Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005**\n**and 2013, by age of individual at first presentation.**\n\n\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age \nprofile throughout. Rises in average age of initiation have also been reported recently in cohorts \nof Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible \nexplanations. \n\n There is a genuine shift towards new initiates being older, and for them to present to \n\ntreatment much faster than in previous years. \n\n There is a consistent, but small number of individuals who mis-report their age of onset \n\nwhen attending treatment i.e. who report that they have only been using opiates/crack for \na short period when in fact they have been using for a far longer period, and that this is \nstarting to really bias the numbers for recent cohorts because attendees from the original \nepidemic are becoming smaller. \n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of \nolder initiates, although mis-reporting may also explain that phenomenon. Either way though, as \nthis analysis has made clear throughout, absolute numbers of new OCUs appear to be small – \nprobably fewer than 10,000 per annum and the numbers of those involved with crime will be \nsmaller still. In addition, despite a flattening in the probable trend in new users, there is currently \nno sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to \nresume, though clearly it remains important to monitor the situation.", + "page_start": 28, + "page_end": 28, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Figure 10: New treatment presentations for opiate/crack use.**\n\n\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for \nopiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a \ndecrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics \nhave been missed before (see Morgan, 2014), and the potential social harm that a fresh \nincrease in new OCUs could cause, further analysis was conducted on the most recent data to \ntry and determine whether the apparent flattening in trends was actually caused by the early \nstages of a significant surge in new users. \n\nThe treatment data was broken down by age to check whether the slight fall in total new \npresentations in 2014/15 masked an increase in younger treatment presentations. This showed \ninstead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to \n3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a \nfaster rate over the last year than for those aged over-25. Furthermore, separate statistics \nproduced for those in treatment aged 18-and-under also show a fall in aggregate numbers in \ntreatment for opiates and crack. \n\nWe also looked at trends at the local level, given that previous epidemics have started in very \nspecific areas and have taken several years to spread nationally. This means that the start of an \nepidemic can be hidden in the national data because it has not reached enough areas to \nregister. \n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment \nbefore. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously. \n\nNew opiate and crack-cocaine users: characteristics and trends 27", + "page_start": 26, + "page_end": 26, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "Enjoyment has previously been reported to promote PA \nin pwMS, and our study brings requested knowledge of what \nin an exercise intervention (46): \ncan constitute enjoyment \nplayful group-exercise tasks, a cheerful physiotherapist, and the \noutdoor environment. \n\nThe appreciation of being active outdoors in the study sample \naligns with that in the general population (47). The outdoors \nprovided a natural environment, which both invited participants to \nactively explore abilities thought of as left behind after their \ndiagnosis with MS, such as running, and provided an appreciated \nbreak from focusing on MS symptoms. We also suggest that the \npositive \nchallenging weather \nconditions and the added meaning of exercising among other \npeople in the city park can be explained according to such terms. \nThese positive experiences show how we are enmeshed in our \nhistory, context and social encounters (35) and how these aspects \nshould also be accounted for when designing exercise interventions. \n\nexperiences of mastering the \n\nEthics statement \n\nThis study involving humans was approved by Regional \nCommittee for Medical Research Ethics in North Norway (REK \nNorth: \nat \nthe Data \nNordlandssykehuset Hospital Trust, Norway. This study was \nlegislation and \nconducted in accordance with the \n\nProtection Officer 174,837) and \n\nlocal \n\n4.3 Methodological considerations \n\nfor deriving \nknowledge from individuals’ experiences. The participants self- \nreferred to the intervention and were recruited based on pre-set \ncriteria. This approach yielded rich information from people \nwith mild to moderate disabilities due to MS who were \n\nThe design and methods were adequate", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed13.pdf" + }, + { + "text": "performed an outlier check, labeling images as a ‘low-quality outlier’ if \nthe correlation coefficient was >3 s.d. from the absolute mean. None of \nour scans were flagged as outliers. The reconstructed participant files \nwere aggregated into one connectometry database per metric. *Subcortical GMV*. A similar statistical approach was taken for subcorti- \ncal volume estimates. We ran a multivariate regression analysis predict- \ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by \ngestation week (FDR-corrected at*q*< 0.05). \n\nTo evaluate the relationship between gestation week and MTL \nsubregion volume over pregnancy (*n*= 7 bilateral subregions and \n*n*= 18 MTL scans), we used a combination of linear and nonlinear \nmodels based on individual subregion data patterns. Models were \ncompared for best fit with each subregion via AIC from the GLM output \n(as described in ‘Summary brain metrics’). A linear regression model \nwas most appropriate for PHC (AICdiff < 3), whereas a quadratic model \nperformed best for CA1 and CA2/CA3. As a control, we repeated the \nanalyses with MTL subregion volumes after proportional volume cor- \nrection of total GMV calculated by ASHS. Finally, we evaluated the \nrelationship between endogenous sex hormones (estrogen and proges- \nterone) and subregion volumes using linear regression. Relationships \nwere considered significant only if they met FDR correction at*q*< 0.05. \n\n*Day2Day control dataset*. To compare our findings against a control \ngroup of nonpregnant densely-sampled individuals, we used the Day- \n2Day dataset23 which offered comparable whole-brain T1 and T2 MTL \nscans for eight participants (two male) scanned 12–50 times over 2–7 \nmonths. Each participant was run through the ANTs CT and ASHS pro- \ncessing pipelines as outlined above (‘Cortical volume and thickness’ \nand ‘Hippocampal segmentation’). To note, for each participant, we \ncreated an SST based on their first two sessions for consistency with \nthe primary dataset; subfield volumes for the T2 MTL scans did not \nundergo manual retouching. Due to missing header information on \nthe publicly available diffusion scans, we were unable to benchmark \nour white matter changes with the Day2Day dataset. \n\n**Statistical analysis.**Statistical analyses were conducted using R (sMRI; \nversion 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed4.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed13.pdf", + "query": "What was the average year of the group that participated to the study concerning the impact of outdoor pysiotherapy on patient with multiple sclerosis", + "target_page": 4, + "target_passage": "Age in years Mean 47.6", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "community healthcare in the two municipalities. The project team \nincluded three individuals representing users from the Nordland \nMS Association, along with an MS nurse and a neurologist from \nthe MS-outpatient clinic, and three physiotherapists/ researchers. \n\nTABLE 3 Participant demographic information. \n\n| Variable | Total (n = 15) |\n|---|---|\n| Variable | Total (n = 15) |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\n\n2.4 Research team and reflexivity \n\nin \nneurological physiotherapy. BN and ECA developed the \nCoreDISTparticipation intervention, and SSHD contributed to \nthe development of the outdoor part. \n\nAll researchers on the team are clinical specialists \n\nThe researchers’ closeness to the intervention and the \nclinical field may have strengthened the depth and relevance \nof their interpretations in this study (27), as it was easy to \nunderstand what participants described and helped form \nfollow-up questions during the interviews. However, closeness \nmay also produce a risk of “blind spots”, as the researchers \nmay prejudice participants’ experiences, omitting questions \nwhere the answers are believed to be obvious (27). Thus, \nand rigor were \nthe process, \nthroughout \nenhanced by discussing \nand \ninterpretations with external researchers (including specialists \nin enactive theory), as well as user \nrepresentatives. The \nframework (enactive theory) enhanced \npresented theoretical \nthe distance to the material, as recommended in qualitative \nresearch (28). \n\n| TABLE 4 Interview guide. | |\n|---|---|\n| Theme | Potential questions |\n| Overall experiences and reflections from participation | Generally, what are your main experiences of participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general • The high-intensity walking/running • The specific exercises • The combination of specific exercises and intervals of running/walking • The exercise intensity |\n| | How did you respond to the exercises? How did you experience getting tired? |\n| | How do you perceive your specific movement impairments (if any) being addressed? |\n| | Please elaborate on situations where you experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would you prefer to have been done differently? What did you enjoy? |\n| | What was the value of participating in the indoor exercise group beforehand? |\n| | How did you experience this kind of exercise intervention compared to other type of exercise you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park environment for exercise? |\n| Closing questions | Are there any experiences from participation that you would like to elaborate on? Is anything related to this project that we have not talked about that you would like to say? |\n| | How did you experience this interview? |\n\n\nOverall participants were asked to describe situations to exemplify their answers, \nand follow-up questions were used to capture in-depth reflections, for example, \nWhat was positive/negative?, How did it feel?, What do you think of that?, What \ndoes it mean to you?, Can you elaborate on that?.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "Prior to recruitment, the study was introduced to individuals \nwith multiple sclerosis (pwMS) through a seminar hosted by the \nNordland MS Association. Additionally, \nseminars were \nconducted for health professionals in community healthcare and \nat the regional hospital. Written information about this study \n(and the RCT) was sent from the MS clinic at the regional \nto all eligible individuals affiliated with the \nhospital by post \nIndividuals who wished to participate signed the \nhospital. \nattached consent \nin the pre-stamped \nfollows: had been \nenvelope. The inclusion criteria were as \ndiagnosed with MS, had a score on the Expanded Disability \nStatus Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed \n(10%–100% of \nfull-time) and residential address in the two \npredefined municipalities. The exclusion criteria were as follows: \npregnancy, exacerbation of symptoms within two weeks prior to \nenrollment and other serious conditions compromising balance, \nwalking or work capacity. All participants in the intervention \ngroup of the RCT (n = 15) were included (Table 3). \n\nform and returned it \n\nconducted (with pwMS who were not part of the sample), and the \ninterview guide was then refined around the following themes: \noverall experience and reflections from participation, content, \noutdoor setting, the group, and the physiotherapists. Questions \nin-depth reflections regarding \nwere open-ended to capture rich, \nparticipants’ experiences, following a phenomenological approach. \nThe interviewer asked for both negative and positive experiences \n\n2.6 Data collection \n\nThe interview guide (Table 4) was developed based on literature \nreviews, clinical experience and discussions within the research \ngroup and with user representatives. Two test interviews were", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported \nphysical \na \ncross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- \n0981-4 \n\nactivity correlates in Swedish adults with multiple sclerosis: \n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience \nof a flexible exercise participation program (FEPP) for individuals with multiple \nsclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. \n1002/pri1922 \n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for \npersons with multiple sclerosis: a review and agenda for future research. Int J MS \nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066 \n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: \nTranslating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer \nHealth (2023). \n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among \nFive Approaches. 4th ed. California: Sage (2018).", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed13.pdf" + }, + { + "text": "The meaningfulness of exploring \none’s own limits through \ninteractions and enjoyment \nin outdoor high-intensity \nphysiotherapy for people \nwith multiple sclerosis: a \nqualitative study \n\nStine Susanne Haakonsen Dahl1*, Ellen Christin Arntzen1 and \nBritt Normann1,2 \n\n1Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2Department of Physiotherapy, \nNordland Hospital Trust, Bodø, Norway \n\nEDITED BY \nJacqui H Morris, \nUniversity of Dundee, United Kingdom \n\nREVIEWED BY \nNicola Saywell, \nAuckland University of Technology, \nNew Zealand \nVerna Stavric, \nAuckland University of Technology, \nNew Zealand \n\n*CORRESPONDENCE \nStine Susanne Haakonsen Dahl \nstine.s.dahl@nord.no \n\nRECEIVED 27 September 2023 \nACCEPTED 06 March 2024 \nPUBLISHED 18 March 2024 \n\nCITATION \nDahl SSH, Arntzen EC and Normann B (2024) \nThe meaningfulness of exploring one’s own \nlimits through interactions and enjoyment in \noutdoor high-intensity physiotherapy for \npeople with multiple sclerosis: a qualitative \nstudy. \nFront. Rehabil. Sci. 5:1303094. \ndoi: 10.3389/fresc.2024.1303094 \n\nCOPYRIGHT \n© 2024 Dahl, Arntzen and Normann. This is an \nopen-access article distributed under the \nterms of the Creative Commons Attribution \nLicense (CC BY). The use, distribution or \nreproduction in other forums is permitted, \nprovided the original author(s) and the \ncopyright owner(s) are credited and that the \noriginal publication in this journal is cited, in \naccordance with accepted academic practice. \nNo use, distribution or reproduction is \npermitted which does not comply with \nthese terms. \n\nBackground and purpose: Physical activity (PA) is often reduced in people with \nMS (pwMS), even when disability is low. Understanding the perspectives of pwMS \non interventions aiming to improve PA is important to inform the development \nof such services. The aim of \nthis study was to explore the experiences \nof pwMS participating in an outdoor, high-intensity and balance exercise \ngroup intervention. \nMethods: This qualitative study was nested within an RCT exploring a novel \nintervention integrating sensorimotor exercises with high-intensity intervals of \nin-depth interviews with the intervention group \nrunning/walking. \n(n = 15; 12 women, 3 men; age 38–66; EDSS score 0–3.5) were conducted \npostintervention (mean days = 14), analyzed using a phenomenological- \ninspired approach with systematic text condensation, and interpreted based on \nenactive theory. \nResults: Four categories were generated: (1) Exploration of one’s own physical \nabilities: Challenging one’s own limits was perceived by all participants to \nimprove movement performance and/or intensity level. Such bodily changes \nengendered strong positive feelings. Some negative consequences of high- \nintensity training were described, increasing a feeling of loss. (2) New insights \nand beliefs: Participants experienced enhanced beliefs \nin their own \ncapabilities, which they integrated in activities outside the intervention. (3) An \nengaging environment: The group setting was perceived as supportive, and \nthe outdoor environment was perceived as stimulating activity. (4) Professional \nleadership, \ntailoring and co-creation of enjoyment: Physiotherapist-led, \nindividualized interactions were regarded as necessary to safely revisit prior \nactivities, such as running. Co-creating enjoyment facilitated high-intensity \ntraining and intervention adherence. \n\nIndividual,", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed13.pdf" + }, + { + "text": "Enjoyment has previously been reported to promote PA \nin pwMS, and our study brings requested knowledge of what \nin an exercise intervention (46): \ncan constitute enjoyment \nplayful group-exercise tasks, a cheerful physiotherapist, and the \noutdoor environment. \n\nThe appreciation of being active outdoors in the study sample \naligns with that in the general population (47). The outdoors \nprovided a natural environment, which both invited participants to \nactively explore abilities thought of as left behind after their \ndiagnosis with MS, such as running, and provided an appreciated \nbreak from focusing on MS symptoms. We also suggest that the \npositive \nchallenging weather \nconditions and the added meaning of exercising among other \npeople in the city park can be explained according to such terms. \nThese positive experiences show how we are enmeshed in our \nhistory, context and social encounters (35) and how these aspects \nshould also be accounted for when designing exercise interventions. \n\nexperiences of mastering the \n\nEthics statement \n\nThis study involving humans was approved by Regional \nCommittee for Medical Research Ethics in North Norway (REK \nNorth: \nat \nthe Data \nNordlandssykehuset Hospital Trust, Norway. This study was \nlegislation and \nconducted in accordance with the \n\nProtection Officer 174,837) and \n\nlocal \n\n4.3 Methodological considerations \n\nfor deriving \nknowledge from individuals’ experiences. The participants self- \nreferred to the intervention and were recruited based on pre-set \ncriteria. This approach yielded rich information from people \nwith mild to moderate disabilities due to MS who were \n\nThe design and methods were adequate", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed13.pdf" + }, + { + "text": "in a \nDiscussion: High-intensity training combined with detailed exercises \nphysiotherapy outdoor group was perceived to create meaningful bodily changes \nand enhance PA and prospects for both PA and life. Importantly, however, some \nnegative experiences were also reported from the high-intensity training. Enactive \nthe importance of \nthe illumination of new perspectives: \ntheory allowed for \nembodiment for self-efficacy and of tailored physiotherapy and an outdoor-group \nenvironment for exploring one’s own limits to physical capabilities. These aspects \nshould inform future exercise interventions in pwMS with low disability. \n\nKEYWORDS \n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, \npostural balance, enactive theory \n\n1 Introduction \n\nMultiple sclerosis (MS) is a progressive inflammatory disease of \nthe central nervous system (CNS) that is typically diagnosed at 30– \n40 years of age (1). A great concern is the significantly lower levels \nof physical activity (PA) in people with MS (pwMS) across \ndisability levels than in their healthy counterparts (2, 3). \n\nphysically active as their sensorimotor impairments improved \n(16). To address PA challenges in pwMS, GroupCoreDIST was \nfurther developed to include a four-week period of outdoor \ntraining, \nand \nGroupCoreDIST exercises are integrated (Table 2). To our \ntraining \nknowledge, \nand \nfunctions have been \nrehabilitation of \nfor \nsparsely explored. Patient perspectives are essential \nthe \nthe new \nevaluation of healthcare interventions (17); however, \nto be \noutdoor component of CoreDISTparticipation has yet \nfirst-person \nParticularly \ninvestigated \ninteresting is what participants perceive as meaningful regarding \nthe intervention, as \nfor motivation, motor \nlearning and exercise adherence (18). \n\nin which high-intensity walking/running \n\ncombinations \n\nof \nspecific sensorimotor \n\nhigh-intensity \n\nEarly promotion of PA and exercise is recommended due to \nnumerous established benefits in health, symptom management \nand well-being for pwMS (4). \nIn particular, high-intensity \ntraining is endorsed, as it has possible neuroprotective effects in \nIn addition, exercises addressing \nthe disease course (5, 6). \nsensorimotor \nstrength, \n(e.g., \nimpairments \nreduced neuromuscular control) are recommended, as they target \nindividuals’ \n(7). \nSensorimotor impairments can influence trunk control, which is \ncommonly disturbed in pwMS, even when disability is low (8, 9), \nand correlate with impaired balance, walking capacity and \nexercise benefits, \ndistance \nattitudes and motivations, as well as contextual aspects such as \nlack of optimal exercise interventions, accessibility and support, \naffect the level of PA and exercise participation (12). \n\nTo deepen our understanding of what \n\nis concurrently expressing \n\nan exercise \n\nrepertoire for perception and action \n\nCoreDISTparticipation (Table 1) is a new comprehensive \nintervention addressing sensorimotor function, \ntrunk control, \nhigh-intensity running/walking and work participation in pwMS \nwith low disability (13). It is based on the GroupCoreDIST1 \nintervention, which has been shown to have significant short- \nand long-term effects on trunk control, balance and walking \namong pwMS (14, 15). However, no effects of the intervention \non objectively measured PA have been identified, even though \nthe participants reported perceptions of new possibilities to be \n\n1GroupCoreDIST is a group-based intervention (Group), involving 35 \n\nexercises at different levels, addressing activation of trunk musculature \n\n(Core) in motor tasks in lying, sitting and standing (e.g. rolling, reaching, \n\nsquatting, single leg stance. DIST describes essential elements of the \n\nconcept: D = dose (high), dual task; I = individualization, insight, intensity; \n\nS = sensorimotor activation, selective movement control; T = task \n\noriented training.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed13.pdf" + }, + { + "text": "Acknowledgments \ninstitutional requirements. The participants provided their written \ninformed consent to participate in this study. \n\nThe authors would like to thank the participants in this study \nand the user representatives from Nordland MS Association for \ntheir valuable contributions. The authors also acknowledge \nphilosopher of \nthe mind and cognitive sciences Hanne De \nJaegher for the valuable comments on the interpretations and \ndiscussions of the results. \n\nAuthor contributions \n\ncuration, Formal Analysis, \nInvestigation, Methodology, Project administration, Resources, \nVisualization, Writing – original draft, Writing – review & \nediting. EA: Conceptualization, Formal Analysis, Methodology, \nSupervision, Writing – review & editing. BN: Conceptualization, \nFormal Analysis, Funding acquisition, Methodology, Project \nadministration, Resources, Supervision, Writing – review & editing. \n\nSD: Conceptualization, Data \n\nConflict of interest \n\nThe authors declare that the research was conducted in the \nabsence of any commercial or financial relationships that could \nbe construed as a potential conflict of interest. \n\nFunding \n\nPublisher’s note \n\nThe author(s) declare that financial support was received for \n\nthe research, authorship, and/or publication of this article. \n\nAll claims expressed in this article are solely those of the authors \nand do not necessarily represent those of their affiliated organizations, \nor those of the publisher, the editors and the reviewers. Any product \nthat may be evaluated in this article, or claim that may be made by its \nmanufacturer, is not guaranteed or endorsed by the publisher. The development of the CoreDISTparticipation and the RCT is \nfunded by the Northern Norway Health Authority (Helse Nord \nRHF). This interview study was funded by Nord University \n(PhD salary). \n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising \ninsights from the Atlas of MS, third \n\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the \nrelationship between trunk motor control and balance, functional mobility, and gait \ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor \nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin \nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017 \n\nprevalence of multiple sclerosis worldwide: \nedition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841 \n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in \npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 \n(9):1960–9. doi: 10.1111/sms.13214 \n\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple \nsclerosis: a review and content analysis of qualitative research identifying perceived \ndeterminants and consequences. Disabil Rehabil. (2016) 38(13):1227–42. doi: 10. \n3109/09638288.2015.1077397 \n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less \nphysically active than healthy controls but as active as those with other chronic \ndiseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. \ndoi: 10.1016/j.msard.2017.01.016 \n\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing \nsensorimotor function, physical activity and employment for people with MS—a \n10.52705/ \nfeasibility \nc14a8ca05f7546dabc18bd0275cf2edd \n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia \n(ESSA) position statement on exercise for people with mild to moderate multiple \nsclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015 \n\n90(1):32–42. study. Fysioterapeuten. (2023) doi:", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed13.pdf" + }, + { + "text": "given the heterogenic pathology and symptoms of MS (41, 42). \nHowever, our findings illuminate qualitative aspects of how to \nachieve tailored and meaningful intersubjective interactions in an \nexercise intervention. \n\nmotivated for physical activity (PA), employed, and residing in \nnorthern Norway. Ethnicity or socio-economic class were not \nrecorded. However, considering that all \nthese factors can \ninfluence PA engagement (46), \nit is possible that additional \naspects of the phenomenon could be uncovered in a different \nsample \n(48). There was a higher percentage of women \nparticipating than men; however, this corresponds to the gender \ndistribution in the MS population (1). \n\nThe use of enactive theory was innovative within the field and \nallowed for, \nimportance for self- \nefficacy to be identified. Transference of our results to similar \npopulations can be achieved through theoretical generalization (28). \n\nit appears that \n\nin particular, new aspects of \n\nthe physiotherapists’ ability to adapt \n\nWe consider the instances of the physiotherapist running \ntogether with the participant, which were perceived as important \nfor participants’ performance, to be an example of “participatory \nsense-making” (22). As participants appreciated being guided or \nthe \neven pushed by the physiotherapists, \nphysiotherapists were trusted in directing this interaction. As \nsuch, we argue that \nto \nparticipants’ movements, \nspeech and gestures—tailoring the \ninteraction to their needs—was important for this ability to be \nperceived as purposeful. This is supported by the few negative \nincidents \nparticipant-physiotherapist \ninteraction seemed to not be jointly coordinated and appeared to \nfail. The reported mutual influences of sensorimotor capabilities \nand interpersonal coordination, with the physiotherapists but \nalso the group, are in accordance with sensorimotor capacities \nand intersubjective interactions being important \nsense- \nmaking in the world (35). The benefits of these individualized \nparticipant-physiotherapist \ninteractions are also described in \nspecific core-stability exercises in indoor groups (16, 43) and are \nin line with the \nfacilitation of \nthrough hands-on interaction previously proposed \nmovement \n(44, 45). Our study informs new knowledge of physiotherapist- \nparticipant \nto achieve the recommended high- \nintensity training and calls for physiotherapy clinical reasoning \nthrough bodily and verbal communication skills adapted to the \nparticipants’ responses in an ongoing and situated way. \n\ndescribed where the \n\nand detailed \nsensorimotor exercises was valued and provided meaningful \nembodied experiences, improving participants’ ability to master \nPA and their beliefs of their own possibilities for being active in \nthe future. However, the manner in which the content of an \nexercise intervention is delivered and the environment in which \nit is delivered should be accounted for, as these aspects were \nperceived to be of great importance in creating and shaping \nparticipants’ experiences. In particular, tailored physiotherapist- \nparticipant bodily interactions and an engaging group and \noutdoor \nfor \nexploring one’s own potential. \n\nCombining high-intensity walking/running \n\nenvironment were perceived to be pertinent \n\nTo minimize negative incidents in future interventions, we \nsuggest that (1) the effort required from one’s leg muscles \nduring the detailed exercises (in between the running/walking \nnegative \nintervals) \nconsequences of \nleg muscle fatigue prior to high-intensity \nrunning/walking, (2) the capacity for running/walking at high- \nintensity should be explored in one-to-one physiotherapy \nassessment prior to group training to optimize individuals \ncapabilities and safety, and (3) homogenous and small-sized \ngroups \nshould be used to enable ongoing and tailored \nphysiotherapist-participant interactions.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed13.pdf" + }, + { + "text": "23. DiCicco-Bloom B, Crabtree BF. The qualitative research interview. Med Educ. \n37. Bandura A. Health promotion by social cognitive means. Health Educ Behav. \n(2006) 40(4):314–21. doi: 10.1111/j.1365-2929.2006.02418.x \n(2004) 31(2):143–64. doi: 10.1177/1090198104263660 \n\n24. Malterud K. The art and science of clinical knowledge: evidence beyond \nmeasures and numbers. Lancet. (2001) 358(9279):397–400. doi: 10.1016/s0140-6736 \n(01)05548-9 \n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in \npeople with multiple sclerosis: a systematic review and meta-analysis. Arch Phys Med \nRehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013 \n\n25. Tong A, Sainsbury P, Craig J. Consolidated criteria for reporting qualitative \nresearch (COREQ): a 32-item checklist for interviews and focus groups. Int J Qual \nHealth Care. (2007) 19(6):349–57. doi: 10.1093/intqhc/mzm042 \n\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do \nphysical activity and social cognitive theory variable scores differ across symptom \ncluser severity groups in multiple sclerosis? Disabil Health J. (2021) 14(4):101163. \ndoi: 10.1016/j.dhjo.2021.101163 \n\n26. Arntzen EC, Braaten T, Fikke HK, Normann B. Feasibility of a new \nintervention addressing \ntraining, \nphysical activity, and employment in individuals with multiple sclerosis: a pilot \nrandomized controlled trial. Front Rehabil Sci. (2024) 4:1–17. doi: 10.3389/fresc. \n2023.1258737 \n\ngroup-based balance and high-intensity \n\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative \nreview of history, benefits, safety, guidelines, and promotion. Int J Environ Res \nPublic Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245 \n\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical \nactivity interventions among persons with multiple sclerosis. Neurorehabil Neural \nRepair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904 \n\n27. Paulgaard G. Feltarbeid i egen kultur: innenfra, utenfra eller begge deler? / \nfieldwork in their own culture: from within, outside or both? In: Fossaskåret E, \nFuglestad OL, Aase TH, editors. Metodisk Feltarbeid. Produksjon og Tolkning av \nKvalitative Data/ Methodical Fieldwork. Production and Interpretation of Qualitative \nData. Oslo: Universitetsforlaget (1997). p. 70–93. \n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in fitness, \nmobility and cognition with exercise-training in MS. Acta Neurol Scand. (2019) 139 \n(2):183–91. doi: 10.1111/ane.13041 \n\n28. Malterud K. Theory and interpretation in qualitative studies from general \npractice: why and how? Scand J Public Health. (2016) 44(2):120–9. doi: 10.1177/ \n1403494815621181 \n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, \nindividualized physiotherapy intervention for people with multiple sclerosis: a \nqualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829 \n\n29. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded \ndisability status scale (EDSS). Neurology. (1983) 33(11):1444–52. doi: 10.1212/wnl. \n33.11.1444 \n44. Normann B. Facilitation of movement: new perspectives provide expanded \ninsights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78. \ndoi: 10.1080/09593985.2018.1493165 \n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis. \nScand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030 \n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in \n(2015) 31(4):244–52. doi: 10.3109/ \n\nphysical \n09593985.2014.1002873 \ntherapy. Physiother Theory Pract. \n\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of \npeople with multiple sclerosis participating in a social cognitive behavior change \nphysical activity intervention. Physiother Theory Pract. (2022) 39(5):1–9. doi: 10. \n1080/09593985.2022.2030828", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed13.pdf" + }, + { + "text": "90(1):32–42. study. Fysioterapeuten. (2023) doi: \n\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, \nindividualized, comprehensive core stability and balance intervention provides \nimmediate and long-term improvements in walking in individuals with multiple \nsclerosis: a randomized controlled trial. Physiother Res Int. (2019) 25(1):e1798. \ndoi: 10.1002/pri.1798 \n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. \nExercise as medicine in multiple sclerosis—time for a paradigm shift: preventive, \nsymptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci \nRep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3 \n\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, \nGaemelke T, et al. Investigating the potential disease-modifying and neuroprotective \nefficacy of exercise therapy early in the disease course of multiple sclerosis: the early \nmultiple sclerosis exercise study (EMSES). Mult Scler. (2022) 28(10):1620–9. doi: 10. \n1177/13524585221079200 \n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Group- \nbased individualized comprehensive core stability intervention improves balance in \npersons with multiple sclerosis: a randomized controlled trial. Phys Ther. (2019) 99 \n(8):1027–38. doi: 10.1093/ptj/pzz017 \n\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized \nexercises can provide perceived bodily changes and strengthen aspects of self in \nindividuals with MS: a qualitative interview study. Physiother Theory Pract. (2019) \n37(10):1080–95. doi: 10.1080/09593985.2019.1683923 \n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and \nlifestyle physical activity recommendations \nfor people with multiple sclerosis \nthroughout the disease course. Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/ \n1352458520915629 \n\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The \nimportance of the patient’s perspective in decision-making in multiple sclerosis: \nresults of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023) \n75:104757. doi: 10.1016/j.msard.2023.104757 \n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, \net al. Test-retest reliability and known-groups validity of trunk muscle tests in people \nwith multiple sclerosis: a cross-sectional, case-control study. Phys Ther. (2021) 101 \n(5):1–9. doi: 10.1093/ptj/ptzab049 \n\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: \nimplications for rehabilitation after brain damage. J Speech Lang Hear Res. (2008) \n51(1):225–39. doi: 10.1044/1092-4388(2008/018) \n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of \ntrunk impairments and its relationship with disability level \nin individuals with \nmultiple sclerosis? Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard. \n2021.103325 19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. \nCambridge, Mass: Harvard University Press (2007). \n\n10. Normann B, Arntzen EC. What are the relationships between trunk control, \nbalance and walking in individuals with multiple sclerosis with minor to moderate \ndisability? Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870 \n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics \n(2008). \n\n21. Buhrmann T, Di Paolo E. The sense of agency—a phenomenological \nconsequence of enacting sensorimotor schemes. Phenomenol Cogn Sci. (2017) 16 \n(2):207–36. doi: 10.1007/s11097-015-9446-7 \n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT: \nJ Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011 \n\n35. Di Paolo E, Cuffari E, Jaegher H. Linguistic Bodies: The Continuity between Life", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed13.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed13.pdf", + "query": "What were the prerequisites allowing to be involved in the study concerning the impact of outdoor sport on patients witg multiple sclerosis ?", + "target_page": 4, + "target_passage": "The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "community healthcare in the two municipalities. The project team \nincluded three individuals representing users from the Nordland \nMS Association, along with an MS nurse and a neurologist from \nthe MS-outpatient clinic, and three physiotherapists/ researchers. \n\nTABLE 3 Participant demographic information. \n\n| Variable | Total (n = 15) |\n|---|---|\n| Variable | Total (n = 15) |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\n\n2.4 Research team and reflexivity \n\nin \nneurological physiotherapy. BN and ECA developed the \nCoreDISTparticipation intervention, and SSHD contributed to \nthe development of the outdoor part. \n\nAll researchers on the team are clinical specialists \n\nThe researchers’ closeness to the intervention and the \nclinical field may have strengthened the depth and relevance \nof their interpretations in this study (27), as it was easy to \nunderstand what participants described and helped form \nfollow-up questions during the interviews. However, closeness \nmay also produce a risk of “blind spots”, as the researchers \nmay prejudice participants’ experiences, omitting questions \nwhere the answers are believed to be obvious (27). Thus, \nand rigor were \nthe process, \nthroughout \nenhanced by discussing \nand \ninterpretations with external researchers (including specialists \nin enactive theory), as well as user \nrepresentatives. The \nframework (enactive theory) enhanced \npresented theoretical \nthe distance to the material, as recommended in qualitative \nresearch (28). \n\n| TABLE 4 Interview guide. | |\n|---|---|\n| Theme | Potential questions |\n| Overall experiences and reflections from participation | Generally, what are your main experiences of participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general • The high-intensity walking/running • The specific exercises • The combination of specific exercises and intervals of running/walking • The exercise intensity |\n| | How did you respond to the exercises? How did you experience getting tired? |\n| | How do you perceive your specific movement impairments (if any) being addressed? |\n| | Please elaborate on situations where you experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would you prefer to have been done differently? What did you enjoy? |\n| | What was the value of participating in the indoor exercise group beforehand? |\n| | How did you experience this kind of exercise intervention compared to other type of exercise you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park environment for exercise? |\n| Closing questions | Are there any experiences from participation that you would like to elaborate on? Is anything related to this project that we have not talked about that you would like to say? |\n| | How did you experience this interview? |\n\n\nOverall participants were asked to describe situations to exemplify their answers, \nand follow-up questions were used to capture in-depth reflections, for example, \nWhat was positive/negative?, How did it feel?, What do you think of that?, What \ndoes it mean to you?, Can you elaborate on that?.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported \nphysical \na \ncross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- \n0981-4 \n\nactivity correlates in Swedish adults with multiple sclerosis: \n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience \nof a flexible exercise participation program (FEPP) for individuals with multiple \nsclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. \n1002/pri1922 \n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for \npersons with multiple sclerosis: a review and agenda for future research. Int J MS \nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066 \n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: \nTranslating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer \nHealth (2023). \n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among \nFive Approaches. 4th ed. California: Sage (2018).", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed13.pdf" + }, + { + "text": "Prior to recruitment, the study was introduced to individuals \nwith multiple sclerosis (pwMS) through a seminar hosted by the \nNordland MS Association. Additionally, \nseminars were \nconducted for health professionals in community healthcare and \nat the regional hospital. Written information about this study \n(and the RCT) was sent from the MS clinic at the regional \nto all eligible individuals affiliated with the \nhospital by post \nIndividuals who wished to participate signed the \nhospital. \nattached consent \nin the pre-stamped \nfollows: had been \nenvelope. The inclusion criteria were as \ndiagnosed with MS, had a score on the Expanded Disability \nStatus Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed \n(10%–100% of \nfull-time) and residential address in the two \npredefined municipalities. The exclusion criteria were as follows: \npregnancy, exacerbation of symptoms within two weeks prior to \nenrollment and other serious conditions compromising balance, \nwalking or work capacity. All participants in the intervention \ngroup of the RCT (n = 15) were included (Table 3). \n\nform and returned it \n\nconducted (with pwMS who were not part of the sample), and the \ninterview guide was then refined around the following themes: \noverall experience and reflections from participation, content, \noutdoor setting, the group, and the physiotherapists. Questions \nin-depth reflections regarding \nwere open-ended to capture rich, \nparticipants’ experiences, following a phenomenological approach. \nThe interviewer asked for both negative and positive experiences \n\n2.6 Data collection \n\nThe interview guide (Table 4) was developed based on literature \nreviews, clinical experience and discussions within the research \ngroup and with user representatives. Two test interviews were", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "Enjoyment has previously been reported to promote PA \nin pwMS, and our study brings requested knowledge of what \nin an exercise intervention (46): \ncan constitute enjoyment \nplayful group-exercise tasks, a cheerful physiotherapist, and the \noutdoor environment. \n\nThe appreciation of being active outdoors in the study sample \naligns with that in the general population (47). The outdoors \nprovided a natural environment, which both invited participants to \nactively explore abilities thought of as left behind after their \ndiagnosis with MS, such as running, and provided an appreciated \nbreak from focusing on MS symptoms. We also suggest that the \npositive \nchallenging weather \nconditions and the added meaning of exercising among other \npeople in the city park can be explained according to such terms. \nThese positive experiences show how we are enmeshed in our \nhistory, context and social encounters (35) and how these aspects \nshould also be accounted for when designing exercise interventions. \n\nexperiences of mastering the \n\nEthics statement \n\nThis study involving humans was approved by Regional \nCommittee for Medical Research Ethics in North Norway (REK \nNorth: \nat \nthe Data \nNordlandssykehuset Hospital Trust, Norway. This study was \nlegislation and \nconducted in accordance with the \n\nProtection Officer 174,837) and \n\nlocal \n\n4.3 Methodological considerations \n\nfor deriving \nknowledge from individuals’ experiences. The participants self- \nreferred to the intervention and were recruited based on pre-set \ncriteria. This approach yielded rich information from people \nwith mild to moderate disabilities due to MS who were \n\nThe design and methods were adequate", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed13.pdf" + }, + { + "text": "Acknowledgments \ninstitutional requirements. The participants provided their written \ninformed consent to participate in this study. \n\nThe authors would like to thank the participants in this study \nand the user representatives from Nordland MS Association for \ntheir valuable contributions. The authors also acknowledge \nphilosopher of \nthe mind and cognitive sciences Hanne De \nJaegher for the valuable comments on the interpretations and \ndiscussions of the results. \n\nAuthor contributions \n\ncuration, Formal Analysis, \nInvestigation, Methodology, Project administration, Resources, \nVisualization, Writing – original draft, Writing – review & \nediting. EA: Conceptualization, Formal Analysis, Methodology, \nSupervision, Writing – review & editing. BN: Conceptualization, \nFormal Analysis, Funding acquisition, Methodology, Project \nadministration, Resources, Supervision, Writing – review & editing. \n\nSD: Conceptualization, Data \n\nConflict of interest \n\nThe authors declare that the research was conducted in the \nabsence of any commercial or financial relationships that could \nbe construed as a potential conflict of interest. \n\nFunding \n\nPublisher’s note \n\nThe author(s) declare that financial support was received for \n\nthe research, authorship, and/or publication of this article. \n\nAll claims expressed in this article are solely those of the authors \nand do not necessarily represent those of their affiliated organizations, \nor those of the publisher, the editors and the reviewers. Any product \nthat may be evaluated in this article, or claim that may be made by its \nmanufacturer, is not guaranteed or endorsed by the publisher. The development of the CoreDISTparticipation and the RCT is \nfunded by the Northern Norway Health Authority (Helse Nord \nRHF). This interview study was funded by Nord University \n(PhD salary). \n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising \ninsights from the Atlas of MS, third \n\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the \nrelationship between trunk motor control and balance, functional mobility, and gait \ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor \nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin \nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017 \n\nprevalence of multiple sclerosis worldwide: \nedition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841 \n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in \npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 \n(9):1960–9. doi: 10.1111/sms.13214 \n\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple \nsclerosis: a review and content analysis of qualitative research identifying perceived \ndeterminants and consequences. Disabil Rehabil. (2016) 38(13):1227–42. doi: 10. \n3109/09638288.2015.1077397 \n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less \nphysically active than healthy controls but as active as those with other chronic \ndiseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. \ndoi: 10.1016/j.msard.2017.01.016 \n\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing \nsensorimotor function, physical activity and employment for people with MS—a \n10.52705/ \nfeasibility \nc14a8ca05f7546dabc18bd0275cf2edd \n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia \n(ESSA) position statement on exercise for people with mild to moderate multiple \nsclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015 \n\n90(1):32–42. study. Fysioterapeuten. (2023) doi:", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed13.pdf" + }, + { + "text": "The meaningfulness of exploring \none’s own limits through \ninteractions and enjoyment \nin outdoor high-intensity \nphysiotherapy for people \nwith multiple sclerosis: a \nqualitative study \n\nStine Susanne Haakonsen Dahl1*, Ellen Christin Arntzen1 and \nBritt Normann1,2 \n\n1Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2Department of Physiotherapy, \nNordland Hospital Trust, Bodø, Norway \n\nEDITED BY \nJacqui H Morris, \nUniversity of Dundee, United Kingdom \n\nREVIEWED BY \nNicola Saywell, \nAuckland University of Technology, \nNew Zealand \nVerna Stavric, \nAuckland University of Technology, \nNew Zealand \n\n*CORRESPONDENCE \nStine Susanne Haakonsen Dahl \nstine.s.dahl@nord.no \n\nRECEIVED 27 September 2023 \nACCEPTED 06 March 2024 \nPUBLISHED 18 March 2024 \n\nCITATION \nDahl SSH, Arntzen EC and Normann B (2024) \nThe meaningfulness of exploring one’s own \nlimits through interactions and enjoyment in \noutdoor high-intensity physiotherapy for \npeople with multiple sclerosis: a qualitative \nstudy. \nFront. Rehabil. Sci. 5:1303094. \ndoi: 10.3389/fresc.2024.1303094 \n\nCOPYRIGHT \n© 2024 Dahl, Arntzen and Normann. This is an \nopen-access article distributed under the \nterms of the Creative Commons Attribution \nLicense (CC BY). The use, distribution or \nreproduction in other forums is permitted, \nprovided the original author(s) and the \ncopyright owner(s) are credited and that the \noriginal publication in this journal is cited, in \naccordance with accepted academic practice. \nNo use, distribution or reproduction is \npermitted which does not comply with \nthese terms. \n\nBackground and purpose: Physical activity (PA) is often reduced in people with \nMS (pwMS), even when disability is low. Understanding the perspectives of pwMS \non interventions aiming to improve PA is important to inform the development \nof such services. The aim of \nthis study was to explore the experiences \nof pwMS participating in an outdoor, high-intensity and balance exercise \ngroup intervention. \nMethods: This qualitative study was nested within an RCT exploring a novel \nintervention integrating sensorimotor exercises with high-intensity intervals of \nin-depth interviews with the intervention group \nrunning/walking. \n(n = 15; 12 women, 3 men; age 38–66; EDSS score 0–3.5) were conducted \npostintervention (mean days = 14), analyzed using a phenomenological- \ninspired approach with systematic text condensation, and interpreted based on \nenactive theory. \nResults: Four categories were generated: (1) Exploration of one’s own physical \nabilities: Challenging one’s own limits was perceived by all participants to \nimprove movement performance and/or intensity level. Such bodily changes \nengendered strong positive feelings. Some negative consequences of high- \nintensity training were described, increasing a feeling of loss. (2) New insights \nand beliefs: Participants experienced enhanced beliefs \nin their own \ncapabilities, which they integrated in activities outside the intervention. (3) An \nengaging environment: The group setting was perceived as supportive, and \nthe outdoor environment was perceived as stimulating activity. (4) Professional \nleadership, \ntailoring and co-creation of enjoyment: Physiotherapist-led, \nindividualized interactions were regarded as necessary to safely revisit prior \nactivities, such as running. Co-creating enjoyment facilitated high-intensity \ntraining and intervention adherence. \n\nIndividual,", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed13.pdf" + }, + { + "text": "23. DiCicco-Bloom B, Crabtree BF. The qualitative research interview. Med Educ. \n37. Bandura A. Health promotion by social cognitive means. Health Educ Behav. \n(2006) 40(4):314–21. doi: 10.1111/j.1365-2929.2006.02418.x \n(2004) 31(2):143–64. doi: 10.1177/1090198104263660 \n\n24. Malterud K. The art and science of clinical knowledge: evidence beyond \nmeasures and numbers. Lancet. (2001) 358(9279):397–400. doi: 10.1016/s0140-6736 \n(01)05548-9 \n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in \npeople with multiple sclerosis: a systematic review and meta-analysis. Arch Phys Med \nRehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013 \n\n25. Tong A, Sainsbury P, Craig J. Consolidated criteria for reporting qualitative \nresearch (COREQ): a 32-item checklist for interviews and focus groups. Int J Qual \nHealth Care. (2007) 19(6):349–57. doi: 10.1093/intqhc/mzm042 \n\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do \nphysical activity and social cognitive theory variable scores differ across symptom \ncluser severity groups in multiple sclerosis? Disabil Health J. (2021) 14(4):101163. \ndoi: 10.1016/j.dhjo.2021.101163 \n\n26. Arntzen EC, Braaten T, Fikke HK, Normann B. Feasibility of a new \nintervention addressing \ntraining, \nphysical activity, and employment in individuals with multiple sclerosis: a pilot \nrandomized controlled trial. Front Rehabil Sci. (2024) 4:1–17. doi: 10.3389/fresc. \n2023.1258737 \n\ngroup-based balance and high-intensity \n\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative \nreview of history, benefits, safety, guidelines, and promotion. Int J Environ Res \nPublic Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245 \n\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical \nactivity interventions among persons with multiple sclerosis. Neurorehabil Neural \nRepair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904 \n\n27. Paulgaard G. Feltarbeid i egen kultur: innenfra, utenfra eller begge deler? / \nfieldwork in their own culture: from within, outside or both? In: Fossaskåret E, \nFuglestad OL, Aase TH, editors. Metodisk Feltarbeid. Produksjon og Tolkning av \nKvalitative Data/ Methodical Fieldwork. Production and Interpretation of Qualitative \nData. Oslo: Universitetsforlaget (1997). p. 70–93. \n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in fitness, \nmobility and cognition with exercise-training in MS. Acta Neurol Scand. (2019) 139 \n(2):183–91. doi: 10.1111/ane.13041 \n\n28. Malterud K. Theory and interpretation in qualitative studies from general \npractice: why and how? Scand J Public Health. (2016) 44(2):120–9. doi: 10.1177/ \n1403494815621181 \n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, \nindividualized physiotherapy intervention for people with multiple sclerosis: a \nqualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829 \n\n29. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded \ndisability status scale (EDSS). Neurology. (1983) 33(11):1444–52. doi: 10.1212/wnl. \n33.11.1444 \n44. Normann B. Facilitation of movement: new perspectives provide expanded \ninsights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78. \ndoi: 10.1080/09593985.2018.1493165 \n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis. \nScand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030 \n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in \n(2015) 31(4):244–52. doi: 10.3109/ \n\nphysical \n09593985.2014.1002873 \ntherapy. Physiother Theory Pract. \n\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of \npeople with multiple sclerosis participating in a social cognitive behavior change \nphysical activity intervention. Physiother Theory Pract. (2022) 39(5):1–9. doi: 10. \n1080/09593985.2022.2030828", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed13.pdf" + }, + { + "text": "given the heterogenic pathology and symptoms of MS (41, 42). \nHowever, our findings illuminate qualitative aspects of how to \nachieve tailored and meaningful intersubjective interactions in an \nexercise intervention. \n\nmotivated for physical activity (PA), employed, and residing in \nnorthern Norway. Ethnicity or socio-economic class were not \nrecorded. However, considering that all \nthese factors can \ninfluence PA engagement (46), \nit is possible that additional \naspects of the phenomenon could be uncovered in a different \nsample \n(48). There was a higher percentage of women \nparticipating than men; however, this corresponds to the gender \ndistribution in the MS population (1). \n\nThe use of enactive theory was innovative within the field and \nallowed for, \nimportance for self- \nefficacy to be identified. Transference of our results to similar \npopulations can be achieved through theoretical generalization (28). \n\nit appears that \n\nin particular, new aspects of \n\nthe physiotherapists’ ability to adapt \n\nWe consider the instances of the physiotherapist running \ntogether with the participant, which were perceived as important \nfor participants’ performance, to be an example of “participatory \nsense-making” (22). As participants appreciated being guided or \nthe \neven pushed by the physiotherapists, \nphysiotherapists were trusted in directing this interaction. As \nsuch, we argue that \nto \nparticipants’ movements, \nspeech and gestures—tailoring the \ninteraction to their needs—was important for this ability to be \nperceived as purposeful. This is supported by the few negative \nincidents \nparticipant-physiotherapist \ninteraction seemed to not be jointly coordinated and appeared to \nfail. The reported mutual influences of sensorimotor capabilities \nand interpersonal coordination, with the physiotherapists but \nalso the group, are in accordance with sensorimotor capacities \nand intersubjective interactions being important \nsense- \nmaking in the world (35). The benefits of these individualized \nparticipant-physiotherapist \ninteractions are also described in \nspecific core-stability exercises in indoor groups (16, 43) and are \nin line with the \nfacilitation of \nthrough hands-on interaction previously proposed \nmovement \n(44, 45). Our study informs new knowledge of physiotherapist- \nparticipant \nto achieve the recommended high- \nintensity training and calls for physiotherapy clinical reasoning \nthrough bodily and verbal communication skills adapted to the \nparticipants’ responses in an ongoing and situated way. \n\ndescribed where the \n\nand detailed \nsensorimotor exercises was valued and provided meaningful \nembodied experiences, improving participants’ ability to master \nPA and their beliefs of their own possibilities for being active in \nthe future. However, the manner in which the content of an \nexercise intervention is delivered and the environment in which \nit is delivered should be accounted for, as these aspects were \nperceived to be of great importance in creating and shaping \nparticipants’ experiences. In particular, tailored physiotherapist- \nparticipant bodily interactions and an engaging group and \noutdoor \nfor \nexploring one’s own potential. \n\nCombining high-intensity walking/running \n\nenvironment were perceived to be pertinent \n\nTo minimize negative incidents in future interventions, we \nsuggest that (1) the effort required from one’s leg muscles \nduring the detailed exercises (in between the running/walking \nnegative \nintervals) \nconsequences of \nleg muscle fatigue prior to high-intensity \nrunning/walking, (2) the capacity for running/walking at high- \nintensity should be explored in one-to-one physiotherapy \nassessment prior to group training to optimize individuals \ncapabilities and safety, and (3) homogenous and small-sized \ngroups \nshould be used to enable ongoing and tailored \nphysiotherapist-participant interactions.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed13.pdf" + }, + { + "text": "90(1):32–42. study. Fysioterapeuten. (2023) doi: \n\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, \nindividualized, comprehensive core stability and balance intervention provides \nimmediate and long-term improvements in walking in individuals with multiple \nsclerosis: a randomized controlled trial. Physiother Res Int. (2019) 25(1):e1798. \ndoi: 10.1002/pri.1798 \n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. \nExercise as medicine in multiple sclerosis—time for a paradigm shift: preventive, \nsymptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci \nRep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3 \n\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, \nGaemelke T, et al. Investigating the potential disease-modifying and neuroprotective \nefficacy of exercise therapy early in the disease course of multiple sclerosis: the early \nmultiple sclerosis exercise study (EMSES). Mult Scler. (2022) 28(10):1620–9. doi: 10. \n1177/13524585221079200 \n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Group- \nbased individualized comprehensive core stability intervention improves balance in \npersons with multiple sclerosis: a randomized controlled trial. Phys Ther. (2019) 99 \n(8):1027–38. doi: 10.1093/ptj/pzz017 \n\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized \nexercises can provide perceived bodily changes and strengthen aspects of self in \nindividuals with MS: a qualitative interview study. Physiother Theory Pract. (2019) \n37(10):1080–95. doi: 10.1080/09593985.2019.1683923 \n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and \nlifestyle physical activity recommendations \nfor people with multiple sclerosis \nthroughout the disease course. Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/ \n1352458520915629 \n\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The \nimportance of the patient’s perspective in decision-making in multiple sclerosis: \nresults of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023) \n75:104757. doi: 10.1016/j.msard.2023.104757 \n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, \net al. Test-retest reliability and known-groups validity of trunk muscle tests in people \nwith multiple sclerosis: a cross-sectional, case-control study. Phys Ther. (2021) 101 \n(5):1–9. doi: 10.1093/ptj/ptzab049 \n\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: \nimplications for rehabilitation after brain damage. J Speech Lang Hear Res. (2008) \n51(1):225–39. doi: 10.1044/1092-4388(2008/018) \n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of \ntrunk impairments and its relationship with disability level \nin individuals with \nmultiple sclerosis? Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard. \n2021.103325 19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. \nCambridge, Mass: Harvard University Press (2007). \n\n10. Normann B, Arntzen EC. What are the relationships between trunk control, \nbalance and walking in individuals with multiple sclerosis with minor to moderate \ndisability? Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870 \n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics \n(2008). \n\n21. Buhrmann T, Di Paolo E. The sense of agency—a phenomenological \nconsequence of enacting sensorimotor schemes. Phenomenol Cogn Sci. (2017) 16 \n(2):207–36. doi: 10.1007/s11097-015-9446-7 \n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT: \nJ Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011 \n\n35. Di Paolo E, Cuffari E, Jaegher H. Linguistic Bodies: The Continuity between Life", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed13.pdf" + }, + { + "text": "| Week 1: MS outpatient\nclinic | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge\nof MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n|---|---|\n| Week 1: MS outpatient clinic | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n| | Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, motivate the patient. |\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2–5: Municipality | Physiotherapy assessment (60–90 min) to explore the patient’s impairments and potential for improvements in a clinical examination prior to group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to five participants in each group and one physiotherapist. Trunk control, balance and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7–10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was conducted in a city park where both flat and uneven surfaces and hilly terrain were available (Table 2). |\n| | Additionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder. |\n| Week 11–14 | Standardized testing (final, for the RCT) and qualitative interviews. |\n\n\n2 Materials and methods \n\n2.1 Design \n\nin-depth interviews using a phenomenological- \ninspired approach were chosen, as this is suitable for exploring \nthe meaning and significance of pwMS’s \nexperiences and \nreflections (23, 24). \n\nIndividual \n\n2.2 Ethical considerations \n\nThe study was conducted according to the Declaration of \nHelsinki and approved by the Regional Committee for Medical \nResearch Ethics in North Norway (REK North: 174837). Written \ninformed consent was obtained prior to the intervention and \nconfirmed verbally when arranging the interviews. Participation \nwas voluntary and anonymous, \nand the participants were \ninformed about the opportunity to withdraw from the study. The \nConsolidated Criteria for Reporting Qualitative Research (COREQ) \n(25) were used to optimize the conduct and reporting of the study.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed13.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_STO_2004.pdf", + "query": "What was the sales revenue of Santos in 2004 ?", + "target_page": 12, + "target_passage": " Sales revenue was a record $1,501 million", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "STATEMENTS OF FINANCIAL PERFORMANCE \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million Note \n\n2 \n3 **1,500.9**\n**(1,049.8)** 1,465.0 \n(974.4) **568.8**\n**(414.5)** 616.3 \n(356.6) \n\n**451.1**\n**252.3**\n**(129.0)**\n**(33.6)** 490.6 \n154.4 \n(179.5) \n(34.6) **154.3**\n**858.0**\n**(221.0)**\n**(91.1)** 259.7 \n126.2 \n(108.3) \n(84.0) 2 \n3 \n4 \n\n**540.8**\n**(160.9)** 430.9 \n(103.9) **700.2**\n**(57.1)** 193.6 \n(10.7) 6 \n\n**379.9**\n**(0.2)** 327.0 \n(4.7) **643.1**\n**–** 182.9 \n– 19 \n\nProduct sales \nCost of sales \n\nGross profit \nOther revenue \nOther expenses \nBorrowing costs \n\n**Profit from ordinary activities before income tax expense**\nIncome tax expense relating to ordinary activities \n\n**Net profit after income tax attributable to the shareholders of Santos Ltd**\nNet exchange differences relating to self-sustaining foreign operations \n\n**Total changes in equity from non-owner related transactions attributable**\n**to the shareholders of Santos Ltd** **379.7** 322.3 \n\n**Earnings per share (cents)**\nBasic \n\nDiluted \n\nThe statements of financial performance are to be read in conjunction with the notes to the financial statements.", + "page_start": 51, + "page_end": 51, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**128.0**\n**409.1**\n**117.3**\n**21.5** 111.1 \n171.7 \n112.4 \n14.3 **39.3**\n**1,917.7**\n**58.8**\n**10.0** 52.9 \n1,410.3 \n53.2 \n7.4 \n\n**675.9** 409.5 **2,025.8** 1,523.8 \n\n**3,210.3**\n**2,058.7**\n**1.2**\n**4.0**\n**3.0**\n**2.9** 2,945.3 \n1,840.8 \n11.7 \n8.5 \n1.4 \n1.1 **905.8**\n**665.4**\n**2,530.7**\n**–**\n**2.4**\n**–** 903.6 \n673.1 \n2,295.9 \n– \n0.8 \n– \n\n**5,280.1** 4,808.8 **4,104.3** 3,873.4 \n\n**5,956.0** 5,218.3 **6,130.1** 5,397.2 \n\n**371.6**\n**5.8**\n**49.9**\n**11.2**\n**52.8**\n**14.7** 291.3 \n8.9 \n45.4 \n29.3 \n55.3 \n10.6 \n\n**506.0** 440.8 \n\n**16.3**\n**1,209.5**\n**560.4**\n**131.6**\n**33.9** 18.8 \n963.3 \n535.8 \n116.0 \n55.7 \n\n**1,951.7** 1,689.6 \n\n**2,457.7** 2,130.4 \n\n**3,498.3** 3,087.9 \n\n**2,139.0**\n**(9.0)**\n**1,368.3** 1,893.1 \n(8.8) \n1,203.6 **2,139.0**\n**–**\n**1,299.8**\n\n**3,498.3** 3,087.9 **3,438.8**\n\n**436.3**\n**1.5**\n**1,686.4**\n**9.9**\n**48.7**\n**–** 655.0 \n2.0 \n1,411.7 \n23.5 \n47.5 \n– \n\n**2,182.8** 2,139.7 \n\n**–**\n**–**\n**462.5**\n**46.0**\n**–** – \n– \n454.2 \n38.3 \n– \n\n**508.5** 492.5 \n\n**2,691.3** 2,632.2 \n\n**3,438.8** 2,765.0 \n\n1,893.1 \n– \n871.9 \n\n2,765.0 \n\n**Current assets**\nCash \nReceivables \nInventories \nOther 7 \n8 \n9 \n\n**Total current assets**\n\n**Non-current assets**\nExploration and development expenditure \nLand and buildings, plant and equipment \nOther financial assets \nIntangibles \nDeferred tax assets \nOther \n\n**Total non-current assets**\n\n**Total assets**\n\n**Current liabilities**\nPayables \nDeferred income \nInterest-bearing liabilities \nCurrent tax liabilities \nProvisions \nOther \n\n**Total current liabilities**\n\n**Non-current liabilities**\nDeferred income \nInterest-bearing liabilities \nDeferred tax liabilities \nProvisions \nOther \n\n**Total non-current liabilities**\n\n**Total liabilities**\n\n**Net assets**\n\n**Equity**\nContributed equity \nForeign currency translation reserve \nRetained profits \n\n**Total equity**\n\nThe statements of financial position are to be read in conjunction with the notes to the financial statements.", + "page_start": 52, + "page_end": 52, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**As at 31 December** **1995** **1996** **1997** **1998** **1999** **2000** **2001** **2002** **2003** **2004**\n\nSantos average realised oil price (A$/bbl) 24.96 27.43 27.42 20.95 27.57 46.54 45.53 44.74 43.59 **51.83**\n\n**Financial performance**($million) \n\nProduct sales revenue 671.6 729.2 778.5 769.4 944.5 1,497.1 1,459.7 1,478.4 1,465.0**1,500.9**\n\nTotal operating revenue 740.1 804.0 859.5 1,000.8 995.6 1,556.2 1,561.8 1,542.3 1,619.4**1,753.2**\n\nForeign currency gains/(losses) (16.0) 25.0 3.6 2.0 0.3 2.7 0.2 (0.7) (7.9) **(3.0)**\n\nProfit from ordinary activities before tax 241.0 331.9 322.3 267.3 \n\n339.6 725.9 627.6 493.3 430.9 **540.8**\n\n91.0 30.5 239.1 181.7 171.2 103.9 **160.9**\n\nIncome tax relating to ordinary activities 130.4 136.0 116.1 \n\nNet profit after income tax attributable \nto the shareholders of Santos Ltd 110.6 195.9 206.2 176.3 309.1 486.8 445.9 322.1 327.0 **379.9**\n\n**Financial position**($million) \n\nTotal assets 2,915.5 3,443.4 4,036.2 4,236.1 4,338.7 4,659.8 5,048.7 5,320.8 5,218.3**5,956.0**\n\nNet debt 642.0 938.6 1,114.2 1,280.0 1,301.1 866.6 1,060.8 1,162.9 897.6**1,131.4**\n\nTotal equity 1,519.3 1,586.3 1,919.0 1,939.2 2,056.7 2,310.9 2,726.6 2,863.9 3,087.9**3,498.3**\n\n66 91 112 34 26 **16**\n\n87.9 121.1 190.1 180.7 78.1 100.1 93.4 133.1 136.4 **125.6**\n\n53.9 105.8 179.7 158.1 116.8 187.1 308.1 308.8 519.0 **672.7**\n\n40.1 150.3 205.4 165.7 102.5 153.5 258.7 319.0 94.9 **131.1**\n\n**Reserves and production**(mmboe) \n\nProven plus Probable reserves (2P) 703 860 1,009 966 941 921 724 732 636 **643**\n\nProduction 36.8 39.2 41.1 45.6 49.2 56.0 55.7 57.3 54.2 **47.1**\n\n**Exploration***\n\nWells drilled (number) 81 \n\nExpenditure ($million) \n\n**Other capital expenditure**($million) \n\nDelineation and development*\n\nBuildings, plant and equipment \n*From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.", + "page_start": 45, + "page_end": 45, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "NOTES TO THE FINANCIAL STATEMENTS \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million **2. Revenue from Ordinary Activities**\n\nProduct sales: \n\nGas and ethane \nCrude oil \nCondensate and naphtha \nLiquefied petroleum gas **680.1**\n**501.8**\n**228.5**\n**90.5** 720.8 \n477.7 \n150.0 \n116.5 **294.6**\n**198.5**\n**44.2**\n**31.5** 306.1 \n175.7 \n63.8 \n70.7 \n\n**1,500.9** 1,465.0 **568.8** 616.3 \n\nOther: \n\nOverriding royalties \nEquipment rentals, pipeline tariffs and other \nInterest revenue: \n**14.3**\n**19.0** 13.3 \n7.6 **18.7**\n**6.6** 18.4 \n3.9 \n\nControlled entities \nOther entities \n\nDividends from other entities \nDividends from controlled entities \nInsurance recovery \nProceeds from sale of non-current assets \nProceeds from sale of controlled entities \n\n**–**\n**3.5**\n**–**\n**–**\n**116.6**\n**98.9**\n**–** – \n2.5 \n0.4 \n– \n– \n108.0 \n22.6 \n\n**252.3** 154.4 \n\n**42.8**\n**2.3**\n**–**\n**251.7**\n**73.8**\n**462.1**\n**–** 35.5 \n1.4 \n0.4 \n– \n– \n62.7 \n3.9 \n\n**858.0** 126.2 \n\n**308.5**\n**32.6**\n**154.0**\n**536.4**\n**14.9** 263.6 \n33.3 \n131.4 \n528.8 \n5.4 \n\n**1,046.4**\n**3.4** 962.5 \n11.9 \n\n**1,049.8** 974.4 \n\n**113.8**\n**7.4**\n**73.1**\n**209.2**\n**12.2** 95.2 \n3.2 \n41.6 \n194.7 \n12.4 \n\n**415.7**\n**(1.2)** 347.1 \n9.5 \n\n**414.5** 356.6 \n\n**3. Expenses from Ordinary Activities**\n\nCost of sales: \n\nProduction costs \nPipeline tariffs and tolls \nRoyalty, excise and PRRT \nDepreciation, depletion and amortisation \nThird party gas purchases \n\nDecrease/(increase) in product stock \n\nOther: \nSelling, general and administrative expenses: \n\nOperating expenses \nDepreciation and amortisation \nWrite-down of investment in controlled entities \nWrite-down of investment in listed shares \n\nBook value of non-current assets sold \nBook value of controlled entities sold \nWrite-down of exploration and development expenditure \n\n**57.1**\n**3.3**\n**–**\n**–** 41.6 \n2.8 \n– \n4.4 \n\n**60.4**\n**46.5**\n**–**\n**22.1** 48.8 \n52.9 \n18.1 \n59.7 \n\n**129.0** 179.5 \n\n**50.3**\n**1.7**\n**–**\n**–** 34.1 \n1.1 \n40.8 \n4.4 \n\n**52.0**\n**164.4**\n**–**\n**4.6** 80.4 \n16.9 \n4.9 \n6.1 \n\n**221.0** 108.3", + "page_start": 57, + "page_end": 57, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "NOTES TO THE FINANCIAL STATEMENTS \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**379.9** 327.0 \n\n**539.7**\n**–**\n**22.1**\n**–**\n**(18.1)**\n**23.0**\n**(20.0)**\n**(32.1)**\n**(38.4)**\n**(52.4)**\n**–** 531.6 \n– \n59.7 \n4.4 \n(24.5) \n14.8 \n(55.0) \n(22.6) \n13.3 \n(55.1) \n(4.5) \n\n**803.7** 789.1 \n\n**(157.9)**\n**(1.7)**\n**(6.7)**\n**(32.0)**\n**(0.4)** 100.1 \n11.7 \n2.4 \n(2.4) \n(3.6) \n\n**605.0** 897.3 \n\n**643.1** 182.9 \n\n**210.9**\n**–**\n**4.6**\n**–**\n**12.4**\n**5.1**\n**(20.0)**\n**–**\n**(2.3)**\n**(297.7)**\n**–** 195.8 \n40.8 \n6.1 \n4.4 \n(7.4) \n(8.3) \n(47.6) \n– \n(1.1) \n(45.8) \n1.0 \n\n**556.1** 320.8 \n\n**(117.4)**\n**(5.6)**\n**0.7**\n**(23.3)**\n**(17.8)** 19.6 \n9.0 \n2.3 \n21.0 \n(3.6) \n\n**392.7** 369.1 \n\n**24. Notes to Statements of Cash Flows**\n\n**Reconciliation of profit from ordinary activities after income tax to net cash**\n**provided by operating activities**\n\n**Profit from ordinary activities after income tax**\nAdd/(deduct) non-cash items: \n\nDepreciation, depletion and amortisation \nWrite-down of controlled entities \nWrite-down of exploration and development expenditure \nWrite-down of investment in listed shares \n(Decrease)/increase in income taxes payable \nNet increase/(decrease) in deferred tax asset and deferred tax liability \nTax benefit upon entering into Australian tax consolidation regime \nCapitalised interest \nForeign currency fluctuations \nNet profit on sale of non-current assets \nNet (profit)/loss on sale of controlled entities \n\nNet cash provided by operating activities before change in assets or liabilities \n\nAdd/(deduct) change in operating assets or liabilities net of acquisitions of businesses: \n\nDecrease/(increase) in receivables \nDecrease/(increase) in inventories \nDecrease/(increase) in other assets \n(Decrease)/increase in payables \n(Decrease)/increase in provisions \n\n**Net cash provided by operating activities**\n\n**25. Related Parties**\n\nSantos Ltd and its controlled entities engage in a variety of related party transactions in the ordinary course of business. These transactions are \nconducted on normal terms and conditions. \n\nDetails of related party transactions and amounts are set out in: \n\nNote 2 as to interest received from controlled entities; \nNote 4 as to interest paid to controlled entities; \nNote 7 as to tax related balances and other amounts owing by controlled entities; \nNotes 14 and 15 as to amounts owing to controlled entities; \nNote 15 as to guarantees by Santos Ltd of the financing facilities of controlled entities; \nNote 16 as to non-executive Directors’ retirement benefits; \nNotes 12 and 22 as to investments in controlled entities; \nNote 26 as to disclosures relating to Specified Directors and Specified Executives. \n\nIn addition: \n\n(a) The spouse of a director of a Santos Group company is an employee of a subsidiary of that company and each of those persons is also a director \nof that subsidiary company. \n\n(b) Mr J W McArdle, who retired as a Director on 14 July 2001, entered into a consultancy agreement with the Company pursuant to which he \nwill provide consultancy services to the Santos Group. The amount paid pursuant to this agreement during the financial year was $30,000 \n(2003: $70,000). \n\nThe transactions referred to in paragraphs (a) and (b) occurred on terms no more favourable than would have been adopted if dealing at arm’s \nlength, do not have the potential to adversely affect decisions about the allocation of scarce resources and are trivial in nature.", + "page_start": 75, + "page_end": 75, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**1,544.3**\n**–**\n**3.5**\n**14.5**\n**19.9**\n**(583.6)**\n**(169.6)**\n**(65.2)**\n**(158.8)** 1,637.3 \n0.4 \n2.5 \n17.0 \n28.2 \n(439.9) \n(118.7) \n(60.9) \n(168.6) **644.4**\n**251.7**\n**45.1**\n**19.0**\n**18.0**\n**(279.0)**\n**(78.4)**\n**(90.6)**\n**(137.5)** 683.0 \n0.4 \n36.9 \n22.1 \n1.6 \n(186.4) \n(39.8) \n(83.6) \n(65.1) \n\n**605.0** 897.3 **392.7** 369.1 \n\n**Cash flows from operating activities**\nReceipts from customers \nDividends received \nInterest received \nOverriding royalties received \nPipeline tariffs and other receipts \nPayments to suppliers and employees \nRoyalty, excise and PRRT payments \nBorrowing costs paid \nIncome taxes paid \n\n**Net cash provided by operating activities**\n\n**Cash flows from investing activities**\nPayments for: \n\nExploration \nDelineation \nDevelopment \nLand and buildings, plant and equipment \nAcquisitions of oil and gas assets \nAcquisitions of controlled entities \nShare subscriptions in controlled entities \nRestoration \n\nProceeds from disposal of non-current assets \nProceeds from disposal of controlled entities \nOther investments \n\n**Net cash used in investing activities**\n\n**Cash flows from financing activities**\nDividends paid \nProceeds from issues of ordinary shares \nProceeds from issue of redeemable convertible preference shares \nRedemption of reset convertible preference shares \nNet drawdowns/(repayments) of borrowings \nNet (payments to)/receipts from controlled entities \nPremium paid on buy-back of reset convertible preference shares \nOther \n\n**Net cash (used in)/provided by financing activities**\n\n**Net increase/(decrease) in cash**\n**Cash at the beginning of the year**\nEffects of exchange rate changes on the balances of cash held in foreign currencies \n\n**Cash at the end of the year**\n\n(149.8) \n(75.0) \n(188.1) \n(337.8) \n(7.6) \n(22.7) \n– \n(2.6) \n108.0 \n22.6 \n– \n\n(653.0) \n\n(198.0) \n8.3 \n– \n– \n(20.4) \n– \n– \n– \n\n(210.1) \n\n34.2 \n84.8 \n(7.9) \n\n111.1 \n\n**(65.7)**\n**(6.1)**\n**(124.4)**\n**(127.7)**\n**–**\n**(93.6)**\n**(151.7)**\n**(0.1)**\n**430.0**\n**–**\n**(0.5)**\n\n**(139.8)**\n\n**(212.8)**\n**6.4**\n**589.5**\n**(350.0)**\n**–**\n**(297.0)**\n**(2.4)**\n**–**\n\n**(266.3)**\n\n**(13.4)**\n**52.9**\n**(0.2)**\n\n**39.3**\n\n(30.6) \n(29.5) \n(68.7) \n(91.7) \n(1.5) \n(22.7) \n(469.9) \n(0.3) \n62.7 \n3.9 \n– \n\n(648.3) \n\n(198.0) \n8.3 \n– \n– \n– \n494.1 \n– \n– \n\n304.4 \n\n25.2 \n26.6 \n1.1 \n\n52.9 \n\n**(126.0)**\n**(73.7)**\n**(256.1)**\n**(343.1)**\n**(14.5)**\n**(112.3)**\n**–**\n**(7.3)**\n**39.9**\n**–**\n**(0.5)**\n\n**(893.6)**\n\n**(212.8)**\n**6.4**\n**589.5**\n**(350.0)**\n**282.8**\n**–**\n**(2.4)**\n**0.4**\n\n18 \n18 \n\n**313.9**\n\n**25.3**\n**111.1**\n**(8.4)**\n\n**128.0**\n\nThe statements of cash flows are to be read in conjunction with the notes of the financial statements.", + "page_start": 53, + "page_end": 53, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "NOTES TO THE FINANCIAL STATEMENTS \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million **18. Contributed Equity**\n\n**Share capital**\n585,520,675 (2003: 584,475,013) ordinary shares, fully paid \n181,000 (2003: 231,000) ordinary shares, paid to one cent \nNil (2003: 3,500,000) reset convertible preference shares \n6,000,000 (2003: nil) redeemable convertible preference shares **1,557.2**\n**–**\n**–**\n**581.8** 1,550.8 \n– \n342.3 \n– **1,557.2**\n**–**\n**–**\n**581.8** 1,550.8 \n– \n342.3 \n– \n\n**2,139.0** 1,893.1 **2,139.0** 1,893.1 \n\n**Movement in fully paid ordinary shares**\n\n2003 \n$million Note \n\n1,542.5 \n0.1 \n1.5 \n1.0 \n5.7 (a) \n(b) \n(c) \n(d) \n\n1,550.8 \n\nBalance at the beginning of the year \nSantos Executive Share Plan \nSantos Employee Share Acquisition Plan \nSantos Employee Share Purchase Plan \nShares issued on exercise of options \n\nBalance at the end of the year \n\n**Movement in reset convertible preference shares**\nBalance at the beginning of the year \nTransfer to redeemable convertible preference shares \nShares redeemed \n\nBalance at the end of the year \n\n**Movement in redeemable convertible preference shares**\nBalance at the beginning of the year \nShares issued \nShare issue cost \nTransfer from reset convertible preference shares \n\nBalance at the end of the year \n\n**2004**\n2003 \n**Number of shares** **2004**\n**$million**\n\n**584,475,013**582,782,293 \n35,750 \n254,106 \n152,864 \n1,250,000 **1,550.8**\n**0.1**\n**1.3**\n**0.9**\n**4.1** **50,000**\n**157,014**\n**123,648**\n**715,000**\n\n**585,520,675**584,475,013 **1,557.2**\n\n**3,500,000**\n**–**\n**(3,500,000)** 3,500,000 \n– \n– **342.3**\n**7.7**\n**(350.0)** 342.3 \n– \n– (f) \n\n**–** 3,500,000 **–** 342.3 \n\n– \n– \n– \n– **–**\n**600.0**\n**(10.5)**\n**(7.7)** – \n– \n– \n– \n\n– **581.8** – \n\n**–**\n**6,000,000**\n**–**\n**–**\n\n(g) \n\n**6,000,000**\n\nThe market price of the Company’s ordinary shares on 31 December 2004 was $8.48 (2003: $6.87). \n\n**(a) Santos Executive Share Plan**\n\nThe Santos Executive Share Plan was approved by shareholders at a general meeting held on 22 December 1987. \n\nUnder the terms of the Plan, shares were initially issued as partly paid shares, paid to one cent. While partly paid, the Plan Shares are not \ntransferable, carry no voting right and no entitlement to dividend but are entitled to participate in any bonus or rights issue. \n\nShares were issued principally on: 22 December 1987; 7 February and 5 December 1989; and 24 December 1990. In 1997 the Board determined \nthat the Plan be discontinued and, accordingly, there has been no further issues of shares under the Plan. \n\nAt the beginning of the financial year there were 231,000 Plan Shares on issue. During the financial year 50,000 Plan Shares were fully paid and \naggregate proceeds of $138,200 received by the Company. As at 31 December 2004 there were 181,000 Plan Shares outstanding. \n\n**(b) Santos Employee Share Acquisition Plan**\n\nThe Santos Employee Share Acquisition Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation, \nwith amendment, approved at the Annual General Meeting on 5 May 2000. \n\nBroadly, permanent eligible employees with at least a minimum period of service determined by Directors as at the offer date (one year of completed \nservice for issues so far) are entitled to acquire shares under this Plan. Executives participating in the Santos Executive Share Option Plan (refer \nnote 18(d)) or in the Executive Long Term Incentive Plan in 2004, casual employees and Directors of the Company are excluded from participating in \nthis Plan. Employees are not eligible to participate under the Plan while they are resident overseas unless the Board decides otherwise.", + "page_start": 63, + "page_end": 63, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "NOTES TO THE FINANCIAL STATEMENTS \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million **15. Interest-Bearing Liabilities**\n\n**Current**\nAmounts owing to controlled entities \nLong-term notes \nBank loans \nOther **–**\n**43.7**\n**5.2**\n**1.0** – \n45.4 \n– \n– **1,685.4**\n**–**\n**–**\n**1.0** 1,411.7 \n– \n– \n– \n\n**49.9** 45.4 **1,686.4** 1,411.7 \n\nThe interest-bearing amounts owing to controlled entities are for loans made in the \nordinary course of business on normal market terms and conditions for an indefinite period. \n\n**Non-current**\nBank loans \nCommercial paper \nMedium-term notes \nLong-term notes **222.7**\n**209.0**\n**20.0**\n**757.8** – \n110.0 \n20.0 \n833.3 **–**\n**–**\n**–**\n**–** – \n– \n– \n– \n\n**1,209.5** 963.3 **–** – \n\n**Details of major credit facilities**\n**(a) Bank loans**\nThe Santos Group has access to the following committed revolving facilities: \n\n***Revolving facilities at 31 December 2004***\n**Year of maturity** **Currency**\n\n2005 \n2006 \n2008 \n2009 Multi-currency \nMulti-currency \nMulti-currency \nMulti-currency \n\n**Amount**\n**A$million**\n\n**75.0**\n**125.0**\n**300.0**\n**200.0**\n\n**700.0**\n\nRevolving bank loans bear interest at the relevant interbank reference rate plus 0.25% to 0.43%. The amount drawn at 31 December 2004 \nis $nil (2003: $nil). \n\n***Term facilities at 31 December 2004***\n**Year of maturity** **Currency** **Amount**\n\n**Amount Drawn at**\n**31 December 2004**\n**A$million** **A$million**\n\n2005 \n2006 \n2007 \n2008 \n2009 \n2010 \n2011 \n2012 \n2013 \n2014 \n2015 \n2016 \n2017 USD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD \nUSD **5.2**\n**10.5**\n**20.6**\n**19.7**\n**24.5**\n**25.4**\n**26.3**\n**22.6**\n**19.0**\n**20.0**\n**20.4**\n**20.8**\n**21.9** **5.2**\n**10.5**\n**18.6**\n**18.1**\n**22.3**\n**23.0**\n**23.8**\n**20.0**\n**16.2**\n**17.0**\n**17.3**\n**17.5**\n**18.4**\n\n**256.9** **227.9**\n\nDrawdowns under the term loans are dependent upon expenditure for specific projects. \n\nTerm loans bear interest at the relevant interbank reference rate plus a margin of up to 0.75%. The amount drawn at 31 December 2004 \nis US$177.5 million (A$227.9 million) at a weighted average annual effective interest rate of 2.70%. \n\n**(b) Commercial paper**\n\nThe Santos Group has an A$800.0 million (2003: A$800.0 million) Australian commercial paper program supported by the revolving facilities \nreferred to in (a) above. At 31 December 2004, A$209.0 million (2003: A$110.0 million) of commercial paper is on issue and the weighted \naverage annual effective interest rate is 5.61% (2003: 5.50%).", + "page_start": 61, + "page_end": 61, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "Record date for 2004 full year dividend 4 March 2005 \n\nPayment date for 2004 full year dividend 31 March 2005 \n\nAnnual General Meeting 20 May 2005 \n\n**INVESTOR INFORMATION AND SERVICES**\n**Santos website**\nA wide range of information for investors is available from Santos’ \nwebsite, www.santos.com, including Annual Reports, Full Year and \nInterim Reports and Presentations, Press Releases, Quarterly Activities \nReports and Weekly Drilling Summaries. \n\nHalf year end 30 June 2005 \n\n2005 interim results announcement 16 August 2005 \n\nFull year end 31 December 2005 \n\n**QUARTERLY REPORTING CALENDAR**\n\n2005 First Quarter Activities Report 27 April 2005 \n\n2005 Second Quarter Activities Report 27 July 2005 \n\n2005 Third Quarter Activities Report 26 October 2005 \n\n2005 Fourth Quarter Activities Report 25 January 2006", + "page_start": 93, + "page_end": 93, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**‘2004 was a great year for our**\n**explorers. We started drilling**\n**one of the most exciting**\n**portfolios in our industry and**\n**our success to date shows that**\n**our strategy of basin excellence**\n**is delivering.’**\nSantos discovered gas in the \nUnited States at the Torres 1A \nonshore well, which was brought \nonto production only two months \nafter drilling was completed. \n\n**JACQUES GOUADAIN**\nVice President \nGeoscience and New Ventures \n\nThe program added at least \n93 million boe (including the \npre-drill estimate for Jeruk) of \nrecoverable resources that will be \nfurther evaluated by delineation \nand, in some cases, production \nhistory to determine 1P and 2P \nreserve additions. \n\nCooper Basin in central Australia \nwhere four of six wildcat wells \nwere cased and suspended as \ngas discoveries. \n\nThere was also success in the \noffshore Otway Basin with the \nMartha gas discovery near the \nCasino field, which is currently \nbeing evaluated to determine \nits commercial significance. \nAdditional drilling is planned to \noccur nearby in 2005 to follow \nup this encouraging result. \nImportantly, these results were \nachieved with financial discipline, \nspending $126 million which was \nsubstantially less than forecast. \n\nThe most significant drilling \nresult for the year was the Jeruk \noil discovery in the Sampang PSC \noffshore East Java, Indonesia. \nThe Jeruk discovery is still under \nevaluation but its commercial \nsignificance appears encouraging. \nSantos has confirmed an oil \ncolumn of at least 379 metres \nwith a likely gross recoverable \nresource in excess of the pre-drill \nestimate of 170 million barrels. \n\nOther wells in the offshore Otway \nBasin included the deep water \nAmrit 1 well, which was plugged \nand abandoned after failing to \nintersect economic hydrocarbons, \nand Callister 1 which was also \nplugged and abandoned with \ngas shows. \n\nExploration is a key growth driver \nfor Santos and success with the \ndrill bit is vital to adding value \nfor Santos shareholders. During \nthe past four years Santos has \nbeen working to build exploration \nopportunities by: \n\n• acquiring new \nexploration acreage \n\n• adding material \nexploration prospects \n\n• drilling wildcat \nexploration wells. \n\n**SUCCESS RATE OF 44% IN 2004**\nSantos’ 2004 exploration effort \nproduced good results, as the \nCompany high graded its \nexploration acreage and started \ndrilling one of the most exciting \nportfolios in the industry. \n\nSantos discovered hydrocarbons \nin seven of the sixteen wildcat \nwells that were drilled, achieving \nan impressive success rate \nof 44%. Santos also had further \nexploration successes in the \n\n\n\n**Float-off of Jack Bates rig**\n**prior to deep water drilling**\n**operations, offshore Otway**\n**Basin, Victoria.**\n\n15 Annual Report 2004", + "page_start": 16, + "page_end": 16, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "1002.2525.pdf", + "query": "How have been confirmed nonvanishing neutrino ?", + "target_page": 2, + "target_passage": "The nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "parameter to be consistent with the current observations. We also calculate the scattering \n\ncross section between the DM particle and nucleon and discuss the implication for the direct \n\nDM search experiments. We summarize our results in the section IV. Our notations and the \n\nformulas used in our analysis are listed in Appendix. \n\nII. THE MINIMAL GAUGED U (1)B L MODEL WITH Z2 PARITY \n− \n\nThe model is based on the gauge group SU(3)C × SU(2)L × U(1)Y × \nU(1)B L. Additional \n\n− \nL, a SM singlet \nfields besides the standard model fields are a gauge field Z ′�� of the U(1)B \n− \n\nB L Higgs boson Ψ with two U(1)B L charge, and three RH neutrinos Ni which are \n− \n− \n\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH \n\nneutrinos, we use the four component representation of RH neutrino constructed from the \n\nWeyl spinor νRi, \n\nνRi \n\nNi ≡ \n, (1) \n  \n\nǫ ν∗Ri \n  \nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that \n\nthe RH neutrino N3 is stable and, hence, the DM candidate. \n\nDue to the additional gauge symmetry U(1)B L, the covariant derivative for each fields \n− \n\nis given by \n\nDµ = D(SM ) iqB LgB \nLZ ′µ, \n(2) \nµ \n− \n− − \n\nwhere D(SM ) is the covariant derivative in the SM, and qB L is the charge of each fields µ \n− \n\nunder the U(1)B L with its gauge coupling gB L. \n− − \n\nYukawa interactions relevant for the neutrino masses are given by \n\n3 2 3 \n\n1 \n2 yαi ¯Lα ˜ΦNi − \n¯NiΨPRNi + h.c., λRi \nLint = \n(3) \n\nXα=1 Xi=1 Xi=1 \n\nwhere ˜Φ = iτ2Φ∗ for Φ being the SM Higgs doublet, and without loss of generality we have \n− \n\nworked out in the basis where the second term in the right-hand-side is in flavor diagonal \n\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings \n\nwith the left-handed lepton doublets. \n\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B L Higgs Ψ is \n− \n\ngenerally given by \n\nV (Φ, Ψ) = m2 \n1| 2 + m2 \n2| \n\n2 + λ1| \n3 \n\n4 + λ2| 4 + λ3| \n\n2 \n2. \nΦ \n| \nΨ \nΦ \n| \nΨ \nΦ \n| \nΨ (4) \n| | | |", + "page_start": 2, + "page_end": 2, + "source_file": "1002.2525.pdf" + }, + { + "text": "The nonvanishing neutrino masses have been confirmed by various neutrino oscillation \n\nphenomena and indicate the evidence of new physics beyond the Standard Model. The most \n\nattractive idea to naturally explain the tiny neutrino masses is the seesaw mechanism [1], in \n\nwhich the right-handed (RH) neutrinos singlet under the SM gauge group are introduced. \nU(1)Y × \nL model based on the gauge group SU(3)C × \nL [2] is an elegant and simple extension of the SM, in which the RH neutrinos of \n\nThe minimal gauged U(1)B \nSU(2)L × \n− \n\nU(1)B \n− \n\nthree generations are necessarily introduced because of the gauge and gravitational anomaly \n\nIn addition, the mass of RH neutrinos arises associated with the U(1)B cancellations. L \n− \n\ngauge symmetry breaking. \n\nAlthough the scale of the B L gauge symmetry breaking is basically arbitrary as long as \n− \n\nphenomenological constraints are satisfied, one interesting option is to take it to be the TeV \n\nscale [3]. It has been recently pointed out [4] that when the classical conformal invariance \n\nis imposed on the minimal U(1)B L model, the symmetry breaking scale appears to be the \n− \n\nTeV scale naturally. If this is the case, all new particles, the Z ′ gauge boson, the B L \n\n− \nL gauge Higgs boson H and the RH neutrinos appear at the TeV scale unless the U(1)B \n− \n\ncoupling is extremely small, and they can be discovered at Large Hadron Collider [5–8]. \n\nThen we may be able to understand the relation between the gauge symmetry breaking and \n\nthe origin of neutrino masses. \n\nAlthough such a TeV scale model is interesting and appealing, one might think that the \n\nabsence of dark matter (DM) candidate is a shortcoming of this model. A sterile RH neutrino \n\nwith mass of the order of MeV is one possibility [9]. In this paper, we propose a very simple \n\nidea to introduce the DM candidate in the minimal gauged U(1)B L model. We introduce \n− \n\nthe Z2 parity into the model and impose one of three RH neutrinos to be odd, while the \n\nothers even. In this way, the Z2-odd RH neutrino becomes stable and the DM candidate. \n\nNote that two RH neutrinos are enough to reconcile with the observed neutrino oscillation \n\ndata, with a prediction of one massless light neutrino. Therefore, without introducing any \n\nadditional new dynamical degrees of freedom, the DM particle arises in the minimal gauged \n\nU(1)B L model. \n− \n\nThe paper is organized as follows. In the next section, we briefly describe our model. In \n\nsection III, we estimate the thermal relic density of the RH neutrino and identify the model", + "page_start": 1, + "page_end": 1, + "source_file": "1002.2525.pdf" + }, + { + "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as \n\n0 \n(5) \n\n1 \n√2 \n\n \n1 \n√2 \n\naround the true vacuum with the vacuum expectation values v and v′. These are related \n\nwith the mass eigenstates h and H through \n\nh cos θ sin θ φ \n\n− \ncos θ \n, \n=  \n(7) \n     \nH sin θ ψ \n\n \n�� \nwith θ being the mixing angle. Their masses are given by \n\n    \n\nM 2 \nh = 2λ1v2 cos2 θ + 2λ2v′ \n2 sin2 θ 2λ3vv′ sin θ cos θ, (8) \n− \n\nM 2 \nH = 2λ1v2 sin2 θ + 2λ2v′ 2 cos2 θ + 2λ3vv′ sin θ cos θ. (9) \n\nThe mass of the new neutral gauge boson Z ′ arises by the U(1)B L gauge symmetry \n− \n\nbreaking, \n\nM 2 \nZ ′ = 4g2 \nB \n2. \nLv′ \n(10) \n− \n\nAssociated with the U(1)B L gauge symmetry breaking, the RH neutrinos Ni acquire masses \n− \n\nv′ \n√2 \nMNi = \n(11) \n\nFrom LEP experiment, the current lower bound on the Z ′ boson mass has been found to \n\nbe [10, 11] \n\nMZ ′ \ngB \n= 2v′ & 6 7 TeV. (12) \n− L \n− \n\nTwo Z2-even RH neutrinos N1 and N2 are responsible for light neutrino masses via the \n\nseesaw mechanism, \n\nv2 \n2MNi \nmναβ = yαiyiβ . (13) \n\n− Xi=1,2 \nNote that the rank of this mass matrix is two, so that the lightest neutrino is massless.", + "page_start": 3, + "page_end": 3, + "source_file": "1002.2525.pdf" + }, + { + "text": "From Eq. (19), one can see that σ(p) (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows \nSI ∝ \n\nthe spin-independent cross section of RH neutrino with a proton. The resultant cross section \n\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: \n\n8 \n7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such σSI . 4 10− 2 10− \n× − × \n\nas XENON1T [26] can reach the cross section predicted in our model. \n\n10-8 \n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as \n\nthose used in the previous section. The upper and lower lines correspond to sin θ = 0.7 and 0.3, \n\nrespectively. \n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal \n\ngauged U(1)B L model. We have introduced a discrete Z2 parity in the model, so that one \n− \n\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other \n\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. \n\nNo additional degrees of freedom are necessary to be added. We have evaluated the relic \n\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs \n\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal \n\nDM model. It has been found that the relic density consistent with the current observation \n\n8", + "page_start": 7, + "page_end": 7, + "source_file": "1002.2525.pdf" + }, + { + "text": "Our RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino \n\nDM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process \n\nis Higgs exchange and the resultant cross section for a proton is given by \n\n2 \n\nmpmN \nmp + mN (cid:19) 4 \nπ (cid:18) \nσ(p) \nSI = f 2 \np , \n(17) \n\nwith the hadronic matrix element \n\nfp \nmp αq \nmq αq \nmq 2 \n27 \nf (p) \nT q f (p) \nT G \n, = + (18) \n\nXq=u,d,s Xc,b,t \n\nand the effective vertex (see Appendix for notations) \n\n∂Φ \n∂h ∂Ψ \n∂h ∂Φ \n∂H ∂Ψ \n∂H (cid:19) \n1 \nM 2 \nh 1 \nM 2 \nH \nαq = \nλN yq (cid:18) \n− \n, + (19)", + "page_start": 6, + "page_end": 6, + "source_file": "1002.2525.pdf" + }, + { + "text": "Higgs portal dark matter in the minimal gauged U (1)B L model \n− \n\nNobuchika Okada∗ \n\nDepartment of Physics and Astronomy, \n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA \n\n0 \n1 \n0 \n2 \n\nb \ne \nF \n3 \n1 \n\n] \nh \np \n- \np \ne \nh \n[ \n\n2 \nv \n5 \n2 \n5 \n2 \n. \n2 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nOsamu Seto† \n\nDepartment of Architecture and Building Engineering, \n\nHokkai-Gakuen University, Sapporo 062-8605, Japan \n\nAbstract \n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal \n\ngauged U (1)B L model by introducing an additional parity which ensures the stability of dark \n− \n\nmatter particle. The annihilation of this right-handed neutrino takes place dominantly through the \n\ns-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. \n\nWe show that the thermal relic abundance of the right-handed neutrino dark matter with help of \n\nHiggs resonance can match the observed dark matter abundance. In addition we estimate the cross \n\nsection with nucleon and show that the next generation direct dark matter search experiments can \n\nexplore this model.", + "page_start": 0, + "page_end": 0, + "source_file": "1002.2525.pdf" + }, + { + "text": "modified MFLI models. It is interesting that this holds \ndespite the fact that for large λ CB model displays the \nphysics one apparently needs to reverse the sign of ∆WK \n– the absence of the quasiparticle peak in the NS and its \nemergence in the SCS accompanied by the dip and the \nhump at larger energies. The absence of coherent quasi- \nparticle in the NS at large λ is also apparent form Fig \n21 where we show the normal state distribution functions \nfor two different λ. For large λ the jump (which indicates \nthe presence of quasiparticles) virtually disappears. \n\nconsistent with earlier calculation of the kinetic energy \nfor Ornstein-Zernike form of the spin susceptibility43. \n\nWe clearly see that the increase of the zero crossing \nfrequency of ∆W (ωc) at a truly strong coupling is cor- \nrelated with the non-BCS behavior of δKE. At the same \ntime, the behavior of δW (ωc) is obviously not driven by \nthe kinetic energy as eventually δW (ωc) changes sign and \nbecome negative. Rather, the increase in the frequency \nrange where ∆W (ωc) remains positive and non-BCS be- \nhavior of δKE are two indications of the same effect that \nfermions are incoherent in the NS but acquire coherence \nin the SCS. \n\nOn a more careful look, we found that indifference of \nδW (ωc) to the increase of λ is merely the consequence of \nthe fact that above we kept λωsf constant. Indeed, at \nsmall frequencies, fermionic self-energy in the NS is Σ′ = \nλω, Σ” = λ2ω2/(λωsf ), and both Σ′ and Σ′′ increase \nwith λ if we keep λωsf constant. But at frequencies larger \nthan ωsf , which we actually probe by ∆W (ωc), the self- \nenergy essentially depends only on λωsf , and increasing λ \nbut keeping λωsf constant does not bring us closer to the \nphysics associated with the recovery of electron coherence \nin the SCS. To detect this physics, we need to see how \nthings evolve when we increase λωsf above the scale of \n∆ , i.e., consider a truly strong coupling when not only \nλ ≫ 1 but also the normal state ΣN S(ω ≥ ∆) >> ∆. \n\nIn this work we analyzed the behavior of optical in- \nωc \no σ(ω)dω and Kubo sum rules in \ntegrals W (ωc) ∝ \nthe normal and superconducting states of interacting \nfermionic systems on a lattice. Our key goal was to \nunderstand what sets the sign of ∆WK = ∆W (∞) be- \ntween the normal and superconducting states and what \nis the behavior of W (ωc) and ∆W (ωc) at finite ωc. In a \nweak coupling BCS superconductor, ∆W (ωc) is positive \nat ωc < 2∆ due to a contribution from superfluid den- \nsity, but becomes negative at larger ωc, and approach a \nnegative value of ∆WK. Our study was motivated by fas- \ncinating optical experiments on the cuprates7–10. In over- \ndoped cuprates, there is clear indication11 that ∆W (ωc) \nbecomes negative above a few ∆, consistent with BCS \nbehavior. In underdoped cuprates, two groups argued8,9 \nthat ∆W integrated up to the bandwidth remains posi- \ntive, while the other group argued10 that it is negative. \nThe reasoning why ∆WK may potentially change sign \nat strong coupling involves the correlation between −WK \nand the kinetic energy. \nIn the BCS limit, kinetic en- \nergy obviously increases in a SCS because of gap opening, \nhence −WK increases, and ∆WK is negative. At strong \ncoupling, there is a counter effect – fermions become more \nmobile in a SCS due to a smaller self-energy. \n\nR", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "175 \n0 \n20 \nΓ in meV \n40 \n\nFIG. 13: Behavior of WK with Γ for the original MFLI model \nat very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe \nthe inconsistency with WK in the BCSI model in Fig 4. \n\n0.4 \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \n0 \nc \nω \n( \n\nC \nS \nW \n\n−0.4 \n0.2 0.4 \n0.6 \n in eV \n0.8 \nω \nc \n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other pa- \nrameters the same as in Fig. 10. These parameters are chosen \nto illustrate that two sign changes (indicated by arrows in the \nfigure) are also possible within the original MFLI model. \n\n1 \n) \n\n∞ \nW \n( \n\n0.6 \n/ \n) \nc \n\nω \nW \n( \n\n0.2 \n\n0 \n0.5 \nω \n in eV \nc \n\nFIG. 11: The evolution of the optical integral in the NS (top) \nand the SCS (bottom) in the original MFLI model. Parame- \nters are the same as above. Note that only \n80% of the \nspectral weight is recovered up to 1eV . \n75 \n∼ − \n\nNS and SCS ∆W (Original MFLI) \n\nwith lattice \nwithout lattice \n\n) \nc \n20 \nω \n( \n\nS \nN \nW \n− \n) \n10 \n\nnot not a generic one. There exists a range of parame- \nters α and Γ where ∆WK is still positive, but ∆W (ωc) \nchanges the sign twice and is negative at intermediate \nfrequencies. We show an example of such behavior in \nFig14. Still, for most of the parameters, the behavior of \n∆W (ωc) is the same as in Fig. 12. \n\nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.6 \n0.4 \nω \n in eV \nc \n\nFIG. 12: Evolution of the difference of the optical integrals in \nthe SCS and the NS with the upper cut-off ωc. Parameters are \nthe same as before. Observe that the optical sum in the SCS \nis larger than in the NS and that ∆W has not yet reached \n∆WK up to the bandwidth. The dashed line is the FGT \nresult. \n\nOn more careful looking we found the problem with the \noriginal MFLI model. We recall that in this model the \nself-energy in the SCS state was obtained by just cutting \nthe NS self energy at ω1 (see Eq.18). We argue that \nthis phenomenological formalism is not fully consistent, \nat least for small α. Indeed, for α = 0, the MFLI model \nreduces to BCSI model for which the behavior of the self- \nenergy is given by Eq. (12). This self-energy evolves with \nhas a square-root singularity at ω = ∆ + ωo \nω and Σ \nin the original MFLI model \n(with ωo = 0). Meanwhile Σ \nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and \nthis happens for all values of α including α = 0 where the \nMFLI and BCSI model should merge. This inconsistency \nis reflected in Fig 13, where we plot the near-BCS limit \nof MFLI model by taking a very small α = 0.05. We \nsee that the optical integral WK in the SCS still remains \nlarger than in the NS over a wide range of Γ, in clear \ndifference with the exactly known behavior in the BCSI \n\n′′ \n\nThis clearly affects nk because it is expressed via the full \nGreen’s function and competes with the conventional ef- \nfect of the gap opening. The distribution function from \nthis model, which we show in Fig.2b brings this point \nout by showing that in a MFLI model, at ǫ < 0, nk in a \nsuperconductor is larger than nk in the normal state, in \nclear difference with the BCSI case. \n\nWe analyzed the original MFLI model for various pa- \nrameters and found that the behavior presented in Fig. \n12, where ∆W (ωc) > 0 for all frequencies, is typical but", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0764.pdf" + }, + { + "text": "10 \n\nout first deriving the normal state self-energy microscop- \nically (this is what we will do in the next section). The \nresults of the calculations for the modified MFLI model \nare presented in Figs. 15 and 16. We clearly see that the \nbehavior is now different and ∆WK < 0 for all Γ. This \nis the same behavior as we previously found in BCSI \nand EB models. So we argue that the ‘unconventional’ \nbehavior exhibited by the original MFLI model is most \nlikely the manifestation of a particular modeling incon- \nsistency. Still, Ref. 30 made a valid point that the fact \nthat quasiparticles behave more close to free fermions in \na SCS than in a NS, and this effect tends to reverse the \nsigns of ∆WK and of the kinetic energy 43. It just hap- \npens that in a modified MFLI model the optical integral \nis still larger in the NS. \n\nWe now turn to a more microscopic model- the CB \nmodel. The model describes fermions interacting by ex- \nchanging soft, overdamped collective bosons in a partic- \nular, near-critical, spin or charge channel31,44,45. This \ninteraction is responsible for the normal state self-energy \nand also gives rise to a superconductivity. A peculiar \nfeature of the CB model is that the propagator of a col- \nlective boson changes below Tc because this boson is not \nan independent degree of freedom (as in EB model) but \nis made out of low-energy fermions which are affected by \nsuperconductivity32. \n\n0 \n\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’ \nMFLI model with the feedback from SC on the quasiparticle \n√−ω2+∆2 . In the SCS σ \ndamping: iΓ term transforms into \nnow begins at Ω = 2∆. The parameters are same as in Fig. \n10. Bottom – the behavior of Kubo sum with Γ. Observe \nthat W (ωc) in the NS is larger than in the SCS. \n\nΓ \n\n) \n10 \nc \nω \n( \n\nS \nN \nW \n− \n) \nc \n0 ω \n( \n\nC \nS \nW \n∆ W \nK \n\n−10 \n0.2 \n0.4 \nω \n in eV \nc \n0.6 0.8 \n\nFIG. 16: Evolution of the difference of the optical integrals \nbetween the SCS and the NS with the upper cut-off ωc for \nthe “corrected” MFLI model. Now ∆W (ωc) is negative above \nsome frequency. Parameters are same as in the Fig 15. \n\nThe most relevant point for our discussion is that this \nmodel contains the physics which we identified above as \na source of a potential sign change of ∆WK . Namely, \nat strong coupling the fermionic self-energy in the NS \nis large because there exists strong scattering between \nlow-energy fermions mediated by low-energy collective \nbosons. In the SCS, the density of low-energy fermions \ndrops and a continuum collective excitations becomes \ngaped. Both effects reduce fermionic damping and lead \nto the increase of WK in a SCS. If this increase exceeds a \nconventional loss of WK due to a gap opening, the total \n∆WK may become positive. \n\nThe CB model has been applied numerous times to the \ncuprates, most often under the assumption that near- \ncritical collective excitations are spin fluctuations with \nmomenta near Q = (π, π). This version of a CB bo- \nson is commonly known as a spin-fermion model. This \nmodel yields dx2 \ny2 superconductivity and explains in a \nquantitative way a number of measured electronic fea- \ntures of the cuprates, in particular the near-absence of \nthe quasiparticle peak in the NS of optimally doped and \nunderdoped cuprates39 and the peak-dip-hump structure \nin the ARPES profile in the SCS31,32,46,47. In our analy- \nsis we assume that a CB is a spin fluctuation. \n\n− \n\nmodel, where WK is larger in the NS for all Γ (see Fig. \nIn other words, the original MFLI model does not \n4). \nhave the BCSI theory as its limiting case. \n\nWe modified the MFLI model is a minimal way by \nΓ \nchanging the damping term in a SCS to \nω2+∆2 to be \nconsistent with BCSI model. We still use Eq. (18) for \nthe MFL term simply because this term was introduced \nin the NS on phenomenological grounds and there is no \nway to guess how it gets modified in the SCS state with- \n\n√ \n−", + "page_start": 9, + "page_end": 9, + "source_file": "1001.0764.pdf" + }, + { + "text": "The DM RH neutrino interacts with the SM particles through couplings with B L \n− \n\ngauge and B L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent \n− \n\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′, H and \n\nh exchange processes in the s-channel. In practice, the dominant contributions come from \n\nthe Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed \n\nL Higgs VEV v′ & 3 TeV. Thus, we obtain Higgs portal DM \nby the inverse square of the B \nof RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f , \n\n− \n\nW +W −, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B L Higgs Ψ while \n− \n\na SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing \n\nbetween these two Higgs bosons. Although it is not so severe, the precision electroweak \n\nmeasurements [12] as well as the unitarity bound [13] give constraints on the mixing angle \n\nand mass spectrum of the Higgs bosons. \n\nThe thermal relic abundance of DM \n\n109 mN /Td \n√g \nσv \nMP h \n\nΩN h2 = 1.1 1, GeV− (14) \n× \ni \n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section \n\nσv and the relative velocity , the total number of relativistic degrees of freedom in the \nh i \n\nthermal bath g , and the decoupling temperature Td, is evaluated by solving the Boltzmann \n∗ \n\nequation for the number density of RH neutrino nN ; \n\ndnN \ndt \n(n2 \nn2 \nEQ), \n+ 3HnN = σv \nN − −h i \n\nand the Friedmann equation \n\n2 \n\n˙a \na(cid:19) \n8π \n3M 2 \nP \n= \n≡ (cid:18) \n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the \n\nradiation dominated Universe with the energy density ρ = ρrad [14]. \n\n5", + "page_start": 4, + "page_end": 4, + "source_file": "1002.2525.pdf" + } + ] + }, + { + "references": { + "source_file": "1002.2525.pdf", + "query": "What are the dominant contributions in thermal relic density ?", + "target_page": 5, + "target_passage": "In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams.", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "Fig. 1 shows the relic density ΩN h2 as a function of the DM mass mN for a set of \n\nparameters: (v′, Mh, MH, MZ ′, sin θ) = (4000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7), for \n\nexample. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as \n\nΩDM h2 \nonly near Higgs resonances, mN ≈ \n\n0.1 [15]. The figure shows that a desired DM relic abundance can be obtained for \n≃ \n\nMh/2 or MH /2. \n\nFig. 2 shows the relic density ΩN h2 as a function of the DM mass mN for a smaller Higgs \n\nmixing sin θ = 0.3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN . MW \nwhere the DM particles dominantly annihilate into f ¯f , the relic density further increases \n\nbecause of the small mixing angle. When the DM is heavier, the annihilation mode into \n\nHiggs boson pairs is opened and the relic density slightly deceases, but the reduction is not \n\nenough to reach ΩN h2 \n≃ \n\n 1000 \n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter \n\nset: (v′, Mh, MH, MZ ′, sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7). \n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16–18]. \n\nSome recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the \n\nthermal abundance is mainly controlled by the interactions between the SM Higgs boson and \n\nthe DM particle. In our model, B L Higgs VEV v′ can play the same role for mN < MW , \n− \n\nnamely a larger v′ corresponds to weaker coupling between DM and Higgs for a fixed DM \n\nmass. On the other hand, for mN > MW the difference appears. Even if the annihilation \n\n6", + "page_start": 5, + "page_end": 5, + "source_file": "1002.2525.pdf" + }, + { + "text": "A + 2b \n2b(cid:12) \nA \n(cid:12) \n(cid:12) \n(cid:12) \niλhhh + \nh + iMhΓh \n\nI22 + J22 ln , \n\n(cid:12) \n(cid:12) \n(cid:12) \ni \n(cid:12) \n\n(cid:19) − \n− \n\ns \n− \n\n, \n\n4 \n\n∂Ψ \n∂h (cid:19) \n8 \n(cid:18)− \n2 \n\n(B8) \n\n∂Ψ \n∂h (cid:19) \n4m2 \n2b \n\n∂Ψ \n∂h \n(cid:18) \nN + A \n\n∂Ψ \n∂H \n\ni \n∗2 = 4mN λ3 \n2 M1M \n\nN (cid:18) \ns \n\nM 2 \nA + 2b \n2b(cid:12) \nA \n(cid:19) \n(cid:12) \n(cid:12) \n(cid:12) \n\nM 2 s \nH + iMHΓH \n− \n\n4 + ln (B9) − \n\n(cid:12) \n(cid:12) \n(cid:12) \n(cid:12) \nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear \n\n(cid:18)− \n− \n\nabove are defined as \n\ns(A + m2 3m2 4m2 \nN (s N ) N ) \nI22(s) , (B10) − − \n\n4a2 2m2 \nN )(m2 m2 \nh) \n2A(A + 2a) (s \nN − − − \n\n(B11) \n\n(B12) \n\nm2 b(s, mN , mh) (B13) \nhr ≡ r \n\n(A + 2a)2 2(s + 4m2 \n\nN )A \n− \nA2 \nA(s + 4m2 \n\n4 − \n\n4b2 \n− \nN ) + A2 \n\n≡ \n\n1 \nAb \n(cid:0) \n+3m2 \ns \n2 \ns \n4 − \n\nJ22(s, mh) \n≡ \n\n− \nN ) \n\n− \n\n4m2 \nN (s \n, \n\n− \n+ m2 \nh, \n(cid:1) \nA(s, mh) \n≡ − \n\ns \n4 − \nm2 \nN . \n\nIn partial wave expansion, the thermal averaged cross section is given by \n\ndw \nds (cid:19) \n\nT \nmN (cid:21)(cid:12) \ns=4m2 \n(cid:12) \nN \n(cid:12) \n(cid:12) \n\n1 \nm2 \nN (cid:20) \ndw \nds (cid:12) \ns=4m2 \n(cid:12) \nN \n(cid:12) \n(cid:12) \n\n3 \n2 (cid:18) \n4m2 \nN \nσv w(s) 2w(s) = \nh i − − \n\nT \nmN \n, = 6 \n\nwith \n\n4m2 \ns \n\ns d cos θ \n\n1 \n8π r \n2 = 2, \nfinal \n4w(s) dLIPS − \n\n2 X |M| \n≡ Z \nX |M| \nZ \n\nwhere mfinal is the mass of final state particle. \n\n[1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in \n\nthe Universe, Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), \n\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity, Proceedings of Workshop,", + "page_start": 11, + "page_end": 11, + "source_file": "1002.2525.pdf" + }, + { + "text": "The DM RH neutrino interacts with the SM particles through couplings with B L \n− \n\ngauge and B L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent \n− \n\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′, H and \n\nh exchange processes in the s-channel. In practice, the dominant contributions come from \n\nthe Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed \n\nL Higgs VEV v′ & 3 TeV. Thus, we obtain Higgs portal DM \nby the inverse square of the B \nof RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f , \n\n− \n\nW +W −, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B L Higgs Ψ while \n− \n\na SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing \n\nbetween these two Higgs bosons. Although it is not so severe, the precision electroweak \n\nmeasurements [12] as well as the unitarity bound [13] give constraints on the mixing angle \n\nand mass spectrum of the Higgs bosons. \n\nThe thermal relic abundance of DM \n\n109 mN /Td \n√g \nσv \nMP h \n\nΩN h2 = 1.1 1, GeV− (14) \n× \ni \n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section \n\nσv and the relative velocity , the total number of relativistic degrees of freedom in the \nh i \n\nthermal bath g , and the decoupling temperature Td, is evaluated by solving the Boltzmann \n∗ \n\nequation for the number density of RH neutrino nN ; \n\ndnN \ndt \n(n2 \nn2 \nEQ), \n+ 3HnN = σv \nN − −h i \n\nand the Friedmann equation \n\n2 \n\n˙a \na(cid:19) \n8π \n3M 2 \nP \n= \n≡ (cid:18) \n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the \n\nradiation dominated Universe with the energy density ρ = ρrad [14]. \n\n5", + "page_start": 4, + "page_end": 4, + "source_file": "1002.2525.pdf" + }, + { + "text": "2 J.-H. 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Observe \nthe inconsistency with WK in the BCSI model in Fig 4. \n\n0.4 \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \n0 \nc \nω \n( \n\nC \nS \nW \n\n−0.4 \n0.2 0.4 \n0.6 \n in eV \n0.8 \nω \nc \n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other pa- \nrameters the same as in Fig. 10. These parameters are chosen \nto illustrate that two sign changes (indicated by arrows in the \nfigure) are also possible within the original MFLI model. \n\n1 \n) \n\n∞ \nW \n( \n\n0.6 \n/ \n) \nc \n\nω \nW \n( \n\n0.2 \n\n0 \n0.5 \nω \n in eV \nc \n\nFIG. 11: The evolution of the optical integral in the NS (top) \nand the SCS (bottom) in the original MFLI model. Parame- \nters are the same as above. Note that only \n80% of the \nspectral weight is recovered up to 1eV . \n75 \n∼ − \n\nNS and SCS ∆W (Original MFLI) \n\nwith lattice \nwithout lattice \n\n) \nc \n20 \nω \n( \n\nS \nN \nW \n− \n) \n10 \n\nnot not a generic one. There exists a range of parame- \nters α and Γ where ∆WK is still positive, but ∆W (ωc) \nchanges the sign twice and is negative at intermediate \nfrequencies. We show an example of such behavior in \nFig14. Still, for most of the parameters, the behavior of \n∆W (ωc) is the same as in Fig. 12. \n\nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.6 \n0.4 \nω \n in eV \nc \n\nFIG. 12: Evolution of the difference of the optical integrals in \nthe SCS and the NS with the upper cut-off ωc. Parameters are \nthe same as before. Observe that the optical sum in the SCS \nis larger than in the NS and that ∆W has not yet reached \n∆WK up to the bandwidth. The dashed line is the FGT \nresult. \n\nOn more careful looking we found the problem with the \noriginal MFLI model. We recall that in this model the \nself-energy in the SCS state was obtained by just cutting \nthe NS self energy at ω1 (see Eq.18). We argue that \nthis phenomenological formalism is not fully consistent, \nat least for small α. Indeed, for α = 0, the MFLI model \nreduces to BCSI model for which the behavior of the self- \nenergy is given by Eq. (12). This self-energy evolves with \nhas a square-root singularity at ω = ∆ + ωo \nω and Σ \nin the original MFLI model \n(with ωo = 0). Meanwhile Σ \nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and \nthis happens for all values of α including α = 0 where the \nMFLI and BCSI model should merge. This inconsistency \nis reflected in Fig 13, where we plot the near-BCS limit \nof MFLI model by taking a very small α = 0.05. We \nsee that the optical integral WK in the SCS still remains \nlarger than in the NS over a wide range of Γ, in clear \ndifference with the exactly known behavior in the BCSI \n\n′′ \n\nThis clearly affects nk because it is expressed via the full \nGreen’s function and competes with the conventional ef- \nfect of the gap opening. The distribution function from \nthis model, which we show in Fig.2b brings this point \nout by showing that in a MFLI model, at ǫ < 0, nk in a \nsuperconductor is larger than nk in the normal state, in \nclear difference with the BCSI case. \n\nWe analyzed the original MFLI model for various pa- \nrameters and found that the behavior presented in Fig. \n12, where ∆W (ωc) > 0 for all frequencies, is typical but", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0764.pdf" + }, + { + "text": "15 \n\nF. Marsiglio for many discussions concerning the infrared \nconductivity and optical integrals and thank A. Boris, E. \nvan Heumen, J. Hirsch, and F. Marsiglio for the com- \nments on the manuscript. The work was supported by \nnsf-dmr 0906953. \n\nWe would like to thank M. Norman, Tom Timusk, \nDmitri Basov, Chris Homes, Nicole Bontemps, Andres \nSantander-Syro, Ricardo Lobo, Dirk van der Marel, A. \nBoris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and \n\n1 R. Kubo, J. Phys. 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Hardy, Phys. Rev. B 69, 024514 (2004). \n14 J. Hwanget al, Phys. Rev. B 73, 014508 (2006). \n15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, \nD. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. \nGreven, C. C. Homes and S. V. Dordevic, Phys. Rev. B \n75, 054522 (2007). \n\npuzano, Phys. Rev. B 52, 615 (1995). \n\n39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253, 1(1995), \nJ. C. Campuzano, M. R. Norman, and M. Randeria, \n“Superconductivity”(Vol-1), 923-992, Springer (2008). \n40 A. V. Chubukov, Ar. Abanov, and D. N. Basov, Phys. Rev. \n\n16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94, B 68, 024504 (2003).", + "page_start": 14, + "page_end": 14, + "source_file": "1001.0764.pdf" + }, + { + "text": "| L = 24\nL = 32\nL = 48\nL = 64 | |\n|---|---|\n| L = 24 L = 32 L = 48 L = 64 | |\n\n\n100 120 140 \n\n2.5 \n2.6 \n\n*cv,*max \n2.5 \n2 \n2.4 \n\n2.3 \n1.5 \n*B*\n*k*\n2.2 \n*L*\n*/*\n*v*\n2.1 *c*\n1 20 30 40 70 50 60 \n\n0.5 \n\n0 \n0 20 40 60 \n\n80 \n*T*(K) \n\nFIG. 2: (color online) Specific heat cv per spin vs. temper- \nature for thickness n = 16 (for lateral dimension, see the \nlegend inside the figure). Inset: Maximum of cv vs. L ob- \ntained through MH technique. The continuum red line is a \npower law fit. \n\ndependence of different samples during the measurement \nstage. For each temperature we have usually performed \nthree independent simulations, each one containing at \nleast 2×105 measurements, taken after discarding up to \n5×104 Monte Carlo steps in order to assure thermal equi- \nlibration. \n\nIn the proximity of the critical region the multiple his- \ntogram (MH) technique was also employed21, as it allows \nus to estimate the physical observables of interest over a \nwhole temperature range in a substantially continuous \nway by interpolating results obtained from sets of simu- \nlations performed at some different temperatures. \n\nFor all the quantities of interest, the average value and \nthe error estimate were obtained by the bootstrap re- \nsampling method22 given that, as pointed out in Ref. 23, \nfor a large enough number of measurements, this method \nturns out to be more accurate than the usual blocking \ntechnique. In our implementation, we pick out randomly \na sizable number of measurements (typically, between 1 \nand 1×103 for the single simulation, and between 1 and \n5×104 for the MH technique), and iterate the re-sampling \nat least one hundred times. \n\nl )2 + (my \n(mx \nl )2 , \nml = (2) \nq \n\nwhich is related to the SO(2) symmetry breaking. At the \nsame time, it turns out to be significant also the average \norder parameter of the film, defined as \n\nn \n\nThe thermodynamic observables we have investigated \n\nentering the definition of κ in Eq. (4)), we remind that \nsuch quantity has generally to be managed with particu- \nlar care, as discussed in details in Refs.14,15, where it was \nshown that the presence of block structures prevents us \nto unambiguously relate the evolution of S(~q) with the \nonset of helical order. However, for the specific case of \nthe model under investigation such integrated quantity \ncan still be considered a fairly significant order parame- \nter, as no block structures emerge from the simulations \n(see below). \n\ninclude the FM order parameter for each plane l: \n\n1 \nn \nM = ml . (3) \nXl=1 \n\nIn order to get a clear picture of the critical region and \nto give an accurate estimate of the critical temperature, \nwe look also at the following quantities \n\nTurning to the helical order, which is the relevant \nquantity for the Z2 × SO(2) symmetry, we can explore \nit along two different directions. The first one is by the \nintroduction of the chirality order parameter1,2 \n(6) \n\n(7) \n\n(8) \n\nu4(o) = 1 − (9) \n\ncv = nL2β2 \nhe2i − hei2 \n(cid:0) \n(cid:1) \nχo = nL2β \nho2i − hoi2 \n, \n(cid:0) \n∂βo = nL2 (hoei − hoihei) , \nho4i \n3ho2i2 , \n\n, \n\n(cid:1) \n\nwhere the sum refers to spins belonging to NN layers \ni and j, respectively, while Qz is the bulk helical pitch \nvector along the z direction. The second possibility is \nthat of looking at the integral of the structure factor:", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0510.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + } + ] + }, + { + "references": { + "source_file": "1002.2525.pdf", + "query": "What happend to the annihilation and the relic density when the DM is heavier ?", + "target_page": 6, + "target_passage": "When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Fig. 1 shows the relic density ΩN h2 as a function of the DM mass mN for a set of \n\nparameters: (v′, Mh, MH, MZ ′, sin θ) = (4000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7), for \n\nexample. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as \n\nΩDM h2 \nonly near Higgs resonances, mN ≈ \n\n0.1 [15]. The figure shows that a desired DM relic abundance can be obtained for \n≃ \n\nMh/2 or MH /2. \n\nFig. 2 shows the relic density ΩN h2 as a function of the DM mass mN for a smaller Higgs \n\nmixing sin θ = 0.3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN . MW \nwhere the DM particles dominantly annihilate into f ¯f , the relic density further increases \n\nbecause of the small mixing angle. When the DM is heavier, the annihilation mode into \n\nHiggs boson pairs is opened and the relic density slightly deceases, but the reduction is not \n\nenough to reach ΩN h2 \n≃ \n\n 1000 \n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter \n\nset: (v′, Mh, MH, MZ ′, sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7). \n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16–18]. \n\nSome recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the \n\nthermal abundance is mainly controlled by the interactions between the SM Higgs boson and \n\nthe DM particle. In our model, B L Higgs VEV v′ can play the same role for mN < MW , \n− \n\nnamely a larger v′ corresponds to weaker coupling between DM and Higgs for a fixed DM \n\nmass. On the other hand, for mN > MW the difference appears. Even if the annihilation \n\n6", + "page_start": 5, + "page_end": 5, + "source_file": "1002.2525.pdf" + }, + { + "text": "The DM RH neutrino interacts with the SM particles through couplings with B L \n− \n\ngauge and B L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent \n− \n\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′, H and \n\nh exchange processes in the s-channel. In practice, the dominant contributions come from \n\nthe Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed \n\nL Higgs VEV v′ & 3 TeV. Thus, we obtain Higgs portal DM \nby the inverse square of the B \nof RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f , \n\n− \n\nW +W −, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B L Higgs Ψ while \n− \n\na SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing \n\nbetween these two Higgs bosons. Although it is not so severe, the precision electroweak \n\nmeasurements [12] as well as the unitarity bound [13] give constraints on the mixing angle \n\nand mass spectrum of the Higgs bosons. \n\nThe thermal relic abundance of DM \n\n109 mN /Td \n√g \nσv \nMP h \n\nΩN h2 = 1.1 1, GeV− (14) \n× \ni \n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section \n\nσv and the relative velocity , the total number of relativistic degrees of freedom in the \nh i \n\nthermal bath g , and the decoupling temperature Td, is evaluated by solving the Boltzmann \n∗ \n\nequation for the number density of RH neutrino nN ; \n\ndnN \ndt \n(n2 \nn2 \nEQ), \n+ 3HnN = σv \nN − −h i \n\nand the Friedmann equation \n\n2 \n\n˙a \na(cid:19) \n8π \n3M 2 \nP \n= \n≡ (cid:18) \n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the \n\nradiation dominated Universe with the energy density ρ = ρrad [14]. \n\n5", + "page_start": 4, + "page_end": 4, + "source_file": "1002.2525.pdf" + }, + { + "text": "From Eq. (19), one can see that σ(p) (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows \nSI ∝ \n\nthe spin-independent cross section of RH neutrino with a proton. The resultant cross section \n\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: \n\n8 \n7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such σSI . 4 10− 2 10− \n× − × \n\nas XENON1T [26] can reach the cross section predicted in our model. \n\n10-8 \n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as \n\nthose used in the previous section. The upper and lower lines correspond to sin θ = 0.7 and 0.3, \n\nrespectively. \n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal \n\ngauged U(1)B L model. We have introduced a discrete Z2 parity in the model, so that one \n− \n\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other \n\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. \n\nNo additional degrees of freedom are necessary to be added. We have evaluated the relic \n\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs \n\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal \n\nDM model. It has been found that the relic density consistent with the current observation \n\n8", + "page_start": 7, + "page_end": 7, + "source_file": "1002.2525.pdf" + }, + { + "text": "can be achieved only when the annihilation processes are enhanced by Higgs resonances. \n\nTherefore, the mass of the RH neutrino DM should be around a half of Higgs boson masses. \n\nWe have also calculated the elastic scattering cross section between the DM particle and a \n\nproton and found it within the reach of future experiments for the direct DM search. \n\nThe Higgs potential (4) contains five parameters: m2 \n1, m2 2, λ1, λ2 and λ3. These parameters \n\ncan be rewritten in terms of two Higgs VEVs, two physical Higgs masses and the mixing \n\nangle between them. The stationary conditions are \n\n1 \n2 \n1 \n2 \n\nm2 \n1 + λ1v2 + \n2 = 0, λ3v′ (A1) \n\nm2 \n2 + λ2v2 + \n2 = 0. λ3v′ (A2) \n\nThe physical Higgs masses are given by Eqs. (8) and (9) with the mixing angle that θ satisfies \n\nλ3vv′ \n\n(λ1v2 2) \nλ2v′ \n− \n\nHiggs self interaction terms are expressed as \n\n1 \n2 1 \n4 Lint = λ1vφ3 + λ2v′ψ3 + \nλ3(vφψ2 + v′ψφ2) + (λ1φ4 + λ2ψ4 + λ3φ2ψ2), \n\nin terms of φ and ψ. With Eq. (7), these are rewritten in terms of h and H with θ as \n\nLint \nλ1v cos3 θ \n(cid:20) 1 \n2 \nλ2v′ sin3 θ + λ3(v cos θ sin2 θ v′ sin θ cos2 θ) hhh = \n(cid:21) − − \n\n1 \n2 3λ1v cos2 θ sin θ + 3λ2v′ sin2 θ cos θ + \n(cid:20) \n+ \n− \n\n+v′(cos3 θ 2 sin2 θ cos θ)) hhH \n\n− \n3λ1v cos θ sin2 θ \n(cid:20) \n+v′( \n\n(cid:3) \n\n1 \n2 \n3λ2v′ sin θ cos2 θ + λ3(v(cos3 θ 2 sin2 θ cos θ) + \n− − \n\nsin3 θ + 2 sin θ cos2 θ)) \n(cid:3) \n1 \n2 \n\nhHH \n\n− \nλ1v sin3 θ + λ2v′ cos3 θ + \n(cid:20) (cid:21) \n\n+four point interactions.", + "page_start": 8, + "page_end": 8, + "source_file": "1002.2525.pdf" + }, + { + "text": "parameter to be consistent with the current observations. We also calculate the scattering \n\ncross section between the DM particle and nucleon and discuss the implication for the direct \n\nDM search experiments. We summarize our results in the section IV. Our notations and the \n\nformulas used in our analysis are listed in Appendix. \n\nII. THE MINIMAL GAUGED U (1)B L MODEL WITH Z2 PARITY \n− \n\nThe model is based on the gauge group SU(3)C × SU(2)L × U(1)Y × \nU(1)B L. Additional \n\n− \nL, a SM singlet \nfields besides the standard model fields are a gauge field Z ′µ of the U(1)B \n− \n\nB L Higgs boson Ψ with two U(1)B L charge, and three RH neutrinos Ni which are \n− \n− \n\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH \n\nneutrinos, we use the four component representation of RH neutrino constructed from the \n\nWeyl spinor νRi, \n\nνRi \n\nNi ≡ \n, (1) \n  \n\nǫ ν∗Ri \n  \nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that \n\nthe RH neutrino N3 is stable and, hence, the DM candidate. \n\nDue to the additional gauge symmetry U(1)B L, the covariant derivative for each fields \n− \n\nis given by \n\nDµ = D(SM ) iqB LgB \nLZ ′µ, \n(2) \nµ \n− \n− − \n\nwhere D(SM ) is the covariant derivative in the SM, and qB L is the charge of each fields µ \n− \n\nunder the U(1)B L with its gauge coupling gB L. \n− − \n\nYukawa interactions relevant for the neutrino masses are given by \n\n3 2 3 \n\n1 \n2 yαi ¯Lα ˜ΦNi − \n¯NiΨPRNi + h.c., λRi \nLint = \n(3) \n\nXα=1 Xi=1 Xi=1 \n\nwhere ˜Φ = iτ2Φ∗ for Φ being the SM Higgs doublet, and without loss of generality we have \n− \n\nworked out in the basis where the second term in the right-hand-side is in flavor diagonal \n\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings \n\nwith the left-handed lepton doublets. \n\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B L Higgs Ψ is \n− \n\ngenerally given by \n\nV (Φ, Ψ) = m2 \n1| 2 + m2 \n2| \n\n2 + λ1| \n3 \n\n4 + λ2| 4 + λ3| \n\n2 \n2. \nΦ \n| \nΨ \nΦ \n| \nΨ \nΦ \n| \nΨ (4) \n| | | |", + "page_start": 2, + "page_end": 2, + "source_file": "1002.2525.pdf" + }, + { + "text": "175 \n0 \n20 \nΓ in meV \n40 \n\nFIG. 13: Behavior of WK with Γ for the original MFLI model \nat very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe \nthe inconsistency with WK in the BCSI model in Fig 4. \n\n0.4 \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \n0 \nc \nω \n( \n\nC \nS \nW \n\n−0.4 \n0.2 0.4 \n0.6 \n in eV \n0.8 \nω \nc \n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other pa- \nrameters the same as in Fig. 10. These parameters are chosen \nto illustrate that two sign changes (indicated by arrows in the \nfigure) are also possible within the original MFLI model. \n\n1 \n) \n\n∞ \nW \n( \n\n0.6 \n/ \n) \nc \n\nω \nW \n( \n\n0.2 \n\n0 \n0.5 \nω \n in eV \nc \n\nFIG. 11: The evolution of the optical integral in the NS (top) \nand the SCS (bottom) in the original MFLI model. Parame- \nters are the same as above. Note that only \n80% of the \nspectral weight is recovered up to 1eV . \n75 \n∼ − \n\nNS and SCS ∆W (Original MFLI) \n\nwith lattice \nwithout lattice \n\n) \nc \n20 \nω \n( \n\nS \nN \nW \n− \n) \n10 \n\nnot not a generic one. There exists a range of parame- \nters α and Γ where ∆WK is still positive, but ∆W (ωc) \nchanges the sign twice and is negative at intermediate \nfrequencies. We show an example of such behavior in \nFig14. Still, for most of the parameters, the behavior of \n∆W (ωc) is the same as in Fig. 12. \n\nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.6 \n0.4 \nω \n in eV \nc \n\nFIG. 12: Evolution of the difference of the optical integrals in \nthe SCS and the NS with the upper cut-off ωc. Parameters are \nthe same as before. Observe that the optical sum in the SCS \nis larger than in the NS and that ∆W has not yet reached \n∆WK up to the bandwidth. The dashed line is the FGT \nresult. \n\nOn more careful looking we found the problem with the \noriginal MFLI model. We recall that in this model the \nself-energy in the SCS state was obtained by just cutting \nthe NS self energy at ω1 (see Eq.18). We argue that \nthis phenomenological formalism is not fully consistent, \nat least for small α. Indeed, for α = 0, the MFLI model \nreduces to BCSI model for which the behavior of the self- \nenergy is given by Eq. (12). This self-energy evolves with \nhas a square-root singularity at ω = ∆ + ωo \nω and Σ \nin the original MFLI model \n(with ωo = 0). Meanwhile Σ \nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and \nthis happens for all values of α including α = 0 where the \nMFLI and BCSI model should merge. This inconsistency \nis reflected in Fig 13, where we plot the near-BCS limit \nof MFLI model by taking a very small α = 0.05. We \nsee that the optical integral WK in the SCS still remains \nlarger than in the NS over a wide range of Γ, in clear \ndifference with the exactly known behavior in the BCSI \n\n′′ \n\nThis clearly affects nk because it is expressed via the full \nGreen’s function and competes with the conventional ef- \nfect of the gap opening. The distribution function from \nthis model, which we show in Fig.2b brings this point \nout by showing that in a MFLI model, at ǫ < 0, nk in a \nsuperconductor is larger than nk in the normal state, in \nclear difference with the BCSI case. \n\nWe analyzed the original MFLI model for various pa- \nrameters and found that the behavior presented in Fig. \n12, where ∆W (ωc) > 0 for all frequencies, is typical but", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0764.pdf" + }, + { + "text": "Higgs portal dark matter in the minimal gauged U (1)B L model \n− \n\nNobuchika Okada∗ \n\nDepartment of Physics and Astronomy, \n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA \n\n0 \n1 \n0 \n2 \n\nb \ne \nF \n3 \n1 \n\n] \nh \np \n- \np \ne \nh \n[ \n\n2 \nv \n5 \n2 \n5 \n2 \n. \n2 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nOsamu Seto† \n\nDepartment of Architecture and Building Engineering, \n\nHokkai-Gakuen University, Sapporo 062-8605, Japan \n\nAbstract \n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal \n\ngauged U (1)B L model by introducing an additional parity which ensures the stability of dark \n− \n\nmatter particle. The annihilation of this right-handed neutrino takes place dominantly through the \n\ns-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. \n\nWe show that the thermal relic abundance of the right-handed neutrino dark matter with help of \n\nHiggs resonance can match the observed dark matter abundance. In addition we estimate the cross \n\nsection with nucleon and show that the next generation direct dark matter search experiments can \n\nexplore this model.", + "page_start": 0, + "page_end": 0, + "source_file": "1002.2525.pdf" + }, + { + "text": "modified MFLI models. It is interesting that this holds \ndespite the fact that for large λ CB model displays the \nphysics one apparently needs to reverse the sign of ∆WK \n– the absence of the quasiparticle peak in the NS and its \nemergence in the SCS accompanied by the dip and the \nhump at larger energies. The absence of coherent quasi- \nparticle in the NS at large λ is also apparent form Fig \n21 where we show the normal state distribution functions \nfor two different λ. For large λ the jump (which indicates \nthe presence of quasiparticles) virtually disappears. \n\nconsistent with earlier calculation of the kinetic energy \nfor Ornstein-Zernike form of the spin susceptibility43. \n\nWe clearly see that the increase of the zero crossing \nfrequency of ∆W (ωc) at a truly strong coupling is cor- \nrelated with the non-BCS behavior of δKE. At the same \ntime, the behavior of δW (ωc) is obviously not driven by \nthe kinetic energy as eventually δW (ωc) changes sign and \nbecome negative. Rather, the increase in the frequency \nrange where ∆W (ωc) remains positive and non-BCS be- \nhavior of δKE are two indications of the same effect that \nfermions are incoherent in the NS but acquire coherence \nin the SCS. \n\nOn a more careful look, we found that indifference of \nδW (ωc) to the increase of λ is merely the consequence of \nthe fact that above we kept λωsf constant. Indeed, at \nsmall frequencies, fermionic self-energy in the NS is Σ′ = \nλω, Σ” = λ2ω2/(λωsf ), and both Σ′ and Σ′′ increase \nwith λ if we keep λωsf constant. But at frequencies larger \nthan ωsf , which we actually probe by ∆W (ωc), the self- \nenergy essentially depends only on λωsf , and increasing λ \nbut keeping λωsf constant does not bring us closer to the \nphysics associated with the recovery of electron coherence \nin the SCS. To detect this physics, we need to see how \nthings evolve when we increase λωsf above the scale of \n∆ , i.e., consider a truly strong coupling when not only \nλ ≫ 1 but also the normal state ΣN S(ω ≥ ∆) >> ∆. \n\nIn this work we analyzed the behavior of optical in- \nωc \no σ(ω)dω and Kubo sum rules in \ntegrals W (ωc) ∝ \nthe normal and superconducting states of interacting \nfermionic systems on a lattice. Our key goal was to \nunderstand what sets the sign of ∆WK = ∆W (∞) be- \ntween the normal and superconducting states and what \nis the behavior of W (ωc) and ∆W (ωc) at finite ωc. In a \nweak coupling BCS superconductor, ∆W (ωc) is positive \nat ωc < 2∆ due to a contribution from superfluid den- \nsity, but becomes negative at larger ωc, and approach a \nnegative value of ∆WK. Our study was motivated by fas- \ncinating optical experiments on the cuprates7–10. In over- \ndoped cuprates, there is clear indication11 that ∆W (ωc) \nbecomes negative above a few ∆, consistent with BCS \nbehavior. In underdoped cuprates, two groups argued8,9 \nthat ∆W integrated up to the bandwidth remains posi- \ntive, while the other group argued10 that it is negative. \nThe reasoning why ∆WK may potentially change sign \nat strong coupling involves the correlation between −WK \nand the kinetic energy. \nIn the BCS limit, kinetic en- \nergy obviously increases in a SCS because of gap opening, \nhence −WK increases, and ∆WK is negative. At strong \ncoupling, there is a counter effect – fermions become more \nmobile in a SCS due to a smaller self-energy. \n\nR", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "Our RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino \n\nDM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process \n\nis Higgs exchange and the resultant cross section for a proton is given by \n\n2 \n\nmpmN \nmp + mN (cid:19) 4 \nπ (cid:18) \nσ(p) \nSI = f 2 \np , \n(17) \n\nwith the hadronic matrix element \n\nfp \nmp αq \nmq αq \nmq 2 \n27 \nf (p) \nT q f (p) \nT G \n, = + (18) \n\nXq=u,d,s Xc,b,t \n\nand the effective vertex (see Appendix for notations) \n\n∂Φ \n∂h ∂Ψ \n∂h ∂Φ \n∂H ∂Ψ \n∂H (cid:19) \n1 \nM 2 \nh 1 \nM 2 \nH \nαq = \nλN yq (cid:18) \n− \n, + (19)", + "page_start": 6, + "page_end": 6, + "source_file": "1002.2525.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv1.pdf", + "query": "What is the aim of LLM routers ?", + "target_page": 1, + "target_passage": "LLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. ", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of \nresponses [31, 45, 57, 58]. \n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes \ndo. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying \nmodels to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, \nbut route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference \ncosts by using fewer and/or less complex underlying models. \n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several \ncommercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a \nfew lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The \nservice selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant \ncost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7]. \n\n3 LLM Control Plane Integrity \n\nIn this section, we define LLM control plane integrity. Informally, it means that decisions made about underlying LLM \nqueries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus \non one class of control plane: predictive LLM routing as used to manage cost. \n\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by \na string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the \ncase of n = 2, and, for reasons that will be clear in a moment, use Ms (“strong”) and Mw (“weak”) to denote the two \nunderlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing \na response via y ←$ RM \nω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is \ndeterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control \nplanes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a \nfunction of a sequence of queries and responses. \n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying \nLLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive \ncontrol plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, \npredictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a \nquery. \n\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of \nLLM invocations Mij (zj) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RM \nω (x). Here m is the total number of \nLLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence \nand its length are random variables. An inference flow can be written as a transcript \n\nT = (i1, z1), (i2, z2), . . . , (im, zm) \nof pairs of model indexes ij ∈ {w, s} and model inputs zj. Note that for simplicity we ignore the potential for paral- \nlelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x), (s, x)}. We write \nsubmitting a sequence of inferences ⃗x = ⃗x1, . . . , ⃗xq to a control plane as \nω (⃗x1), . . . , RM \n\nRM \nω (⃗x) = (RM ω (⃗xq))", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv1.pdf" + }, + { + "text": "We introduced and defined a new safety property, LLM control plane integrity. \nInformally, this property holds if an \nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not \nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query- \nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the \nquery to the adversary-chosen LLM. \n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that \nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against \nthese attacks and indicated directions for future research. \n\nAcknowledgments \n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda- \ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however \nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. \nNeither the European Union nor the granting authority can be held responsible for them.", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv1.pdf" + }, + { + "text": "We have experimented with variations of this approach that don’t work quite as well, for example adding c as a suffix \ninstead of a prefix. See Appendix B for details. \n\n5 Open-Source Routers: Experimental Setup \n\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with \nseveral LLM routers. This section explains our experimental setup for the open-source routers proposed in the research \nliterature [47]; results of this evaluation appear in Section 6. \nIn Section 7, we discuss experiments with proprietary, \ncommercial routers. Figure 3 shows the summary of our experimental setup. \n\n6", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv1.pdf" + }, + { + "text": "Figure 1: LLM routers classify queries and route complex ones to an expensive/strong model, others to a cheaper/weak \nmodel. To control costs, LLM routers can be calibrated to maintain (for an expected workload) a specific ratio between \nqueries sent to the strong and weak models. \n\nTo initiate the study of this problem, we show that existing LLM routing algorithms are not adversarially robust. We \ndesign, implement, and evaluate a method that generates query-independent adversarial token sequences we call “con- \nfounder gadgets.” If a gadget is added to any query, this query is routed to the strong model with high probability. Next, \nwe show that this attack is effective even in the transfer setting where the adversary does not have full knowledge of the \ntarget LLM router (it is black-box), but has access to another router (e.g., an internally trained surrogate). We also evaluate \nthe integrity of commercial LLM routers, showing that they can be confounded as well. \n\nThird, we investigate defenses. Our basic method generates gadgets that have anomalously high perplexity. Confounded \nqueries are thus easily distinguished from normal queries and can be filtered out by the routing system. Unfortunately, this \ndefense can be evaded by an adversary who incorporates a low-perplexity objective into the gadget generation algorithm, \nproducing gadgets that have low perplexity—and yet are effective at re-routing queries to the strong model. We also \ndiscuss higher-level defenses, such as identifying users whose queries are routed to the strong model with abnormal \nfrequency. \n\nRouting attacks can be deployed for various adversarial objectives, e.g., to ensure that the adversary always obtains the \nhighest-quality answer regardless of the target applications’s internal routing policies and cost constraints, or to mali- \nciously inflate the target’s LLM costs. As LLM control planes grow in importance and sophistication, we hope that this \nwork will motivate further research on their adversarial robustness. \n\n2 LLM Control Planes and Routing \n\nInference using large language models (LLMs) is traditionally monolithic: a single model is applied to an input or se- \nquence of inputs. This methodology can be sub-optimal for various reasons. State-of-the-art models are often expensive, \nwith API access to LLMs costing as much as several dollars for each query. Elsewhere, distinct LLMs may excel at dif- \nferent tasks, and selectively using them may improve overall quality on a diverse workload. Finally, combining multiple \nLLMs, even all trained for similar tasks, may become increasingly prevalent as performance improvements of individual \nLLMs plateaus [8–10]. \n\nResearchers and practitioners are therefore now developing inference architectures that use multiple LLMs to answer \nqueries. These LLMs are orchestrated by what we call an LLM control plane (borrowing the terminology from network- \ning [13]). The control plane may route queries or parts of queries to different LLMs, derive new strings to query to \nunderlying LLMs, combine answers from underlying LLMs, and more. \n\nLLM routers. A prominent example of this emerging class of LLM control planes are LLM routers [27, 41, 47, 53, 59]. \nLLM routers decide which of the two (or, sometimes, more) LLMs to use to answer a query. In prescriptive routing, \nthe router applies some lightweight classifier to the input query that determines which underlying LLM to utilize for a \nresponse. The classifier is itself a learned function that scores the complexity of the query. Deployments can then configure \na score threshold for when to route a query to the more expensive LLM. This threshold can be tuned using representative \nworkloads to achieve a desired cost-performance trade-off. Figure 1 shows the basic workflow of binary LLM routers.", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv1.pdf" + }, + { + "text": "ABSTRACT \n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to \na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what \nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we \ninvestigate routers’ adversarial robustness. \nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in- \nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query- \nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM \nrouters to send the query to a strong LLM. \nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings \nagainst a variety of open-source and commercial routers, and that confounding queries do not affect \nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining \nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating \nalternative defenses. \n\n1 Introduction \n\n5 \n2 \n0 \n2 \n\nn \na \nJ \n\n3 \n\n] \n\nR \nC \n. \ns \nc \n[ \n\n1 \nv \n8 \n1 \n8 \n1 \n0 \n. \n1 \n0 \n5 \n2 \n: \nv \ni \nX \nr \na \n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and \nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, \nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a \npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems. \n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want \nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each \nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of \nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, \no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a \ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality \nanswer. \n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul- \ntiple LLMs at different price-performance points. Recently proposed LLM routing systems [5, 12, 27, 47, 53] orchestrate \ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of \nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. \nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 \nif Ms is required. The system then routes q accordingly. \n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple \nLLMs to process inputs, as further described in Section 2. \n\nOur contributions. First, we introduce LLM control plane integrity as a novel problem in AI safety. Recently proposed \nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially \nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial \nrobustness of the underlying LLMs.", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv1.pdf" + }, + { + "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality \nof responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts. \n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user work- \nloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The \nrouter can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user’s \nqueries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For \nexample, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent \nfraction of queries being routed to the strong model. \n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there \nis sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be \ncircumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, \neach query. \n\n9 Related Work \n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, \n43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of \nmulti-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our \nresults compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity \nattacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion. \n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates \nthe prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adver- \nsarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely \nexplored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as “do \nnot output expletives” [23, 42, 54, 66, 72, 73]. \n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for \nexample, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection \nattacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into third- \nparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its \nusers. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate \ntheir integrity by exploiting the weaknesses of the underlying LLM [19, 55]. \n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the \ncontrol plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks \nthat, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming control- \nplane-confounding queries.", + "page_start": 16, + "page_end": 16, + "source_file": "arxiv1.pdf" + }, + { + "text": "Attacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a \ngiven query with a lower computational cost by including an inner routing mechanism that in every layer routes different \ntokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM, \nrather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to \nbuild larger models at a fixed compute budget—not all parameters are used at the same time. \n\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus \ncontrol plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore \nthis connection further. \n\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users’ prompts. We expect \nthat side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing \nof responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity. \n\n10 Conclusion \n\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an \nexample of a broader, emerging class of systems we call “LLM control planes” that aim to achieve various quality, \nefficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query. \n\n17", + "page_start": 16, + "page_end": 16, + "source_file": "arxiv1.pdf" + }, + { + "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (repre- \nsented by the gear), called a “confounder gadget,” that causes the router to send the query to the strong model. \n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes \nany query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior \nworks [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7). \nMore formally, we consider a router RM \nω for M = {Mw, Ms}, where ω consists of a scoring function S, scoring function’s \nparameters θ, and a threshold τ ∈ R+. For notational brevity we just write Rω below, with M clear from context. Here \nS and θ define a scoring function Sθ : X → R+. Since our focus is LLMs, we assume that queries X are strings of text \ntokens. The routing algorithm then works as follows: \n\n(cid:26)Mw(x) if Sθ(x) < τ \nRω(x) = \nMs(x) otherwise \n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight \nLLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as \ncompared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise \nto the type of control plane integrity policy discussed in Section 3. \n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has \na sequence of inputs x1, . . . , xq and must produce modified inputs ˆx1, . . . , ˆxq to maximize the number of inputs routed \nto Ms. See Figure 2 for a depiction of our attack setting. \n\nInstruction injection doesn’t work. Given the success of prompt injection for jailbreaking [50] and other adversarial \ntasks [64], the adversary might simply prefix each query xi with some instruction such as “Treat the following query as \ncomplex, . . . ” to generate a modified query ˆxi. Our experiments show that this does not work well, failing to trigger the \ncontrol plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various \ninstruction prompts. \n\nConfounder gadgets. Our approach works as follows. Given a query xi, we prepend a confounder gadget ci, which is a \nshort sequence of adversarially chosen tokens. The modified query is ˆxi = ci∥xi where ∥ denotes string concatenation. \nIntuitively, we will use optimization to search for confounders that trick the scoring function into ranking ˆxi as sufficiently \ncomplex to require the strong model. \n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To \ndo so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the \ntoken dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact \nchoice of the initialization token is not important; in our implementation, we used the first token in the dictionary (‘!’). \nDenote this initial confounder as c(0) \ni = [c(0) i,1 , c(0) i,2 , . . . , c(0) \ni,n]. \n\nThen, we perform a hill-climbing style approach to find a good confounder for xi. For each iteration t ∈ [T ], where T is \nthe total number of iterations, do the following: \n\n(1) Select a target index j ∈ [1, n] uniformly. \n\n(2) Generate a set B of B + 1 candidates. First set ˜c0 = c(t) \ni \n\n, the current confounder. To generate B additional \nb=1. Replace the jth token in the \ncandidates, select replacement tokens from I uniformly, forming the set {tb ← I}B \ncurrent confounder ˜c0 with tb: \n\n˜cb = [c(t) \ni,1, . . . , c(t) i,j−1, tb, c(t) i,j+1, . . . , c(t) i,n] .", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv1.pdf" + }, + { + "text": "Number of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the \neffect of using less (n = 5) or more (n = 20 or n = 50) tokens. We observed that 5 tokens were insufficient to make \nchanges to the routing algorithm’s score and thus we were not able to optimize the gadget in this setting. As for 20 tokens, \nwe observe a a small improvement in the white-box setting, increase the average upgrade rate from 93.9% to 95.8%, and \na bigger improvement in the black-box setting, increase the average upgrade rate from 70.2% to 81.3%. Using 50 tokens \nfurther increases the upgrade rates, to 98.2% in the white-box setting and 84.2% in the black box setting. The average \nconvergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall \nthis evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is \nimportant to be careful not to make them too long to the point that they might degrade the performance of the underlying \nLLM.", + "page_start": 22, + "page_end": 22, + "source_file": "arxiv1.pdf" + }, + { + "text": "Non-prescriptive routing [15, 20, 68] uses the responses from one or more underlying LLMs to determine which response \nto return to the user. For example, FrugalGPT [20] submits the query to a sequence of models (ordered by price) called a \ncascade, stopping when it obtains a response classified by the router as sufficient. \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv1.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv1.pdf", + "query": "What is an LLM control plane ?", + "target_page": 3, + "target_passage": " An LLM control plane Rω is a potentially randomized algorithm.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of \nresponses [31, 45, 57, 58]. \n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes \ndo. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying \nmodels to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, \nbut route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference \ncosts by using fewer and/or less complex underlying models. \n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several \ncommercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a \nfew lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The \nservice selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant \ncost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7]. \n\n3 LLM Control Plane Integrity \n\nIn this section, we define LLM control plane integrity. Informally, it means that decisions made about underlying LLM \nqueries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus \non one class of control plane: predictive LLM routing as used to manage cost. \n\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by \na string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the \ncase of n = 2, and, for reasons that will be clear in a moment, use Ms (“strong”) and Mw (“weak”) to denote the two \nunderlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing \na response via y ←$ RM \nω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is \ndeterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control \nplanes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a \nfunction of a sequence of queries and responses. \n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying \nLLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive \ncontrol plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, \npredictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a \nquery. \n\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of \nLLM invocations Mij (zj) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RM \nω (x). Here m is the total number of \nLLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence \nand its length are random variables. An inference flow can be written as a transcript \n\nT = (i1, z1), (i2, z2), . . . , (im, zm) \nof pairs of model indexes ij ∈ {w, s} and model inputs zj. Note that for simplicity we ignore the potential for paral- \nlelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x), (s, x)}. We write \nsubmitting a sequence of inferences ⃗x = ⃗x1, . . . , ⃗xq to a control plane as \nω (⃗x1), . . . , RM \n\nRM \nω (⃗x) = (RM ω (⃗xq))", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv1.pdf" + }, + { + "text": "Control plane integrity. A control plane integrity adversary is a randomized algorithm A that seeks to maliciously guide \ninference flow. \n\nIn an unconstrained LLM control plane integrity attack, the adversary A seeks to generate inputs ⃗x = ⃗x1, . . . , ⃗xq such \nthat running RM \nω (⃗x) generates a transcript for which P((x1, i1), . . . , (xq, iq)) = 0. This attack could be launched by an \nadversary who wants to maximize inference costs for a victim application using an LLM router. \n\nA harder setting requires input adaptation, where the adversary is given inputs x1, . . . , xq and it must find new inputs \nˆx1, . . . , ˆxq for which the transcript resulting from P((ˆx1, i1), . . . , (ˆxq, iq)) = 0. There will be some competing constraint, \nsuch as that xj and ˆxj are very similar for each j, or that the outputs yj ←$ RM \nω (ˆxj) are close. In the \nrouting context, the adversary’s goal is to increase the fraction of queries that get routed to the strong model, in order to \nimprove the overall quality of responses, drive up the victim application’s inference costs, or both. \n\nω (xj) and ˆyj ←$ RM \n\nRelationship to evasion attacks. Evasion attacks [25, 43, 60] against an inference system (also called adversarial exam- \nples [32, 48, 49]) would, in our setting, seek to find a small modification ∆ to an input x such that RM \nω (x) \nwhere addition is appropriately defined based on input type (e.g., slight changes to text). \nω (x + ∆) ̸= RM \n\nOur attack setting is not the same. The control plane integrity adversary seeks to maliciously control the inference flow, not \nnecessarily the output of inference. In an unconstrained attack, the adversary does not care what outputs are generated. \nIn the input adaptation attack, the adversary seeks to craft inputs that modify the inference flow yet do not change the \nresponses of the strong underlying LLM to the extent possible. Looking ahead, we will use evasion techniques in our \nadaptation attacks against learned control plane routers, but, importantly, not the overall inference. \n\nIn the other direction, undermining LLM control plane integrity could be a stepping stone toward evasion attacks. For \nexample, if RM \nω is used to classify malicious content by combining LLMs each tuned to different types of harm categories, \nthen modifying inputs to force inference flows away from appropriate models could aid evasion. We leave evaluation of \nhow control-plane integrity attacks can enable evasion to future work. \n\nThreat models. Within the context of control plane integrity attacks against LLM routers, we identify several threat \nmodels that differ in terms of the adversary’s goals and their knowledge about the target control plane RM \nω . \n\nIn terms of goals, an adversary may seek to inflate the costs of a victim application that utilizes an LLM control plane. \nAs a kind of denial-of-service attack, such cost inflation would penalize the application developer who expects routing \nto control costs. Another adversarial goal could be arbitrage: consider an application that charges X dollars per query, \nwhereas directly using Ms costs Y > X. The application’s lower rate X makes economic sense assuming it uses a router \nto route the bulk of queries to a cheaper model Mw. An input adaptation attack in this setting can gain (indirect) access to \nMs, obtaining an arbitrage advantage of Y − X per query. To be effective, this arbitrage adversary would want to ensure \nthat adaptations do not lower response quality (i.e., it extracts all the value out of rerouting to Ms). As before, the victim \nin this case is the application that relies on routing to lower its costs (unsuccessfully, under this attack).", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv1.pdf" + }, + { + "text": "RM \nω (⃗x) = (RM ω (⃗xq)) \n\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however, \neach invocation results in a single LLM invocation. \n\nAn inference flow policy dictates the control plane designer’s intention regarding use of the underlying models. For \nexample, an application may want to ensure that only a small fraction of queries go to the expensive model Ms. We can \ndefine this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply \ndefined as a predicate P over (input, model) pairs (⃗x1, i1), . . . , (⃗xq, iq) since this fully defines the sequence of transcripts. \nFor example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences: \n  \nq \n(cid:88) \n\nI(ij) \nq \nP((⃗x1, i1), . . . , (⃗xq, iq)) = ≤ ϵ \n  \nj=1", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv1.pdf" + }, + { + "text": "We now discuss adversarial capabilities. We assume that our victim application’s prompt includes a substring that can be \ncontrolled by the adversary. This represents many real-world apps such as chatbots, coding assistants, writing assistants, \nand others, that insert user inputs into an LLM prompt. In crafting adversarial portions of prompts, an adversary may have \nvarious levels of knowledge about the victim application’s router. We consider the following knowledge settings: \n\n• White-box setting: The adversary knows the control plane algorithm and its parameters ω. \n\n• Black-box (transfer) setting: The adversary does not know the control plane algorithm R and ω for the target model, \nbut knows instead another control plane algorithm R′ \nω′ as the surrogate. For \nexample, this could arise if an adversary trains their own router using available data. In this setting our attacks are \nalso zero-shot in that they do not require any interaction with the target control plane before the query that is being \nrerouted. \n\nω′ and its parameters. We refer to R′ \n\n4 Confounding Control Planes with Gadgets \n\nWe now turn to our main contribution: a methodology for attacking LLM control plane integrity. The key insight is that \nan adversary can modify queries to mislead or “confound” the routing logic into routing these queries to an LLM of the \nadversary’s choosing. Furthermore, we will demonstrate that these attacks can be black-box and query-independent, i.e., \na single modification works for all queries and does not require advance knowledge of the specific router being attacked. \n\n4", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv1.pdf" + }, + { + "text": "We introduced and defined a new safety property, LLM control plane integrity. \nInformally, this property holds if an \nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not \nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query- \nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the \nquery to the adversary-chosen LLM. \n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that \nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against \nthese attacks and indicated directions for future research. \n\nAcknowledgments \n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda- \ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however \nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. \nNeither the European Union nor the granting authority can be held responsible for them.", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv1.pdf" + }, + { + "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality \nof responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts. \n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user work- \nloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The \nrouter can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user’s \nqueries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For \nexample, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent \nfraction of queries being routed to the strong model. \n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there \nis sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be \ncircumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, \neach query. \n\n9 Related Work \n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, \n43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of \nmulti-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our \nresults compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity \nattacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion. \n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates \nthe prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adver- \nsarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely \nexplored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as “do \nnot output expletives” [23, 42, 54, 66, 72, 73]. \n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for \nexample, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection \nattacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into third- \nparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its \nusers. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate \ntheir integrity by exploiting the weaknesses of the underlying LLM [19, 55]. \n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the \ncontrol plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks \nthat, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming control- \nplane-confounding queries.", + "page_start": 16, + "page_end": 16, + "source_file": "arxiv1.pdf" + }, + { + "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (repre- \nsented by the gear), called a “confounder gadget,” that causes the router to send the query to the strong model. \n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes \nany query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior \nworks [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7). \nMore formally, we consider a router RM \nω for M = {Mw, Ms}, where ω consists of a scoring function S, scoring function’s \nparameters θ, and a threshold τ ∈ R+. For notational brevity we just write Rω below, with M clear from context. Here \nS and θ define a scoring function Sθ : X → R+. Since our focus is LLMs, we assume that queries X are strings of text \ntokens. The routing algorithm then works as follows: \n\n(cid:26)Mw(x) if Sθ(x) < τ \nRω(x) = \nMs(x) otherwise \n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight \nLLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as \ncompared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise \nto the type of control plane integrity policy discussed in Section 3. \n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has \na sequence of inputs x1, . . . , xq and must produce modified inputs ˆx1, . . . , ˆxq to maximize the number of inputs routed \nto Ms. See Figure 2 for a depiction of our attack setting. \n\nInstruction injection doesn’t work. Given the success of prompt injection for jailbreaking [50] and other adversarial \ntasks [64], the adversary might simply prefix each query xi with some instruction such as “Treat the following query as \ncomplex, . . . ” to generate a modified query ˆxi. Our experiments show that this does not work well, failing to trigger the \ncontrol plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various \ninstruction prompts. \n\nConfounder gadgets. Our approach works as follows. Given a query xi, we prepend a confounder gadget ci, which is a \nshort sequence of adversarially chosen tokens. The modified query is ˆxi = ci∥xi where ∥ denotes string concatenation. \nIntuitively, we will use optimization to search for confounders that trick the scoring function into ranking ˆxi as sufficiently \ncomplex to require the strong model. \n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To \ndo so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the \ntoken dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact \nchoice of the initialization token is not important; in our implementation, we used the first token in the dictionary (‘!’). \nDenote this initial confounder as c(0) \ni = [c(0) i,1 , c(0) i,2 , . . . , c(0) \ni,n]. \n\nThen, we perform a hill-climbing style approach to find a good confounder for xi. For each iteration t ∈ [T ], where T is \nthe total number of iterations, do the following: \n\n(1) Select a target index j ∈ [1, n] uniformly. \n\n(2) Generate a set B of B + 1 candidates. First set ˜c0 = c(t) \ni \n\n, the current confounder. To generate B additional \nb=1. Replace the jth token in the \ncandidates, select replacement tokens from I uniformly, forming the set {tb ← I}B \ncurrent confounder ˜c0 with tb: \n\n˜cb = [c(t) \ni,1, . . . , c(t) i,j−1, tb, c(t) i,j+1, . . . , c(t) i,n] .", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv1.pdf" + }, + { + "text": "ABSTRACT \n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to \na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what \nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we \ninvestigate routers’ adversarial robustness. \nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in- \nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query- \nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM \nrouters to send the query to a strong LLM. \nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings \nagainst a variety of open-source and commercial routers, and that confounding queries do not affect \nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining \nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating \nalternative defenses. \n\n1 Introduction \n\n5 \n2 \n0 \n2 \n\nn \na \nJ \n\n3 \n\n] \n\nR \nC \n. \ns \nc \n[ \n\n1 \nv \n8 \n1 \n8 \n1 \n0 \n. \n1 \n0 \n5 \n2 \n: \nv \ni \nX \nr \na \n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and \nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, \nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a \npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems. \n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want \nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each \nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of \nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, \no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a \ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality \nanswer. \n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul- \ntiple LLMs at different price-performance points. Recently proposed LLM routing systems [5, 12, 27, 47, 53] orchestrate \ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of \nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. \nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 \nif Ms is required. The system then routes q accordingly. \n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple \nLLMs to process inputs, as further described in Section 2. \n\nOur contributions. First, we introduce LLM control plane integrity as a novel problem in AI safety. Recently proposed \nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially \nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial \nrobustness of the underlying LLMs.", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv1.pdf" + }, + { + "text": "l--J-@ $!?e \n\n+Y \n\nI \nDRAG \n\nSIN 7 = - j \n\n\\ \nWEIGHT \n\nGLIDE RATIO*L/o \n\n\ni \n\n LIFT-OR&G \nRATIO \n-CLEAN CONFIGURATION \n\nL4l \nr )M \n\n\nA Sθ(x). \n\nThe black-box setting: confounders that transfer. Finally, the attacks so far are in the white-box setting, where the \nattacker can optimize directly against Sθ. While in some cases routing control planes will be public knowledge, in others, \nincluding the proprietary control planes we explore in Section 7, they are hidden. This gives rise to the black-box setting. \nWhile an attacker might seek to perform model extraction attacks [43, 65] to learn θ, we instead explore attacks that \ntransfer from one router to another. \nIn more detail, we assume the adversary has access to a router R′ \nω′, called the surrogate, that is trained on data similar to \nthat used for the target router. Then the attack is the same as above, except that we use the surrogate’s scoring function \nS′ \nθ′ instead of the target’s Sθ. Again, we will see that this works surprisingly well: the query-independent confounders \nfound for the surrogate transfer to successfully reroute queries against the target router. \n\nPutting it all together. In summary, our methodology for input adaptation attacks is: \n\n(Preprocessing) Develop a single query-independent confounder gadget c, using either the target router or surrogate \nto score the confounder. \n(1) \n\n(Input adaptation) For each query xi, submit ˆxi = c∥xi instead to obtain a response ˆyi. (2) \n\nThe confounder is applied to all queries, i.e., the adversary does not need to guess whether the original query would \nhave been routed to the weak or strong model. In the rest of the paper, we demonstrate the confounders rarely result in \n“downgrades,” i.e., rerouting of queries from the strong to weak model. \n\nWe have experimented with variations of this approach that don’t work quite as well, for example adding c as a suffix \ninstead of a prefix. See Appendix B for details.", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv1.pdf" + }, + { + "text": "We have experimented with variations of this approach that don’t work quite as well, for example adding c as a suffix \ninstead of a prefix. See Appendix B for details. \n\n5 Open-Source Routers: Experimental Setup \n\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with \nseveral LLM routers. This section explains our experimental setup for the open-source routers proposed in the research \nliterature [47]; results of this evaluation appear in Section 6. \nIn Section 7, we discuss experiments with proprietary, \ncommercial routers. Figure 3 shows the summary of our experimental setup. \n\n6", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv1.pdf" + }, + { + "text": "We introduced and defined a new safety property, LLM control plane integrity. \nInformally, this property holds if an \nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not \nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query- \nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the \nquery to the adversary-chosen LLM. \n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that \nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against \nthese attacks and indicated directions for future research. \n\nAcknowledgments \n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda- \ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however \nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. \nNeither the European Union nor the granting authority can be held responsible for them.", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv1.pdf" + }, + { + "text": "| Original\nConfounded\n20\n15\nCount\n10\n5\n0 20 30 40 50\nPerplexity | Original\nConfounded | | Original\nConfounded |\n|---|---|---|---|\n| Original Confounded 20 15 Count 10 5 0 20 30 40 50 Perplexity | Original Confounded | | Original Confounded |\n| | | | |\n| | | | |\n\n\n| Original\nConfounded\n20\n15\nCount\n10\n5\n0 20 30 40 50\nPerplexity | Original\nConfounded | Original\nConfounded |\n|---|---|---|\n| Original Confounded 20 15 Count 10 5 0 20 30 40 50 Perplexity | Original Confounded | Original Confounded |\n| | | |\n\n\n(a) RSW (b) RM F (c) RCLS (d) RLLM \n\n(e) RSW (f) RM F (g) RCLS (h) RLLM \n\nFigure 6: Perplexity values of the original and confounded queries, and the corresponding ROC curves of the defense that \ndetects confounded queries by checking if they cross a perplexity threshold, when the confounder gadget is optimized for \nlow perplexity, in the GSM8K benchmark and for one gadget sampled uniformly at random. Confounded queries have \nsimilar perplexity values as the original queries, and can no longer be easily distinguished based on perplexity alone. \n\n| MT-Bench\nMMLU\nGSM8K | 100 ± 0 100 ± 0\n90 ± 1 59 ± 5\n98 ± 0 70 ± 7 | 100 ± 0 98 ± 2\n78 ± 4 74 ± 5\n100 ± 0 98 ± 2 | 100 ± 0 98 ± 1\n100 ± 0 66 ± 12\n100 ± 0 88 ± 6 | 73 ± 5 51 ± 8\n95 ± 1 89 ± 3\n94 ± 3 81 ± 8 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | 100 ± 0 100 ± 0 90 ± 1 59 ± 5 98 ± 0 70 ± 7 | 100 ± 0 98 ± 2 78 ± 4 74 ± 5 100 ± 0 98 ± 2 | 100 ± 0 98 ± 1 100 ± 0 66 ± 12 100 ± 0 88 ± 6 | 73 ± 5 51 ± 8 95 ± 1 89 ± 3 94 ± 3 81 ± 8 |\n\n\nTable 11: Average upgrade rates for gadgets generated without (“Orig.”) and with (“PPL-opt.”) low-perplexity optimiza- \ntion, for the balancing coefficient α = 0.01. In some cases, optimizing for low perplexity has a negative effect on the \nattack success rate, however the attack can still be considered successful. A more careful choice of α can potentially limit \nthe effect on the attack success. \n\nLLM-based filtering. Even though adversarially modified queries cannot be easily detected using perplexity, they may \nstill be “unnatural.” A possible defense is to employ an oracle LLM to determine if the query is natural or not. This defense \nrequires the router to invoke an additional LLM for every processed query, which is computationally expensive in the case \nof a high-quality open-sourced LLM or financially costly in the case of a high-quality commercial LLM. Therefore, this \ndefense is unlikely to be practical. Furthermore, it is possible to optimize gadgets so that they both have low perplexity \nand appear “natural” to LLM evaluators [69]. \n\nParaphrasing. Filtering defenses like those discussed above are passive. An active alternative is to paraphrase queries \nusing an oracle LLM. LLMs are trained to generate natural text and are thus likely to remove unnatural substrings when \nparaphrasing a query. This defense is likely impractical for two reasons. First, and as with LLM-based filtering, it requires \n\n16", + "page_start": 15, + "page_end": 15, + "source_file": "arxiv1.pdf" + }, + { + "text": "To evaluate the effectiveness of such a defense against our attack, we compare the perplexity values of original and \nconfounded queries. Figure 5 presents histograms of perplexity values for both the original evaluated GSM8K queries and \ntheir corresponding confounded versions, generated using one of the confounder gadgets, sampled uniformly at random. \nAdditionally, the figure displays the ROC curve for the defense that detects confounded queries by checking if their \nperplexity exceeds a threshold. As can be seen, the confounded queries exhibit significantly higher perplexity values, \nmaking them readily distinguishable from the original queries. For instance, in the case of the RSW router, setting the \nthreshold value at 55 yields a false-positive rate of 3% and a true-positive rate of 97%. Results are similar for other gadgets \nand benchmarks and were omitted due to space constraints. \n\nUnfortunately, this defense can be evaded if an adversary incorporates a perplexity constraint into the gadget generation \nprocess. To demonstrate the feasibility of this evasion strategy, we modify gadget generation to maximize the score of the \nrouting algorithm R and simultaneously aligning the the gadget’s perplexity to some predefined perplexity value. In more \ndetail, in each iteration t ∈ [T ], we uniformly sample a target index j ∈ [1, n] and generate a set B of B + 1 candidates as \nexplained in Section 4. We then modify Eq. 1 such that we now find the candidate that maximizes the difference between \nthe router’s score and the perplexity constraint for the confounder: \n\n(cid:0)Sθ(c∥xi) − α · |PPL(c) − ρ|(cid:1) , c(t+1) ← arg max \nc∈B \n\n14", + "page_start": 13, + "page_end": 13, + "source_file": "arxiv1.pdf" + }, + { + "text": "RSW RM F \nOriginal Confounded Original Confounded Original Confounded Original Confounded \n\n13.8 \n20.4 \n17.1 12.3 ± 0.2 \n20.1 ± 0.1 \n15.1 ± 0.3 12.6 \n20.0 \n17.0 12.3 ± 0.2 \n20.3 ± 0.1 \n15.2 ± 0.3 13.1 \n20.2 \n17.0 12.1 ± 0.2 \n20.5 ± 0.1 \n15.0 ± 0.2 12.7 \n21.0 \n16.4 12.7 ± 0.4 \n19.6 ± 0.1 \n15.2 ± 0.3 MT-Bench \nMMLU \nGSM8K \n\nTable 2: Average perplexity of responses to the original and confounded queries, in the white-box setting for LLM pair 1. \nResponse perplexity does not change significantly when adding the confounder gadget. \n\n| | R\nSW\nOriginal Confounded | R\nMF\nOriginal Confounded | R\nCLS\nOriginal Confounded | R\nLLM\nOriginal Confounded |\n|---|---|---|---|---|\n| | R SW Original Confounded | R MF Original Confounded | R CLS Original Confounded | R LLM Original Confounded |\n\n\n| MT-Bench\nMMLU\nGSM8K | 8.4 8.3 ± 0.0\n61 66 ± 0\n46 64 ± 1 | 8.4 8.4 ± 0.0\n64 64 ± 1\n50 67 ± 1 | 8.4 8.3 ± 0.0\n63 65 ± 0\n50 63 ± 1 | 8.3 8.2 ± 0.1\n67 66 ± 0\n44 64 ± 1 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | 8.4 8.3 ± 0.0 61 66 ± 0 46 64 ± 1 | 8.4 8.4 ± 0.0 64 64 ± 1 50 67 ± 1 | 8.4 8.3 ± 0.0 63 65 ± 0 50 63 ± 1 | 8.3 8.2 ± 0.1 67 66 ± 0 44 64 ± 1 |\n\n\nTable 3: Average benchmark-specific scores of responses to the original and confounded queries, in the white-box setting \nfor LLM pair 1. Rerouting to the strong model improves quality of responses as long as there is a significant gap between \nthe benchmark performance of the weak and strong LLMs. \n\nAs a first measure of response quality, we compare the perplexity scores for unmodified responses and confounded query \nresponses. Text perplexity [37] is a well-known method for approximating “naturalness” of text sequences. Perplexity \ncan be computed using an LLM, we use GPT-2 [51] for this purpose as it is a standard choice [16, 69];1 Table 2 shows the \nresults. As can be seen, adding the confounder gadget to queries does not significantly change response perplexity. To the \nextent that it does, it usually somewhat decreases response perplexity, i.e., makes it more “natural”. That said, perplexity \nis a coarse measure of “naturalness,” and it does not measure whether the response is correct. In particular, responses of \nstrong and weak LLMs tend to have similar perplexities. We further discuss this issue in Appendix D. \n\nWe thus also evaluate using the following benchmark-specific metrics to assess response quality: \n\n• MT-bench: We score the responses on a scale of 1–10 using an LLM-as-a-judge methodology [71]. We use \nGPT-4o [2] as the judge and ask it to provide a score given a pair of a query and a corresponding response. \n\n• MMLU: We parse the responses and compare the answer to the ground truth. In cases where the response did not \nfit any known multi-choice format, we marked the response as a mistake. We report accuracy as the percentage of \nresponses that match the ground truth. \n\n• GSM8K: similar to MMLU except questions are math rather than multiple choice, thus we parse the answers accord- \ning to the expected format. \n\nTable 3 shows that, according to these metrics, in most cases responses to the confounded queries are no worse, and in \nsome cases even better, than responses to the original queries. We attribute the improvement on the GSM8K benchmark \nto the fact that the strong model performs significantly better than the weak model on this benchmark (57% vs. 33%). On \nthe MT-bench and MMLU benchmarks, strong and weak models have comparable performance (8.5 vs. 7.6 for MT-bench \nand 66% vs. 64% for MMLU), thus routing does not degrade quality of responses and, consequently, the attack cannot \nimprove it.", + "page_start": 9, + "page_end": 9, + "source_file": "arxiv1.pdf" + }, + { + "text": "[71] L. Zheng, W.-L. Chiang, Y. Sheng, S. Zhuang, Z. Wu, Y. Zhuang, Z. Lin, Z. Li, D. Li, E. Xing et al., “Judging LLM- \nas-a-judge with MT-Bench and chatbot arena,” Advances in Neural Information Processing Systems (NeurIPS), \n2023. \n\n[72] S. Zhu, R. Zhang, B. An, G. Wu, J. Barrow, Z. Wang, F. Huang, A. Nenkova, and T. Sun, “AutoDAN: Automatic \nand interpretable adversarial attacks on large language models,” arXiv preprint arXiv:2310.15140, 2023. \n\n[73] A. Zou, Z. Wang, J. Z. Kolter, and M. Fredrikson, “Universal and transferable adversarial attacks on aligned language \nmodels,” arXiv preprint arXiv:2307.15043, 2023. \n\nA Gadget Examples \n\nBelow are a few examples of the optimized confounder gadgets c we got, for the different routing algorithms: \n\nB Ablation Study \n\nIn this section, we evaluate the effect of different hyperparameters and design choices (in the white-box setting). \n\nPrefix vs. suffix. As described in Section 4, we prepend the confounder gadget to the query. An alternative is to append \nit. This is straightforward for MT-bench and GSM8K, but MMLU consists of multi-choice questions followed by a list \nof possible answers, and the term “Answer:”. We insert the gadget at the end of the question text and before the possible \nanswers. If we append it at the very end, after “Answer:”, the LLM assumes the query was answered and in many cases \ndoes not generate any output at all. \n\nTable 12 shows that average upgrade rates are similar regardless of whether the gadget was inserted as a prefix or a suffix. \nFor MMLU, prefix works better. The downgrade rate is 0% in all cases. \n\n22", + "page_start": 21, + "page_end": 21, + "source_file": "arxiv1.pdf" + }, + { + "text": "| Surrogate\nTarget | Rˆ\nSW\nR R R\nMF CLS LLM | Rˆ\nMF\nR R R\nSW CLS LLM | Rˆ\nCLS\nR S R\nSW F M LLM | Rˆ\nLLM\nR R R\nSW MF CLS |\n|---|---|---|---|---|\n| Surrogate Target | Rˆ SW R R R MF CLS LLM | Rˆ MF R R R SW CLS LLM | Rˆ CLS R S R SW F M LLM | Rˆ LLM R R R SW MF CLS |\n\n\n| MT-Bench\nMMLU\nGSM8K | 0.4 0.8 0.6\n0.1 0.8 1.1\n1.9 1.7 0.6 | 1.4 0.7 0.3\n0.2 0.2 1.1\n1.6 1.7 0.2 | 1.7 0.3 0.7\n0.3 0.8 0.9\n1.7 1.0 0.4 | 0.8 −0.6 0.0\n1.3 1.2 0.9\n1.3 1.3 1.7 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | 0.4 0.8 0.6 0.1 0.8 1.1 1.9 1.7 0.6 | 1.4 0.7 0.3 0.2 0.2 1.1 1.6 1.7 0.2 | 1.7 0.3 0.7 0.3 0.8 0.9 1.7 1.0 0.4 | 0.8 −0.6 0.0 1.3 1.2 0.9 1.3 1.3 1.7 |\n\n\nTable 6: Differences between average perplexity of responses to the original and confounded queries, in the black-box \nsetting, when the confounder gadget was generated for a different surrogate router than the target, for LLM pair 1. Positive \nvalues indicate a lower average perplexity (more natural) of responses to the confounded queries; higher values are better \nfor the attacker. Standard errors were omitted for readability but are 0.2 on average. As in the white-box setting, the attack \ndoes not increase the average response perplexity. \n\n| Surrogate\nTarget | Rˆ\nSW\nR R R\nMF CLS LLM | Rˆ\nMF\nR R R\nSW CLS LLM | Rˆ\nCLS\nR S R\nSW F M LLM | Rˆ\nLLM\nR R R\nSW MF CLS |\n|---|---|---|---|---|\n| Surrogate Target | Rˆ SW R R R MF CLS LLM | Rˆ MF R R R SW CLS LLM | Rˆ CLS R S R SW F M LLM | Rˆ LLM R R R SW MF CLS |\n\n\nLLM pair 1 \n\n| MT-Bench\nMMLU\nGSM8K | −0.1 −0.1 0.0\n−0.1 0.3 −0.2\n14.9 9.6 15.2 | −0.1 −0.1 0.0\n4.8 1.0 0.5\n18.6 13.8 14.7 | −0.1 0.0 0.1\n2.5 −1.3 −0.8\n13.4 6.8 12.6 | −0.2 −0.1 −0.2\n2.6 −0.9 0.3\n13.6 11.3 10.4 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | −0.1 −0.1 0.0 −0.1 0.3 −0.2 14.9 9.6 15.2 | −0.1 −0.1 0.0 4.8 1.0 0.5 18.6 13.8 14.7 | −0.1 0.0 0.1 2.5 −1.3 −0.8 13.4 6.8 12.6 | −0.2 −0.1 −0.2 2.6 −0.9 0.3 13.6 11.3 10.4 |\n\n\n| MT-Bench\nMMLU\nGSM8K | −0.1 −0.1 −0.1\n1.6 4.0 4.2\n13.6 8.7 18.5 | −0.2 −0.2 −0.2\n7.9 5.0 4.4\n18.9 14.4 18.3 | −0.1 −0.1 0.0\n5.0 −2.9 3.2\n13.1 4.0 15.5 | −0.2 −0.2 −0.2\n5.2 −0.9 3.8\n11.3 8.4 10.8 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | −0.1 −0.1 −0.1 1.6 4.0 4.2 13.6 8.7 18.5 | −0.2 −0.2 −0.2 7.9 5.0 4.4 18.9 14.4 18.3 | −0.1 −0.1 0.0 5.0 −2.9 3.2 13.1 4.0 15.5 | −0.2 −0.2 −0.2 5.2 −0.9 3.8 11.3 8.4 10.8 |\n\n\n| MT-Bench\nMMLU\nGSM8K | 0.2 0.0 0.1\n5.0 6.8 5.8\n20.5 13.4 20.9 | −0.1 −0.1 0.0\n11.3 9.1 4.7\n24.3 18.6 21.6 | 0.0 0.2 0.2\n8.1 −3.7 4.8\n17.9 11.2 18.9 | −0.1 0.1 −0.1\n7.8 0.1 7.2\n16.7 15.2 14.2 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | 0.2 0.0 0.1 5.0 6.8 5.8 20.5 13.4 20.9 | −0.1 −0.1 0.0 11.3 9.1 4.7 24.3 18.6 21.6 | 0.0 0.2 0.2 8.1 −3.7 4.8 17.9 11.2 18.9 | −0.1 0.1 −0.1 7.8 0.1 7.2 16.7 15.2 14.2 |\n\n\nTable 7: Differences between average benchmark specific scores of responses to the original and confounded queries, \nwhen the confounder gadget was generated for a different surrogate router than the target (black-box setting) for three \nLLM pairs. Positive values indicate a higher average score for responses to the confounded queries; higher values are \nbetter for the attacker. Results are averaged across gadgets. Standard errors were omitted for readability and are on \naverage 0.1, 0.8, and 1.8 for MT-bench, MMLU and GSM8K, respectively. Aligned with the white-box setting, results \nshow almost no decrease in performance, and improvement when there is a performance gap for the LLM pair. \n\nResults for LLM pair 4. As discussed in Section 5, we replace the strong model that was used by Ong et al. [47], GPT-4- \n1106-preview (rank 28 in the Chatbot Arena leaderboard [1, 21]), with the open-sourced Llama-3.1-8B (rank 58) to reduce \nthe costs of our extensive set of evaluations. In this section we perform a smaller-scale evaluation of the quality-enhancing \nattack performance when using GPT as the strong model, i.e., LLM pair 4. We evaluate this setting using three of the \nn = 10 confounder gadgets for each router.", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv1.pdf" + }, + { + "text": "6 Rerouting Open-Source Routers \n\nWe now empirically evaluate our rerouting attack against the open-source routers described in the previous section. Unless \notherwise specified, our evaluation focuses on the query-independent attack setting where the attacker first finds a fixed \nset of gadgets and then uses them to attack arbitrarily many queries. This is the conservative setting, and query-specific \ngadgets — which carry a higher computational cost — generally work better. \n\nIn Appendix C we evaluate optimization-free alternatives for generating our confounding gadgets, and show they signifi- \ncantly underperform our optimization-based approach. \n\nWhite-box confounder gadget generation. Following our attack framework described in Section 4, we construct a \nquery-independent control-plane gadget designed to confuse each router. We start with the white-box setting, setting the \nbatch size to B = 32 and the number of iterations to T = 100, ignoring thresholds. We generate four sets of n = 10 \ngadgets, i.e., ten for each router. Examples of generated gadgets can be found in Appendix A. \n\nWhen reporting scores below, we therefore report the average over the n gadgets used with all 72 MT-bench queries, 100 \nrandomly selected MMLU queries, and 100 randomly selected GSM8K queries. None of these testing queries were used \nin the training of the routers or their calibration.", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv1.pdf" + }, + { + "text": "| | R\nSW\nOriginal Confounded | R\nMF\nOriginal Confounded | R\nCLS\nOriginal Confounded | R\nLLM\nOriginal Confounded |\n|---|---|---|---|---|\n| | R SW Original Confounded | R MF Original Confounded | R CLS Original Confounded | R LLM Original Confounded |\n\n\n| MT-Bench\nMMLU\nGSM8K | 9.2 9.2 ± 0.0\n76 84 ± 1\n62 86 ± 0 | 9.1 9.3 ± 0.0\n76 81 ± 0\n65 88 ± 1 | 9.2 9.1 ± 0.0\n76 84 ± 0\n68 90 ± 2 | 8.9 9.1 ± 0.1\n78 84 ± 1\n66 85 ± 2 |\n|---|---|---|---|---|\n| MT-Bench MMLU GSM8K | 9.2 9.2 ± 0.0 76 84 ± 1 62 86 ± 0 | 9.1 9.3 ± 0.0 76 81 ± 0 65 88 ± 1 | 9.2 9.1 ± 0.0 76 84 ± 0 68 90 ± 2 | 8.9 9.1 ± 0.1 78 84 ± 1 66 85 ± 2 |\n\n\nTable 10: Benchmark-specific average scores of responses to the original and confounded queries with GPT-4-1106- \npreview as the strong model (LLM pair 4), in the white-box setting. Results demonstrate a higher increase in performance \nwith respect to the LLM pair 1 setting, due to the larger performance gap between the models. \n\nconfounder gadgets, queries originally routed to GPT are still routed to GPT and no queries are ever routed to Claude. For \nqueries originally routed to Llama, some gadgets result in all of them being rerouted to GPT, and some have no impact. \nSpecifically, 4 out of the 10 gadgets we optimized using RSW caused all queries to be rerouted to GPT, 2/10 using RM F , \nand 3/10 using RLLM . None of the gadgets optimized using RCLS had any impact on routing. In terms of costs, having \nall queries being rerouted to GPT results with an average cost of $0.25, a greater than 8× increase over the cost of the \noriginal queries. Given the lack of documentation of the routing algorithm being used, we are unsure what explains the \nvariability across gadgets. \n\nMartian. This router is supposed to let the user provide a list of models and to specify the maximum amount the user is \nwilling to pay for a query or for 1M tokens. Unfortunately, as of November 14, 2024, the router appears to ignore the list \nmodels provided by the user, and forwards the input to the same LLM regardless of it. We tested this in settings including \none, two, or multiple models. While responses do not specify which LLM was used, they were identical across settings, \nso we excluded Martian from our evaluation. We notified Martian about the seemingly buggy behavior. \n\n8 Defenses \n\nDefenses against rerouting should be cheap. If the per-query cost of the defense is comparable to the per-query cost of a \nstrong LLM, deploying the defense will defeat the main purpose of LLM routing, which is to reduce the cost of responding \nto queries. \n\nPerplexity-based filtering. As explained in Section 6, perplexity is a measure of how “natural” the text looks. Perplexity- \nbased filtering has been suggested in many contexts as a defense against adversarial text inputs [16, 36]. This defense \ncomputes the perplexity of multiple “trusted” texts, then compares it with the perplexity of the suspicious text. If the latter \nis significantly higher, or above some predefined threshold, the text is considered adversarial. Specifically, we assume the \ndefender has access to a set of unmodified queries. The defender computes their perplexity values and uses these values \nto establish a threshold. Given a new query, the defender checks if its perplexity exceeds the threshold. If so, the query \nis flagged as adversarial. The defender can then decide how to handle such queries. Options include rejecting them or \nrouting them all to the weak model. Computing the perplexity of a query can be cheap to do, e.g., using GPT-2 as we do \nin this work; this makes it viable for use as a defense that doesn’t undermine the benefits of routing.", + "page_start": 13, + "page_end": 13, + "source_file": "arxiv1.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2670.pdf", + "query": "What is called bad-cavity Ramsey laser ?", + "target_page": 1, + "target_passage": "We considerthe case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**The Linewidth of Ramsey Laser with Bad Cavity**\n\nYang Li, Wei Zhuang, Jinbiao Chen,∗ and Hong Guo† \n*CREAM Group, State Key Laboratory of Advanced Optical Communication*\n*Systems and Networks (Peking University) and Institute of Quantum Electronics,*\n*School of Electronics Engineering and Computer Science,*\n*and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China*\n(Dated: October 29, 2018) \n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying \nthe linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth \nis more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that \nof conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. \nSince any cavity related noise is reduced to cavity-pulling effect in bad cavity laser, this Ramsey laser provides \nthe possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical \nclock and atom interferometers. \n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\n*Introduction:*Since the invention of the separated-field \ntechnique [1], it has played an important role in the field of \nprecision spectroscopy due to its linewidth narrowing effect \nvia multiple coherent interaction. Atomic clocks based on \nthis technique have greatly extended our ability for frequency \nmeasurement, further, almost all the atom interferometers are \nbased on this technique [2]. \n\ncus on the stimulated emission spectrum via multiple coher- \nent interactions inside the cavity. We find this Ramsey laser \ncan provide a stimulated-emission spectrum with a linewidth \nmuch narrower than that of any conventional optical Ramsey \nseperated-field spectroscopy, which is commonly applied in \noptical atomic clock. Our results also show that a subnatural \nlinewidth spectroscopy, superior to any other available subnat- \nural spectroscopy technique at present [3–10], can be reached \nby this kind of laser, if a suitable atomic level structure is cho- \nsen. Thus, this method can provide an effective subnatural \nspectroscopy, and the possibilities for the new optical clock \nscheme [15] and atom interferometers [2]. \n\n] \nh \np \n- \nt \nn \na \nu \nq \n[ \n\n1 \nv \n0 \n7 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\n*Theoretical framework:*We consider the case of a two-level \natomic beam interacting with a single-mode Ramsey cavity \nof separated-oscillating-field resonators with the cavity mode \nlinewidth is much wider than the atomic gain linewidth. Thus \nwe call it bad-cavity Ramsey laser. All atoms are pumped \nonto the upper lasing state**a**before entering the first cavity \nof seperated field, and the lower lasing state is**b**. We assume \nall the atoms have the same velocities υ, that means what we \nconsider here is a homogeneous laser system. And for the \nsake of simplicity, we consider the two-standing waves linear \noptical Ramsey configuration with a grid as spatial selector \n[20, 21]. Our treatment can be extended to other configura- \ntions as in [22–24]. The length of each oscillating part is*l*, \nand the length of the free drift region is*L*. The corresponding \nHamiltonian is \n\n[ω*j*\n*a*(*t*)σ*j* *a*+ ω*j*\n*b*(*t*)σ*j*\n*b*] \n*H*= ~ωˆ*a*† ˆ*a*+ ~ \n\nX*j*\nΓ*j*(*t*)(ˆ*a*† ˆσ*j*\n− \n+ ~*g*\nX*j*", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2670.pdf" + }, + { + "text": "Lett.**48**, 871 (1982). \n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and \nP. R. Rice, Phys. Rev. A**40**, 5516 (1989). \n[10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics**34**, \n297 (1995) \n[11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett,**93**, 250602 \n(2004). \n\n[12] A. D. Ludlow*et al.*, Opt. Lett.**32**, 641 (2007). \n[13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett.**101**, 260602 \n(2008). \n\n[14] J. Chen, and X.Chen, In*Proceedings of the 2005 IEEE Inter-*\n*national Frequency Control Symposium and Exposition*, (IEEE, \n2005), p.608. \n[15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bul- \n\nIn summary, we propose a new subnatural \nlinewidth spectroscopy technique, which is a laser by us- \ning Ramsey seperated-field cavity to realize the output of \nstimulated-emission radiation via multiple coherent interac- \ntion with atomic beam. We find the linewidth of Ramsey laser \nis subnatural if we choose an appropriate atomic level, and the \nbad-cavity laser mechanism will dramatically reduce cavity- \nrelated noise as discussed in active optical clock [15–19]. Our \nresults show that this new subnatural linewidth spectroscopy \nis superior to conventional optical Ramsey seperated-field \nspectroscopy and any other available subnatural spectroscopy \ntechnique at present [3–10]. Considering one have to ap- \nply the separated-field method in any phase detection as in \nRamsey-Bord*e*´interferometer [2], to investigate the effects of \nphase differences between the two oscillating fields [31] in \nthis stimulated separated-field method with such subnatural \nlinewidth will be our next research aim. \n\n*Conclusion:*\n\n[18] Y. Wang, Chinese Science Bulletin**54**, 347 (2009). \n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. \n\nletin**54**, 348 (2009). \n\n[16] D. Yu and J. Chen, Phys. Rev. A**78**, 013846 (2008). \n[17] J. Chen, In*Frequency Standards and Metrology: Proceedings*\n*of the 7th Symposium*, edited by Maleki Lute (World Scientific \nPublishing Company, 2009). \n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful \ndiscussions. This work is supported by MOST of China \n(grant 2005CB724500, National Natural Science Foundation \nof China (grant 60837004, 10874009), National Hi-Tech Re- \nsearch and Development (863) Program. \n\nLett.**102**, 163601 (2009) \n\n[20] F. Strumia, Metrologia**8**, 85 (1972). \n[21] G. Kramer, J. Opt. Soc. Am.**68**, 1634 (1978). \n[22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR**32**, 455 \n(1972). \n[23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. \n\nPhys.**9**, 171 (1976). \n[24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett.**38**, \n159 (1977). \n\n∗ E-mail: jbchen@pku.edu.cn \n† E-mail: hongguo@pku.edu.cn. \n[25] L. Davidovich, Rev. Mod. Phys.**68**, 127 (1996). \n[26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, \n\n[1] N. F. Ramsey, Phys. Rev.**76**, 996 (1949). \n[2] B. Dubetsky and P. R. Berman, In*Atom Interferometry*, edited \nby P. R. Berman (Academic Press, Cambridge, MA, 1997). \n\nPhys. Rev. A**47**, 1431 (1993). \n[27] M. Sargent III, M. O. Scully, and W. E. Lamb,*Laser Physics*\n(Addition Wesley, Reading, MA, 1974). \n\n[3] M. M. Salour, Rev. Mod. Phys.**50**, 667 (1978). \n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett.**44**, 1254 (1980). \n[5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. \n\n[28] N. A. Abraham, P. Mandel, and L. M. Narducci,*Dynamic In-*\n*stabilities and Pulsations in Lasers*, Progress in Optics XXV, \nedited by E. Wolf (Elsevier, Amsterdam, 1988). \n**13**4345 (1980). \n[29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, \n[6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A**24**, 1914 \nJ. Phys. B**13**, 2231 (1980). \n(1981).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "[ω*j*\n*a*(*t*)σ*j* *a*+ ω*j*\n*b*(*t*)σ*j*\n*b*] \n*H*= ~ωˆ*a*† ˆ*a*+ ~ \n\nX*j*\nΓ*j*(*t*)(ˆ*a*† ˆσ*j*\n− \n+ ~*g*\nX*j*\n\nThough, the natural linewidth of quantum transition was \nregarded as the ultimate limit to high-resolution laser spec- \ntroscopy [4], several methods of subnatural linewidth spec- \ntroscopy have been proposed to gain subnatural linewidth [3– \n10]. However, in all these efforts, including optical Ramsey \nspectroscopy, subnatural line is realized at the expense of a \nquick reduction in signal-to-noise (SNR) ratio due to the ex- \nponential decaying of signal, thus all these schemes can only \nget the linewidth several times narrower than the atomic nat- \nural linewidth. In the past three decades, this situation does \nnot change in the field of the precision laser spectroscopy. \nOn the other hand, the thermal noise of the cavity mirrors is \nthe main obstacle for further linewidth reduction of a laser \n[11, 12], and it is a challenge to substantially reduce this noise \nfurther[13]. Recently, a new scheme, called active optical \nclock [14–18], was proposed to substantially reduce the laser \nlinewidth. With lattice trapped atoms, it is possible to reach \nmHz linewidth laser based on the mechanism of active optical \nclock [14, 15, 19]. The principal mechanism of active optical \nclock is to directly extract light emitted from the ultranarrow \natomic transition with a cavity mode linewidth much wider \nthan that of lasing. This bad cavity ensures that any frequency \nshift due to cavity noise reduces to cavity-pulling effect [15– \n17], then the thermal noise is not the major obstacle again for \nreducing the linewidth. This means the bad cavity can play an \nindispensable role in new subnatural linewidth spectroscopy. \nIn this Letter, we propose a new scheme called Ramsey \nlaser with bad cavity. Distinct from any previous applications \nof conventional Ramsey separated oscillating fields method \n[1], which focuses on the absorption spectrum, we here fo- \n\nwhere ˆ*a*, ˆ*a*† are the annihilation and creation operators of the \nfield mode inside the cavity, with the frequency ω, σ*j*\n*a*= \n)*j*are the projection operators for the \n( \n*a*\n| \n| \njth atom corresponding to the upper and lower lasing levels, \n)*j*and σ*j*\n| \n*b*= ( \n*a*\ni h \n*b*\n*b*\ni h |", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2670.pdf" + }, + { + "text": "Ω*R*\n2 Ω*R*\n2 τ \n! ! \n\n∆2 \n2 Ω*R*\n2 \nsin2 (Ω*R*τ) cos2 ,*B*0 = sin2 \nτ \n! \n, *T*\n− ! \n\nΩ*R*\n2 \n\n∆2*T*\n,*B*2 = sin2 (Ω*R*τ) cos2 \nτ \n! \n, \n2 ! \n\n(*C*0 − \n\nOur method of Ramsey laser is suitable for any atoms with \nmetastable energy level, as an example, we choose the tran- \nsition from the metastable state 4*s*4*p*3*P*1 to the ground state \n4*s*2 1*S*0 of 40Ca to check the striking feature of this laser: sub- \nnatural linewidth. As mentioned in [29], the corresponding \nnatural linewidth of the metastable state 4*s*4*p*3*P*1 is 320Hz. \nAs in the recently proposed active optical clock with atomic \nbeam [15], the velocity of the atoms in thermal atomic beam is \nabout 500m/s, and the length of the interaction region is about \n1mm, then the time for the atom to traverse each coherent- \ninteraction region is on the order of magnitude of 1 µs. \nIf \na bad cavity with κ is on the order of 107Hz, the relation \n1 is satisfied. Then when*g*is on the order of the \nκ/2 \nmagnitude of kHz, which can be easily achieved for current \ntechnique [30], from the linewidth expression of Eq.(16) the \norder of magnitude of linewidth is below 1 Hz. This means \nthe linewidth of a Ramsey laser can be more than two or- \nders of magnitude narrower than the atomic natural linewidth, \ntherefore our Ramsey method provides a new subnatural spec- \ntroscopy technique. And since it is stimulated-emission spec- \ntrum, it overcomes the difficulty in other subnatural linewidth \nspectroscopy schemes where the quick reduction of signal to \nnoise ratio is a formidable limit. We should point out that \nthis Ramsey laser does not escape the limitation of all active \noptical clock: in order to pump atoms to the excited state ef- \nfectively and to be stimulated emit photon during the lifetime \nof a metastable state, this new method will only be applicable \nto some special transitions [17]. \n\nτ− \n≫ \n\n*C*∗0)2 = 0, (*C*1 − \n*C*∗2)2 = \n\n*C*∗1)2 = \nsin2 (Ω*R*τ) sin2 (∆2*T*) , \n− \n\nsin2 (Ω*R*τ) sin2 (∆2*T*) , \n(*C*2 − − \n\nwe get \n\nγ2 \n*ab*\n(κ/2 + γ*ab*)2 { (κ/2 + γ*ab*)2 \nω2[(κ/2 + γ*ab*)2 + ω2)] \n(δϕ2)ω = *DS T*\n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)] +*DRam*[2 \n, \n} \n(10) \n−", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2670.pdf" + }, + { + "text": "κ \n*B*1 +*B*2) # \n˜*Nbss*= . \n\n*R*(*B*0 − \n\nA detailed analysis about the stability of the steady-state can \nbe found such as in [28]. In this paper, we assume the steady- \nstate solution is stable. \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)] *D*= *DS T*+*DRam*[2 \n− \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)]. *D* [2 (12) \n\nwhere Ω*R*\nresonance, \nthe Rabi \n*DS T*=*g*2 ˜*Nass*/*I*0γ*ab*\n,*DRam*\nand \n*ab*, \n∆2 = ω \nω*b*2) presents the detuning in the free \n(ω*a*2 − \ndrift region.*p*is a parameter, which characterizes the pump- \ning statistics: a Poissonian excitation statistics corresponds to \n*p*= 0 , and for a regular statistics we have*p*= 1. \n\nis \n\n− \n\n*Laser linwidth:*Suppose the quantum fluctuation is small, \nthe evolution of the fluctuations can be obtained by making a \nlinearization of the c-number Langevin equations around the \nsteady-state solution. Then the measured spectra of field fluc- \ntuations will be directly related to these quantities. By Fourier \ntransformations of the linearized equation, we get the ampli- \ntude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. \nWell above threshold, one can neglect the amplitude fluctu- \nations, and the linewidth inside the cavity is related to the \nphase-diffusion coefficient [25]. For small fluctuation of laser \nphase, the spectrum of phase fluctuations is simply related to \nthe spectrum of the phase quadrature component of the field \nfluctuations, namely, \n\nThen the linewidth of Ramsey laser with bad cavity is given \nby \n\nγ2 \n*ab*\n(κ/2 + γ*ab*)2 { \n\n. \n} \n(11) \nSince*DS T*/*DRam*≪ \n1 in our situation, and in the case of max- \nimal photon number, the steady state value of ˜*Nass*is about \n*R*τ/2. Then we get the \n\n2*g*2 \nκ ≈ − \n\nFrom the expression above, we find that the pumping statis- \ntic can influence the linewidth. For regular injection (*p*= 1), \nthe linewidth is the narrowest, while for Poissonian injection \n(*p*= 0), the linewidth is the broadest. But even for regular \ninjection, the linewidth is larger than the case of one cavity. \nThat means the mechanism of separated-field does not play \nthe role in reducing the linewidth as in the conventional opti- \ncal Ramsey method, which is counter-intuitive. However, the \nseparated fields are indispensable for any phase detection like \natom interferometry. The details about the method of active \natom interferometry will appear elsewhere. \n\n1 \n*I*0 \n(δϕ2)ω = (δ*Y*2)ω. \n\n1 1 \n\nκ/2, as in the recently \nτ− \nIn the region γ*ab*≪ \nproposed active optical clock [15] with atomic beam. The \nphase quadrature component of the field fluctuations can be \nexpressed as \n\n*T*− \n≪ ≪ \n\n*g*2 \n4(κ/2 + γ*ab*)2 { \n4γ*ab*˜*Nass*\n\n(δϕ2)ω \n\n(κ/2 + γ*ab*)2 \n*I*0ω2[(κ/2 + γ*ab*)2 + ω2] \n≈ \n+ 2*R*[(*A*0 +*B*0) + (*A*2 +*B*2)] \n+*Rp*[(*C*0 − *C*∗0)2 + (*C*1 − *C*∗1)2 + (*C*2 − \n*C*∗2)2] \n. \n} \n(9) \n\nSince the time τ and*T*is much shorter than the time scale \nof the atomic dampings, we can neglect the dampings when \ncalculate*Ai*,*Bi*,*Ci*. By using \n\nΩ*R*\n2 Ω*R*\n2 τ \n! ! \n\n∆2 \n2 Ω*R*\n2 \nsin2 (Ω*R*τ) cos2 ,*B*0 = sin2 \nτ \n! \n, *T*\n− ! \n\nΩ*R*\n2 \n\n∆2*T*\n,*B*2 = sin2 (Ω*R*τ) cos2 \nτ \n! \n, \n2 ! \n\n(*C*0 −", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2670.pdf" + }, + { + "text": "τ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(8) \n− \n\nwhere ˜*D*(*i*) \nrelated to quantum Langevin diffusion coefficients*D*(*i*) \n[27]. \n*a*(*t*), \n\n*Steady-state solutions:*The steady-state solutions for the \nmean values of the field and atomic variables for laser op- \neration are obtained by dropping the noise terms of the c- \nnumber Langevin equations and setting the time derivatives \nequal to zero. The analytical solutions are very complex, and \none could numerically solve the steady-state equations. In this \npaper, we only care about the bad cavity limit γ*max*≪ \n≪ \nτ− \nκ/2. Since the atomic transit time is much shorter than \nthe damping times of atomic variables, one could ignore the \neffect of the spontaneous emission of the atom. By the stan- \ndard way [25], We get the following steady-state values: \n, \n\n, \n\n, \n\n, \n\nσ*j* σ*j* = \n\n*a*(*t j*+ τ) \n*q*\nE \n*a*(*t j*+ 2τ +*T*) \n\n= \n\n*a*(*t j*+ τ +*T*) \nD \n= \n*b*(*t j*+ τ) \nσ*j*\n*b*(*t j*+ 2τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ +*T*) \nD− \n− \n\nwith*A*0 ,*A*1 \n\n*q*\nE \n*q*\nE \n*q*\nE \n*q*\nE \n*C*2 = \n*R*is the mean pumping \n. \n*q*\nE \nrate, which is defined in [26]. It is very easy to check that the \naverage values of the above Langevin forces are all zero. \n\nD \nσ*j* σ*j* = \n*A*2 , *B*0 \n\n*q*\nE \n,*B*2 \n\nD \nσ*j*\n*b*(*t j*+ τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ) \nD− \n− \n*i*σ*j*\n(*t j*+ 2τ +*T*) \n− \n\nD \n= = \n*B*1 \n\n*q*\nE \n,*C*1 \n*q*\n= = \n*C*0 \nE \n\nD− \n\n*A*0 +*A*1 − \nκ *B*1 +*B*2) \nκ \n\n*R*(1 *A*2) \n*R*(*B*0 − \n\n2 = \n(cid:12)(cid:12)(cid:12) \n\n˜*Ass*\n= \n− \n\n(cid:12)(cid:12)(cid:12) \n\n*C*1 +*C*2 \n*g*τ *R*τ \n2 \" \n*R*(*B*0 − \nr", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2670.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2866 \n\nimage \nand 640-nm diode lasers. Full thickness, tiled, confocal \nstacks with a 2- to 3-mm interval \nin the Z-axis were obtained \nthrough a 203 dry lens (0.8 NA) with the confocal aperture set to 1 \nAiry unit or less. All image capture was performed using Zen Blue \nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany), \nand analyses were performed using Zen Blue or FIJI.45 \n\n2.5. Image analysis \n\nDuring all image quantification, the experimenter was blind to the \nexperimental groups. For quantification of the total number of cells \nwithin the DRG, a modified optical dissector stereological method \nwas used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To \naccount for tissue shrinkage during processing, the mean thickness \n(t) of each section on one slide (ie, 1 in 5 sections) was calculated by \ntaking the mean of the thickest and thinnest cell-containing regions \n(ie, not fiber tract-containing regions) of the section (NB: no optical \ncorrection to thickness was applied; given the use of a dry lens, this \nvalue will not reflect actual section thickness, though this was kept \nconsistent \nthe study). The cell-containing, cross- \nsectional area (a) was then calculated, using the middle optical \nsection from the series and drawing around the cell-containing \nregions. Section volume (Vsec) was then calculated: \n\nthroughout \n\nVsec ¼ t 3 a", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed2.pdf" + }, + { + "text": "with frequency ω*j*\n)*j*is the “spin- \n| \nflip” operator for the jth atom, with its adjoint σ*j*\n)*j*. \n*a*\n| \n| \nThe coupling constant*g*is given by*g*= µ √ω/2~ǫ0*V*, where \nµ is the magnitude of the atomic dipole moment, and*V*is the \neffective volume of the cavity. \n\n*a*and ω*j*\n*b*, and σ*j*\n= ( *b*\n*a*\ni h | − \n+ = ( \n*b*\ni h \n\nIn order to denote the finite-time interaction between the \natoms and Ramsey separated field, we introduce the function \n\nΓ*j*(*t*) = Θ(*t* Θ(*t* τ)+Θ(*t* Θ(*t*\n\n*T*), \n(2) \nwhere Θ(*t*) is the Heaviside step function [Θ(*t*) = 1 for*t*> 0, \nΘ(*t*) = 1/2 for*t*= 0, and Θ(*t*) = 0 for*t*< 0].*T*is the free \ndrift time of the atoms, and τ is the interacting time between \nthe atom and one cavity. \n\nτ 2τ *t j*) \n*t j*− *t j*− \n*T*) \n*t j*− − − − − − − − − \n\n*Fk*(*t*)*Fl*(*t*′) \n(cid:11) \n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*t*′) +*D*(1) \n*kl*δ(*t*\n− \n*t*′ + τ) +*D*(3) \n*kl*δ(*t*\n− \n*t*′ + τ +*T*) +*D*(5) \n*kl*δ(*t*\n− \n*t*′ + 2τ +*T*) +*D*(7) \n*kl*δ(*t*\n*t*′ +*T*), \n\nτ) *t*′ \n− \nτ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(7) \n− \n\nwhere*D*(*i*) \nfusion coefficients. \n\nBy the standard way [25], we can get the Heisenberg- \nLangevin equations of the motion for the single-atom and \nfiled operators. By introducing the macroscopic atomic oper- \nator,*M*(*t*) = \n*aa*(*t*),*Nb*(*t*) = \n*j*Γ*j*(*t*)σ*j*\n*bb*(*t*), the dynamic equations for the field and macro- \n\n*c-number correlation functions:*By choosing some partic- \nular ordering for products of atomic and field operators, one \ncould derive the c-number stochastic Langevin equations from \nthe quantum Langevin equations derived above, and all of the \ndynamic equations for c-number stochastic variables are the \nsame as in [26]. The differences are from the correlation func- \ntions. On the other hand, we convert the quantum noise oper- \nators into the c-number noise variables ˜*Fk*(*t*)(*k*=*a*,*b*,*M*,*M*†), \nwhose correlation functions are expressed as \n\n˙*a*(*t*) = *a*(*t*) +*gM*(*t*) +*F*κ(*t*), (3) \n\n*A*0 +*A*1 − \n(γ*a*+ γ′*a*)*Na*(*t*) \n\n*R*(1 \n*g*[*M*†(*t*)*a*(*t*) +*a*†(*t*)*M*(*t*)] +*Fa*(*t*), \n\n*A*2) \n− \n\n˜*Fk*(*t*) ˜*Fk*(*t*′) \nE \n\n(4) \n− \nτ) *t*′ \n− − \n˙*Nb*(*t*) = *B*1 +*B*2) \n*R*(*B*0 − \n\nγ*bNb*(*t*) + γ′*aNa*(*t*) \n\n− \n+*g*[*a*†(*t*)*M*(*t*) +*M*†(*t*)*a*(*t*)] +*Fb*(*t*), \n− \n(5) \n\n=*D*(0) \n(cid:10) \n+*D*(2) \n+*D*(4) \n+*D*(6) \n+*D*(8) \n\n− \n\n− \n\n− \n\n− \n\n*kl*(*k*,*l*=*a*,*b*,*M*,*M*†;*i*= 0, 1, 2) are the quantum dif- \n\n*j*Γ*j*(*t*)σ*j* *j*Γ*j*(*t*)σ*j* (*t*),*Na*(*t*) = *i*\n− − \nP P \n\nscopic atomic operators yield \nP \n\nκ \n2 − \n\n˙*Na*(*t*) = \n− \n\nD \n= ˜*D*(0) \n+ ˜*D*(2) \n+ ˜*D*(4) \n+ ˜*D*(6) \n+ ˜*D*(8) \n\n− \n\n− \n\n− \n˙*M*(*t*) = *C*1 +*C*2) γ*ab M*(*t*) \n\n*R*(*C*0 − \n− \n+*g*[*Na*(*t*) − \n*Nb*(*t*)]*a*(*t*) +*FM*(*t*), (6) \n− \n\nwhere the macroscopic noise operators are defined as \n\n*kl*are the c-number Langevin diffusion coefficients, \n*kl*as in \n\n˙Γ*j*(*t*)σ*j* Γ*j*(*t*)*f j* *Fa*(*t*) = \n*A*0 +*A*1 − \n*A*2) + *a*(*t*) \n*R*(1 \n− − \nX*j* X*j*\n\n˙Γ*j*(*t*)σ*j* Γ*j*(*t*)*f j* *Fb*(*t*) = \n*b*(*t*) +*R*(*B*0 − \n*B*1 +*B*2) + \n*b*(*t*), \nX*j* X*j*\n\n1 \n*T*− \n\n˙Γ*j*(*t*) ˜σ*j*\n− \nΓ*j*(*t*)*f j* *FM*(*t*) = \n(*t*) +*R*(*C*0 − \n*C*1 +*C*2) σ(*t*), \n*i* *i* 1 \n− − \n≪ X*j* X*j*\n\n*t*′) + ˜*D*(1) \n*kl*δ(*t*\n− \n*t*′ + τ) + ˜*D*(3) \n*kl*δ(*t*\n− \n*t*′ + τ +*T*) + ˜*D*(5) \n*kl*δ(*t*\n− \n*t*′ + 2τ +*T*) + ˜*D*(7) \n*kl*δ(*t*\n*t*′ +*T*), \n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n\nτ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(8) \n− \n\nwhere ˜*D*(*i*) \nrelated to quantum Langevin diffusion coefficients*D*(*i*) \n[27]. \n*a*(*t*),", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2670.pdf" + }, + { + "text": "Fig 5 shows the optical sum in NS and SCS in clean \nand dirty limits (the parameters are stated in the fig- \nure). This plot shows that the Kubo sums are almost \ncompletely recovered by integrating up to the bandwidth \nof 1eV : the recovery is 95% in the clean limit and ∼ 90% \nin the dirty limit. In Fig 6 we plot ∆W (ωc) as a function \nof ωc in clean and dirty limits. ∆W (∞) is now non-zero, \nin agreement with Fig. 4 and we also see that there is For completeness, we first present some well known \nresults about the conductivity and optical integral for a", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2670.pdf", + "query": "How the steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained ?", + "target_page": 2, + "target_passage": "The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the c-number Langevin equations and setting the time derivatives equal to zero.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "κ \n*B*1 +*B*2) # \n˜*Nbss*= . \n\n*R*(*B*0 − \n\nA detailed analysis about the stability of the steady-state can \nbe found such as in [28]. In this paper, we assume the steady- \nstate solution is stable. \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)] *D*= *DS T*+*DRam*[2 \n− \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)]. *D* [2 (12) \n\nwhere Ω*R*\nresonance, \nthe Rabi \n*DS T*=*g*2 ˜*Nass*/*I*0γ*ab*\n,*DRam*\nand \n*ab*, \n∆2 = ω \nω*b*2) presents the detuning in the free \n(ω*a*2 − \ndrift region.*p*is a parameter, which characterizes the pump- \ning statistics: a Poissonian excitation statistics corresponds to \n*p*= 0 , and for a regular statistics we have*p*= 1. \n\nis \n\n− \n\n*Laser linwidth:*Suppose the quantum fluctuation is small, \nthe evolution of the fluctuations can be obtained by making a \nlinearization of the c-number Langevin equations around the \nsteady-state solution. Then the measured spectra of field fluc- \ntuations will be directly related to these quantities. By Fourier \ntransformations of the linearized equation, we get the ampli- \ntude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. \nWell above threshold, one can neglect the amplitude fluctu- \nations, and the linewidth inside the cavity is related to the \nphase-diffusion coefficient [25]. For small fluctuation of laser \nphase, the spectrum of phase fluctuations is simply related to \nthe spectrum of the phase quadrature component of the field \nfluctuations, namely, \n\nThen the linewidth of Ramsey laser with bad cavity is given \nby \n\nγ2 \n*ab*\n(κ/2 + γ*ab*)2 { \n\n. \n} \n(11) \nSince*DS T*/*DRam*≪ \n1 in our situation, and in the case of max- \nimal photon number, the steady state value of ˜*Nass*is about \n*R*τ/2. Then we get the \n\n2*g*2 \nκ ≈ − \n\nFrom the expression above, we find that the pumping statis- \ntic can influence the linewidth. For regular injection (*p*= 1), \nthe linewidth is the narrowest, while for Poissonian injection \n(*p*= 0), the linewidth is the broadest. But even for regular \ninjection, the linewidth is larger than the case of one cavity. \nThat means the mechanism of separated-field does not play \nthe role in reducing the linewidth as in the conventional opti- \ncal Ramsey method, which is counter-intuitive. However, the \nseparated fields are indispensable for any phase detection like \natom interferometry. The details about the method of active \natom interferometry will appear elsewhere. \n\n1 \n*I*0 \n(δϕ2)ω = (δ*Y*2)ω. \n\n1 1 \n\nκ/2, as in the recently \nτ− \nIn the region γ*ab*≪ \nproposed active optical clock [15] with atomic beam. The \nphase quadrature component of the field fluctuations can be \nexpressed as \n\n*T*− \n≪ ≪ \n\n*g*2 \n4(κ/2 + γ*ab*)2 { \n4γ*ab*˜*Nass*\n\n(δϕ2)ω \n\n(κ/2 + γ*ab*)2 \n*I*0ω2[(κ/2 + γ*ab*)2 + ω2] \n≈ \n+ 2*R*[(*A*0 +*B*0) + (*A*2 +*B*2)] \n+*Rp*[(*C*0 − *C*∗0)2 + (*C*1 − *C*∗1)2 + (*C*2 − \n*C*∗2)2] \n. \n} \n(9) \n\nSince the time τ and*T*is much shorter than the time scale \nof the atomic dampings, we can neglect the dampings when \ncalculate*Ai*,*Bi*,*Ci*. By using \n\nΩ*R*\n2 Ω*R*\n2 τ \n! ! \n\n∆2 \n2 Ω*R*\n2 \nsin2 (Ω*R*τ) cos2 ,*B*0 = sin2 \nτ \n! \n, *T*\n− ! \n\nΩ*R*\n2 \n\n∆2*T*\n,*B*2 = sin2 (Ω*R*τ) cos2 \nτ \n! \n, \n2 ! \n\n(*C*0 −", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2670.pdf" + }, + { + "text": "τ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(8) \n− \n\nwhere ˜*D*(*i*) \nrelated to quantum Langevin diffusion coefficients*D*(*i*) \n[27]. \n*a*(*t*), \n\n*Steady-state solutions:*The steady-state solutions for the \nmean values of the field and atomic variables for laser op- \neration are obtained by dropping the noise terms of the c- \nnumber Langevin equations and setting the time derivatives \nequal to zero. The analytical solutions are very complex, and \none could numerically solve the steady-state equations. In this \npaper, we only care about the bad cavity limit γ*max*≪ \n≪ \nτ− \nκ/2. Since the atomic transit time is much shorter than \nthe damping times of atomic variables, one could ignore the \neffect of the spontaneous emission of the atom. By the stan- \ndard way [25], We get the following steady-state values: \n, \n\n, \n\n, \n\n, \n\nσ*j* σ*j* = \n\n*a*(*t j*+ τ) \n*q*\nE \n*a*(*t j*+ 2τ +*T*) \n\n= \n\n*a*(*t j*+ τ +*T*) \nD \n= \n*b*(*t j*+ τ) \nσ*j*\n*b*(*t j*+ 2τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ +*T*) \nD− \n− \n\nwith*A*0 ,*A*1 \n\n*q*\nE \n*q*\nE \n*q*\nE \n*q*\nE \n*C*2 = \n*R*is the mean pumping \n. \n*q*\nE \nrate, which is defined in [26]. It is very easy to check that the \naverage values of the above Langevin forces are all zero. \n\nD \nσ*j* σ*j* = \n*A*2 , *B*0 \n\n*q*\nE \n,*B*2 \n\nD \nσ*j*\n*b*(*t j*+ τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ) \nD− \n− \n*i*σ*j*\n(*t j*+ 2τ +*T*) \n− \n\nD \n= = \n*B*1 \n\n*q*\nE \n,*C*1 \n*q*\n= = \n*C*0 \nE \n\nD− \n\n*A*0 +*A*1 − \nκ *B*1 +*B*2) \nκ \n\n*R*(1 *A*2) \n*R*(*B*0 − \n\n2 = \n(cid:12)(cid:12)(cid:12) \n\n˜*Ass*\n= \n− \n\n(cid:12)(cid:12)(cid:12) \n\n*C*1 +*C*2 \n*g*τ *R*τ \n2 \" \n*R*(*B*0 − \nr", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2670.pdf" + }, + { + "text": "| 0.2\n0.1\n0.0\n-0.1\n-0.2\nasymmetry\n0.004\n0.000\nXMCD\n-0.004\n0.004\n0.000\n-0.004 | (a) Fe TEY |\n|---|---|\n| 0.2 0.1 0.0 -0.1 -0.2 asymmetry 0.004 0.000 XMCD -0.004 0.004 0.000 -0.004 | (a) Fe TEY |\n| | (b) Mn TEY |\n| | (c) Mn FY |\n\n\n-250 0 250 500 750 1000 \n\nField (Oe) \n\nFIG. 2. (color online) XMCD asymmetry versus applied field \nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As \n(a) Fe L3, total electron yield; (b) Mn L3, \n(10 nm) film. \ntotal electron yield; (c) Mn L3, fluorescent yield. Black and \nred points are data for increasing and decreasing fields respec- \ntively; lines are to guide the eye.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2449.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North- \n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44, \n\n912 (1980). \n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44, 1316 (1980) [Erratum-ibid. 44, \n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91, 222 (1980). \n\n[3] S. Khalil, J. Phys. G 35, 055001 (2008). \n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676, 81 (2009); Phys. Rev. D 80, 115007 \n\n(2009). \n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522, 625 (2007). \n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008). \n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80, 055030 \n\n(2009). \n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80, 073015 (2009). \n\n[9] S. Khalil and O. Seto, JCAP 0810, 024 (2008). \n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70, 093009 (2004). \n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74, 033011 (2006). \n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79, 095002 (2009). \n\n[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph]. \n\n[14] E. W. Kolb and M. S. Turner, The Early Universe, Addison-Wesley (1990). \n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170, 377 (2007). \n\n[16] J. McDonald, Phys. Rev. D 50, 3637 (1994). \n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001). \n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005). \n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665, 186 (2008). \n\n[20] C. E. Yaguna, JCAP 0903, 003 (2009). \n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67, 085002 (2003). \n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67, 043516 (2003). \n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69, 113009 (2004). \n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008). \n\n[25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO]. \n\n[26] http://xenon.astro.columbia.edu/.", + "page_start": 12, + "page_end": 12, + "source_file": "1002.2525.pdf" + }, + { + "text": "Ω*R*\n2 Ω*R*\n2 τ \n! ! \n\n∆2 \n2 Ω*R*\n2 \nsin2 (Ω*R*τ) cos2 ,*B*0 = sin2 \nτ \n! \n, *T*\n− ! \n\nΩ*R*\n2 \n\n∆2*T*\n,*B*2 = sin2 (Ω*R*τ) cos2 \nτ \n! \n, \n2 ! \n\n(*C*0 − \n\nOur method of Ramsey laser is suitable for any atoms with \nmetastable energy level, as an example, we choose the tran- \nsition from the metastable state 4*s*4*p*3*P*1 to the ground state \n4*s*2 1*S*0 of 40Ca to check the striking feature of this laser: sub- \nnatural linewidth. As mentioned in [29], the corresponding \nnatural linewidth of the metastable state 4*s*4*p*3*P*1 is 320Hz. \nAs in the recently proposed active optical clock with atomic \nbeam [15], the velocity of the atoms in thermal atomic beam is \nabout 500m/s, and the length of the interaction region is about \n1mm, then the time for the atom to traverse each coherent- \ninteraction region is on the order of magnitude of 1 µs. \nIf \na bad cavity with κ is on the order of 107Hz, the relation \n1 is satisfied. Then when*g*is on the order of the \nκ/2 \nmagnitude of kHz, which can be easily achieved for current \ntechnique [30], from the linewidth expression of Eq.(16) the \norder of magnitude of linewidth is below 1 Hz. This means \nthe linewidth of a Ramsey laser can be more than two or- \nders of magnitude narrower than the atomic natural linewidth, \ntherefore our Ramsey method provides a new subnatural spec- \ntroscopy technique. And since it is stimulated-emission spec- \ntrum, it overcomes the difficulty in other subnatural linewidth \nspectroscopy schemes where the quick reduction of signal to \nnoise ratio is a formidable limit. We should point out that \nthis Ramsey laser does not escape the limitation of all active \noptical clock: in order to pump atoms to the excited state ef- \nfectively and to be stimulated emit photon during the lifetime \nof a metastable state, this new method will only be applicable \nto some special transitions [17]. \n\nτ− \n≫ \n\n*C*∗0)2 = 0, (*C*1 − \n*C*∗2)2 = \n\n*C*∗1)2 = \nsin2 (Ω*R*τ) sin2 (∆2*T*) , \n− \n\nsin2 (Ω*R*τ) sin2 (∆2*T*) , \n(*C*2 − − \n\nwe get \n\nγ2 \n*ab*\n(κ/2 + γ*ab*)2 { (κ/2 + γ*ab*)2 \nω2[(κ/2 + γ*ab*)2 + ω2)] \n(δϕ2)ω = *DS T*\n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)] +*DRam*[2 \n, \n} \n(10) \n−", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2670.pdf" + }, + { + "text": "| L = 24\nL = 32\nL = 48\nL = 64 | |\n|---|---|\n| L = 24 L = 32 L = 48 L = 64 | |\n\n\n100 120 140 \n\n2.5 \n2.6 \n\n*cv,*max \n2.5 \n2 \n2.4 \n\n2.3 \n1.5 \n*B*\n*k*\n2.2 \n*L*\n*/*\n*v*\n2.1 *c*\n1 20 30 40 70 50 60 \n\n0.5 \n\n0 \n0 20 40 60 \n\n80 \n*T*(K) \n\nFIG. 2: (color online) Specific heat cv per spin vs. temper- \nature for thickness n = 16 (for lateral dimension, see the \nlegend inside the figure). Inset: Maximum of cv vs. L ob- \ntained through MH technique. The continuum red line is a \npower law fit. \n\ndependence of different samples during the measurement \nstage. For each temperature we have usually performed \nthree independent simulations, each one containing at \nleast 2×105 measurements, taken after discarding up to \n5×104 Monte Carlo steps in order to assure thermal equi- \nlibration. \n\nIn the proximity of the critical region the multiple his- \ntogram (MH) technique was also employed21, as it allows \nus to estimate the physical observables of interest over a \nwhole temperature range in a substantially continuous \nway by interpolating results obtained from sets of simu- \nlations performed at some different temperatures. \n\nFor all the quantities of interest, the average value and \nthe error estimate were obtained by the bootstrap re- \nsampling method22 given that, as pointed out in Ref. 23, \nfor a large enough number of measurements, this method \nturns out to be more accurate than the usual blocking \ntechnique. In our implementation, we pick out randomly \na sizable number of measurements (typically, between 1 \nand 1×103 for the single simulation, and between 1 and \n5×104 for the MH technique), and iterate the re-sampling \nat least one hundred times. \n\nl )2 + (my \n(mx \nl )2 , \nml = (2) \nq \n\nwhich is related to the SO(2) symmetry breaking. At the \nsame time, it turns out to be significant also the average \norder parameter of the film, defined as \n\nn \n\nThe thermodynamic observables we have investigated \n\nentering the definition of κ in Eq. (4)), we remind that \nsuch quantity has generally to be managed with particu- \nlar care, as discussed in details in Refs.14,15, where it was \nshown that the presence of block structures prevents us \nto unambiguously relate the evolution of S(~q) with the \nonset of helical order. However, for the specific case of \nthe model under investigation such integrated quantity \ncan still be considered a fairly significant order parame- \nter, as no block structures emerge from the simulations \n(see below). \n\ninclude the FM order parameter for each plane l: \n\n1 \nn \nM = ml . (3) \nXl=1 \n\nIn order to get a clear picture of the critical region and \nto give an accurate estimate of the critical temperature, \nwe look also at the following quantities \n\nTurning to the helical order, which is the relevant \nquantity for the Z2 × SO(2) symmetry, we can explore \nit along two different directions. The first one is by the \nintroduction of the chirality order parameter1,2 \n(6) \n\n(7) \n\n(8) \n\nu4(o) = 1 − (9) \n\ncv = nL2β2 \nhe2i − hei2 \n(cid:0) \n(cid:1) \nχo = nL2β \nho2i − hoi2 \n, \n(cid:0) \n∂βo = nL2 (hoei − hoihei) , \nho4i \n3ho2i2 , \n\n, \n\n(cid:1) \n\nwhere the sum refers to spins belonging to NN layers \ni and j, respectively, while Qz is the bulk helical pitch \nvector along the z direction. The second possibility is \nthat of looking at the integral of the structure factor:", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0510.pdf" + }, + { + "text": "4 \n\nan energy of interband transitions, which is roughly 2eV . \nThis would be consistent with Refs. 8,9. \njust list the formulas that we used in our computations. \nThe conductivity σ(Ω) and the optical integral W (ωc) \nare given by (see for example Ref. 35). \n\nWe begin with formulating our calculational basis in \nthe next section. Then we take up the four cases and \nconsider in each case the extent to which the Kubo sum is \nsatisfied up to the order of bandwidth and the functional \nform and the sign of ∆W (ωc). The last section presents \nour conclusions. \n\nΠ′′(Ω) \nΩ \n= − \n\nωc ωc \n\nΠ′′(Ω) \nΩ π \n2 \nW (ωc) = σ′(Ω) dΩ = − dΩ + Π′(0) \n\n0 \nZ \n0+ \nZ \nII. OPTICAL INTEGRAL IN NORMAL AND \nSUPERCONDUCTING STATES \n(7b) \n\nThe generic formalism of the computation of the op- \ntical conductivity and the optical integral has been dis- \ncussed several times in the literature21–23,26,29 and we where ‘X ′’ and ‘X ′′’ stand for real and imaginary parts \nof X. We will restrict with T = 0. The polarization \noperator Π(Ω) is (see Ref. 36) \n\nG(iω, ~k)G(iω + iΩ, ~k) + F (iω, ~k)F (iω + iΩ, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ(iΩ) = T \n\nω \nX \n1 \nπ \n\nX~k \n(cid:16) \n0 \n\nG′′(ω, ~k)G′′(ω + Ω, ~k) + F ′′(ω, ~k)F ′′(ω + Ω, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′′(Ω) = − dω \nΩ \nZ \nX~k \n(cid:16) \n− \n\n1 \nπ2 nF (y) − nF (x) \ny − x \n\n′ ′ \n\nG′′(x, ~k)G′′(y, ~k) + F ′′(x, ~k)F ′′(y, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′(Ω) = dx dy \n\nZ Z \nX~k \n(cid:16) \n\n′ denotes the principal value of the integral, \n~k,(N is the number of lat- \ntice sites), nF (x) is the Fermi function which is a step \nP \nP \nfunction at zero temperature, G and F are the normal \nand anomalous Greens functions. given by37 \n\nwhere \n~k is understood to be 1 \nThe 2 is due to the trace over spin indices. We show the \ndistribution functions in the NS and SCS under different \ncircumstances in Fig 2. \nN \nR \n\nThe ~k-summation is done over first Brillouin zone for a \n2-D lattice with a 62x62 grid. The frequency integrals are \ndone analytically wherever possible, otherwise performed \nusing Simpson’s rule for all regular parts. Contributions \nfrom the poles are computed separately using Cauchy’s \ntheorem. For comparison, in all four cases we also calcu- \nd2k = dΩkdǫkνǫk,Ωk \nlated FGT sum rule by replacing \nand keeping ν constant. We remind that the FGT is \nthe result when one assumes that the integral in W (ωc) \npredominantly comes from a narrow region around the \nFermi surface. \n\n1 \nω − Σ(k, ω) − ε~k + iδ \nZk,ωω + ε~k \nk,ω) − ε2 \n~k \n+ iδsgn(ω) \n(9b) \n\nZk,ω∆k,ω \nk,ω) − ε2 \n~k \n\nF (ω, ~k) = \nZ 2 \nk,ω(ω2 − ∆2 \n\n+ iδsgn(ω) \n(9c) \n\nWe will first use Eq 3 and compute WK in NS and SCS. \nThis will tell us about the magnitude of ∆W (ωc = ∞). \nWe next compute the conductivity σ(ω) using the equa- \ntions listed above, find W (ωc) and ∆W (ωc) and compare \n∆f (ωc) and ∆WK. \n\nwhere Zk,ω = 1 − Σ(k,ω) \n, and ∆k,ω, is the SC gap. Fol- \nlowing earlier works31,33, we assume that the fermionic \nself-energy Σ(k, ω) predominantly depends on frequency \nand approximate Σ(k, ω) ≈ Σ(ω) and also neglect the \nfrequency dependence of the gap, i.e., approximate ∆k,ω \nby a d−wave ∆k. The lattice dispersion ε~k is taken from \nRef. 38. To calculate WK , one has to evaluate the Kubo \nterm in Eq.3 wherein the distribution function n~k, is cal- \nculated from \n\nFor simplicity and also for comparisons with earlier \nstudies, for BCSI, EB, and MFLI models we assumed \nthat the gap is just a constant along the FS. For CB \nmodel, we used a d−wave gap and included into consid- \neration the fact that, if a CB is a spin fluctuation, its \npropagator develops a resonance when the pairing gap is \nd−wave. \n(10)", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0764.pdf" + }, + { + "text": "Lett.**48**, 871 (1982). \n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and \nP. R. Rice, Phys. Rev. A**40**, 5516 (1989). \n[10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics**34**, \n297 (1995) \n[11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett,**93**, 250602 \n(2004). \n\n[12] A. D. Ludlow*et al.*, Opt. Lett.**32**, 641 (2007). \n[13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett.**101**, 260602 \n(2008). \n\n[14] J. Chen, and X.Chen, In*Proceedings of the 2005 IEEE Inter-*\n*national Frequency Control Symposium and Exposition*, (IEEE, \n2005), p.608. \n[15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bul- \n\nIn summary, we propose a new subnatural \nlinewidth spectroscopy technique, which is a laser by us- \ning Ramsey seperated-field cavity to realize the output of \nstimulated-emission radiation via multiple coherent interac- \ntion with atomic beam. We find the linewidth of Ramsey laser \nis subnatural if we choose an appropriate atomic level, and the \nbad-cavity laser mechanism will dramatically reduce cavity- \nrelated noise as discussed in active optical clock [15–19]. Our \nresults show that this new subnatural linewidth spectroscopy \nis superior to conventional optical Ramsey seperated-field \nspectroscopy and any other available subnatural spectroscopy \ntechnique at present [3–10]. Considering one have to ap- \nply the separated-field method in any phase detection as in \nRamsey-Bord*e*´interferometer [2], to investigate the effects of \nphase differences between the two oscillating fields [31] in \nthis stimulated separated-field method with such subnatural \nlinewidth will be our next research aim. \n\n*Conclusion:*\n\n[18] Y. Wang, Chinese Science Bulletin**54**, 347 (2009). \n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. \n\nletin**54**, 348 (2009). \n\n[16] D. Yu and J. Chen, Phys. Rev. A**78**, 013846 (2008). \n[17] J. Chen, In*Frequency Standards and Metrology: Proceedings*\n*of the 7th Symposium*, edited by Maleki Lute (World Scientific \nPublishing Company, 2009). \n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful \ndiscussions. This work is supported by MOST of China \n(grant 2005CB724500, National Natural Science Foundation \nof China (grant 60837004, 10874009), National Hi-Tech Re- \nsearch and Development (863) Program. \n\nLett.**102**, 163601 (2009) \n\n[20] F. Strumia, Metrologia**8**, 85 (1972). \n[21] G. Kramer, J. Opt. Soc. Am.**68**, 1634 (1978). \n[22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR**32**, 455 \n(1972). \n[23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. \n\nPhys.**9**, 171 (1976). \n[24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett.**38**, \n159 (1977). \n\n∗ E-mail: jbchen@pku.edu.cn \n† E-mail: hongguo@pku.edu.cn. \n[25] L. Davidovich, Rev. Mod. Phys.**68**, 127 (1996). \n[26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, \n\n[1] N. F. Ramsey, Phys. Rev.**76**, 996 (1949). \n[2] B. Dubetsky and P. R. Berman, In*Atom Interferometry*, edited \nby P. R. Berman (Academic Press, Cambridge, MA, 1997). \n\nPhys. Rev. A**47**, 1431 (1993). \n[27] M. Sargent III, M. O. Scully, and W. E. Lamb,*Laser Physics*\n(Addition Wesley, Reading, MA, 1974). \n\n[3] M. M. Salour, Rev. Mod. Phys.**50**, 667 (1978). \n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett.**44**, 1254 (1980). \n[5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. \n\n[28] N. A. Abraham, P. Mandel, and L. M. Narducci,*Dynamic In-*\n*stabilities and Pulsations in Lasers*, Progress in Optics XXV, \nedited by E. Wolf (Elsevier, Amsterdam, 1988). \n**13**4345 (1980). \n[29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, \n[6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A**24**, 1914 \nJ. Phys. B**13**, 2231 (1980). \n(1981).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "For a system of charged particles in solution, the nat- \nural reference is the PM, defined in terms of the charge \nand diameter (σi) of each species. In this case, the per- \nturbing potentials are just the short-range effective po- \ntentials computed above (∆Vij = V SR \nij ). We use the \nMSA [3] solution to the PM, since it provides analyti- \ncal expressions for both the free energy and the RDF. \nThe perturbation term is evaluated using an exponential \napproximation to the RDF obtained within the MSA, \ng(r) = exp [gMSA(r) − 1], which removes any unphysical \nnegative regions and improves the comparison with HNC \ncalculations. \n\nTo overcome this difficulty, we have explicitly intro- \nduced the CIP in our model (species 3). Straightforward \ncalculations, based on a characteristic-function formal- \nism, allow us to define an equivalent model in which \nthe free ions and the CIP are explicitly taken into ac- \ncount [19, 20]. We apply this formalism by defining a \npair as an anion and a cation at a distance less than \n4 ˚A, which corresponds to the position of the effective \npotential maximum. The interaction between free, like \ncharges in this new system remains unchanged, and the \ncation-anion interactions are easily approximated by ex-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2670.pdf", + "query": "What are the consequences on the linewidth for regular and Poissonian injections ?", + "target_page": 3, + "target_passage": " For regular injection (p = 1), the linewidth is the narrowest, while for Poissonian injection (p = 0), the linewidth is the broadest.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "κ \n*B*1 +*B*2) # \n˜*Nbss*= . \n\n*R*(*B*0 − \n\nA detailed analysis about the stability of the steady-state can \nbe found such as in [28]. In this paper, we assume the steady- \nstate solution is stable. \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)] *D*= *DS T*+*DRam*[2 \n− \n\n*p*sin2(Ω*R*τ) sin2(∆2*T*)]. *D* [2 (12) \n\nwhere Ω*R*\nresonance, \nthe Rabi \n*DS T*=*g*2 ˜*Nass*/*I*0γ*ab*\n,*DRam*\nand \n*ab*, \n∆2 = ω \nω*b*2) presents the detuning in the free \n(ω*a*2 − \ndrift region.*p*is a parameter, which characterizes the pump- \ning statistics: a Poissonian excitation statistics corresponds to \n*p*= 0 , and for a regular statistics we have*p*= 1. \n\nis \n\n− \n\n*Laser linwidth:*Suppose the quantum fluctuation is small, \nthe evolution of the fluctuations can be obtained by making a \nlinearization of the c-number Langevin equations around the \nsteady-state solution. Then the measured spectra of field fluc- \ntuations will be directly related to these quantities. By Fourier \ntransformations of the linearized equation, we get the ampli- \ntude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. \nWell above threshold, one can neglect the amplitude fluctu- \nations, and the linewidth inside the cavity is related to the \nphase-diffusion coefficient [25]. For small fluctuation of laser \nphase, the spectrum of phase fluctuations is simply related to \nthe spectrum of the phase quadrature component of the field \nfluctuations, namely, \n\nThen the linewidth of Ramsey laser with bad cavity is given \nby \n\nγ2 \n*ab*\n(κ/2 + γ*ab*)2 { \n\n. \n} \n(11) \nSince*DS T*/*DRam*≪ \n1 in our situation, and in the case of max- \nimal photon number, the steady state value of ˜*Nass*is about \n*R*τ/2. Then we get the \n\n2*g*2 \nκ ≈ − \n\nFrom the expression above, we find that the pumping statis- \ntic can influence the linewidth. For regular injection (*p*= 1), \nthe linewidth is the narrowest, while for Poissonian injection \n(*p*= 0), the linewidth is the broadest. But even for regular \ninjection, the linewidth is larger than the case of one cavity. \nThat means the mechanism of separated-field does not play \nthe role in reducing the linewidth as in the conventional opti- \ncal Ramsey method, which is counter-intuitive. However, the \nseparated fields are indispensable for any phase detection like \natom interferometry. The details about the method of active \natom interferometry will appear elsewhere. \n\n1 \n*I*0 \n(δϕ2)ω = (δ*Y*2)ω. \n\n1 1 \n\nκ/2, as in the recently \nτ− \nIn the region γ*ab*≪ \nproposed active optical clock [15] with atomic beam. The \nphase quadrature component of the field fluctuations can be \nexpressed as \n\n*T*− \n≪ ≪ \n\n*g*2 \n4(κ/2 + γ*ab*)2 { \n4γ*ab*˜*Nass*\n\n(δϕ2)ω \n\n(κ/2 + γ*ab*)2 \n*I*0ω2[(κ/2 + γ*ab*)2 + ω2] \n≈ \n+ 2*R*[(*A*0 +*B*0) + (*A*2 +*B*2)] \n+*Rp*[(*C*0 − *C*∗0)2 + (*C*1 − *C*∗1)2 + (*C*2 − \n*C*∗2)2] \n. \n} \n(9) \n\nSince the time τ and*T*is much shorter than the time scale \nof the atomic dampings, we can neglect the dampings when \ncalculate*Ai*,*Bi*,*Ci*. By using \n\nΩ*R*\n2 Ω*R*\n2 τ \n! ! \n\n∆2 \n2 Ω*R*\n2 \nsin2 (Ω*R*τ) cos2 ,*B*0 = sin2 \nτ \n! \n, *T*\n− ! \n\nΩ*R*\n2 \n\n∆2*T*\n,*B*2 = sin2 (Ω*R*τ) cos2 \nτ \n! \n, \n2 ! \n\n(*C*0 −", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2670.pdf" + }, + { + "text": "τ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(8) \n− \n\nwhere ˜*D*(*i*) \nrelated to quantum Langevin diffusion coefficients*D*(*i*) \n[27]. \n*a*(*t*), \n\n*Steady-state solutions:*The steady-state solutions for the \nmean values of the field and atomic variables for laser op- \neration are obtained by dropping the noise terms of the c- \nnumber Langevin equations and setting the time derivatives \nequal to zero. The analytical solutions are very complex, and \none could numerically solve the steady-state equations. In this \npaper, we only care about the bad cavity limit γ*max*≪ \n≪ \nτ− \nκ/2. Since the atomic transit time is much shorter than \nthe damping times of atomic variables, one could ignore the \neffect of the spontaneous emission of the atom. By the stan- \ndard way [25], We get the following steady-state values: \n, \n\n, \n\n, \n\n, \n\nσ*j* σ*j* = \n\n*a*(*t j*+ τ) \n*q*\nE \n*a*(*t j*+ 2τ +*T*) \n\n= \n\n*a*(*t j*+ τ +*T*) \nD \n= \n*b*(*t j*+ τ) \nσ*j*\n*b*(*t j*+ 2τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ +*T*) \nD− \n− \n\nwith*A*0 ,*A*1 \n\n*q*\nE \n*q*\nE \n*q*\nE \n*q*\nE \n*C*2 = \n*R*is the mean pumping \n. \n*q*\nE \nrate, which is defined in [26]. It is very easy to check that the \naverage values of the above Langevin forces are all zero. \n\nD \nσ*j* σ*j* = \n*A*2 , *B*0 \n\n*q*\nE \n,*B*2 \n\nD \nσ*j*\n*b*(*t j*+ τ +*T*) \nD \n*i*σ*j*\n(*t j*+ τ) \nD− \n− \n*i*σ*j*\n(*t j*+ 2τ +*T*) \n− \n\nD \n= = \n*B*1 \n\n*q*\nE \n,*C*1 \n*q*\n= = \n*C*0 \nE \n\nD− \n\n*A*0 +*A*1 − \nκ *B*1 +*B*2) \nκ \n\n*R*(1 *A*2) \n*R*(*B*0 − \n\n2 = \n(cid:12)(cid:12)(cid:12) \n\n˜*Ass*\n= \n− \n\n(cid:12)(cid:12)(cid:12) \n\n*C*1 +*C*2 \n*g*τ *R*τ \n2 \" \n*R*(*B*0 − \nr", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2670.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "ports 61, 129 (2006). \n\n13 E. Weschke, et al., Phys. Rev. Lett. 93, 157204 (2004). \n14 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 78, \n020402(R) (2008). \n15 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 79,", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0510.pdf" + }, + { + "text": "[ω*j*\n*a*(*t*)σ*j* *a*+ ω*j*\n*b*(*t*)σ*j*\n*b*] \n*H*= ~ωˆ*a*† ˆ*a*+ ~ \n\nX*j*\nΓ*j*(*t*)(ˆ*a*† ˆσ*j*\n− \n+ ~*g*\nX*j*\n\nThough, the natural linewidth of quantum transition was \nregarded as the ultimate limit to high-resolution laser spec- \ntroscopy [4], several methods of subnatural linewidth spec- \ntroscopy have been proposed to gain subnatural linewidth [3– \n10]. However, in all these efforts, including optical Ramsey \nspectroscopy, subnatural line is realized at the expense of a \nquick reduction in signal-to-noise (SNR) ratio due to the ex- \nponential decaying of signal, thus all these schemes can only \nget the linewidth several times narrower than the atomic nat- \nural linewidth. In the past three decades, this situation does \nnot change in the field of the precision laser spectroscopy. \nOn the other hand, the thermal noise of the cavity mirrors is \nthe main obstacle for further linewidth reduction of a laser \n[11, 12], and it is a challenge to substantially reduce this noise \nfurther[13]. Recently, a new scheme, called active optical \nclock [14–18], was proposed to substantially reduce the laser \nlinewidth. With lattice trapped atoms, it is possible to reach \nmHz linewidth laser based on the mechanism of active optical \nclock [14, 15, 19]. The principal mechanism of active optical \nclock is to directly extract light emitted from the ultranarrow \natomic transition with a cavity mode linewidth much wider \nthan that of lasing. This bad cavity ensures that any frequency \nshift due to cavity noise reduces to cavity-pulling effect [15– \n17], then the thermal noise is not the major obstacle again for \nreducing the linewidth. This means the bad cavity can play an \nindispensable role in new subnatural linewidth spectroscopy. \nIn this Letter, we propose a new scheme called Ramsey \nlaser with bad cavity. Distinct from any previous applications \nof conventional Ramsey separated oscillating fields method \n[1], which focuses on the absorption spectrum, we here fo- \n\nwhere ˆ*a*, ˆ*a*† are the annihilation and creation operators of the \nfield mode inside the cavity, with the frequency ω, σ*j*\n*a*= \n)*j*are the projection operators for the \n( \n*a*\n| \n| \njth atom corresponding to the upper and lower lasing levels, \n)*j*and σ*j*\n| \n*b*= ( \n*a*\ni h \n*b*\n*b*\ni h |", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2670.pdf" + }, + { + "text": "Fig 5 shows the optical sum in NS and SCS in clean \nand dirty limits (the parameters are stated in the fig- \nure). This plot shows that the Kubo sums are almost \ncompletely recovered by integrating up to the bandwidth \nof 1eV : the recovery is 95% in the clean limit and ∼ 90% \nin the dirty limit. In Fig 6 we plot ∆W (ωc) as a function \nof ωc in clean and dirty limits. ∆W (∞) is now non-zero, \nin agreement with Fig. 4 and we also see that there is For completeness, we first present some well known \nresults about the conductivity and optical integral for a", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + }, + { + "text": "(2009). \n21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys. \n69, 5200 (1991). \n22 K. A. Chao, J. Spa lek, A. M. Ole´s, Phys. Rev. B 18, 3453 \n\n(1978). \n23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev. (2007). \n11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76, B 37, 9753 (1988). \n24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math. 180404(R) (2007). \n12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys. Phys. 123, 53 (1989). \n25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93, 217202 Rev. Lett. 102, 217202 (2009). \n13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79, 214440 (2004).", + "page_start": 9, + "page_end": 9, + "source_file": "1001.0266.pdf" + }, + { + "text": "N \nQ \nA \nM \n3 \nd \nS \n\na \nv \nm \n\n~ \nv \n3 \nl \nt \n\nO \na \nA \nN \nv \nW \n3 \nS \n0 \n0 \n- \n8 \n0 \n1 \n- \n8 \n0 \nl", + "page_start": 61, + "page_end": 61, + "source_file": "00-80T-80.pdf" + }, + { + "text": "| L = 24\nL = 32\nL = 48\nL = 64 | |\n|---|---|\n| L = 24 L = 32 L = 48 L = 64 | |\n\n\n100 120 140 \n\n2.5 \n2.6 \n\n*cv,*max \n2.5 \n2 \n2.4 \n\n2.3 \n1.5 \n*B*\n*k*\n2.2 \n*L*\n*/*\n*v*\n2.1 *c*\n1 20 30 40 70 50 60 \n\n0.5 \n\n0 \n0 20 40 60 \n\n80 \n*T*(K) \n\nFIG. 2: (color online) Specific heat cv per spin vs. temper- \nature for thickness n = 16 (for lateral dimension, see the \nlegend inside the figure). Inset: Maximum of cv vs. L ob- \ntained through MH technique. The continuum red line is a \npower law fit. \n\ndependence of different samples during the measurement \nstage. For each temperature we have usually performed \nthree independent simulations, each one containing at \nleast 2×105 measurements, taken after discarding up to \n5×104 Monte Carlo steps in order to assure thermal equi- \nlibration. \n\nIn the proximity of the critical region the multiple his- \ntogram (MH) technique was also employed21, as it allows \nus to estimate the physical observables of interest over a \nwhole temperature range in a substantially continuous \nway by interpolating results obtained from sets of simu- \nlations performed at some different temperatures. \n\nFor all the quantities of interest, the average value and \nthe error estimate were obtained by the bootstrap re- \nsampling method22 given that, as pointed out in Ref. 23, \nfor a large enough number of measurements, this method \nturns out to be more accurate than the usual blocking \ntechnique. In our implementation, we pick out randomly \na sizable number of measurements (typically, between 1 \nand 1×103 for the single simulation, and between 1 and \n5×104 for the MH technique), and iterate the re-sampling \nat least one hundred times. \n\nl )2 + (my \n(mx \nl )2 , \nml = (2) \nq \n\nwhich is related to the SO(2) symmetry breaking. At the \nsame time, it turns out to be significant also the average \norder parameter of the film, defined as \n\nn \n\nThe thermodynamic observables we have investigated \n\nentering the definition of κ in Eq. (4)), we remind that \nsuch quantity has generally to be managed with particu- \nlar care, as discussed in details in Refs.14,15, where it was \nshown that the presence of block structures prevents us \nto unambiguously relate the evolution of S(~q) with the \nonset of helical order. However, for the specific case of \nthe model under investigation such integrated quantity \ncan still be considered a fairly significant order parame- \nter, as no block structures emerge from the simulations \n(see below). \n\ninclude the FM order parameter for each plane l: \n\n1 \nn \nM = ml . (3) \nXl=1 \n\nIn order to get a clear picture of the critical region and \nto give an accurate estimate of the critical temperature, \nwe look also at the following quantities \n\nTurning to the helical order, which is the relevant \nquantity for the Z2 × SO(2) symmetry, we can explore \nit along two different directions. The first one is by the \nintroduction of the chirality order parameter1,2 \n(6) \n\n(7) \n\n(8) \n\nu4(o) = 1 − (9) \n\ncv = nL2β2 \nhe2i − hei2 \n(cid:0) \n(cid:1) \nχo = nL2β \nho2i − hoi2 \n, \n(cid:0) \n∂βo = nL2 (hoei − hoihei) , \nho4i \n3ho2i2 , \n\n, \n\n(cid:1) \n\nwhere the sum refers to spins belonging to NN layers \ni and j, respectively, while Qz is the bulk helical pitch \nvector along the z direction. The second possibility is \nthat of looking at the integral of the structure factor:", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0510.pdf" + }, + { + "text": "**The Linewidth of Ramsey Laser with Bad Cavity**\n\nYang Li, Wei Zhuang, Jinbiao Chen,∗ and Hong Guo† \n*CREAM Group, State Key Laboratory of Advanced Optical Communication*\n*Systems and Networks (Peking University) and Institute of Quantum Electronics,*\n*School of Electronics Engineering and Computer Science,*\n*and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China*\n(Dated: October 29, 2018) \n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying \nthe linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth \nis more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that \nof conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. \nSince any cavity related noise is reduced to cavity-pulling effect in bad cavity laser, this Ramsey laser provides \nthe possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical \nclock and atom interferometers. \n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\n*Introduction:*Since the invention of the separated-field \ntechnique [1], it has played an important role in the field of \nprecision spectroscopy due to its linewidth narrowing effect \nvia multiple coherent interaction. Atomic clocks based on \nthis technique have greatly extended our ability for frequency \nmeasurement, further, almost all the atom interferometers are \nbased on this technique [2]. \n\ncus on the stimulated emission spectrum via multiple coher- \nent interactions inside the cavity. We find this Ramsey laser \ncan provide a stimulated-emission spectrum with a linewidth \nmuch narrower than that of any conventional optical Ramsey \nseperated-field spectroscopy, which is commonly applied in \noptical atomic clock. Our results also show that a subnatural \nlinewidth spectroscopy, superior to any other available subnat- \nural spectroscopy technique at present [3–10], can be reached \nby this kind of laser, if a suitable atomic level structure is cho- \nsen. Thus, this method can provide an effective subnatural \nspectroscopy, and the possibilities for the new optical clock \nscheme [15] and atom interferometers [2]. \n\n] \nh \np \n- \nt \nn \na \nu \nq \n[ \n\n1 \nv \n0 \n7 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\n*Theoretical framework:*We consider the case of a two-level \natomic beam interacting with a single-mode Ramsey cavity \nof separated-oscillating-field resonators with the cavity mode \nlinewidth is much wider than the atomic gain linewidth. Thus \nwe call it bad-cavity Ramsey laser. All atoms are pumped \nonto the upper lasing state**a**before entering the first cavity \nof seperated field, and the lower lasing state is**b**. We assume \nall the atoms have the same velocities υ, that means what we \nconsider here is a homogeneous laser system. And for the \nsake of simplicity, we consider the two-standing waves linear \noptical Ramsey configuration with a grid as spatial selector \n[20, 21]. Our treatment can be extended to other configura- \ntions as in [22–24]. The length of each oscillating part is*l*, \nand the length of the free drift region is*L*. The corresponding \nHamiltonian is \n\n[ω*j*\n*a*(*t*)σ*j* *a*+ ω*j*\n*b*(*t*)σ*j*\n*b*] \n*H*= ~ωˆ*a*† ˆ*a*+ ~ \n\nX*j*\nΓ*j*(*t*)(ˆ*a*† ˆσ*j*\n− \n+ ~*g*\nX*j*", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2670.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2449.pdf", + "query": "Give me the advantages of Ferromagnetic semiconductors", + "target_page": 1, + "target_passage": "Ferromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nThe development of FM metal/FM semiconductor het- \nerostructures has the potential to bring together the \nbenefits of metal and semiconductor based spintron- \nics, offering access to new functionalities and physi- \ncal phenomena. Recent studies of MnAs/(Ga,Mn)As \nand NiFe/(Ga,Mn)As bilayer films have shown FM in- \nterlayer coupling and independent magnetization be- \nhavior, respectively4,5. Of particular interest is the \nFe/(Ga,Mn)As system, since the growth of epitaxial \nFe/GaAs(001) films is well-established6. Remarkably, a \nrecent x-ray magnetic circular dichroism (XMCD) study \nhas shown that Fe may induce a proximity polariza- \ntion in the near-surface region of (Ga,Mn)As, antipar- \nallel to the Fe moment and persisting even above room \ntemperature7. Devices incorporating Fe/(Ga,Mn)As \ntherefore offer the prospect of obtaining non-volatile \nroom temperature spin-polarization in a semiconductor. \nUntil now, no information has been revealed about the \ncoupling of Fe to (Ga,Mn)As layers away from the near- \nsurface region. At the surface, the (Ga,Mn)As layer may \nbe highly non-stoichiometric and Mn-rich, due to its non- \nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers \nwere produced by a process including exposure to air fol- \nlowed by sputtering and annealing prior to Fe deposition, \n\nThe Fe and (Ga,Mn)As layers of the present study \nwere both grown by molecular beam epitaxy in the same \nultra-high vacuum system, in order to ensure a clean in- \nterface between them. The (Ga,Mn)As layer of thickness \n10 to 50 nm was deposited on a GaAs(001) substrate \nat a temperature of 260◦C, using previously established \nmethods3,8. A low Mn concentration of x ≈ 0.03 was \nchosen in order to avoid the formation of compensating \nMn interstitials. The substrate temperature was then \nreduced to ∼0◦C, before depositing a 2 nm Fe layer, \nplus a 2 nm Al capping layer. \nIn-situ reflection high \nenergy electron diffraction and ex-situ x-ray reflectivity \nand diffraction measurements confirmed that the layers \nare single-crystalline with sub-nm interface roughness. \nSQUID magnetometry measurements were performed us- \ning a Quantum Design Magnetic Property Measurement \nSystem. Mn and Fe L2,3 x-ray absorption and XMCD", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "K. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3 \nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5 \n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom \n2Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic \n3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom \n4Diamond Light Source, Harwell Science and Innovation Campus, \nDidcot, Oxfordshire, OX11 0DE, United Kingdom \n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA \n(Dated: August 24, 2018) \n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin \noverlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic \ncircular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface \nlayer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized \nat room temperature. \n\nwhich may further disrupt the interface order. The ori- \ngin of the interface magnetism then had to be inferred by \ncomparison to a series of reference samples7. Demonstra- \ntion of coupling between the bulk of the layers, i.e., an \nexchange bias effect, would provide direct evidence of the \ninterface magnetic order. Moreover, such coupling would \noffer new means of manipulating the FM semiconductor \nspin state and utilizing the proximity polarization effect \nin a spintronic device. \n\n] \ni \nc \ns \n- \nl \nr \nt \n\nFerromagnetic (FM) semiconductors offer the prospect \nof combining high-density storage and gate-controlled \nlogic in a single material. The realization of spin-valve \ndevices from FM semiconductors requires the controlled \nswitching of magnetization in adjacent layers between \nantiferromagnetic (AFM) and FM configurations. This \nhas motivated several theoretical investigations of inter- \nlayer coupling in all-semiconductor devices1, and AFM \ncoupling has recently been demonstrated in (Ga,Mn)As \nmultilayers separated by p-type non-magnetic spacers2. \nHowever, the Curie temperature TC of (Ga,Mn)As is \ncurrently limited to 185 K in single layers3, and is \ntypically much lower for layers embedded within a \nheterostructure2, which is an obstacle to the practical \nimplementation of semiconductor spintronics. \n\nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nHere, we demonstrate an antiferromagnetic coupling \nand exchange bias in Fe/(Ga,Mn)As bilayer films, by \ncombining element-specific XMCD measurements and \nbulk-sensitive superconducting quantum interference de- \nvice (SQUID) magnetometry. As with previous studies \nof FM metal/FM semiconductor bilayers4,5 (and in con- \ntrast to AFM coupled FM metal/FM metal exchange bias \nstructures10,11) the layers are in direct contact without \na non-magnetic spacer in between. We distinguish in- \nterface and bulk (Ga,Mn)As layers that are respectively \nstrongly and weakly antiferromagnetically coupled to the \nFe overlayer. In agreement with Ref.7, the interface layer \nremains polarized at room temperature. \n\n1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "4 \n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. \nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van \nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B \n73, 165205 (2006). \n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. \nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. \nvan der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 \n(2007). \n\n| 4\n2\n0\n-2\n-4 | 5\nH = 0.5 k Oe\nH = 0\n4\n0 40 80\nT (K) | |\n|---|---|---|\n| 4 2 0 -2 -4 | 5 H = 0.5 k Oe H = 0 4 0 40 80 T (K) | |\n| | | 300 (Oe) 200 H E 100 0 0 20 40 d (nm) |\n\n\n) \nu \nm \ne \n5 \n- \n\n0 \n1 \n( \nt \n\nn \ne \nm \no \nM \n\n-1000 0 1000 \n\n| Applied | f ield |\n|---|---|\n| Applied | f ield |\n\n\n Applied field (Oe) \n\nFIG. 1. \n(color) Main figure: Major (red/black) and minor \n(green) hysteresis loops along the [110] axis at 5 K, for a \nFe (2 nm)/(Ga,Mn)As (20 nm) ��lm, and the hysteresis loop \nfor a control (Ga,Mn)As (20 nm) film along the same axis \n(blue). Left inset: Magnetization versus temperature for the \nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe \napplied field (red). Right inset: Exchange bias field versus \nthickness d of the (Ga,Mn)As film (points) and fit showing \n1/d dependence (dashed line).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2449.pdf" + }, + { + "text": "samples15, the projected Mn 3d magnetic moments are \nobtained as −1.4 µB and +0.8 µB per ion at remanence \nand 1000 Oe, respectively. \n\nmonolayers, assuming a uniform distribution of Mn ions \nand magnetic moments throughout the (Ga,Mn)As film. \nThis is around a factor of three thinner than in Ref.7, \nwhich could be due to the lower Mn concentration or the \ndifferent preparation method of the present samples. \n\nThe difference between these values can be understood \nas being due to an interface layer which is strongly anti- \nferromagnetically coupled to the Fe layer. At zero field, \nboth the interfacial and bulk Mn are aligned antiparallel \nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As \nlayer away from the interface is re-oriented into the exter- \nnal field direction. However, the interfacial Mn remains \nantiparallel to the Fe layer and thus partially compen- \nsates the XMCD signal from the bulk of the (Ga,Mn)As. \nFrom the size of the remanent and 1000 Oe magnetic \nmoments, it can be estimated that around 25-30% of the \nTEY XMCD signal can be ascribed to the interfacial Mn \nwhich is strongly coupled to the Fe moments. \n\nThe interfacial Mn moments are ascribed to the prox- \nimity polarization of the (Ga,Mn)As interface by the Fe \nlayer, such as was shown previously by XMCD as well as \nab initio theory7. Evidence for this can be observed from \nmeasurement of the Mn L2,3 XMCD signal at tempera- \ntures above the (Ga,Mn)As TC . Similar to the previous \nstudy7, we observe a small but not negligible signal at \nroom temperature (Fig. 3), with opposite sign to the Fe \nL2,3 XMCD. Its spectral shape is characteristic of a local- \nized electronic configuration close to d5, similar to bulk \n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic \n7 or MnAs16. A slight \nenvironments such as MnxFe1−x \nbroadening is observed on the low energy side of the Mn \nL3 peak, which may be due to the different screening in- \nduced by proximity to the Fe layer. Since the measured \nintensity is attenuated with distance z from the surface \nas I = I0 exp(−z/λT EY ), the thickness of the strongly \ncoupled interface layer is estimated to be ∼0.7 nm or 2-3 \n\nIn summary, we have demonstrated antiferromagnetic \ncoupling between Fe and (Ga,Mn)As layers in bilayer \nstructures. A markedly different coupling is observed for \nthe bulk of the (Ga,Mn)As layer and for Mn moments \nin the near-interface region. A thickness-dependent ex- \nchange bias field is observed to affect the whole of the \nbulk (Ga,Mn)As layer, which aligns antiparallel to the \nFe layer at low fields, and switches to parallel when the \nexternal field is large enough to overcome the bias field \nand the magnetocrystalline anisotropy fields. In contrast, \nthe interfacial Mn moments remain aligned antiparallel \nto the Fe layer even at 20 kOe, the largest field studied, \nand are polarized at temperatures well above the TC of \nthe bulk (Ga,Mn)As layer. The latter observation con- \nfirms the recently reported result of Ref. 7, in which \nthe Fe/(Ga,Mn)As bilayers were produced by a different \nmethod but showed qualitatively similar behavior of the \ninterfacial moments. Our results shed new light on the \nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which \nare of potential interest for room temperature spintron- \nics, and also offer a means of controlling the spin orien- \ntation in a FM semiconductor. \nfrom EU grants \nacknowledge \nand \nSemiSpinNet-215368 \nSTFC studentship grant CMPC07100. The Advanced \nLight Source is supported by the U.S. Department of \nEnergy under Contract No. \nDE-AC02-05CH11231. \nWe thank Leigh Shelford for help during the Diamond \nbeamtime. \n\nWe \n\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac- \nDonald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and \nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. \nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. \nB 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. \nRev. B 79, 214430 (2009).", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2449.pdf" + }, + { + "text": "L2,3 absorption edges in order to determine the magnetic \nresponse of the individual elements. In L2,3 XMCD, elec- \ntrons are excited from a 2p core level to the unoccupied \n3d valence states of the element of interest by circularly \npolarized x-rays at the resonance energies of the transi- \ntions. The difference in absorption for opposite polariza- \ntions gives a direct and element-specific measurement of \nthe projection of the 3d magnetic moment along the x- \nray polarization vector. The absorption cross-section is \nconventionally obtained by measuring the decay products \n– either fluorescent x-rays or electrons – of the photoex- \ncited core hole. The type of decay product measured \ndetermines the probing depth of the technique. For Mn \nL2,3 absorption, the probing depths for FY and TEY de- \ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. \nIn the \ncurrent experiment, the Mn XMCD measured using FY \nand TEY are thus sensitive to the bulk of the (Ga,Mn)As \nfilm and the near-interface layers, respectively. \n\nmeasurements were performed on beamline I06 at the \nDiamond Light Source, and on beamline 4.0.2 at the Ad- \nvanced Light Source. Total-electron yield (TEY) and \nfluorescence yield (FY) were monitored simultaneously \nusing the sample drain current and the photocurrent of a \ndiode mounted at 90◦ to the incident beam, respectively. \nwere \nmagnetometry \nand \ncontrol Fe/GaAs(001) \nfirst \non \nperformed \ngrown under \nthe \nsamples, \n(Ga,Mn)As/GaAs(001) \nsame conditions as the bilayers, \nto determine the \nmagnetic anisotropies of the individual layers and the \nCurie temperature of the (Ga,Mn)As layer. The Fe film \nhas a uniaxial magnetic anisotropy with easy axis along \nthe [110] orientation, similar to previous studies6. For \nthe (Ga,Mn)As control sample, there is a competition \nbetween cubic and uniaxial magnetic anisotropies, with \nthe former dominant at low temperatures and favoring \neasy axes along the in-plane h100i orientations, and the \nlatter dominant close to TC (∼35 K) giving an easy axis \nalong the [1¯10] orientation. Figure 1 shows [110] magne- \ntization versus temperature curves and low temperature \nhysteresis loops for a bilayer film containing a 20 nm \nthick (Ga,Mn)As layer. The total remnant moment of \nthe bilayer film decreases on cooling under zero magnetic \nfield below the TC of the (Ga,Mn)As, indicating that \nthis layer aligns antiparallel to the Fe magnetization \nat zero field. The hysteresis curve shows a two-step \nmagnetization reversal, indicating different behavior of \nthe Fe and (Ga,Mn)As layers, with the smaller loop \nattributed to the dilute moment (Ga,Mn)As film. The \nminor hysteresis loop shown in Fig. 1 clearly shows a \nshift from zero field by a bias field HE, indicating that \nthe Fe layer induces an exchange bias in the magnetic \nsemiconductor. The shape and size of the minor loop \nis in agreement with the hysteresis loop for the control \n(Ga,Mn)As sample, also shown in Fig. 1. This strongly \nindicates that the exchange bias affects the whole of the \n(Ga,Mn)As layer in the bilayer sample. \n\nSQUID", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "The paper is organized as follows: In Sec. II the model \nHamiltonian will be defined, and the MC techniques, and \nall the thermodynamic quantities relevant for this study, \nwill be introduced. In Sec. III the results obtained for \ndifferent thicknesses will be presented, both in the matter \nof the critical properties of the model and of the magnetic \nordered structures observed. Finally, in Sec. IV we shall \ndiscuss such results, drawing also some conclusions. \n\nIn the following we will denote with n the film thick- \nness, i.e. the number of spin layers along the z direction, \nand with L×L the number of spins in each layer (i.e., L \nis the lattice size along both the x and y directions). In \nour simulations thickness values from 1 to 24 were con- \nsidered, while the range of lateral size L was from 8 to \n64. Periodic boundary conditions were applied along x \nand y, while free boundaries were obviously taken along \nthe film growth direction z. \n\nThermal equilibrium was attained by the usual \nMetropolis algorithm19, \nsupplemented by the over- \nrelaxed technique20 in order to speed-up the sampling \nof the spin configuration space: a typical “Monte Carlo \nstep” was composed by four Metropolis and four-five \nover-relaxed moves per particle. Such judicious mix of \nmoves is able both to get faster the thermal equilibrium \nand to minimize the correlation “time” between succes- \nsive samples, i.e. the undesired effects due to lack of in-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "20 \n**(a)***n =*6 \n15 \n\n10 \n\n) \n. \ng \ne \nd \n( \n\n5 \n\n0 \n0 \n*l*\nϕ \n∆ 5 \n\n| T=10K\n(b) n = 5\nT=20K\nT=30K\nT=40K\nT=50K | T=10K\nT=20K\nT=30K\nT=40K\nT=50K | |\n|---|---|---|\n| T=10K (b) n = 5 T=20K T=30K T=40K T=50K | T=10K T=20K T=30K T=40K T=50K | |\n| | | |\n| | | |\n\n\n4 \n\n3 \n\n2 \n\n1 \n\n0 \n0 1 2 3 4 5 \n*l*\n\n140 \n\n120 ) \nK \n( \n100 \n*)*\n*n*\n*(*\n80 *C*\n\n*TN (n)*\n*TC (n)*\n*bulk*\n\n*T*\n*,*\n60 \n*)*\n*n*\n*(*\n40 \n*N*\n*T*\n*TN*\n20 \n\n0 \n0 2 4 6 8 \n10 \n*n*\n\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film \nthickness n. \n\nangle of the magnetization between nearest planes: \n\nl+1 + M y l M y \nM x \nl M x ∆ϕl = ϕl+1 − ϕl = arccos (10) \nl+1 \n(cid:2) (cid:3) \n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on \nNN layers (l + 1, l) at some low temperatures, for thickness \nn = 5 and n = 6, and lateral dimension L = 64. \n\nthe same is true for the crossing point of the Binder cu- \nmulant of the average magnetization M (not reported in \nfigure), which is located at TC(8) = 133.3(3) K. These \ndata give a first rough indication that also for n = 8 all \nthe planes of the sample are still ordering almost at the \nsame temperature; such property has been observed for \nall the investigated thicknesses n below 16, so that TC(n) \nresults quite n-independent (see also Fig. 5) . \nl , M y \n\nwhere (M x \nl ) is the magnetic vector profile for each \nplane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for \nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear \nfan stabilization is observed when the temperature de- \nfor n = 5, ∆ϕl keeps an \ncreases, while in Fig. 6b, i.e. \nalmost temperature independent very small value; what’s \nmore, ∆ϕl seems to loose any temperature dependence \nas T = 0 is approached. We attribute the absence of fan \narrangement for n ≤ 5 as simply due to the lack of “bulk \nplanes” inside the film, so that we are left with only a 2d \ntrend at TC(n), i.e. at the temperature where the order \nparameters defined in Eqs. (2) and (3) show a critical \nbehaviour. \n\nAlthough the layer subtraction does not seem to mod- \nify TC (n), the onset of helical arrangement is observed to \nshift at lower temperatures as n decreases. The chirality \nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the \ntemperature decreases, around T ∼ 80 K we can identify \na finite-size behaviour of κ which, at variance with the \nprevious one, can be easily recognized as typical of an \neffective phase transition. Such conclusion is confirmed \nby the analysis of the chiral susceptibility χκ (Fig. 4c), \nwhich for the largest L has a maximum at T = 85 K. As- \nsuming that the order parameter (4) is the relevant one \nto single out the onset of the fan arrangement, we can \nget a more accurate estimate of TN (8) by looking at the \nBinder cumulant u4(κ), reported in Fig. 4d. By making \nuse of the MH technique, we locate the crossing point at \nTN (8) = 92(2) K. Finally, it is worthwhile to observe as \nthe specific heat does not show any anomaly at TN (8), \nbeing the entropy substantially removed at TC (8). \n\nA possible framework to analyze the results presented \nin the previous Section is suggested by Fig. 5, where we \ni) high \ncan easily distinguish three significant regions: \nthickness, n > 16, where the films substantially display a \nbulk behaviour, with the single planes ordering tempera- \nture coinciding with the helical phase transition one; ii) \nintermediate thickness, 6 ≤ n . 15, where the tempera- \nture corresponding to the onset of in-plane order, TC (n), \nis still ≃ T Ho \nN , but where the helical/fan arrangement sta- \nbilizes only below a finite temperature TN (n) < TC (n); \niii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho \nN but no \nfan phase is present at any temperature.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "∗ Electronic address: juanmaria.garcia@ehu.es [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \n\n“Adsorption \nof small gas molecules onto Pt-doped single-walled carbon \nJ. Phys. Chem. C 112(19), 7401 (Apr. 2008), \nnanotubes”, \ndoi:10.1021/jp0753981. \n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999). \n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport \nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May \n2007), doi:10.1103/RevModPhys.79.677. [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \n\n“Structures, in- \nteractions, and ferromagnetism of Fe-carbon nanotube sys- \nJ. Phys. Chem. C 112(22), 400 (May 2008), \ntems”, \ndoi:10.1021/jp0761968. \n\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, \n“Nanotube molecular wires as \nScience 287(5453), 622 (Jan. 2000), \nK. Cho, and H. Dai, \nchemical sensors”, \ndoi:10.1126/science.287.5453.622. \n\n[20] J. A. F¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “Ab \ninitio study of spin-dependent transport in carbon nanotubes \nwith iron and vanadium adatoms”, Phys. Rev. B 78(19), 195405 \n(Nov. 2008), doi:10.1103/PhysRevB.78.195405. \n\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \n\n“Ex- \ntreme oxygen sensitivity of electronic properties of car- \nScience 287(5459), 1801 (Mar. 2000), \nbon nanotubes”, \ndoi:10.1126/science.287.5459.1801. \n\n[21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, \nP. Pyykk¨o, and R. M. Nieminen, \n“Embedding transition- \nmetal atoms in graphene: Structure, bonding, and mag- \nPhys. Rev. Lett. 102(12), 126807 (Mar. 2009), \nnetism”, \ndoi:10.1103/PhysRevLett.102.126807. \n\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, \nIntegration and Applications (Wiley-VCH, Weinheim, 2008). \n[6] F. Villalpando-P´aez, A. H. Romero, E. Mu˜noz-Sandoval, \nL. M. Mart´ınez, H. Terrones, and M. Terrones, \n“Fabrica- \ntion of vapor and gas sensors using films of aligned CNx \nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), \ndoi:10.1016/j.cplett.2004.01.052. \n\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \n“Real-space grid implementation of the projector augmented \nPhys. Rev. B 71(3), 035109 (Jan. 2005), \nwave method”, \ndoi:10.1103/PhysRevB.71.035109. [7] A. R. Rocha, M. Rossi, A. Fazzio, \n\nJ. R. \n“Designing real nanotube-based gas \nsen- \nPhys. Rev. Lett. 100(17), 176803 (May 2008), \n\nand A. \n\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi- \nent approximation made simple”, Phys. Rev. Lett. 77(18), 3865 \n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865. da Silva, \nsors”, \ndoi:10.1103/PhysRevLett.100.176803.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2538.pdf" + }, + { + "text": "The scenario just outlined for n = 8 results to be cor- \nrect in the thickness range 6 ≤ n . 15, where a clear \nseparation between TN (n) and TC(n) can be easily fig- \nured out. In such temperature window, the strong sur- \nface effects produce a quasi-FM set-up of the magnetic \nfilm structure along the z-direction. While leaving to the \nnext Section a more detailed discussion of this regime, we \nreport in Fig. 5 a plot of TN (n) and TC(n) vs. n for all \nthe simulated thicknesses. The separation between the \ntwo critical temperatures is maximum for n = 6, where \nTN (6) = 38(4), that is TN (6) ∼ 1 \n3 TC(6). For films with \nless than six layers no fan order is observed, i.e. for n = 5 \nand below the chirality does not display any typical fea- \nture of fan ordering at any temperature below TC(n). As \na representative quantity we finally look at the rotation \n\nThe observed behaviour in region iii) can be reason- \nably attributed to the decreasing relevance of the con- \ntribution to the total energy of the system coming from \nthe competitive interactions among NNN planes as the \nfilm thickness decreases; moreover, the thinness of the", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2449.pdf", + "query": "I do not remember on wich samples SQUID magnetometry measurements were first performed", + "target_page": 2, + "target_passage": "SQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94, B 68, 024504 (2003). \n\n41 T. Valla et al., Phys. Rev. Lett 85, 828(2000). \n42 Kaminski et al., Phys. Rev. B 71, 014517 (2005). \n43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B \n\n067002 (2005). \n\n17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, \nPhys. Rev. B 70, 134504(2004), A. F. Santander-Syro, R. \nP. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li \nand H. Raffy, Europhys. Lett. 62, 568 (2003). \n67, 140504(2003). \n44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett. \n18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, \n\n75, 4650 (1995). \n45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys. Phys. Rev. B 58 2452 (1998). \n\n19 J. Hirsch, Physica C, 201, 347 (1992) and Ref 4. \n20 for a review see F. Marsiglio, J. Superconductivity and \n52, 119 (2003). \n46 Dessau et al., Phys. Rev. Lett 66, 2160(1991), Norman et \nal, Phys. Rev. Lett. 79, 3506(1997). Novel Magnetism 22, 269 (2009). \n21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. \n47 M.R. Norman and H. Ding, Phys. Rev. B 57, 11089(1998). \n48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev. B 77 144510 (2008). \nB 66, 094515(2002). \n49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70, \n\n22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. \nKuzmenko, and D. van der Marel, Phys. Rev. B 76, 220509 \n(2007). 174505(2004). \n23 J. E. Hirsch and F. Marsiglio, Physica C 331, 150 (2000) 50 In this respect, our results are consistent with the analysis", + "page_start": 14, + "page_end": 14, + "source_file": "1001.0764.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "8 \n\nBCSI model. However, before that, we show in Figs 10- \n12 the conductivities and the optical integrals for the \noriginal MFLI model. \n\nConductivities (Original MFLI) \n\nNS \n0.2 \nSC \n\n∆+ω \n1 \n) \n\nω \n( \nσ 0.1 \n\n0.2 \n0.4 \nω \nc \n0.6 \n in eV \n0.8 \n\nFIG. 9: ∆W vs the cut-off for the EB model. It remains neg- \native for larger cut-offs. Parameters are the same as before. \nThe dot indicates the value of ∆W ( ) = ∆WK \n∞ \n\nof the lattice (the dashed line in Fig. 9). \n\nFor their analysis of the optical integral, Norman and \nP´epin30 introduced a phenomenological model for the self \nenergy which fits normal state scattering rate measure- \nments by ARPES41. \n(ω) out \nof two contributions - impurity scattering and electron- \nelectron scattering which they approximated phenomeno- \nlogically by the marginal Fermi liquid form of αω at small \nfrequencies6 (MFLI model). The total Σ \n\n120 \n0 ′′ \nIt constructs the NS Σ \n\nFIG. 10: Top –the conductivities in the NS and SCS in the \noriginal MFLI model of Ref.30. We set Γ = 70 meV , α = 0.75, \n∆ = 32 meV , ω1 = 71 meV . Note that σ \n(ω) in the SCS \nbegins at Ω = ∆ + ω1. Bottom – the behavior of WK with Γ. \nis \n\nω \nωsat (cid:19) \nwhere ωsat is about ∼ 1 \n2 of the bandwidth, and f (x) ≈ 1 \nfor x < 1 and decreases for x > 1. In Ref 30 f (x) was \nassumed to scale as 1/x at large x such that Σ′′ is flat at \nlarge ω. The real part of Σ(ω) is obtained from Kramers- \nKr¨onig relations. For the superconducting state, they \nobtained Σ \nby cutting off the NS expression on the lower \nend at some frequency ω1 (the analog of ω0 + ∆ that we \nhad for EB model): \n\nIn Fig 10 we plot the conductivities in the NS and the \nSCS and Kubo sums WK vs Γ at α = 0.75 showing that \nthe spectral weight in the SCS is indeed larger than in the \nNS. In Fig 11 we show the behavior of the optical sums \nW (ωc) in NS and SCS. The observation here is that only \n∼ 75−80% of the Kubo sum is recovered up to the scale of \nthe bandwidth implying that there is indeed a significant \nspectral weight well beyond the bandwidth. And in Fig \n12 we show the behavior of ∆W (wc). We see that it does \nnot change sign and remain positive at all ωc, very much \nunlike the BCS case. Comparing the behavior of W (wc) \nwith and without a lattice (solid and dashed lines in Fig. \n12) we see that the ‘finite bandwidth effect’ just shifts the \ncurve in the positive direction. We also see that the solid \nline flattens above roughly half of the bandwidth, i.e., at \nthese frequencies ∆W (ωc) ≈ ∆WK. Still, we found that \n∆W continues going down even above the bandwidth \nand truly saturates only at about 2 eV (not shown in the \nfigure) supporting the idea that there is ‘more’ left to \nrecover from higher frequencies. \n\n′′ \n\nwhich fits \nwhere Θ(x) is the step function. In reality, Σ \nARPES in the NS has some angular dependence along the \nFermi surface42, but this was ignored for simplicity. This \nmodel had gained a lot of attention as it predicted the \noptical sum in the SCS to be larger than in the NS, i.e., \n∆W > 0 at large frequencies. This would be consistent \nwith the experimental findings in Refs. 8,9 if, indeed, one \nidentifies ∆W measured up to 1eV with ∆WK . \n\nThe rationale for ∆WK > 0 in the original MFLI \nmodel has been provided in Ref. 30. They argued that \nthis is closely linked to the absence of quasiparticle peaks \nin the NS and their restoration in the SCS state because \nthe phase space for quasiparticle scattering at low ener- \ngies is smaller in a superconductor than in a normal state. We will show below that the sign of ∆W in the MFLI \nmodel actually depends on how the normal state results \nare extended to the superconducting state and, moreover, \nwill argue that ∆WK is actually negative if the extension \nis done such that at α = 0 the results are consistent with", + "page_start": 7, + "page_end": 7, + "source_file": "1001.0764.pdf" + }, + { + "text": "4 \n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. \nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van \nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B \n73, 165205 (2006). \n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. \nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. \nvan der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 \n(2007). \n\n| 4\n2\n0\n-2\n-4 | 5\nH = 0.5 k Oe\nH = 0\n4\n0 40 80\nT (K) | |\n|---|---|---|\n| 4 2 0 -2 -4 | 5 H = 0.5 k Oe H = 0 4 0 40 80 T (K) | |\n| | | 300 (Oe) 200 H E 100 0 0 20 40 d (nm) |\n\n\n) \nu \nm \ne \n5 \n- \n\n0 \n1 \n( \nt \n\nn \ne \nm \no \nM \n\n-1000 0 1000 \n\n| Applied | f ield |\n|---|---|\n| Applied | f ield |\n\n\n Applied field (Oe) \n\nFIG. 1. \n(color) Main figure: Major (red/black) and minor \n(green) hysteresis loops along the [110] axis at 5 K, for a \nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop \nfor a control (Ga,Mn)As (20 nm) film along the same axis \n(blue). Left inset: Magnetization versus temperature for the \nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe \napplied field (red). Right inset: Exchange bias field versus \nthickness d of the (Ga,Mn)As film (points) and fit showing \n1/d dependence (dashed line).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2449.pdf" + }, + { + "text": "L2,3 absorption edges in order to determine the magnetic \nresponse of the individual elements. In L2,3 XMCD, elec- \ntrons are excited from a 2p core level to the unoccupied \n3d valence states of the element of interest by circularly \npolarized x-rays at the resonance energies of the transi- \ntions. The difference in absorption for opposite polariza- \ntions gives a direct and element-specific measurement of \nthe projection of the 3d magnetic moment along the x- \nray polarization vector. The absorption cross-section is \nconventionally obtained by measuring the decay products \n– either fluorescent x-rays or electrons – of the photoex- \ncited core hole. The type of decay product measured \ndetermines the probing depth of the technique. For Mn \nL2,3 absorption, the probing depths for FY and TEY de- \ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. \nIn the \ncurrent experiment, the Mn XMCD measured using FY \nand TEY are thus sensitive to the bulk of the (Ga,Mn)As \nfilm and the near-interface layers, respectively. \n\nmeasurements were performed on beamline I06 at the \nDiamond Light Source, and on beamline 4.0.2 at the Ad- \nvanced Light Source. Total-electron yield (TEY) and \nfluorescence yield (FY) were monitored simultaneously \nusing the sample drain current and the photocurrent of a \ndiode mounted at 90◦ to the incident beam, respectively. \nwere \nmagnetometry \nand \ncontrol Fe/GaAs(001) \nfirst \non \nperformed \ngrown under \nthe \nsamples, \n(Ga,Mn)As/GaAs(001) \nsame conditions as the bilayers, \nto determine the \nmagnetic anisotropies of the individual layers and the \nCurie temperature of the (Ga,Mn)As layer. The Fe film \nhas a uniaxial magnetic anisotropy with easy axis along \nthe [110] orientation, similar to previous studies6. For \nthe (Ga,Mn)As control sample, there is a competition \nbetween cubic and uniaxial magnetic anisotropies, with \nthe former dominant at low temperatures and favoring \neasy axes along the in-plane h100i orientations, and the \nlatter dominant close to TC (∼35 K) giving an easy axis \nalong the [1¯10] orientation. Figure 1 shows [110] magne- \ntization versus temperature curves and low temperature \nhysteresis loops for a bilayer film containing a 20 nm \nthick (Ga,Mn)As layer. The total remnant moment of \nthe bilayer film decreases on cooling under zero magnetic \nfield below the TC of the (Ga,Mn)As, indicating that \nthis layer aligns antiparallel to the Fe magnetization \nat zero field. The hysteresis curve shows a two-step \nmagnetization reversal, indicating different behavior of \nthe Fe and (Ga,Mn)As layers, with the smaller loop \nattributed to the dilute moment (Ga,Mn)As film. The \nminor hysteresis loop shown in Fig. 1 clearly shows a \nshift from zero field by a bias field HE, indicating that \nthe Fe layer induces an exchange bias in the magnetic \nsemiconductor. The shape and size of the minor loop \nis in agreement with the hysteresis loop for the control \n(Ga,Mn)As sample, also shown in Fig. 1. This strongly \nindicates that the exchange bias affects the whole of the \n(Ga,Mn)As layer in the bilayer sample. \n\nSQUID", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "20 \n**(a)***n =*6 \n15 \n\n10 \n\n) \n. \ng \ne \nd \n( \n\n5 \n\n0 \n0 \n*l*\nϕ \n∆ 5 \n\n| T=10K\n(b) n = 5\nT=20K\nT=30K\nT=40K\nT=50K | T=10K\nT=20K\nT=30K\nT=40K\nT=50K | |\n|---|---|---|\n| T=10K (b) n = 5 T=20K T=30K T=40K T=50K | T=10K T=20K T=30K T=40K T=50K | |\n| | | |\n| | | |\n\n\n4 \n\n3 \n\n2 \n\n1 \n\n0 \n0 1 2 3 4 5 \n*l*\n\n140 \n\n120 ) \nK \n( \n100 \n*)*\n*n*\n*(*\n80 *C*\n\n*TN (n)*\n*TC (n)*\n*bulk*\n\n*T*\n*,*\n60 \n*)*\n*n*\n*(*\n40 \n*N*\n*T*\n*TN*\n20 \n\n0 \n0 2 4 6 8 \n10 \n*n*\n\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film \nthickness n. \n\nangle of the magnetization between nearest planes: \n\nl+1 + M y l M y \nM x \nl M x ∆ϕl = ϕl+1 − ϕl = arccos (10) \nl+1 \n(cid:2) (cid:3) \n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on \nNN layers (l + 1, l) at some low temperatures, for thickness \nn = 5 and n = 6, and lateral dimension L = 64. \n\nthe same is true for the crossing point of the Binder cu- \nmulant of the average magnetization M (not reported in \nfigure), which is located at TC(8) = 133.3(3) K. These \ndata give a first rough indication that also for n = 8 all \nthe planes of the sample are still ordering almost at the \nsame temperature; such property has been observed for \nall the investigated thicknesses n below 16, so that TC(n) \nresults quite n-independent (see also Fig. 5) . \nl , M y \n\nwhere (M x \nl ) is the magnetic vector profile for each \nplane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for \nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear \nfan stabilization is observed when the temperature de- \nfor n = 5, ∆ϕl keeps an \ncreases, while in Fig. 6b, i.e. \nalmost temperature independent very small value; what’s \nmore, ∆ϕl seems to loose any temperature dependence \nas T = 0 is approached. We attribute the absence of fan \narrangement for n ≤ 5 as simply due to the lack of “bulk \nplanes” inside the film, so that we are left with only a 2d \ntrend at TC(n), i.e. at the temperature where the order \nparameters defined in Eqs. (2) and (3) show a critical \nbehaviour. \n\nAlthough the layer subtraction does not seem to mod- \nify TC (n), the onset of helical arrangement is observed to \nshift at lower temperatures as n decreases. The chirality \nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the \ntemperature decreases, around T ∼ 80 K we can identify \na finite-size behaviour of κ which, at variance with the \nprevious one, can be easily recognized as typical of an \neffective phase transition. Such conclusion is confirmed \nby the analysis of the chiral susceptibility χκ (Fig. 4c), \nwhich for the largest L has a maximum at T = 85 K. As- \nsuming that the order parameter (4) is the relevant one \nto single out the onset of the fan arrangement, we can \nget a more accurate estimate of TN (8) by looking at the \nBinder cumulant u4(κ), reported in Fig. 4d. By making \nuse of the MH technique, we locate the crossing point at \nTN (8) = 92(2) K. Finally, it is worthwhile to observe as \nthe specific heat does not show any anomaly at TN (8), \nbeing the entropy substantially removed at TC (8). \n\nA possible framework to analyze the results presented \nin the previous Section is suggested by Fig. 5, where we \ni) high \ncan easily distinguish three significant regions: \nthickness, n > 16, where the films substantially display a \nbulk behaviour, with the single planes ordering tempera- \nture coinciding with the helical phase transition one; ii) \nintermediate thickness, 6 ≤ n . 15, where the tempera- \nture corresponding to the onset of in-plane order, TC (n), \nis still ≃ T Ho \nN , but where the helical/fan arrangement sta- \nbilizes only below a finite temperature TN (n) < TC (n); \niii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho \nN but no \nfan phase is present at any temperature.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "The paper is organized as follows: In Sec. II the model \nHamiltonian will be defined, and the MC techniques, and \nall the thermodynamic quantities relevant for this study, \nwill be introduced. In Sec. III the results obtained for \ndifferent thicknesses will be presented, both in the matter \nof the critical properties of the model and of the magnetic \nordered structures observed. Finally, in Sec. IV we shall \ndiscuss such results, drawing also some conclusions. \n\nIn the following we will denote with n the film thick- \nness, i.e. the number of spin layers along the z direction, \nand with L×L the number of spins in each layer (i.e., L \nis the lattice size along both the x and y directions). In \nour simulations thickness values from 1 to 24 were con- \nsidered, while the range of lateral size L was from 8 to \n64. Periodic boundary conditions were applied along x \nand y, while free boundaries were obviously taken along \nthe film growth direction z. \n\nThermal equilibrium was attained by the usual \nMetropolis algorithm19, \nsupplemented by the over- \nrelaxed technique20 in order to speed-up the sampling \nof the spin configuration space: a typical “Monte Carlo \nstep” was composed by four Metropolis and four-five \nover-relaxed moves per particle. Such judicious mix of \nmoves is able both to get faster the thermal equilibrium \nand to minimize the correlation “time” between succes- \nsive samples, i.e. the undesired effects due to lack of in-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "ports 61, 129 (2006). \n\n13 E. Weschke, et al., Phys. Rev. Lett. 93, 157204 (2004). \n14 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 78, \n020402(R) (2008). \n15 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 79,", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0510.pdf" + }, + { + "text": "30 \n\n25 \n\n) \n. \ng \ne \nd \n( \n\n20 \n\n15 \n*x*\n*a*\n*m*\n*,*\n*z*\n10 \n*Q*\n\n5 \n\n0 \n0 40 \n*T*(K) \n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), \nvs. temperature for thickness n = 8. Inset: magnetic vector \n(mx \nl ) profile for some temperatures for L = 64. Colors \nand symbols as in Fig. 2. FIG. 7: (color online) ∆ϕl(T ) vs. temperature for the surface \nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), \nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed \nlines and open symbols: n = 16. \nl , my \n\nfilm leads to an effective 2d-like trend. Region ii) looks \nhowever more intriguing, and requires a more accurate \ndiscussion, which can benefit from a careful comparison \nof the behaviour of a given quantity in regions i) and ii). \n\n0 \n7 0 1 2 3 4 \n\n6 \n*l*\n\n8 9 10 11 12 5 \n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six \ncoupling constants set employed in Ref. 14,15 (see text) is \nused. The temperature range has been chosen around TC(n) \n(error bars lye within point size). \n\nFor this purpose, we look at the temperature depen- \ndence of the rotation angle of the magnetization between \nNN planes. \nIn Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 \n(continuous and dashed lines, respectively), is plotted for \nthe outermost planes, l = 1 . . . 4. For both thicknesses, a \nmonotonic trend is observed for all l, but at variance with \nwhat happens for the highest thickness, for n = 8 we see, \nstarting from a temperature T . TN (8), an abrupt drop \nof ∆ϕ3 and ∆ϕ4, which rapidly reach an almost con- \nstant value, only slightly larger than ∆ϕ1. In the tem- \nperature range TN (8) . T < TC(8) we thus substantially \nobserve the same small magnetic phase shifts between all \nNN layers, testifying an energetically stable quasi-FM \nconfiguration giving no contribution to the helical order \nparameters. The latter point can be made clearer by \nlooking at the the peak position Qz,max of the structure \nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is \nreported, again for n = 8 and for different lateral dimen- \nsions L26. As expected from the previous argument, we \nsee that Qz,max = 0 for TN (8) < T < TC(8), while it be- \ngins to shift to higher values as soon as the temperature \ndecreases below TN (8), making apparent a progressive \nfan stabilization with Qz,max 6= 0 and reaching a value \nof about 21◦ for T = 10 K. \n\nIn a previous study, where the magnetic properties of \nHo thin films were investigated by MC simulations of a \nHeisenberg model with easy-plane single-ion anisotropy \nand six out-of-plane coupling constants (as obtained by \nexperimental neutron scattering measurements16) on a \nHCP lattice14,15, it was found that for thicknesses compa- \nrable with the helical pitch the phase diagram landscape \nis quite different from what we find here. \nIndeed, for \nn = 9 − 16, three different magnetic phases could be sin- \n\ngled out, with the high-temperature, paramagnetic phase \nseparated from the low-temperature, long-range ordered \none, by an intermediate-temperature block phase where \nouter ordered 4-layers blocks coexist with some inner dis- \nordered ones. Moreover, it was observed that the phase \ntransition of such inner layers turns out to have the sig- \nnatures of a Kosterlitz-Thouless one. \n\nThe absence of the block phase in the J1 − J2 model \nhere investigated has to be attributed to the different \nrange of interactions, rather than to the different lattice \nstructure. We came to this conclusion by doing some \nsimulations using the same set of interaction constants \nemployed in Refs. 14,15, but using a BCT lattice: the \nresults we obtained for ∆ϕl with n = 12 are reported in \nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 \nand clearly displays the footmarks of the block phase (see \ndown-triangle), with two external blocks of ordered layers \n( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦, sep- \narated by a block of disordered layers, and with almost", + "page_start": 5, + "page_end": 5, + "source_file": "1001.0510.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.2449.pdf", + "query": "What are the differences observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes ?", + "target_page": 2, + "target_passage": "For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high mag netic fields, whereas for TEY at remanence it is approx imately a factor of two larger than at 1000 Oe.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "4 \n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. \nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van \nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B \n73, 165205 (2006). \n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. \nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. \nvan der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 \n(2007). \n\n| 4\n2\n0\n-2\n-4 | 5\nH = 0.5 k Oe\nH = 0\n4\n0 40 80\nT (K) | |\n|---|---|---|\n| 4 2 0 -2 -4 | 5 H = 0.5 k Oe H = 0 4 0 40 80 T (K) | |\n| | | 300 (Oe) 200 H E 100 0 0 20 40 d (nm) |\n\n\n) \nu \nm \ne \n5 \n- \n\n0 \n1 \n( \nt \n\nn \ne \nm \no \nM \n\n-1000 0 1000 \n\n| Applied | f ield |\n|---|---|\n| Applied | f ield |\n\n\n Applied field (Oe) \n\nFIG. 1. \n(color) Main figure: Major (red/black) and minor \n(green) hysteresis loops along the [110] axis at 5 K, for a \nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop \nfor a control (Ga,Mn)As (20 nm) film along the same axis \n(blue). Left inset: Magnetization versus temperature for the \nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe \napplied field (red). Right inset: Exchange bias field versus \nthickness d of the (Ga,Mn)As film (points) and fit showing \n1/d dependence (dashed line).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2449.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "L2,3 absorption edges in order to determine the magnetic \nresponse of the individual elements. In L2,3 XMCD, elec- \ntrons are excited from a 2p core level to the unoccupied \n3d valence states of the element of interest by circularly \npolarized x-rays at the resonance energies of the transi- \ntions. The difference in absorption for opposite polariza- \ntions gives a direct and element-specific measurement of \nthe projection of the 3d magnetic moment along the x- \nray polarization vector. The absorption cross-section is \nconventionally obtained by measuring the decay products \n– either fluorescent x-rays or electrons – of the photoex- \ncited core hole. The type of decay product measured \ndetermines the probing depth of the technique. For Mn \nL2,3 absorption, the probing depths for FY and TEY de- \ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. \nIn the \ncurrent experiment, the Mn XMCD measured using FY \nand TEY are thus sensitive to the bulk of the (Ga,Mn)As \nfilm and the near-interface layers, respectively. \n\nmeasurements were performed on beamline I06 at the \nDiamond Light Source, and on beamline 4.0.2 at the Ad- \nvanced Light Source. Total-electron yield (TEY) and \nfluorescence yield (FY) were monitored simultaneously \nusing the sample drain current and the photocurrent of a \ndiode mounted at 90◦ to the incident beam, respectively. \nwere \nmagnetometry \nand \ncontrol Fe/GaAs(001) \nfirst \non \nperformed \ngrown under \nthe \nsamples, \n(Ga,Mn)As/GaAs(001) \nsame conditions as the bilayers, \nto determine the \nmagnetic anisotropies of the individual layers and the \nCurie temperature of the (Ga,Mn)As layer. The Fe film \nhas a uniaxial magnetic anisotropy with easy axis along \nthe [110] orientation, similar to previous studies6. For \nthe (Ga,Mn)As control sample, there is a competition \nbetween cubic and uniaxial magnetic anisotropies, with \nthe former dominant at low temperatures and favoring \neasy axes along the in-plane h100i orientations, and the \nlatter dominant close to TC (∼35 K) giving an easy axis \nalong the [1¯10] orientation. Figure 1 shows [110] magne- \ntization versus temperature curves and low temperature \nhysteresis loops for a bilayer film containing a 20 nm \nthick (Ga,Mn)As layer. The total remnant moment of \nthe bilayer film decreases on cooling under zero magnetic \nfield below the TC of the (Ga,Mn)As, indicating that \nthis layer aligns antiparallel to the Fe magnetization \nat zero field. The hysteresis curve shows a two-step \nmagnetization reversal, indicating different behavior of \nthe Fe and (Ga,Mn)As layers, with the smaller loop \nattributed to the dilute moment (Ga,Mn)As film. The \nminor hysteresis loop shown in Fig. 1 clearly shows a \nshift from zero field by a bias field HE, indicating that \nthe Fe layer induces an exchange bias in the magnetic \nsemiconductor. The shape and size of the minor loop \nis in agreement with the hysteresis loop for the control \n(Ga,Mn)As sample, also shown in Fig. 1. This strongly \nindicates that the exchange bias affects the whole of the \n(Ga,Mn)As layer in the bilayer sample. \n\nSQUID", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": ") \ns \nt \ni \nn \nu \n. \n\nb \nr \na \n( \n\nn \no \ni \nt \n\np \nr \no \ns \nb \na \ny \na \nr \n- \nX \n\nFIG. 3. (color online) (a) Polarization-averaged Mn L2,3 spec- \ntrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured \nin remanence at 2 K; (c) XMCD spectra measured under a \n1000 Oe applied field at 2 K; (d) XMCD spectrum measured \nunder a 2000 Oe applied field at 300 K. XMCD spectra are \nobtained using TEY (thick red lines) and FY (thin blue lines) \ndetection.", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2449.pdf" + }, + { + "text": "samples15, the projected Mn 3d magnetic moments are \nobtained as −1.4 µB and +0.8 µB per ion at remanence \nand 1000 Oe, respectively. \n\nmonolayers, assuming a uniform distribution of Mn ions \nand magnetic moments throughout the (Ga,Mn)As film. \nThis is around a factor of three thinner than in Ref.7, \nwhich could be due to the lower Mn concentration or the \ndifferent preparation method of the present samples. \n\nThe difference between these values can be understood \nas being due to an interface layer which is strongly anti- \nferromagnetically coupled to the Fe layer. At zero field, \nboth the interfacial and bulk Mn are aligned antiparallel \nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As \nlayer away from the interface is re-oriented into the exter- \nnal field direction. However, the interfacial Mn remains \nantiparallel to the Fe layer and thus partially compen- \nsates the XMCD signal from the bulk of the (Ga,Mn)As. \nFrom the size of the remanent and 1000 Oe magnetic \nmoments, it can be estimated that around 25-30% of the \nTEY XMCD signal can be ascribed to the interfacial Mn \nwhich is strongly coupled to the Fe moments. \n\nThe interfacial Mn moments are ascribed to the prox- \nimity polarization of the (Ga,Mn)As interface by the Fe \nlayer, such as was shown previously by XMCD as well as \nab initio theory7. Evidence for this can be observed from \nmeasurement of the Mn L2,3 XMCD signal at tempera- \ntures above the (Ga,Mn)As TC . Similar to the previous \nstudy7, we observe a small but not negligible signal at \nroom temperature (Fig. 3), with opposite sign to the Fe \nL2,3 XMCD. Its spectral shape is characteristic of a local- \nized electronic configuration close to d5, similar to bulk \n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic \n7 or MnAs16. A slight \nenvironments such as MnxFe1−x \nbroadening is observed on the low energy side of the Mn \nL3 peak, which may be due to the different screening in- \nduced by proximity to the Fe layer. Since the measured \nintensity is attenuated with distance z from the surface \nas I = I0 exp(−z/λT EY ), the thickness of the strongly \ncoupled interface layer is estimated to be ∼0.7 nm or 2-3 \n\nIn summary, we have demonstrated antiferromagnetic \ncoupling between Fe and (Ga,Mn)As layers in bilayer \nstructures. A markedly different coupling is observed for \nthe bulk of the (Ga,Mn)As layer and for Mn moments \nin the near-interface region. A thickness-dependent ex- \nchange bias field is observed to affect the whole of the \nbulk (Ga,Mn)As layer, which aligns antiparallel to the \nFe layer at low fields, and switches to parallel when the \nexternal field is large enough to overcome the bias field \nand the magnetocrystalline anisotropy fields. In contrast, \nthe interfacial Mn moments remain aligned antiparallel \nto the Fe layer even at 20 kOe, the largest field studied, \nand are polarized at temperatures well above the TC of \nthe bulk (Ga,Mn)As layer. The latter observation con- \nfirms the recently reported result of Ref. 7, in which \nthe Fe/(Ga,Mn)As bilayers were produced by a different \nmethod but showed qualitatively similar behavior of the \ninterfacial moments. Our results shed new light on the \nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which \nare of potential interest for room temperature spintron- \nics, and also offer a means of controlling the spin orien- \ntation in a FM semiconductor. \nfrom EU grants \nacknowledge \nand \nSemiSpinNet-215368 \nSTFC studentship grant CMPC07100. The Advanced \nLight Source is supported by the U.S. Department of \nEnergy under Contract No. \nDE-AC02-05CH11231. \nWe thank Leigh Shelford for help during the Diamond \nbeamtime. \n\nWe \n\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac- \nDonald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and \nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. \nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. \nB 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. \nRev. B 79, 214430 (2009).", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2449.pdf" + }, + { + "text": "K. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3 \nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5 \n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom \n2Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic \n3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom \n4Diamond Light Source, Harwell Science and Innovation Campus, \nDidcot, Oxfordshire, OX11 0DE, United Kingdom \n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA \n(Dated: August 24, 2018) \n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin \noverlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic \ncircular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface \nlayer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized \nat room temperature. \n\nwhich may further disrupt the interface order. The ori- \ngin of the interface magnetism then had to be inferred by \ncomparison to a series of reference samples7. Demonstra- \ntion of coupling between the bulk of the layers, i.e., an \nexchange bias effect, would provide direct evidence of the \ninterface magnetic order. Moreover, such coupling would \noffer new means of manipulating the FM semiconductor \nspin state and utilizing the proximity polarization effect \nin a spintronic device. \n\n] \ni \nc \ns \n- \nl \nr \nt \n\nFerromagnetic (FM) semiconductors offer the prospect \nof combining high-density storage and gate-controlled \nlogic in a single material. The realization of spin-valve \ndevices from FM semiconductors requires the controlled \nswitching of magnetization in adjacent layers between \nantiferromagnetic (AFM) and FM configurations. This \nhas motivated several theoretical investigations of inter- \nlayer coupling in all-semiconductor devices1, and AFM \ncoupling has recently been demonstrated in (Ga,Mn)As \nmultilayers separated by p-type non-magnetic spacers2. \nHowever, the Curie temperature TC of (Ga,Mn)As is \ncurrently limited to 185 K in single layers3, and is \ntypically much lower for layers embedded within a \nheterostructure2, which is an obstacle to the practical \nimplementation of semiconductor spintronics. \n\nm \n\n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nHere, we demonstrate an antiferromagnetic coupling \nand exchange bias in Fe/(Ga,Mn)As bilayer films, by \ncombining element-specific XMCD measurements and \nbulk-sensitive superconducting quantum interference de- \nvice (SQUID) magnetometry. As with previous studies \nof FM metal/FM semiconductor bilayers4,5 (and in con- \ntrast to AFM coupled FM metal/FM metal exchange bias \nstructures10,11) the layers are in direct contact without \na non-magnetic spacer in between. We distinguish in- \nterface and bulk (Ga,Mn)As layers that are respectively \nstrongly and weakly antiferromagnetically coupled to the \nFe overlayer. In agreement with Ref.7, the interface layer \nremains polarized at room temperature. \n\n1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "1 \nv \n9 \n4 \n4 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nThe development of FM metal/FM semiconductor het- \nerostructures has the potential to bring together the \nbenefits of metal and semiconductor based spintron- \nics, offering access to new functionalities and physi- \ncal phenomena. Recent studies of MnAs/(Ga,Mn)As \nand NiFe/(Ga,Mn)As bilayer films have shown FM in- \nterlayer coupling and independent magnetization be- \nhavior, respectively4,5. Of particular interest is the \nFe/(Ga,Mn)As system, since the growth of epitaxial \nFe/GaAs(001) films is well-established6. Remarkably, a \nrecent x-ray magnetic circular dichroism (XMCD) study \nhas shown that Fe may induce a proximity polariza- \ntion in the near-surface region of (Ga,Mn)As, antipar- \nallel to the Fe moment and persisting even above room \ntemperature7. Devices incorporating Fe/(Ga,Mn)As \ntherefore offer the prospect of obtaining non-volatile \nroom temperature spin-polarization in a semiconductor. \nUntil now, no information has been revealed about the \ncoupling of Fe to (Ga,Mn)As layers away from the near- \nsurface region. At the surface, the (Ga,Mn)As layer may \nbe highly non-stoichiometric and Mn-rich, due to its non- \nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers \nwere produced by a process including exposure to air fol- \nlowed by sputtering and annealing prior to Fe deposition, \n\nThe Fe and (Ga,Mn)As layers of the present study \nwere both grown by molecular beam epitaxy in the same \nultra-high vacuum system, in order to ensure a clean in- \nterface between them. The (Ga,Mn)As layer of thickness \n10 to 50 nm was deposited on a GaAs(001) substrate \nat a temperature of 260◦C, using previously established \nmethods3,8. A low Mn concentration of x ≈ 0.03 was \nchosen in order to avoid the formation of compensating \nMn interstitials. The substrate temperature was then \nreduced to ∼0◦C, before depositing a 2 nm Fe layer, \nplus a 2 nm Al capping layer. \nIn-situ reflection high \nenergy electron diffraction and ex-situ x-ray reflectivity \nand diffraction measurements confirmed that the layers \nare single-crystalline with sub-nm interface roughness. \nSQUID magnetometry measurements were performed us- \ning a Quantum Design Magnetic Property Measurement \nSystem. Mn and Fe L2,3 x-ray absorption and XMCD", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2449.pdf" + }, + { + "text": "The paper is organized as follows: In Sec. II the model \nHamiltonian will be defined, and the MC techniques, and \nall the thermodynamic quantities relevant for this study, \nwill be introduced. In Sec. III the results obtained for \ndifferent thicknesses will be presented, both in the matter \nof the critical properties of the model and of the magnetic \nordered structures observed. Finally, in Sec. IV we shall \ndiscuss such results, drawing also some conclusions. \n\nIn the following we will denote with n the film thick- \nness, i.e. the number of spin layers along the z direction, \nand with L×L the number of spins in each layer (i.e., L \nis the lattice size along both the x and y directions). In \nour simulations thickness values from 1 to 24 were con- \nsidered, while the range of lateral size L was from 8 to \n64. Periodic boundary conditions were applied along x \nand y, while free boundaries were obviously taken along \nthe film growth direction z. \n\nThermal equilibrium was attained by the usual \nMetropolis algorithm19, \nsupplemented by the over- \nrelaxed technique20 in order to speed-up the sampling \nof the spin configuration space: a typical “Monte Carlo \nstep” was composed by four Metropolis and four-five \nover-relaxed moves per particle. Such judicious mix of \nmoves is able both to get faster the thermal equilibrium \nand to minimize the correlation “time” between succes- \nsive samples, i.e. the undesired effects due to lack of in-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0510.pdf" + }, + { + "text": "20 \n**(a)***n =*6 \n15 \n\n10 \n\n) \n. \ng \ne \nd \n( \n\n5 \n\n0 \n0 \n*l*\nϕ \n∆ 5 \n\n| T=10K\n(b) n = 5\nT=20K\nT=30K\nT=40K\nT=50K | T=10K\nT=20K\nT=30K\nT=40K\nT=50K | |\n|---|---|---|\n| T=10K (b) n = 5 T=20K T=30K T=40K T=50K | T=10K T=20K T=30K T=40K T=50K | |\n| | | |\n| | | |\n\n\n4 \n\n3 \n\n2 \n\n1 \n\n0 \n0 1 2 3 4 5 \n*l*\n\n140 \n\n120 ) \nK \n( \n100 \n*)*\n*n*\n*(*\n80 *C*\n\n*TN (n)*\n*TC (n)*\n*bulk*\n\n*T*\n*,*\n60 \n*)*\n*n*\n*(*\n40 \n*N*\n*T*\n*TN*\n20 \n\n0 \n0 2 4 6 8 \n10 \n*n*\n\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film \nthickness n. \n\nangle of the magnetization between nearest planes: \n\nl+1 + M y l M y \nM x \nl M x ∆ϕl = ϕl+1 − ϕl = arccos (10) \nl+1 \n(cid:2) (cid:3) \n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on \nNN layers (l + 1, l) at some low temperatures, for thickness \nn = 5 and n = 6, and lateral dimension L = 64. \n\nthe same is true for the crossing point of the Binder cu- \nmulant of the average magnetization M (not reported in \nfigure), which is located at TC(8) = 133.3(3) K. These \ndata give a first rough indication that also for n = 8 all \nthe planes of the sample are still ordering almost at the \nsame temperature; such property has been observed for \nall the investigated thicknesses n below 16, so that TC(n) \nresults quite n-independent (see also Fig. 5) . \nl , M y \n\nwhere (M x \nl ) is the magnetic vector profile for each \nplane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for \nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear \nfan stabilization is observed when the temperature de- \nfor n = 5, ∆ϕl keeps an \ncreases, while in Fig. 6b, i.e. \nalmost temperature independent very small value; what’s \nmore, ∆ϕl seems to loose any temperature dependence \nas T = 0 is approached. We attribute the absence of fan \narrangement for n ≤ 5 as simply due to the lack of “bulk \nplanes” inside the film, so that we are left with only a 2d \ntrend at TC(n), i.e. at the temperature where the order \nparameters defined in Eqs. (2) and (3) show a critical \nbehaviour. \n\nAlthough the layer subtraction does not seem to mod- \nify TC (n), the onset of helical arrangement is observed to \nshift at lower temperatures as n decreases. The chirality \nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the \ntemperature decreases, around T ∼ 80 K we can identify \na finite-size behaviour of κ which, at variance with the \nprevious one, can be easily recognized as typical of an \neffective phase transition. Such conclusion is confirmed \nby the analysis of the chiral susceptibility χκ (Fig. 4c), \nwhich for the largest L has a maximum at T = 85 K. As- \nsuming that the order parameter (4) is the relevant one \nto single out the onset of the fan arrangement, we can \nget a more accurate estimate of TN (8) by looking at the \nBinder cumulant u4(κ), reported in Fig. 4d. By making \nuse of the MH technique, we locate the crossing point at \nTN (8) = 92(2) K. Finally, it is worthwhile to observe as \nthe specific heat does not show any anomaly at TN (8), \nbeing the entropy substantially removed at TC (8). \n\nA possible framework to analyze the results presented \nin the previous Section is suggested by Fig. 5, where we \ni) high \ncan easily distinguish three significant regions: \nthickness, n > 16, where the films substantially display a \nbulk behaviour, with the single planes ordering tempera- \nture coinciding with the helical phase transition one; ii) \nintermediate thickness, 6 ≤ n . 15, where the tempera- \nture corresponding to the onset of in-plane order, TC (n), \nis still ≃ T Ho \nN , but where the helical/fan arrangement sta- \nbilizes only below a finite temperature TN (n) < TC (n); \niii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho \nN but no \nfan phase is present at any temperature.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0510.pdf" + }, + { + "text": "16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94, B 68, 024504 (2003). \n\n41 T. Valla et al., Phys. Rev. Lett 85, 828(2000). \n42 Kaminski et al., Phys. Rev. B 71, 014517 (2005). \n43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B \n\n067002 (2005). \n\n17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, \nPhys. Rev. B 70, 134504(2004), A. F. Santander-Syro, R. \nP. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li \nand H. Raffy, Europhys. Lett. 62, 568 (2003). \n67, 140504(2003). \n44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett. \n18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, \n\n75, 4650 (1995). \n45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys. Phys. Rev. B 58 2452 (1998). \n\n19 J. Hirsch, Physica C, 201, 347 (1992) and Ref 4. \n20 for a review see F. Marsiglio, J. Superconductivity and \n52, 119 (2003). \n46 Dessau et al., Phys. Rev. Lett 66, 2160(1991), Norman et \nal, Phys. Rev. Lett. 79, 3506(1997). Novel Magnetism 22, 269 (2009). \n21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. \n47 M.R. Norman and H. Ding, Phys. Rev. B 57, 11089(1998). \n48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev. B 77 144510 (2008). \nB 66, 094515(2002). \n49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70, \n\n22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. \nKuzmenko, and D. van der Marel, Phys. Rev. B 76, 220509 \n(2007). 174505(2004). \n23 J. E. Hirsch and F. Marsiglio, Physica C 331, 150 (2000) 50 In this respect, our results are consistent with the analysis", + "page_start": 14, + "page_end": 14, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_KCN_2013.pdf", + "query": "What is Kingsgate ?", + "target_page": 2, + "target_passage": "Kingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "***Kingsgate is a highly successful gold***\n***mining, development and exploration***\n***company with two operating gold mines***\n***and two advanced development projects.***\n***Shareholders can look forward to the***\n***benefits of this strong operating and***\n***development platform, where Kingsgate***\n***aims to build value though operating,***\n***earnings and dividend growth for***\n***the benefit of all stakeholders.***", + "page_start": 1, + "page_end": 1, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Independent auditor’s report to the members \nof Kingsgate Consolidated Limited \n\nReport on the financial report \n\nWe have audited the accompanying financial report of Kingsgate Consolidated Limited (the company), \nwhich comprises the statement of financial position as at 30 June 2013, the statement of comprehen- \nsive income, statement of changes in equity and statement of cash flows for the year ended on that \ndate, a summary of significant accounting policies, other explanatory notes and the directors’ declara- \ntion for Kingsgate Group (the consolidated entity). The consolidated entity comprises the company \nand the entities it controlled at year’s end or from time to time during the financial year. \n\nDirectors’ responsibility for the financial report \nThe directors of the company are responsible for the preparation of the financial report that gives a \ntrue and fair view in accordance with Australian Accounting Standards and the*Corporations Act 2001*\nand for such internal control as the directors determine is necessary to enable the preparation of the \nfinancial report that is free from material misstatement, whether due to fraud or error. In Note 1, the \ndirectors also state, in accordance with Accounting Standard AASB 101 Presentation of Financial \nStatements, that the financial statements comply with International Financial Reporting Standards. \n\nAuditor’s responsibility \nOur responsibility is to express an opinion on the financial report based on our audit. We conducted \nour audit in accordance with Australian Auditing Standards. Those standards require that we comply \nwith relevant ethical requirements relating to audit engagements and plan and perform the audit to \nobtain reasonable assurance whether the financial report is free from material misstatement. \n\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures \nin the financial report. The procedures selected depend on the auditor’s judgement, including the \nassessment of the risks of material misstatement of the financial report, whether due to fraud or error. \nIn making those risk assessments, the auditor considers internal control relevant to the consolidated \nentity’s preparation and fair presentation of the financial report in order to design audit procedures \nthat are appropriate in the circumstances, but not for the purpose of expressing an opinion on the \neffectiveness of the entity’s internal control. An audit also includes evaluating the appropriateness of \naccounting policies used and the reasonableness of accounting estimates made by the directors, as \nwell as evaluating the overall presentation of the financial report. \n\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for \nour audit opinion.", + "page_start": 112, + "page_end": 112, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "General Manager – Human Resources \nBrett Dunstone joined Kingsgate in December \n2012 and has over 25 years experience in senior \nhuman resource management roles across a \ndiverse industry portfolio. Brett was formerly \nhead of Human Resources for Crown Casino, \nMelbourne, the Myer group, key Village \nRoadshow entities and head of Employee \nRelations for the Coles Myer group. Brett has \nexperience in supporting both large and \nemerging resource company development \nprojects locally and overseas (BHP Billiton, \nWoodside, Equinox Minerals and Chalice Gold). \n\nChief Executive Officer – \nAkara Resources PCL \nPakorn Sukhum joined the management team of \nAkara Resources PCL as Chief Executive Officer \nat the end of 2009. He brings to Akara over 24 \nyears of industrial commercial managerial experi- \nence in various industries such as metallurgy, \nchemicals and ceramics in international and \ndomestic markets of Thailand, having held \nsenior management positions in both Thai and \nMultinational joint venture companies such as \nBasell Poyolefins, Bayer AG as well as Padeang \nIndustry of Thailand. His major contributions \nand responsibilities have ranged from project \nmanagement, commercial marketing and sales \nto business development. \n\nMichael Monaghan \nDip Eng (Mining) Dip Business MAusIMM MAICD \nSME \n\nChief Operating Officer and General Manager \n– Akara Resources PCL \nMike Monaghan joined Kingsgate as the General \nManager of Chatree Gold Mine in October 2012. \nHe is a mining engineer with 28 years of manage- \nment experience in both underground and open \ncut opeartions across a number of commodities \nas well as commissioning, mine management, \nturnaround management and environmental and \nsafety compliance in Australia, Africa and \nEurope. Mike was most recently Mining Manager \nat Geita Gold mine in Tanzania for AngloGold \nAshanti Limited. Prior to that he held General \nManager and Mining Manager positions at \nEtruscan Resources Youga Gold Mine in Burkina \nFaso and Red back Mining’s Chirano Gold Mine \nin Ghana.", + "page_start": 40, + "page_end": 40, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Joel Forwood \nBsc (Hons) FFin \n\nGeneral Manager Corporate and Markets \nJoel Forwood joined Kingsgate in November \n2010 and has over 27 years experience in the \nresource and investment industries covering \ninvestor relations, funds management and \nexploration. For over 12 years, he has been \nleading investor relations at a number of listed \ncompanies, most recently for Lihir Gold Limited. \nPrior to this he was a fund manager with \nQueensland Investment Corporation (QIC) \nfollowing his early career in mineral exploration \nwith BHP and corporate development with RGC. \n\nTim Benfield \nDip CSM (mining), MBA, MAusIMM \n\nKingsgate’s executives have a comprehensive \nrange of skills and experience including mine \ndevelopment and operations, exploration, finance \nand administration. They are supported by highly \nqualified specialists, whose backgrounds cover \nthe full scope of mining resources activities. \n\nChief Operating Officer \nTim Benfield joined Kingsgate in February 2012 \nas Chief Operating Officer. Tim is a mining \nengineer with over 21 years underground and \nopen pit experience in the mining industry in \nboth operational and corporate roles. He has \noperational and project development experience \nin Australia, Africa and Saudi Arabia. This \nincludes 10 years with Barrick Gold of Australia \nwhere he provided support to four operating \nmines and two development projects. Tim was \nmost recently General Manager of the Pajingo \nGold mine in Queensland for Evolution Mining \nLimited. \n\nSenior members of Kingsgate’s management \nteam are: \n\nGavin Thomas \nBSc (Geology), FAusIMM \n\nManaging Director and Chief Executive Officer \nGavin Thomas was appointed Chief Executive \nOfficer of Kingsgate in 2004 and joined the \nKingsgate Board on 16th November 2007. Gavin \nhas had a successful career in developing mining \ncompanies from the exploration phase into \nmid-tier gold or copper producers. He has over \n42 years of international experience in exploring \nfor, evaluating, developing, operating and \nreclaiming mines in North and South America, \nAustralia, the Southwest Pacific, Asia and \nEurope. Amongst Gavin’s credits is the discovery \nof “Lihir” in Papua New Guinea, one of the \nlargest gold deposits in the world. In particular, \nhe has extensive experience in Thailand and \nSouth America. \n\nGeneral Manager Exploration and Resource \nDevelopment \nRon James has 30 years of experience in explora- \ntion and mining at management level inclusive \nof setting up gold mines and exploration \nprojects from their earliest stages through to \ndevelopment and sustainability. Before joining \nKingsgate, he was Chief Mine Geologist at the \nGold Ridge Mine in the Solomon Islands and \nlater Group Exploration Manager for Ross Mining \nNL. Ron is familiar with the technical and oper- \nating requirements for emerging projects in a \nvariety of terrains and environments and has a \nstrong focus on maximising returns from ore \nbodies through optimum waste and ore classifi- \ncation as well as increasing reserves from near- \nmine resource development. \n\nGeneral Manager Finance and Administration \nCompany Secretary \nRoss Coyle joined Kingsgate in March 2011 \nfollowing the Company’s acquisition of Dominion \nMining Limited and was with the Dominion \ngroup for over 25 years. He is a qualified \naccountant and has over 30 years experience in \nfinance and accounting within the resource \nindustry. He was Finance Director of Dominion \nfrom 1996. Ross was appointed Kingsgate’s \nCompany Secretary in September 2011. Duane Woodbury \nBEc (Hons)", + "page_start": 39, + "page_end": 39, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Chief Financial Officer \nDuane Woodbury was appointed Chief Financial \nOfficer of Kingsgate on 1 September 2011. \nDuane has a BEc (Hons) Degree and has worked \nin various financial, accounting and advisory \nroles during his career in a number of locations, \nincluding London, New York and Singapore. He \nhas been assisting Kingsgate in its business \ndevelopment initiatives since August 2007 and \nbrings over 20 years of experience in financial \nmarkets and corporate finance transactions, \nprincipally with the Macquarie Group.", + "page_start": 39, + "page_end": 39, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Summary \n\nKingsgate has a portfolio of exploration tene- \nments and applications in Thailand, Chile and Lao \nPDR. Following the sale of exploration tenements \nto Caravel Minerals, exploration in Australia is \ncurrently only conducted in the vicinity of the \nChallenger Mine in South Australia and the \nBowdens Silver Project in New South Wales. \n\nKingsgate’s South East Asian exploration team \ncontinued their exploration activities on Thailand \nand surrounding countries. Strategically the \nteam has turned the majority of their attention \nto projects which have the capacity to add value \nto the Company through exploration drilling \nsubsequent resource expansion. These projects \ninclude the granted Mining Leases at Chatree \nand the granted Sayabouly Concession in the \nLao PDR. \n\nOutside of these active areas, the South East \nAsian exploration team continues to review new \nopportunities throughout Thailand, Laos and \ntheir neighbouring countries.", + "page_start": 30, + "page_end": 30, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "The Financial Report of Kingsgate Consolidated \nLimited (Kingsgate or the “Company”) for the \nyear ended 30 June 2013 was authorised for \nissue in accordance with a resolution of \nDirectors on 23 September 2013. \n\nin Australian dollars, which is the Company’s \nfunctional currency and presentation currency. \n\nRounding of amounts \n\nThe Company is of a kind referred to in ASIC \nClass Order 98/100 dated 10 July 1998 and in \naccordance with that Class Order, all financial \ninformation presented in Australian dollars has \nbeen rounded to the nearest thousand, or in \ncertain cases, the nearest dollar. \n\nKingsgate is a Company limited by shares incor- \nporated in Australia whose shares are publicly \ntraded on the Australian Securities Exchange \nusing the ASX code KCN. The consolidated \nfinancial statements of the Company as at and \nfor the year ended 30 June 2013 comprise the \nCompany and its subsidiaries (together referred \nto as the “Group” and individually as “Group \nentities”). A description of the nature of the \nGroup’s operations and its principal activities \nis included in the Directors’ Report. \n\nThe preparation of financial statements requires \nthe use of certain critical accounting estimates. \nIt also requires management to exercise its \njudgement in the process of applying the \nGroup’s accounting policies. The areas involving \na higher degree of judgement or complexity, or \nareas where assumptions and estimates are \nsignificant to the financial statements are \ndisclosed in Note 3. \n\nNotes to the \nFinancial Statements \n\n| 2013\n$’000 | 2012\n$’000 |\n|---|---|\n| 2013 $’000 | 2012 $’000 |\n| | |\n| 332,624 | |\n| (224,500) | |\n| 2,587 | |\n| (10,120) | |\n| (15,571) | |\n| 85,020 | |\n| | |\n| (7,035) | |\n| (122,722) | |\n| – | |\n| – | |\n| (3,948) | |\n| (8,612) | |\n| (108) | |\n| (142,425) | |\n| | |\n| 133,968 | |\n| (116,250) | |\n| – | |\n| – | |\n| (19,409) | |\n| (1,691) | |\n| (59,096) | |\n| 90,623 | |\n| 1,460 | |\n| 32,987 | |\n\n\nfor the year ended 30 June 2013 \n\nCritical accounting estimates \n\n1. BASIS OF PREPARATION \n\nThe general purpose financial statements have \nbeen prepared in accordance with Australian \nAccounting Standards, other authoritative \npronouncements of the Australian Accounting \nStandards Board and the*Corporations Act 2001*. \nThe Company is a for-profit entity for the \npurpose of preparing the financial statements. \n\n2. SIGNIFICANT ACCOUNTING \n\nPOLICIES \n\nThe principal accounting policies adopted in the \npreparation of the financial statements are set \nout below. These policies have been consistently \napplied to all the years presented. \n\nThe financial statements comply with \nInternational Financial Reporting Standards \n(IFRS) adopted by the International Accounting \nStandards Board (IASB). \na . Principles of consolidation \n(i) Business combinations \nHistorical cost convention \n\nThe accounting policies of subsidiaries have \nbeen changed when necessary to align them \nwith the policies adopted by the Group. Losses \napplicable to the non-controlling interests in a \nsubsidiary are allocated to the non-controlling \ninterests even if doing so causes the non- \ncontrolling interests to have a deficit balance. \nThe financial statements have been prepared \nunder the historical cost convention, as modi- \nfied by the revaluation of available-for-sale \nfinancial assets and financial instruments \n(including derivative instruments) at fair value \nthrough profit or loss. \n\nBusiness combinations are accounted for using \nthe acquisition method as at the acquisition \ndate, which is the date on which control is \ntransferred to the Group. Control is the power to \ngovern the financial and operating policies of an \nentity so as to obtain benefits from its activities. \nIn assessing control, the Group takes into \nconsideration potential voting rights that \ncurrently are exercisable.", + "page_start": 68, + "page_end": 68, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Financing Arrangements \n\nCorporate loan facility \nKingsgate has a three year secured loan facility \nwith Investec which was amended during the \nyear. The amended facility has a limit of $40 \nmillion (30 June 2012: $50 million), of which $20 \nmillion has been drawn down as at 30 June 2013 \n(30 June 2012: $40 million). \n\nConvertible revolving credit facility \nThe Group also has a three year $25 million \nConvertible Revolving Credit Facility available. \nAs at the date of this report the facility is \nundrawn. Under the terms of this facility, \nKingsgate has the option of repaying any funds \ndrawn down under the facility through either \ncash or by issuing ordinary shares. It is intended \nthat this facility will be utilised during the 2014 \nfinancial year for corporate and working capital \npurposes. It is the current intention of the \ncompany to repay any cash drawdown under the \nfacility by the issuance of fully paid ordinary \nshares which would rank parri pasu with all \nexisting ordinary shares, although this position \nwill be reviewed at the appropriate time. The \nnumber of shares has not yet been determined \nand they will be issued at a 2.5% discount to \nVWAP over a period by reference to the draw \ndown date. Shareholder approval is not required. \n\n\n\nConvertible loan facility \nKingsgate has a five year A$35 million convert- \nible loan facility with Investec entered into in a \nprior period to provide funding for the Bowdens \nacquisition. Kingsgate has the option to make a \nprepayment against the facility with an issue of \nKingsgate shares. \n\nRestructure of corporate loan and \nconvertible loan facilities \nAs indicated previously in the Preliminary Final \nreport, at balance date it was the Group’s inten- \ntion to restructure and amalgamate these \nfacilities in the next financial year. This relates to \nthe potential for completion of the Initial Public \nOffering (“IPO”) of Akara on the Stock Exchange \nof Thailand and the updated mine plan for \nChallenger. Any restructure would optimise the \nGroup’s anticipated balance sheet liquidity and \noperational cash flows. Accordingly, the Group \nclassified the total amount drawn down under \nthese facilities of $55 million as a current liability \nat 30 June 2013. \n\nMulti-currency and syndicated \nloan facilities \nKingsgate’s Thai operating subsidiary, Akara, \nestablished a six year amortising multi-currency \nloan facility equivalent to US$125 million (fully \ndrawn as at period end) and an additional Thai \nBaht denominated working capital facility \nequivalent to US$15 million (undrawn as at year \nend) during the period. The proceeds from these \nborrowings were used to fully repay the \noutstanding balance on the US$100 million Baht \ndenominated syndicated loan facility in exist- \nence at the beginning of the period as well as to \nrepay part of the corporate loan facility noted \nabove. \n\nFinancial Position \n\nShareholders’ equity at 30 June 2013 was $474 \nmillion (2012: $776 million). The decrease of \n$302 million reflects the year’s loss together \nwith dividends paid. \n\nDividends \n\nSubsequent to the end of the financial year, the \nGroup received from its lenders a credit \napproved term sheet (subject to formal docu- \nmentation) for the restructure of the corporate \nloan and convertible loan facilities. Following \ncompletion of the restructure the total amount \noutstanding will be reduced to $40 million. This \nloan will be provided through a single senior \ncorporate facility which will consist of two \ntranches: \n\nNo final dividend has been declared for the year \nended 30 June 2013. \n\nAn interim dividend declared for the half-year \nended 31 December 2012 of 5 cents per fully \npaid share was paid on 12 April 2013. \n\nA final dividend declared for the year ended 30 \nJune 2012 of 10 cents per fully paid share was \npaid on 1 October 2012. \n\n〉〉", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Auditor’s Independence Declaration \n\nAs lead auditor for the audit of Kingsgate Consolidated Limited for the year ended 30 June 2013, \nI declare that to the best of my knowledge and belief, there have been: \n\na) \n no contraventions of the auditor independence requirements of the*Corporations Act 2001*\nin relation to the audit; and \n\nb) no contraventions of any applicable code of professional conduct in relation to the audit. \n\nThis declaration is in respect of Kingsgate Consolidated Limited and the entities it controlled during \nthe period.", + "page_start": 62, + "page_end": 62, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "villages. All Facility via the decant water return system. The requirements of the Australian Minerals Industry results from the regular monitoring and excess recycled water is stored in a number of the Code for Environmental Management, and that sampling program have been within required historic mining pits for re-use in the process plant. the responsibilities of Kingsgate, as a Code quality standards. signatory, are being addressed. Incident Reporting Rehabilitation There were 66 environmental events during the No contaminated land issues arose during the year. All were minor and there were no report- period. The rehabilitation program is ongoing with able incidents. areas contoured and planted as soon as is practi- cable. Trials of various species are undertaken to ensure the optimal results for each location. Many species of trees and grass have been sown successfully across the site. Some 26.2 hectares were rehabilitated last year and 14.2 hectares of rehabilitation is planned for the present year. continued | |", + "page_start": 20, + "page_end": 20, + "source_file": "ASX_KCN_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_KCN_2013.pdf", + "query": "What does demonstatre the feasibility study on the Nueva Esperanza Project ?", + "target_page": 6, + "target_passage": "The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Nueva Esperanza \nThe Nueva Esperanza Project was advanced \nduring the year with the completion of a draft \nfeasibility study. This study included a decision \nto mine the Arqueros and Teterita portions of \nNueva Esperanza. The study demonstrated that \nopen pit mining at two million tonnes per year \nand processing by milling and agitation leaching \nin cyanide was technically feasible, although \nhigh capital and power costs negatively \nimpacted project economic returns. \n\nBowdens \nThe Bowdens Project continued to advance \nduring the year with field programs supporting \nthe ongoing feasibility and environmental \nstudies. Sterilisation drilling and additional \nmetallurgical sampling were undertaken with \nthe resource evaluation drilling completed in \nOctober 2012. \n\nDuring 2013, the process design and engineering \nwork for the Definitive Feasibility Study (“DFS”) \nprogressed to a point where the draft study was \nclose to completion as at 30 June 2013. The study \nencompassed detailed process design based on \nusing the most recent metallurgical test results, \ncapital and operating cost estimates, project \nwater and power supply, infrastructure require- \nments and mine optimisation. \n\nAs a consequence, feasibility work has tran- \nsitioned to assess a lower capital cost and lower \npower requirement options, namely the poten- \ntial for heap leach processing. Metallurgical \ntestwork recently completed demonstrated \nthat processing of mineralisation from all three \ndeposits by heap leaching has the potential to \nbe technically and economically feasible and as \na consequence may become the preferred \nalternative for development. \n\nEnvironmental approval for the original Arqueros \nProject was granted in July 2013. \n\nThe preparation for lodgement of an Environ- \nmental Impact Statement (“EIS”) to the NSW \nDepartment of Planning continues. It is envis- \naged that the EIS will be completed and lodged \nin 2014. Data for flora and fauna, surface water, \ngroundwater, meteorology, ambient noise and \ndust levels are collected routinely. Further inves- \ntigations of cultural heritage, social-economic \nimpact, traffic impact, soil type and agricultural \nsuitability have also been undertaken. \nFinancials \n\nKingsgate made an after tax loss of $323.7 \nmillion for the full year to 30 June 2013 compared \nto an after tax profit of $75.0 million for the \nprevious corresponding year. The result for the \nyear reflected an impairment of $311.9 million \npre-tax ($291.3 million post-tax) against the \nChallenger Mine and associated assets and an \nimpairment of $20.4 million against greenfield \nexploration projects in Australia and Thailand. \n\nWith the fall in metal prices in late 2013, work \nand expenditure on the DFS and EIS have been \nphased to coordinate and synchronise the \ntiming of the two programs with completion \nand lodgement now not expected before \nmid-2014. \n\n| 2013\n$000 | 2012\n$000 |\n|---|---|\n| 2013 $000 | 2012 $000 |\n| 329,282 | |\n| 115,845 | |\n| (339,615) | |\n| 15,889 | |\n| (323,726) | |\n| 5 | |", + "page_start": 5, + "page_end": 5, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "| 28\nProjects Report\nu\n7 0 °\nP E R U\nB O L I V I A\n2 0 °\nAntofagasta NNUUEEVVAA\nEESSPPEERRAANNZZAA\nChañaral\nCCOOPPIIAAPPOO\nLa Serena\n33 0 °\nSantiago\nA R G E N T I N A\n4 0 °\n5 0 °\nwww.kingsgate.com.au | Nueva Esperanza\nProject\nChile\nSummary\nThe Nueva Esperanza Project is 100% owned\nby Kingsgate since February 2012. Nueva\nEsperanza is located in the Maricunga Gold Belt\nnear Copiapó, a regional mining centre in\nNorthern Chile. The silver-rich mineralisation is\nhosted by the Esperanza high-sulphidation\nepithermal alteration system associated with\nthe Cerros Bravos volcanic complex.\nThe project consists of three well-defined miner-\nalised deposits and a number of undeveloped\nexploration targets. The main deposits are\nArqueros, Chimberos and Teterita. Arqueros was\npreviously mined on a limited scale by under-\nground methods and Chimberos was exploited\nas an open pit mine, delivering about 40 million\nounces of silver in 1998/99. All three deposits\ncurrently have a combined Mineral Resources of\nabout 93 million ounces of silver equivalent or\n1.6 million ounces of gold equivalent (EQ60)1.\nA feasibility study for a decision to mine the\nArqueros portion of Nueva Esperanza was\ncompleted in late 2012, demonstrating that open\npit mining at two million tonnes per year and\nprocessing by milling and agitation leaching in\ncyanide was technically feasible. Work remained\nto integrate the Teterita and Chimberos deposits\ninto the project, as well as to test lower cost\noptions for processing. Continued metallurgical\ntestwork has shown that mineralisation from all\nthree deposits by heap leaching is technically and\neconomically feasible and the preferred alterna-\ntive for development.\nEnvironmental approvals to commence\nconstruction and mining at Nueva Esperanza\nwere granted in July 2013 for the original\nArqueros project. Work is underway to modify\nand update the environmental assessment to\nincorporate the heap leach process.\n1 E\u0007quivalence is based on gold/silver price ratio\nof 60. Gold equivalence = gold content plus\n(silver content divided by 60), whereas Silver\nequivalent silver content plus (gold content\nmultiplied by 60). |\n|---|---|", + "page_start": 29, + "page_end": 29, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "130° \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nNUEVA \nNUEVA \nESPERANZA \nESPERANZA \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nW A \n\n\n\n\n\n\n\n\n\n\n\n\n\nCHATREE CHATREE \n\nKhon Kaen KhKh \n\nT H A I L A N D \n\nBangkok \n\nA MC A M B O D I A C A M B O D I A \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nChiang \nMai \n\n10° 10° \n\n\n\n\n\nN SW \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nSummary \n\nThe Nueva Esperanza Project is 100% owned \nby Kingsgate since February 2012. Nueva \nEsperanza is located in the Maricunga Gold Belt \nnear Copiapó, a regional mining centre in \nNorthern Chile. The silver-rich mineralisation is \nhosted by the Esperanza high-sulphidation \nepithermal alteration system associated with \nthe Cerros Bravos volcanic complex. \n\nThe project consists of three well-defined miner- \nalised deposits and a number of undeveloped \nexploration targets. The main deposits are \nArqueros, Chimberos and Teterita. Arqueros was \npreviously mined on a limited scale by under- \nground methods and Chimberos was exploited \nas an open pit mine, delivering about 40 million \nounces of silver in 1998/99. All three deposits \ncurrently have a combined Mineral Resources of \nabout 93 million ounces of silver equivalent or \n1.6 million ounces of gold equivalent (EQ60)1. \n\nA feasibility study for a decision to mine the \nArqueros portion of Nueva Esperanza was \ncompleted in late 2012, demonstrating that open \npit mining at two million tonnes per year and \nprocessing by milling and agitation leaching in \ncyanide was technically feasible. Work remained \nto integrate the Teterita and Chimberos deposits \ninto the project, as well as to test lower cost \noptions for processing. Continued metallurgical \ntestwork has shown that mineralisation from all \nthree deposits by heap leaching is technically and \neconomically feasible and the preferred alterna- \ntive for development. \n\n\n\n\n\n\n\n\n\n\n\n\n\nEnvironmental approvals to commence \nconstruction and mining at Nueva Esperanza \nwere granted in July 2013 for the original \nArqueros project. Work is underway to modify \nand update the environmental assessment to \nincorporate the heap leach process. \n\n\n\n\n\n\n\n1 \n\n Equivalence is based on gold/silver price ratio \nof 60. Gold equivalence = gold content plus \n(silver content*divided*by 60), whereas Silver \nequivalent silver content plus (gold content \nmultiplied by 60).", + "page_start": 28, + "page_end": 28, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Nueva Esperanza Silver / Gold Project \nThe Nueva Esperanza Silver / Gold Project \nadvanced during the year with an initial scoping \nstudy for a decision to mine the Arqueros and \nTeterita portions of Nueva Esperanza completed \nin late 2012. The study demonstrated that open \npit mining at two million tonnes per year and \nprocessing by milling and agitation leaching in \ncyanide was technically feasible although high \ncapital and power costs negatively impacted \nproject economic returns. \nExploration \nThe Group has a portfolio of exploration tene- \nments and applications in Thailand, Chile and \nLao PDR. Following the sale of exploration \ntenements to Caravel (refer below), exploration \nin Australia is currently only conducted in the \nvicinity of the Challenger Mine in South Australia \nand the Bowdens Silver Project in New South \nWales. \n\nTotal mill throughput for the year was 5.7 million \ntonnes, 11.4% higher than 2012, despite the \nimpact of the 63 day delay during which Plant #2 \nwas not operating. The overall plant availability \nof 98.1% was slightly lower than the previous \nyear’s 98.4%. The expanded plant is operating \naround 24% above the annual “nameplate” \nthroughput rate at 6.2 million tonnes per annum \nand this is expected to continue. \n\nSale of Exploration Assets \nOn 28 March 2013, the Group sold its explora- \ntion assets in Western Australia and Queensland \nthrough the sale of shares in its subsidiary \ncompany, Quadrio Resources Limited, to Caravel \nMinerals Limited (“Caravel”), an Australian \ncompany listed on the ASX. \n\n| 2013\n$’000 | 2012\n$’000 |\n|---|---|\n| 2013 $’000 | 2012 $’000 |\n| 15,148 | |\n| 7,591 | |\n| 22,739 | |\n\n\nKingsgate received 135,000,000 fully paid \nordinary shares in the issued capital of Caravel \nand 20,000,000 unlisted options to acquire \nCaravel shares exercisable at 10 cents on or \nbefore three years from the date of issue. \nSubsequent to the sale, Kingsgate became the \nlargest shareholder in Caravel with 35.54% held \nat 30 June 2013. Kingsgate’s holding in Caravel \nreduced to 27.04% post 30 June 2013 following \na rights issue by Caravel that Kingsgate did not \nparticipate in. \n\nTotal cash costs for the year were US$767 per \nounce (US$620 per ounce exclusive of Thai \nroyalties). The average royalty paid to the Thai \nGovernment was $US147 per ounce of gold. \nTotal production costs after depreciation and \namortisation were US$952 per ounce of gold \nproduced. \n\nAt year end, 9.7 million tonnes of ore was stock- \npiled with an average contained gold grade of \n0.57 g/t representing 178,086 ounces of gold. \n\nChallenger \nThe Challenger Mine produced 66,216 ounces of \ngold for the year with an average milled grade of \n3.91 g/t and a total cash cost of US$1,135/oz. \nThe grade was lower than expected due to a \nshortfall in ore supply from the mine that was \nsupplemented by low grade ore from stockpiles. \nHigher dilution in stopes at the base of the mine", + "page_start": 43, + "page_end": 43, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "of 60. Gold equivalence = gold content plus\n(silver content divided by 60), whereas Silver\nequivalent silver content plus (gold content\nmultiplied by 60). |\n|---|---|\n| 28 Projects Report u 7 0 ° P E R U B O L I V I A 2 0 ° Antofagasta NNUUEEVVAA EESSPPEERRAANNZZAA Chañaral CCOOPPIIAAPPOO La Serena 33 0 ° Santiago A R G E N T I N A 4 0 ° 5 0 ° www.kingsgate.com.au | Nueva Esperanza Project Chile Summary The Nueva Esperanza Project is 100% owned by Kingsgate since February 2012. Nueva Esperanza is located in the Maricunga Gold Belt near Copiapó, a regional mining centre in Northern Chile. The silver-rich mineralisation is hosted by the Esperanza high-sulphidation epithermal alteration system associated with the Cerros Bravos volcanic complex. The project consists of three well-defined miner- alised deposits and a number of undeveloped exploration targets. The main deposits are Arqueros, Chimberos and Teterita. Arqueros was previously mined on a limited scale by under- ground methods and Chimberos was exploited as an open pit mine, delivering about 40 million ounces of silver in 1998/99. All three deposits currently have a combined Mineral Resources of about 93 million ounces of silver equivalent or 1.6 million ounces of gold equivalent (EQ60)1. A feasibility study for a decision to mine the Arqueros portion of Nueva Esperanza was completed in late 2012, demonstrating that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible. Work remained to integrate the Teterita and Chimberos deposits into the project, as well as to test lower cost options for processing. Continued metallurgical testwork has shown that mineralisation from all three deposits by heap leaching is technically and economically feasible and the preferred alterna- tive for development. Environmental approvals to commence construction and mining at Nueva Esperanza were granted in July 2013 for the original Arqueros project. Work is underway to modify and update the environmental assessment to incorporate the heap leach process. 1 E\u0007quivalence is based on gold/silver price ratio of 60. Gold equivalence = gold content plus (silver content divided by 60), whereas Silver equivalent silver content plus (gold content multiplied by 60). |", + "page_start": 29, + "page_end": 29, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Khon Kaen KhKh \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nNUEVA NUEVA \nAntofagasta \n\nESPERANZA ESPERANZA \nChañaral \n\nCOPIAPO COPIAPO \n\nLa Serena \n3 30° \n\n\n\n\n\n\n\n\nCHATREE CHATREE \n\nT H A I L A N D \n\nBangkok \n\nA MC A M B O D I A C A M B O D I A \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nChiang \nMai \n\n10° 10° \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n| | 20\nOperations Report\n140°\n135°\nu\n130°\nN T\nQ L D\nWA CCHHAALLLLEENNGGEERR\n30°\nN S W\nAdelaide\nV I C\nwww.kingsgate.com.au | Challenger\nGold Mine\nSouth Australia\nSummary\nThe Challenger Mine produced 66,216 ounces\nof gold for the year with an average milled grade\nof 3.91 grams per tonne (g/t), and a total cash\ncost of $1,107 per ounce. The grade was low due\nto a shortfall in ore supply from the mine that was\nsupplemented by low grade ore from stockpiles.\nHigher dilution in stopes at the base of the mine\nand depletion on those levels due to the addi-\ntional displacement of the ore horizons following\nthe identification of the ‘215 Shear’, contributed\n35°\nto the lower than expected production from the\nlower levels. A shortfall in underground develop-\nment also limited access to ore sources.\nDevelopment and mining commenced at the\nhigher grade Challenger West orebody during\nthe year but was insufficient to offset the short-\nfall from the base of the mine.\nBecause of the poor ore recovery from the\nbottom of the mine and the drop in the gold\nprice, a strategic review of the mine operation\nwas carried out. This resulted in a new plan that\nfocuses on the higher grade Challenger West as\nthe main ore supply.\nOngoing improvements in site communications\ncontinued with the installation of a dedicated\nmicrowave link to the site. This greatly improves |\n|---|---|---|\n| | 20 Operations Report 140° 135° u 130° N T Q L D WA CCHHAALLLLEENNGGEERR 30° N S W Adelaide V I C www.kingsgate.com.au | Challenger Gold Mine South Australia Summary The Challenger Mine produced 66,216 ounces of gold for the year with an average milled grade of 3.91 grams per tonne (g/t), and a total cash cost of $1,107 per ounce. The grade was low due to a shortfall in ore supply from the mine that was supplemented by low grade ore from stockpiles. Higher dilution in stopes at the base of the mine and depletion on those levels due to the addi- tional displacement of the ore horizons following the identification of the ‘215 Shear’, contributed 35° to the lower than expected production from the lower levels. A shortfall in underground develop- ment also limited access to ore sources. Development and mining commenced at the higher grade Challenger West orebody during the year but was insufficient to offset the short- fall from the base of the mine. Because of the poor ore recovery from the bottom of the mine and the drop in the gold price, a strategic review of the mine operation was carried out. This resulted in a new plan that focuses on the higher grade Challenger West as the main ore supply. Ongoing improvements in site communications continued with the installation of a dedicated microwave link to the site. This greatly improves |\n| | | |\n| | | |", + "page_start": 21, + "page_end": 21, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "130° \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nNUEVA NUEVA \n\nESPERANZA ESPERANZA \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nW A \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nN SW \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n| 12\nOperations Report\nOperations\nReport\n100° u\nVIETNAM\n20°\nLL AA OO SS\nChiang\nMai\nCCHHAATTRREEEE\nKKKhhhon Kaen\nT H A I L A N D\nBangkok\nCC AAA MMM BB OO DD II AA\nChumphon\n1100°°\nPhuket\nHighway\nFreeway\nPower lines\nHydro power dam\nThermal power station\n0 100 200 300\nKilometres\nwww.kingsgate.com.au | Chatree\nGold Mine\nThailand\nSummary\nChatree continued as Kingsgate’s primary\nproduction asset throughout the year,\nproducing 133,681 ounces of gold and over\n1,000,569 ounces of silver. The strong\nproduction performance was achieved despite\nsome operational difficulties with slower than\nanticipated Government approvals to allow full\nutilisation of the expanded plant.\nThe delay of 63 days in approval of our\nMetallurgical License negatively impacted\non our production targets which were also\ncompounded by the Mining Contractor’s poor\nequipment availability. Near surface higher\ngrades in Q Prospect mitigated these difficulties\nresulting in a strong final quarter for the year.\nChatree continues to demonstrate world’s best\npractice for safety. The mine has now operated\nfor 23.6 million man hours (10.5 years) without\na lost time injury (“LTI”). |\n|---|---|\n| 12 Operations Report Operations Report 100° u VIETNAM 20° LL AA OO SS Chiang Mai CCHHAATTRREEEE KKKhhhon Kaen T H A I L A N D Bangkok CC AAA MMM BB OO DD II AA Chumphon 1100°° Phuket Highway Freeway Power lines Hydro power dam Thermal power station 0 100 200 300 Kilometres www.kingsgate.com.au | Chatree Gold Mine Thailand Summary Chatree continued as Kingsgate’s primary production asset throughout the year, producing 133,681 ounces of gold and over 1,000,569 ounces of silver. The strong production performance was achieved despite some operational difficulties with slower than anticipated Government approvals to allow full utilisation of the expanded plant. The delay of 63 days in approval of our Metallurgical License negatively impacted on our production targets which were also compounded by the Mining Contractor’s poor equipment availability. Near surface higher grades in Q Prospect mitigated these difficulties resulting in a strong final quarter for the year. Chatree continues to demonstrate world’s best practice for safety. The mine has now operated for 23.6 million man hours (10.5 years) without a lost time injury (“LTI”). |", + "page_start": 13, + "page_end": 13, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Santos’ Strategic Projects team \nfocuses on assets that have \nproven difficult to commercialise \nor that need to be considered \nin a regional context rather than \non an individual basis. \n\nworking up a range of possible \nevaluation projects to be \nundertaken in 2005. \n\n**NORTHERN AUSTRALIA GAS**\nSantos has a significant existing \ngas resource base and some \npromising exploration acreage \nin the waters offshore Darwin, \nwhere it intends to drill a gas \nexploration well later this year. \n\nThe other key activity for this \nteam has been to lead Santos’ \ncontinuous improvement focus. \n\n**UNITED STATES GAS**\nThe US gas business was a major \nfocus in 2004 for a number of \nreasons, not the least of which \nare the higher gas prices in the \nUS compared with the domestic \nAustralian market, and the ability \nto rapidly commercialise new \ndiscoveries. \n\n**‘Our objective is to derive value**\n**from undeveloped assets which**\n**have been outside of Santos’**\n**base business.’**\n\nThe Company currently operates \nthe Mereenie gas field in the \nAmadeus Basin in central \nAustralia, which supplies gas to \nDarwin. Santos’ first offshore gas \nproduction in northern Australia \nbegins in 2006, sending Bayu- \nUndan gas to Darwin for \nconversion to LNG. Santos plans \nto build upon its growing \nposition in the region to target \nfurther development which could \nensure long-term gas supplies \nfor the current market, or an \nexpanded Northern Territory \ndomestic market, or for export. \n\nAn ongoing development and \ndelineation program was carried \nout during the year, yielding \nbetter than planned production. \nThe exploration initiative also \ncontinued to seek higher risk \nbut more material prospects, \naimed at enhancing the move \ninto the shallow water area of \nthe Gulf of Mexico. Exploration \nresults in this area during 2005 \nwill shape Santos’ future strategy \nin the US. \n\n**PAPUA NEW GUINEA GAS**\nSantos is in active discussions \nwith the PNG Gas Project \nparticipants to potentially \nre-enter the PNG Gas Project. \nSantos has a significant interest \nin a large part of the liquids-rich \nHides gas field which is integral \nto the development of \nthe Project. \n\n**TIGHT GAS**\nHydrocarbons contained in traps \nwith poor permeability are known \nas ‘tight gas’. Large tight gas \nresources are known to exist in \nthe Cooper Basin. Under current \ncircumstances, this gas cannot \nbe economically developed but, \nwith the combination of improved \nproduction techniques and better \ncommercial terms, could prove \nattractive. \n\nSantos assessed the resources \nand potential technologies that \ncould be applied to unlock these \nresources during 2004 and is now", + "page_start": 23, + "page_end": 23, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Regulatory approval to develop or expand our landÑlls and transfer stations may be delayed or denied.**\n\nOur plans include developing new landÑlls and transfer stations, as well as expanding the disposal and \ntransfer capacities of certain of our landÑlls and transfer stations, respectively. Various parties, including \ncitizens' groups and local politicians, sometimes challenge these projects. Responding to these challenges has, \nat times, increased our costs and extended the time associated with establishing new facilities and expanding \nexisting facilities. In addition, failure to receive regulatory and zoning approval may prohibit us from \nestablishing new facilities and expanding existing facilities. \n\n16", + "page_start": 23, + "page_end": 23, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**HIGH IMPACT DRILLING**\n**IN 2005**\nThe 2005 exploration program \nhas the highest resource potential \nof any program undertaken \nat Santos. \n\nSuez in Egypt, the Bonaparte \nBasin in the Timor Sea and the \nCarnarvon Basin offshore \nWestern Australia. exploration portfolio. A \nmulti-well drilling program \nwill be undertaken in Santos’ \nKutei Basin PSCs during 2005. \n\nThe 2005 program reflects \nthe increasing materiality of \nSantos’ exploration portfolio \nand continues the emphasis on \nmore globally-focused exploration \nas an important part of the \nCompany’s growth strategy. \n\nAnother gas discovery has \nbeen made at Hurricane 1 in \nthe Carnarvon Basin, offshore \nWestern Australia. While both \nwells were discoveries, they \nrequire further evaluation to \ndetermine their commercial \nsignificance. \n\nSantos plans to drill 25 wells and \nwill invest $150 million testing \nprospects within its expanding \ndomestic and international \nexploration portfolio – up 19% \nfrom the $126 million spent on \nexploration in 2004. \n\nSantos has already had drilling \nsuccess early in 2005 with the \nHiu Aman 1 well – the first to be \ndrilled by Santos in the Donggala \nPSC. Hiu Aman 1 has indicated \nthe presence of a prolific \nhydrocarbon system in this area. \nThe discovery should add other \nlower risk prospects to Santos’ \nOil is the main focus of the \n2005 program with most activity \nin the Kutei and East Java Basins \noffshore Indonesia, the Gulf of \n\n**2005 WILDCAT EXPLORATION PROGRAM**\n\n**Gulf of Mexico**\nCougar, Thunder \n\n**Kutei Basin**\nHiu Aman, Raksasa, Orca, Pangkal \n\n**Gulf of Suez**\nRAD 1, NZB A, NZB B, \nNZB C,Khufu, Pawnee \n\n**East Java Basin**\nAgung, Herbras, \nBanjar Panji \n\n**Bonaparte Basin**\nCaldita, Phoenix \n\n**Denison Trough**\nGreenmount, Yamala", + "page_start": 18, + "page_end": 18, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_KCN_2013.pdf", + "query": "What is the Kingsgate net cash outflows from finiancing activities in 2013 ?", + "target_page": 11, + "target_passage": " Net cash outflows from financing activities was $1.7 million", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "The Financial Report of Kingsgate Consolidated \nLimited (Kingsgate or the “Company”) for the \nyear ended 30 June 2013 was authorised for \nissue in accordance with a resolution of \nDirectors on 23 September 2013. \n\nin Australian dollars, which is the Company’s \nfunctional currency and presentation currency. \n\nRounding of amounts \n\nThe Company is of a kind referred to in ASIC \nClass Order 98/100 dated 10 July 1998 and in \naccordance with that Class Order, all financial \ninformation presented in Australian dollars has \nbeen rounded to the nearest thousand, or in \ncertain cases, the nearest dollar. \n\nKingsgate is a Company limited by shares incor- \nporated in Australia whose shares are publicly \ntraded on the Australian Securities Exchange \nusing the ASX code KCN. The consolidated \nfinancial statements of the Company as at and \nfor the year ended 30 June 2013 comprise the \nCompany and its subsidiaries (together referred \nto as the “Group” and individually as “Group \nentities”). A description of the nature of the \nGroup’s operations and its principal activities \nis included in the Directors’ Report. \n\nThe preparation of financial statements requires \nthe use of certain critical accounting estimates. \nIt also requires management to exercise its \njudgement in the process of applying the \nGroup’s accounting policies. The areas involving \na higher degree of judgement or complexity, or \nareas where assumptions and estimates are \nsignificant to the financial statements are \ndisclosed in Note 3. \n\nNotes to the \nFinancial Statements \n\n| 2013\n$’000 | 2012\n$’000 |\n|---|---|\n| 2013 $’000 | 2012 $’000 |\n| | |\n| 332,624 | |\n| (224,500) | |\n| 2,587 | |\n| (10,120) | |\n| (15,571) | |\n| 85,020 | |\n| | |\n| (7,035) | |\n| (122,722) | |\n| – | |\n| – | |\n| (3,948) | |\n| (8,612) | |\n| (108) | |\n| (142,425) | |\n| | |\n| 133,968 | |\n| (116,250) | |\n| – | |\n| – | |\n| (19,409) | |\n| (1,691) | |\n| (59,096) | |\n| 90,623 | |\n| 1,460 | |\n| 32,987 | |\n\n\nfor the year ended 30 June 2013 \n\nCritical accounting estimates \n\n1. BASIS OF PREPARATION \n\nThe general purpose financial statements have \nbeen prepared in accordance with Australian \nAccounting Standards, other authoritative \npronouncements of the Australian Accounting \nStandards Board and the*Corporations Act 2001*. \nThe Company is a for-profit entity for the \npurpose of preparing the financial statements. \n\n2. SIGNIFICANT ACCOUNTING \n\nPOLICIES \n\nThe principal accounting policies adopted in the \npreparation of the financial statements are set \nout below. These policies have been consistently \napplied to all the years presented. \n\nThe financial statements comply with \nInternational Financial Reporting Standards \n(IFRS) adopted by the International Accounting \nStandards Board (IASB). \na . Principles of consolidation \n(i) Business combinations \nHistorical cost convention \n\nThe accounting policies of subsidiaries have \nbeen changed when necessary to align them \nwith the policies adopted by the Group. Losses \napplicable to the non-controlling interests in a \nsubsidiary are allocated to the non-controlling \ninterests even if doing so causes the non- \ncontrolling interests to have a deficit balance. \nThe financial statements have been prepared \nunder the historical cost convention, as modi- \nfied by the revaluation of available-for-sale \nfinancial assets and financial instruments \n(including derivative instruments) at fair value \nthrough profit or loss. \n\nBusiness combinations are accounted for using \nthe acquisition method as at the acquisition \ndate, which is the date on which control is \ntransferred to the Group. Control is the power to \ngovern the financial and operating policies of an \nentity so as to obtain benefits from its activities. \nIn assessing control, the Group takes into \nconsideration potential voting rights that \ncurrently are exercisable.", + "page_start": 68, + "page_end": 68, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Summary \n\nKingsgate has recorded the following financial \nperformance for the year to 30 June 2013: \n\n〉〉 Revenue of $329.3 million. \n〉〉 \nEBITDA (before significant items) of $115.8 \nmillion. \n\n〉〉 Profit before tax and significant items of \n$17.2 million. \n\n〉〉 \n\nLoss after tax and significant items of $323.7 \nmillion. This includes a net tax benefit of \n$20.6 million, relating to the Challenger Gold \nOperations (“Challenger”) impairment. \n〉〉 Non-cash asset impairments and other \n\nThe fall in gold sales reflected a 24% decrease in \nproduction at Challenger compared to the prior \nyear due to lower grade and volume of ore \nmined. The lower production at Challenger was \noffset by a 10% increase in gold production at \nthe Chatree Gold Mine (“Chatree”), reflecting \nincreased throughput from the expanded \nChatree processing plant and higher grade ore \nmined. \n\nsignificant items of $356.8 million pre-tax, \nwith $311.9 million principally relating to \nChallenger ($291.3 million post-tax). \n〉〉 No final dividend has been declared. An \n\ninterim dividend of 5 cents per share was \ndeclared for the half year to 31 December \n2012. \n\nEarnings \n\nThe lower realised gold price of US$1,588 per \nounce (2012: US$1,663 per ounce), lower gold \nsales of 195,948 ounces (2012: 204,145 ounces) \nand industry wide cost pressures had a negative \nimpact on the underlying earnings of the Group. \n\nDepreciation and amortisation \nThe increase in depreciation and amortisation to \n$85.6 million (2012: $67.6 million) reflects \namortisation of the higher capitalised develop- \nment costs at the Challenger Mine, depreciation \nof Plant #2 at Chatree and commencement of \namortising the capital cost of the Chatree \nTailings Storage Facility #2. \n\nThe lower gold price and changes to mine oper- \nating plans also resulted in a major impairment \nto the carrying value of a number of Group \nassets, particularly the Challenger Mine. The \nimpairments were the major contributor to the \nafter tax loss of $323.7 million for the year. \nImpairment and write-downs \n\nFollowing a strategic review of Challenger, a \nnew mine plan focussing mainly on the \nChallenger West orebody was implemented \neffective 1 July 2013. \n\nBased on the revised plan Challenger is expected \nto generate positive cash flows though, as a \nresult of this plan together with the continuing \nlow gold price environment, the estimated \nfuture cash flows no longer supported the full \nrecovery of the carrying value. For this reason, \nthe Group has recorded a pre-tax impairment \ncharge of $311.9 million ($291.3 million post \ntax) related to the carrying value of the prop- \nerty, plant and equipment and mine properties \nat Challenger so that the carrying value reflects \nrecoverable value. \n\nCost of sales \nCost of sales before depreciation increased by \n14% to $195.1 million compared to last year and \nlargely reflects increased throughput and \nproduction from Chatree due to the first full \nyear of operation of Plant #2. The total unit cash \ncosts for Chatree for the year were US$767/oz \n(US$620/oz excluding royalties), up from \nUS$618/oz in 2012. The total unit cash costs for \nChallenger for the year were US$1,135/oz (2012: \nUS$862/oz), with the increase mainly due to the \nlower throughput and lower production from \nthe Challenger Mine. On a unit cost basis, total \ncash costs for the Group were US$888/oz, up \nfrom US$720/oz last year. \n\nA review of the carrying value of all regional \ngreenfield exploration projects was also \nconducted which resulted in the write down of \n$6.1 million, primarily against the Barton West \nMineral Sands project in South Australia and the \nwrite down of $14.3 million against the carrying \nvalue of exploration projects in Thailand that fall \noutside the Chatree Mine area of influence.", + "page_start": 9, + "page_end": 9, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "| | : | | | | |\n|---|---|---|---|---|---|\n| | Balance at start of year $ | Interest paid and payable for the year $ | Interest not charged $ | Balance at end of year $ | Number in Group at the end of the year $ |\n| 2013 | – | 2,603 | – | 160,000 | 1 |\n\n\nNumber Number \n\n| Balance at\nstart of year\n$ | Interest paid\nand payable\nfor the year\n$ | Interest not\ncharged\n$ | Balance at\nend of year\n$ | Highest\nindebtedness\nduring the year\n$ |\n|---|---|---|---|---|\n| Balance at start of year $ | Interest paid and payable for the year $ | Interest not charged $ | Balance at end of year $ | Highest indebtedness during the year $ |\n\n\nWeighted average number of shares used as the denominator \n\nAdjustment for calculation of diluted earnings per share: option \n\nSummary of financial information \n\nResults of parent entity \n(Loss) / profit for the year \n\nOther comprehensive (loss) \n\nTotal comprehensive (loss) / profit \n\nFinancial position of parent entity at year end \nCurrent assets \n\nTotal assets \n\nCurrent liabilities \n\nTotal liabilities \n\nTotal equity of the parent entity comprising of: \nIssued capital \n\nReserve \n\nAccumulated losses \n\nTotal financial equity \n\nDiluted loss per share \n\nAs the Group made a loss for the year, diluted loss per share is the same as basic loss per share as the impact of dilution would be to reduce the loss per share. \n\nOptions \n\n| 2013 | 2012 |\n|---|---|\n| 2013 | 2012 |\n| | |\n| | |\n| 663,970 | |\n| | |\n| 296,108 | |\n| | |\n| 6,641 | |\n| 966,719 | |\n| | |\n| | |\n| – | |\n| 17,207 | |\n| | |\n| 10,950 | |\n| 28,157 | |\n| | |\n| | |\n| 133,775 | |\n| – | |\n| | |\n| 42,744 | |\n| 176,519 | |\n\n\n32. Parent entity financial information \n\nAs at, and throughout, the financial year ending 30 June 2013 the parent entity of the Group was Kingsgate.", + "page_start": 109, + "page_end": 109, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "| 2013\n$’000 | 2012\n$’000 |\n|---|---|\n| 2013 $’000 | 2012 $’000 |\n| 329,282 | |\n| (280,452) | |\n| 48,830 | |\n| (675) | |\n| (21,152) | |\n| (15,490) | |\n| (745) | |\n| – | |\n| (1,353) | |\n| (311,850) | |\n| (20,421) | |\n| (537) | |\n| (323,393) | |\n| 2,587 | |\n| (18,809) | |\n| (16,222) | |\n| (339,615) | |\n| 15,889 | |\n| (323,726) | |\n| | |\n| | |\n| 40,455 | |\n| (91) | |\n| 40,364 | |\n| (283,362) | |\n| | |\n| (323,726) | |\n| – | |\n| (323,726) | |\n| | |\n| (283,362) | |\n| – | |\n| (283,362) | |\n\n\n605,504 599,618 \n\n| Cents | Cents |\n|---|---|\n| Cents | Cents |\n| (213.3) | |\n| (213.3) | |\n\n\n473,960 775,813 \n\nASSETS \nCurrent assets \nCash and cash equivalents \n\nReceivables \n\nInventories \n\nOther assets \n\nTotal current assets \n\nNon-current assets \nRestricted cash \n\nInventories \n\nAvailable-for-sale financial assets \n\nInvestment in associate \n\nProperty, plant and equipment \n\nExploration, evaluation and development \n\nOther assets \n\nDeferred tax assets \n\nTotal non-current assets \n\nTOTAL ASSETS \n\nLIABILITIES \nCurrent liabilities \nPayables \n\nBorrowings \n\nDerivatives held for trading \n\nCurrent tax liabilities \n\nProvisions \n\nTotal current liabilities \n\nNon-current liabilities \nPayables \n\nBorrowings \n\nDeferred tax liabilities \n\nProvisions \n\nTotal non-current liabilities \n\nTOTAL LIABILITIES \n\nNET ASSETS \n\nEQUITY \nContributed equity \n\nReserves \n\n(Accumulated losses) / Retained profits \n\nCapital and reserves attributable to equity holders of Kingsgate Consolidated Limited \n\nNon-controlling interests \n\nTOTAL EQUITY \n\nThe above Statement of Financial Position should be read in conjunction with the accompanying notes.", + "page_start": 65, + "page_end": 65, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Financing Arrangements \n\nCorporate loan facility \nKingsgate has a three year secured loan facility \nwith Investec which was amended during the \nyear. The amended facility has a limit of $40 \nmillion (30 June 2012: $50 million), of which $20 \nmillion has been drawn down as at 30 June 2013 \n(30 June 2012: $40 million). \n\nConvertible revolving credit facility \nThe Group also has a three year $25 million \nConvertible Revolving Credit Facility available. \nAs at the date of this report the facility is \nundrawn. Under the terms of this facility, \nKingsgate has the option of repaying any funds \ndrawn down under the facility through either \ncash or by issuing ordinary shares. It is intended \nthat this facility will be utilised during the 2014 \nfinancial year for corporate and working capital \npurposes. It is the current intention of the \ncompany to repay any cash drawdown under the \nfacility by the issuance of fully paid ordinary \nshares which would rank parri pasu with all \nexisting ordinary shares, although this position \nwill be reviewed at the appropriate time. The \nnumber of shares has not yet been determined \nand they will be issued at a 2.5% discount to \nVWAP over a period by reference to the draw \ndown date. Shareholder approval is not required. \n\n\n\nConvertible loan facility \nKingsgate has a five year A$35 million convert- \nible loan facility with Investec entered into in a \nprior period to provide funding for the Bowdens \nacquisition. Kingsgate has the option to make a \nprepayment against the facility with an issue of \nKingsgate shares. \n\nRestructure of corporate loan and \nconvertible loan facilities \nAs indicated previously in the Preliminary Final \nreport, at balance date it was the Group’s inten- \ntion to restructure and amalgamate these \nfacilities in the next financial year. This relates to \nthe potential for completion of the Initial Public \nOffering (“IPO”) of Akara on the Stock Exchange \nof Thailand and the updated mine plan for \nChallenger. Any restructure would optimise the \nGroup’s anticipated balance sheet liquidity and \noperational cash flows. Accordingly, the Group \nclassified the total amount drawn down under \nthese facilities of $55 million as a current liability \nat 30 June 2013. \n\nMulti-currency and syndicated \nloan facilities \nKingsgate’s Thai operating subsidiary, Akara, \nestablished a six year amortising multi-currency \nloan facility equivalent to US$125 million (fully \ndrawn as at period end) and an additional Thai \nBaht denominated working capital facility \nequivalent to US$15 million (undrawn as at year \nend) during the period. The proceeds from these \nborrowings were used to fully repay the \noutstanding balance on the US$100 million Baht \ndenominated syndicated loan facility in exist- \nence at the beginning of the period as well as to \nrepay part of the corporate loan facility noted \nabove. \n\nFinancial Position \n\nShareholders’ equity at 30 June 2013 was $474 \nmillion (2012: $776 million). The decrease of \n$302 million reflects the year’s loss together \nwith dividends paid. \n\nDividends \n\nSubsequent to the end of the financial year, the \nGroup received from its lenders a credit \napproved term sheet (subject to formal docu- \nmentation) for the restructure of the corporate \nloan and convertible loan facilities. Following \ncompletion of the restructure the total amount \noutstanding will be reduced to $40 million. This \nloan will be provided through a single senior \ncorporate facility which will consist of two \ntranches: \n\nNo final dividend has been declared for the year \nended 30 June 2013. \n\nAn interim dividend declared for the half-year \nended 31 December 2012 of 5 cents per fully \npaid share was paid on 12 April 2013. \n\nA final dividend declared for the year ended 30 \nJune 2012 of 10 cents per fully paid share was \npaid on 1 October 2012. \n\n〉〉", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Financial results \n\nKingsgate made an after tax loss of $323.7 million for the full year to 30 June 2013 compared to an after tax profit of $75.0 million for the \nprevious corresponding year. The result for the year reflected an impairment of $311.9 million pre-tax ($291.3 million post-tax) against the \nChallenger Mine and associated assets and an impairment of $20.4 million against greenfield exploration projects in Australia and Thailand. \n\n2013 2012 2011 2010 \n\nNet (loss) / profit after tax ($’000) (323,726) 75,006 20,879 73,066 \n\nDividends paid (Cash and DRP) ($’000) 22,739 22,026 33,647 29,082 \n\nShare price 30 June ($) 1.27 4.85 8.00 9.47 \n\nBasic (loss) / earnings per share (Cents) (213.3) 52.5 18.7 75.2 \n\nDiluted (loss) / earnings per share (Cents) (213.3) 52.5 74.5 \n\n18.6 \n\nEBITDA before significant items \n\nBefore pre-tax significant items, the pre-tax profit of the Group was $17.2 million. Pre-tax significant items are detailed below. \n\nEBITDA before significant items was $115.8 million down from $168.6 million in the previous year. \n\nConsolidated \n\n(Loss) / Profit before tax \n\nSignificant items (pre-tax) \nForeign exchange (gain) / loss \n\nDominion acquisition costs \n\nWrite off of capitalised borrowing fees \n\nChange in fair value of undesignated gold contracts held for trading \n\nChange in fair value of available-for-sale financial assets \n\nShare of loss in associate \n\nLoss on sale of exploration assets (Quadrio Resources Limited) \n\nImpairment Challenger Gold Project \n\nImpairment of capitalised exploration \n\nImpairment of associate \n\nProfit before tax and significant items \n\nFinance costs \n\nDepreciation and amortisation \n\nEBITDA before significant items \n\n 745 \n\n – \n\n 5,722 \n\n(1,414) \n\n 855 \n\n 1,353 \n\n 16,709 \n\n 311,850 \n\n 20,421 \n\n 537 \n\n 17,163 \n\n 13,087 \n\n 85,595 \n\n 115,845 \n\nEBITDA before significant items is a financial measure which is not prescribed by International Financial Reporting Standards (“IFRS”) and \nrepresents the profit under IFRS adjusted for specific significant items. The table above summarises key items between statutory profit \nbefore tax and EBITDA before significant items. The EBITDA before significant items has not been subject to any specific auditor review \nprocedures by our auditor but has been extracted from the accompanying audited financial statements.", + "page_start": 44, + "page_end": 44, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Total dividends \n\nRefer Note 18 for the dividend reinvestment plan portion of total dividends. \n\nThe Group’s franking credit balance as at 30 June 2013 is $880,548 (2012: $880,548). \n\n23. Related parties \n\nControlling entity \nThe ultimate parent entity of the Group is Kingsgate Consolidated Limited. \n\n24. Employee benefits and share-based payments \n\nProvision for employee benefits – current \n\nProvision for employee benefits – non-current \n\nTotal employee provisions \n\nShare-based payments \nThe following share-based payments were made during the year: \n〉〉 performance and deferred rights issued to employees $917,397 (2012: nil); and \n〉〉 \n\n| Country of\nIncorporation | Class of\nshares | Equity holding | |\n|---|---|---|---|\n| Country of Incorporation | Class of shares | Equity holding | |\n| | | 2013 % | 2012 % |\n| | | | |\n| | | | |\n| | | | |\n| | | 100 | |\n| | | 100 | |\n| | | – | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n| | | 100 | |\n\n\nKingsgate executive option plan \nThe terms of the options issued pursuant to the plan are as follows: \n\ni. each option will entitle the holder to subscribe for one ordinary share of the Company; \n\nii. options are granted under the plan for no consideration; and \n\niii. options granted under the plan carry no dividend or voting rights.", + "page_start": 95, + "page_end": 95, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**2013**\n**US$’000** **For the year ended 31 December** **Note**\n\n**CASH FLOWS FROM OPERATING ACTIVITIES**\nReceipts from sales \nPayments to suppliers and employees \nInterest received \nDerivative proceeds, net \nIncome taxes paid, net \n**NET CASH PROVIDED BY OPERATING ACTIVITIES**\n 170,442 \n(29,967) \n201 \n(3) \n (12,586) \n**128,087** 84,703 \n(21,765) \n126 \n253 \n (671) \n**62,646** 30 \n\n**CASH FLOWS FROM INVESTING ACTIVITIES**\nPayments for development expenditure \nPayments for exploration expenditure \nPayments for acquisition of oil and gas properties \nSale of non-current assets \nTransaction costs related to sale of non-current assets \nCash acquired from merger \nCash (paid) received from escrow and deposit \naccounts, net \nPayments for plant and equipment \n**NET CASH USED IN INVESTING ACTIVITIES**\n (967) \n**(323,235)** (900) \n**(164,355)**\n\n**CASH FLOWS FROM FINANCING ACTIVITIES**\nProceeds from the issuance of shares \nPayments for costs of capital raisings \nPayments for acquisition related costs \nBorrowing costs paid \nProceeds from borrowings \nRepayments from borrowings \n**NET CASH PROVIDED BY FINANCING ACTIVITIES**\n48,211 \n(2,654) \n(533) \n(569) \n15,000 \n (15,000) \n**44,455**\n\n72,438 \n(3,778) \n- \n(1,065) \n165,000 \n (65,000) \n**167,595**\n\n**(27,553)** **(57,254)** Net decrease in cash held \n\nCash at beginning of period \nEffect of exchange rates on cash \n**CASH AT END OF PERIOD**\n96,871 \n (101) \n**69,217** 154,110 \n 15 \n**96,871** 11", + "page_start": 59, + "page_end": 59, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "for annual reporting periods commencing on \nor after 1 January 2013). AASB 13 establishes \na single framework for measuring fair value \nof financial and non-financial items recog- \nnised at fair value in the statement of finan- \ncial position or disclosed in the notes to the \nfinancial statements. The standard is not \napplicable until 1 January 2013 but is avail- \nable for early adoption. The Group does not \nexpect any material impact on adoption of \nthe standard. \n\ndd . Parent entity financial information \nThe financial information for the parent entity \nKingsgate Consolidated Limited, disclosed in \nNote 32 has been prepared on the same basis as \nthe consolidated financial statements except as \nset out below: \n\n〉〉 AASB 119*Employee Benefits*(effective for \n\nannual reporting periods commencing on or \nafter 1 January 2013). The revised standard \nchanges the definition of short-term \nemployee benefits. The distinction between \nshort-term and other long-term employee \nbenefits is now based on whether the bene- \nfits are expected to be settled wholly within \n12 months after the reporting date. \nInvestments in subsidiaries are accounted for at \ncost in the financial statements of Kingsgate. \n\n(ii) Exploration and evaluation assets \nExploration and evaluation expenditure for each \narea of interest is carried forward as an asset \nprovided certain conditions are met (Note 2o). \nExploration and evaluation assets are assessed \nfor impairment when facts and circumstances \nsuggest that the carrying amount of an explora- \ntion and evaluation asset may exceed its recov- \nerable amount. These calculations and reviews \nrequire the use of assumptions and judgement. \nThe related carrying amounts are disclosed in \nNote 13. \n\nInvestments in subsidiaries \n\nThe issue by the Company of equity instruments \nto extinguish liabilities of a subsidiary under- \ntaking in the Group is treated as a capital contri- \nbution to that subsidiary undertaking. \n\n(iii) Deferred mining expenditure \nThe Group defers mining costs incurred during \nthe production stage of its operations. Changes \nin an individual mine’s design will generally result \nin changes to the life of mine waste to contained \ngold ounce (life of mine) ratio. Changes in other \ntechnical or economic parameters that impact \nreserves will also have an impact on the life of \nmine ratio even if they do not affect the mine’s \ndesign. Changes to the life of mine are \naccounted for prospectively. \n\n3. Critical accounting \n\nestimates, assumptions \nand judgements \n\n〉〉 \n\nIFRIC 20*Stripping Costs in the Production*\n*Phase of a Surface Mine*(effective for annual \nreporting periods commencing on or after \n1 January 2013). IFRIC 20 provides guidance \non the accounting for the costs of stripping \nactivity in the production phase of surface \nmining when two benefits accrue to the \nentity from the stripping activity: useable \nore that can be used to produce inventory \nand improved access to further quantities of \nmaterial that will be mined in future periods. \nThe Company will adapt IFRIC 20 from 1 July \n2013. Based on the current mine plans this \nIFRIC is not expected to have a significant \nimpact. \n\nShare-based payments \n\nEstimates and judgements are continually \nevaluated and are based on historical experience \nand other factors, including expectation of \nfuture events that may have a financial impact \non the Group and that are believed to be", + "page_start": 75, + "page_end": 75, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Corporate loan facility \n\nThe Group has a three year secured loan facility \nwith Investec with a limit of A$40,000,000 \n(30 June 2012: A$50,000,000), of which \nA$20,000,000 has been drawn down as at \n30 June 2013 (30 June 2012: A$40,000,000). \n\nConvertible loan facility \n\nThe Group has a five year A$35,000,000 \nconvertible loan facility entered into in a prior \nperiod to provide funding for the Bowdens \nacquisition. The Group has the option to make a \nprepayment against the facility with an issue of \nKingsgate shares. \n\nCorporate loan facility and convertible loan facility \nrestructure \n\n| 2013\n$’000 | 2012\n$’000 |\n|---|---|\n| 2013 $’000 | 2012 $’000 |\n| | |\n| 73,613 | |\n| 10,488 | |\n| 84,101 | |\n| | |\n| 115,575 | |\n| 82 | |\n| 115,657 | |\n| | |\n| 189,188 | |\n| 10,570 | |\n| 199,758 | |\n\n\n| Currency | Nominal\ninterest | Year of\nmaturity | Face value\n$’000 | Carrying\namount\n$’000 |\n|---|---|---|---|---|\n| Currency | Nominal interest | Year of maturity | Face value $’000 | Carrying amount $’000 |\n\n\nConvertible revolving credit facility \n\nThe Group also has a three year $25,000,000 \nConvertible Revolving Credit Facility available. \nAt the date of this report the facility is undrawn. \nUnder the terms of this facility, Kingsgate has \nthe option of repaying any funds drawn down \nunder the facility through either cash or by \nissuing ordinary shares. It is intended that this \nfacility will be utilised during the 2014 financial \nyear for corporate and working capital purposes. \nIt is the current intention of the Company to \nrepay any cash drawdown under the facility by \nissuance of fully paid ordinary shares which \nwould rank parri pasu with all existing ordinary \nshares, although this position will be reviewed at \nthe appropriate time. The number of shares has \nnot yet been determined and they will be issued \nat a 2.5% discount to VWAP over a period by \nreference to the draw down date. Shareholder \napproval is not required. \n\nAs indicated previously in the Preliminary Final \nreport, at balance date it was the Group’s inten- \ntion to restructure and amalgamate these \nfacilities in the next financial year. This relates to \nthe potential for completion of the Initial Public \nOffering of Akara on the Stock Exchange of \nThailand and the updated mine plan for \nChallenger. Any restructure would optimise the \nGroup’s anticipated balance sheet liquidity and \noperational cash flows. Accordingly, the Group \nhas classified the total amount drawn down \nunder these facilities of $55,000,000 as a \ncurrent liability at 30 June 2013. In addition, as a \nresult of the intended restructure, $3,900,000 \nof previously capitalised borrowing costs \nrelating to the convertible loan and corporate \nloan facilities has been expensed at year end. \n\nAs security against the above loans the lender \nhas a fixed and floating charge over Kingsgate \nand its material subsidiaries. \n\nMulti-currency and syndicated loan facilities \n\nSubsequent to the end of the financial year, the \nGroup has received from its lenders a credit \napproved term sheet (subject to formal docu- \nmentation) for the restructure of the corporate \nloan and convertible loan facilities. Following \ncompletion of the restructure the total amount \noutstanding will be reduced to $40,000,000. \nThis loan will be provided through a single senior \ncorporate facility which will consist of two \ntranches: \nRestricted funds \n\nUnder the terms of the loan facilities, the Group \nis required to maintain a minimum cash balance \nof US$5,000,000 in respect of Akara. \n\n〉〉 \n\n Tranche one will be a $25,000,000 Akara \nPre IPO Bond with a maturity date of 31 \nJuly 2015. The current intention is for this \ntranche to be repaid as part of the Akara \nIPO although at Kingsgate’s election \nrepayment can be made by either cash or \nin Kingsgate’s shares. \n\n〉〉", + "page_start": 90, + "page_end": 90, + "source_file": "ASX_KCN_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210538_en.pdf", + "query": "To which countries extend the marriage regulations ?", + "target_page": 1, + "target_passage": "These Regulations extend to England and Wales. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *29th April 2021*\n\n*Coming into force -* *-* *4th May 2021*\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act \n1949(**a**). \n\n**Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \n\nChapels) Regulations 2021. \n\n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a chapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies(**b**). \n\n**Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in \nwhich banns of matrimony may be published. \n\n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under paragraph (1) must meet the requirements of \nparagraphs (4) and (5). \n\n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \n\nof a marriage, the register must be printed in such a way that it— \n\n(**a**) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(**b**) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(**c**) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other than chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \n\nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish in which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \n\nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by the member of the clergy by whom the \nmarriage was solemnized. \n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \n\nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n\n(b) provides corresponding spaces for recording information required by each of those sub- \n\nparagraphs in relation to the marriage. \n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council \nbelongs to that parochial church council. \n\n**Duty to record information about marriages solemnized according to the rites of the Church**\n**of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the \nrites of the Church of England in a church or chapel in which banns of matrimony may be \npublished. \n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the following information in relation to that \nmarriage in a register of marriage services provided to the church or chapel under regulation \n2(1)— \n\n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) \n\nthe names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n\n(g) the name and surname of each of the witnesses in whose presence the marriage was \nsolemnized; \n\n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n\n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n\n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \n\n**Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage \n\nservices has been provided under regulation 2(1) must— \n\n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \n\ntheft, loss or damage. \n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulation 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated.", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "Australia \n\nBrunei \n\nFalkland Islands \n\nFaroe Islands \n\nGibraltar \n\nIceland \n\nIsrael \n\nNew Zealand \n\nPortugal, including the Azores and Madeira \n\nSaint Helena, Ascension and Tristan da Cunha \n\nSingapore \n\nSouth Georgia and the South Sandwich Islands", + "page_start": 31, + "page_end": 31, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**Figure 32: Age classes and work-related health problems in 2007, 2013, 2020 – LFS ad hoc module**\n\nWhen looking at the**differences between countries**in 2020, the countries with the highest values are: \nPoland (36.6%), Finland (25.7%) and Sweden (20.3%); all three are far above the average. Austria, \nLuxembourg and Germany have figures close to the EU27 average of 10.3%. In most other countries \nthe response values are under or close to 6%, like in Estonia, Romania, Ireland, Latvia, Lithuania, \nHungary, Malta, Bulgaria, Greece, Croatia, Cyprus, Czechia and Slovenia.257", + "page_start": 92, + "page_end": 92, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "Colombia \n\nDemocratic Republic of the Congo \n\nEcuador \n\nEswatini \n\nEthiopia \n\nFrench Guiana \n\nGuyana \n\nIndia \n\nKenya \n\nLesotho \n\nMalawi \n\nThe Maldives \n\nMozambique \n\nNamibia \n\nNepal \n\nOman \n\nPakistan \n\nPanama \n\nParaguay \n\nPeru \n\nPhilippines \n\nQatar \n\nRwanda \n\nSeychelles \n\nSomalia \n\nSouth Africa \n\nSuriname \n\nTanzania \n\nTurkey \n\nUnited Arab Emirates \n\nUruguay \n\nVenezuela \n\nZambia \n\nZimbabwe", + "page_start": 32, + "page_end": 32, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**1.**—(1) A person (“P”), other than a person described in sub-paragraph (2), who is— \n\n(a) a member of a diplomatic mission in the United Kingdom; \n(b) a member of a consular post in the United Kingdom; \n(c) an officer or servant of an international organisation; \n(d) employed by an international organisation as an expert or on a mission; \n(e) a representative to an international organisation; \n(f) a representative at an international or United Kingdom conference who is granted \nprivileges and immunities in the United Kingdom; \n\n(g) a member of the official staff of a representative to an international organisation, or of a \n\nperson falling within paragraph (f); \n\n(h) described in paragraph (a) or (b) who is passing through the United Kingdom to \ncommence or continue their functions at a diplomatic mission or consular post in another \ncountry or territory, or to return to the country of their nationality; \n\n(i) a representative of a foreign country or territory travelling to the United Kingdom to \n\nconduct official business with the United Kingdom; \n\n(j) a representative of the government of a British overseas territory; \n(k) a diplomatic courier or a consular courier; \n(l) a member of the family forming part of the household of a person falling within any of \n\nparagraphs (a) to (k). \n(2) A person (“P”) where— \n\n(a) P either— \n\n(i) travelled to the United Kingdom for the purpose of attending or facilitating a G7 \nevent, and P is in England for the purpose of attending or facilitating a G7 event or \nof travelling in order to leave England, or \n\n(ii) travelled to the United Kingdom for another purpose, and after their arrival in \n\nEngland is attending, facilitating, or travelling to or from a G7 event; \n(b) P has been invited by Her Majesty’s Government to attend or facilitate the event; \n(c) the relevant person has provided written confirmation to the relevant Department that P \nwill comply with the health protocols for the event; and \n\n(d) the relevant Department has provided written confirmation to the relevant person that P is \n\na person described in this sub-paragraph. \n\n(3) The conditions referred to in regulation 9(15)(a)(i) (persons who are not required to comply \n\nwith regulation 9) are that— \n\n(a) the relevant head of the mission, consular post, international organisation, or conference, \noffice representing a foreign territory in the United Kingdom or a Governor of a British \noverseas territory (as the case may be), or a person acting on their authority, confirms in \nwriting to the Foreign, Commonwealth and Development Office that— \n(i) P is required to undertake work which is essential to the functioning of the mission, \nconsular post, international organisation, conference, or office, or to undertake work \nwhich is essential to the foreign country represented by the mission or consular post, \nthe foreign territory represented by the office or the British overseas territory, and \n\n(ii) that work cannot be undertaken whilst P is complying with regulation 9; and \n\n(b) prior to P’s arrival in the United Kingdom the Foreign, Commonwealth and Development \n\nOffice— \n(i) has confirmed in writing to the person giving the confirmation referred to in \nparagraph (a) that it has received that confirmation, and \n\n(ii) where P is a representative of a foreign country or territory, has then confirmed in \nwriting to the person giving the confirmation referred to in paragraph (a) that P is \ntravelling to the United Kingdom to conduct official business with the United \nKingdom and is not required to comply with regulation 9. \n\n(4) For the purposes of this paragraph— \n\n(a) “consular courier” means a person who has been provided by the State on behalf of which \nthey are acting with an official document confirming their status as a consular courier in \naccordance with Article 35(5) of the Vienna Convention on Consular Relations of 1963; \n(b) “consular post” means any consulate-general, consulate, vice-consulate or consular \n\nagency;", + "page_start": 33, + "page_end": 33, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**Regulation 19(1)(e)**\n\n**7.**Breach of regulation 8(2), (3), (4), (5), (7), (9), (10), (12) or (13) (requirement for offshore \n\nworkers to undertake tests)— \n\n(a) in the case of a first fixed penalty notice, £1,000; \n(b) in the case of a second fixed penalty notice, £2,000; \n(c) in the case of a third and subsequent fixed penalty notice, £3,000. \n\n**Regulation 19(1)(f)**\n\n**8.**Breach of regulation 9(2), (7) or (13) (requirement to self-isolate, travel to place of self- \n\nisolation or require child to self-isolate or travel to place of self-isolation)— \n\n(a) in the case of the first fixed penalty notice, £1,000; \n(b) in the case of the second fixed penalty notice, £2,000; \n(c) in the case of the third fixed penalty notice, £4,000; \n(d) in the case of the fourth and subsequent fixed penalty notice, £10,000. \n\n**Regulation 19(1)(g)**\n\n**9.**Breach of requirement in or imposed under regulation 11 (self-isolation directions) unless the \nrequirement relates to Schedule 11 (additional measures applicable to arrivals from category 3 \ncountries or territories), £1,000. \n\n**Regulation 19(1)(h)**\n\n**10.**Breach of a requirement in or imposed under regulation 11 (self-isolation directions) where \n\nthe requirement relates to Schedule 11, £10,000. \n\n**Regulation 19(1)(i) and (j)**\n\n**11.**Breach of a requirement in Schedule 11 except under paragraph 3 of that Schedule— \n\n(a) in the case of the first fixed penalty notice, £5,000; \n(b) in the case of the second fixed penalty notice, £8,000; \n(c) in the case of the third and subsequent fixed penalty notice, £10,000. \n\n**Regulation 19(1)(j)**\n\n**12.**Breach of a requirement in paragraph 3 of Schedule 11, £10,000 \n\n**Regulation 19(1)(k)**\n\n**13.**Breach of a requirement in paragraph 4 of Schedule 9 (employers’ obligations relating to \nworkforce tests)— \n\n(a) in the case of the first fixed penalty notice, £1,000; \n(b) in the case of the second fixed penalty notice, £2,000; \n(c) in the case of the third fixed penalty notice, £4,000; \n(d) in the case of the fourth and subsequent fixed penalty notice, £10,000.", + "page_start": 86, + "page_end": 86, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**Annex 1: Non‐Annex I (NAI) Parties**\n\n| 42 Dominican Republic | DOM |\n|---|---|\n| 42 Dominican Republic | DOM |\n| 43 Ecuador | ECU |\n| 44 Egypt | EGY |\n| 45 El Salvador | SLV |\n| 46 Equatorial Guinea | GNQ |\n| 47 Eritrea | ERI |\n| 48 Ethiopia | ETH |\n| 49 Fiji | FJI |\n| 50 Gabon | GAB |\n| 51 Gambia | GMB |\n| 52 Georgia | GEO |\n| 53 Ghana | GHA |\n| 54 Grenada | GRD |\n| 55 Guatemala | GTM |\n| 56 Guinea | GIN |\n| 57 Guinea-Bissau | GNB |\n| 58 Guyana | GUY |\n| 59 Haiti | HTI |\n| 60 Honduras | HND |\n| 61 India | IND |\n| 62 Indonesia | IDN |\n| 63 Iran (Islamic Republic of) | IRN |\n| 64 Iraq | IRQ |\n| 65 Israel | ISR |\n| 66 Jamaica | JAM |\n| 67 Jordan | JOR |\n| 68 Kazakhstan | KAZ |\n| 69 Kenya | KEN |\n| 70 Kiribati | KIR |\n| 71 Kuwait | KWT |\n| 72 Kyrgyzstan | KGZ |\n| 73 Lao People's Democratic Republic | LAO |\n| 74 Lebanon | LBN |\n| 75 Lesotho | LSO |\n| 76 Libya | LBY |\n| 77 Liberia | LBR |\n| 78 Madagascar | MDG |\n| 79 Malawi | MWI |\n| 80 Malaysia | MYS |\n| 81 Maldives | MDV |\n| 82 Mali | MLI |\n| 83 Marshall Islands | MHL |\n\n\n| 1 Afghanistan | AFG |\n|---|---|\n| 1 Afghanistan | AFG |\n| 2 Albania | ALB |\n| 3 Algeria | DZA |\n| 4 Andorra | AND |\n| 5 Angola | AGO |\n| 6 Antigua and Barbuda | ATG |\n| 7 Argentina | ARG |\n| 8 Armenia | ARM |\n| 9 Azerbaijan | AZE |\n| 10 Bahamas | BHS |\n| 11 Bahrain | BHR |\n| 12 Bangladesh | BGD |\n| 13 Barbados | BRB |\n| 14 Belize | BLZ |\n| 15 Benin | BEN |\n| 16 Bhutan | BTN |\n| 17 Bolivia | BOL |\n| 18 Bosnia and Herzegovina | BIH |\n| 19 Botswana | BWA |\n| 20 Brazil | BRA |\n| 21 Brunei Darussalam | BRN |\n| 22 Burkina Faso | BFA |\n| 23 Burundi | BDI |\n| 24 Cambodia | KHM |\n| 25 Cameroon | CMR |\n| 26 Cape Verde | CPV |\n| 27 Central African Republic | CAF |\n| 28 Chad | TCD |\n| 29 Chile | CHL |\n| 30 China | CHN |\n| 31 Colombia | COL |\n| 32 Comoros | COM |\n| 33 Congo | COG |\n| 34 Cook Islands | COK |\n| 35 Costa Rica | CRI |\n| 36 Cote d’Ivoire | CIV |\n| 37 Cuba | CUB |\n| 38 Democratic People’s Republic of Korea | PRK |\n| 39 Democratic Republic of the Congo | COD |\n| 40 Djibouti | DJI |\n| 41 Dominica | DMA |", + "page_start": 44, + "page_end": 44, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *20th April 2020*\n\n*Laid before the House of Commons* *21st April 2020*\n\n*Coming into force -* *-* *13th May 2020*\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013(**a**): \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the International Tax Compliance (Amendment) \n\nRegulations 2020 and come into force on 13th May 2020. \n\n**Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” substitute “19th April 2020”(**c**). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n\n(a) in the table in paragraph (2), in the column headed “the CRS”— \n\n(i) at the beginning of the entry for “new account” insert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing account” insert “subject to regulation \n\n3(4A)(a) and paragraph (3)”, and \n\n(b) after paragraph (2) insert— \n\n“(3) In respect of the accounts listed in paragraph (4)— \n\n(**a**) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not \nrelevant to these Regulations. \n(**b**) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending instruments are S.I. \n\n2017/598, 2018/490 and 2019/881. \nIn accordance with the common reporting standard for automatic exchange of financial account information developed by \nthe Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom \nexchanges information received from financial institutions under the principal Regulations with a territory which is a \n“Reportable Jurisdiction” under the CRS and with which the United Kingdom has entered into international exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrc- \ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU. \n\n(**c**)", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200438_en.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210538_en.pdf", + "query": "What the parochial church council must provide to make marriage records ?", + "target_page": 1, + "target_passage": " The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(c) in that parish in which banns of matrimony may be published.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *29th April 2021*\n\n*Coming into force -* *-* *4th May 2021*\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act \n1949(**a**). \n\n**Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \n\nChapels) Regulations 2021. \n\n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a chapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies(**b**). \n\n**Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in \nwhich banns of matrimony may be published. \n\n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under paragraph (1) must meet the requirements of \nparagraphs (4) and (5). \n\n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \n\nof a marriage, the register must be printed in such a way that it— \n\n(**a**) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(**b**) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(**c**) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other than chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \n\nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish in which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \n\nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by the member of the clergy by whom the \nmarriage was solemnized. \n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \n\nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n\n(b) provides corresponding spaces for recording information required by each of those sub- \n\nparagraphs in relation to the marriage. \n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council \nbelongs to that parochial church council. \n\n**Duty to record information about marriages solemnized according to the rites of the Church**\n**of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the \nrites of the Church of England in a church or chapel in which banns of matrimony may be \npublished. \n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the following information in relation to that \nmarriage in a register of marriage services provided to the church or chapel under regulation \n2(1)— \n\n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) \n\nthe names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n\n(g) the name and surname of each of the witnesses in whose presence the marriage was \nsolemnized; \n\n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n\n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n\n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \n\n**Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage \n\nservices has been provided under regulation 2(1) must— \n\n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \n\ntheft, loss or damage. \n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulation 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated.", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "bankrupt under any law in force in any part of the Commonwealth and has not \nbeen discharged, or has made a composition with his or her creditors and has \nnot paid his or her debts in full; or \nhe or she has been convicted of any offence involving dishonesty in any \ncountry. \n\n(b) \n\n(7) A person appointed a member of the Commission shall not enter upon the \n\nduties of the office of Commissioner until he or she has taken and subscribed the oath of \nallegiance and such oath for the due execution of his or her office as may be prescribed \nby an Act of Parliament. \n\n(8) The Commission shall regulate its own procedure and proceedings. \n(9) The Chairman shall preside over all proceedings, and in his or her absence, \nthe legal practitioner referred to in subsection (1)(b) shall preside over the proceedings. \n(10) The quorum shall be four members, one of whom shall be the Chairman or \n\nthe said legal practitioner. \n\n(11) All issues shall be decided by the decision of the majority of the members \n\npresent and voting. \n\n(12) The Commission shall be responsible for- \n\n(a) \n\nthe conduct and supervision of elections of the Elected Members of the National \nAssembly and members of a local authority, and conduct of a referendum; \ngiving instructions and directions to the Secretary of the Commission appointed \nunder section 66 in regard to the exercise of his or her functions under the \nelectoral law prescribed by an Act of Parliament; \nensuring that elections are conducted efficiently, properly, freely and fairly; and \nperforming such other functions as may be prescribed by an Act of Parliament. \n\n(c) \n(d) \n\n(13) The Commission shall on the completion of any election conducted by it, \nsubmit a report on the exercise of its functions under the preceding provisions of this \nsection to the Minister for the time being responsible for matters relating to such \nelections, and that Minister shall, not later than seven days after the National Assembly \nfirst meets after he or she has received the report, lay it before the National Assembly. \n**66. Appointment of Secretary to Independent Electoral Commission**\n\n(1) There shall be a Secretary to the Independent Electoral Commission referred \n\nto in section 65A (in this section referred to as \"the Secretary\"). \n(2) The Secretary shall be appointed by the President. \n(3) The functions of the Secretary shall, subject to the directions and supervision \n\nof the Independent Electoral Commission, be to exercise general supervision over the \nregistration of voters for elections of- \n\n(a) \n(b) the Elected Members of the National Assembly; and \nthe members of any local authority, \n\nand over the conduct of such elections. \n\n(4) A person shall not be qualified to be appointed as Secretary to the \n\nIndependent Electoral Commission if- \n\n(a) \n(b) \n\nhe or she is not a citizen of Botswana; \nhe or she has been declared insolvent or adjudged or otherwise declared \nbankrupt under any law in force in any part of the Commonwealth and has not \nbeen discharged, or has made a composition with his or her creditors and has \nnot paid his or her debts in full; or \nhe or she has been convicted of any offence involving dishonesty in any \ncountry. \n\n(c) \n\n(5) A person shall not enter upon the duties of the office of Secretary until he or \n\nshe has taken and subscribed to the oath of allegiance and such oath for the due \nexecution of his or her office as may be prescribed by an Act of Parliament.", + "page_start": 30, + "page_end": 30, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "Louis ruled through a number of councils: \n\nConseil d'en haut (\"High Council\", concerning the most important matters of \nstate)—composed of the king, the crown prince, the controller-general of \nfinances, and the secretaries of state in charge of various departments. The \nmembers of that council were called ministers of state. \nConseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces). \nConseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments). \nConseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an \nhonorary post in most cases)—this was one of the few posts in the council available to the high aristocracy.[38] \n\n**Early wars in the Low Countries**\n\n**Spain**\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had \nmarried Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees.[39] The marriage \ntreaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants.[39] Mazarin", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia5.pdf" + }, + { + "text": "**1.**—(1) A person (“P”), other than a person described in sub-paragraph (2), who is— \n\n(a) a member of a diplomatic mission in the United Kingdom; \n(b) a member of a consular post in the United Kingdom; \n(c) an officer or servant of an international organisation; \n(d) employed by an international organisation as an expert or on a mission; \n(e) a representative to an international organisation; \n(f) a representative at an international or United Kingdom conference who is granted \nprivileges and immunities in the United Kingdom; \n\n(g) a member of the official staff of a representative to an international organisation, or of a \n\nperson falling within paragraph (f); \n\n(h) described in paragraph (a) or (b) who is passing through the United Kingdom to \ncommence or continue their functions at a diplomatic mission or consular post in another \ncountry or territory, or to return to the country of their nationality; \n\n(i) a representative of a foreign country or territory travelling to the United Kingdom to \n\nconduct official business with the United Kingdom; \n\n(j) a representative of the government of a British overseas territory; \n(k) a diplomatic courier or a consular courier; \n(l) a member of the family forming part of the household of a person falling within any of \n\nparagraphs (a) to (k). \n(2) A person (“P”) where— \n\n(a) P either— \n\n(i) travelled to the United Kingdom for the purpose of attending or facilitating a G7 \nevent, and P is in England for the purpose of attending or facilitating a G7 event or \nof travelling in order to leave England, or \n\n(ii) travelled to the United Kingdom for another purpose, and after their arrival in \n\nEngland is attending, facilitating, or travelling to or from a G7 event; \n(b) P has been invited by Her Majesty’s Government to attend or facilitate the event; \n(c) the relevant person has provided written confirmation to the relevant Department that P \nwill comply with the health protocols for the event; and \n\n(d) the relevant Department has provided written confirmation to the relevant person that P is \n\na person described in this sub-paragraph. \n\n(3) The conditions referred to in regulation 9(15)(a)(i) (persons who are not required to comply \n\nwith regulation 9) are that— \n\n(a) the relevant head of the mission, consular post, international organisation, or conference, \noffice representing a foreign territory in the United Kingdom or a Governor of a British \noverseas territory (as the case may be), or a person acting on their authority, confirms in \nwriting to the Foreign, Commonwealth and Development Office that— \n(i) P is required to undertake work which is essential to the functioning of the mission, \nconsular post, international organisation, conference, or office, or to undertake work \nwhich is essential to the foreign country represented by the mission or consular post, \nthe foreign territory represented by the office or the British overseas territory, and \n\n(ii) that work cannot be undertaken whilst P is complying with regulation 9; and \n\n(b) prior to P’s arrival in the United Kingdom the Foreign, Commonwealth and Development \n\nOffice— \n(i) has confirmed in writing to the person giving the confirmation referred to in \nparagraph (a) that it has received that confirmation, and \n\n(ii) where P is a representative of a foreign country or territory, has then confirmed in \nwriting to the person giving the confirmation referred to in paragraph (a) that P is \ntravelling to the United Kingdom to conduct official business with the United \nKingdom and is not required to comply with regulation 9. \n\n(4) For the purposes of this paragraph— \n\n(a) “consular courier” means a person who has been provided by the State on behalf of which \nthey are acting with an official document confirming their status as a consular courier in \naccordance with Article 35(5) of the Vienna Convention on Consular Relations of 1963; \n(b) “consular post” means any consulate-general, consulate, vice-consulate or consular \n\nagency;", + "page_start": 33, + "page_end": 33, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "sports event specified in sub-paragraph (3). \n\n(2) The conditions specified in this sub-paragraph are that, prior to P’s departure to the United \n\nKingdom— \n\n(a) the relevant head of the mission, consular post, or office representing a foreign territory in \nthe United Kingdom, or a Governor of a British overseas territory (as the case may be), or \na person acting on their authority, confirms in writing to the Foreign, Commonwealth and \nDevelopment Office that P is required to undertake work in the United Kingdom which is \nessential to the foreign country represented by the mission or consular post, the foreign \nterritory represented by the office or the British overseas territory; and \n\n(b) the Foreign, Commonwealth and Development Office has then confirmed in writing to \n\nthe person giving the confirmation referred to in paragraph (a) that— \n(i) it has received that confirmation, and", + "page_start": 74, + "page_end": 74, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(1) The High Court shall have jurisdiction to hear and determine any question \n\nwhether- \n(a) \n\nany person has been validly elected as an Elected Member of the National \nAssembly or the seat of any such Member has become vacant; \nany person has been validly elected as Speaker of the Assembly or, having \nbeen so elected, has vacated the office of Speaker. \n\n(2) Any question whether any person has been validly elected as a Specially \n\nElected Member of the National Assembly or whether the seat of any such Member has \nbecome vacant shall be determined by the Speaker. \n\n(3) Parliament may make provision with respect to- \n\nthe persons who may apply to the High Court for the determination of any \nquestion under this section; \nthe circumstances and manner in which the conditions upon which any such \napplication may be made; and \nthe powers, practice and procedure of the High Court in relation to any such \napplication. \n**70. Clerk of the Assembly**\n\n(a) \n\n(b) \n\n(c) \n\n(1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the \n\nNational Assembly and their offices shall be offices in the public service. \n\n(2) There shall be such other offices in the department of the Clerk of the \nAssembly as may be prescribed by resolution of the National Assembly and such offices \nshall be offices in the public service. \n\n**PART II**\n**General Provisions Relating to Procedure in National Assembly (ss 71-76)**\n\n**71. Oaths to be taken by Speaker and Members**\n\nThe Speaker, before assuming the duties of his or her office, and every Member \nof the National Assembly before taking his or her seat therein, shall take and subscribe \nbefore the Assembly the oath of allegiance. \n**72. Presiding in Assembly**\n\nThere shall preside at any sitting of the National Assembly- \n\n(a) \n(b) \n(c) \n\nthe Speaker; \nin the absence of the Speaker, the Deputy Speaker; or \nin the absence of the Speaker and the Deputy Speaker, such Member of the \nAssembly (not being the President or Vice-President or a Minister or Assistant \nMinister) as the Assembly may elect for that sitting. \n\n**73. Quorum in Assembly**\n\nIf objection is taken by any Member of the National Assembly present that there \n\nare present in the Assembly (besides the person presiding) less than one third of the \nMembers of the Assembly and, after such interval as may be prescribed in the rules of \nprocedure of the Assembly, the person presiding ascertains that the number of Members \npresent is less than one third, he or she shall thereupon adjourn the Assembly. \n**74. Voting in Assembly**\n\n(1) Save as otherwise provided in this Constitution, any question proposed for \ndecision in the National Assembly shall be determined by a majority of the votes of the \nMembers present and voting. \n\n(2) ... \n(3) The person presiding in the National Assembly shall have neither an original \n\nvote nor a casting vote and if upon any question before the Assembly the votes are \nequally divided the motion shall be lost. \n**75. Unqualified persons sitting or voting**\n\nAny person who sits or votes in the National Assembly knowing or having", + "page_start": 33, + "page_end": 33, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(d) to visit a person (“D”) whom P reasonably believes is dying, and where P is a member of \nD’s household or a close family member or friend of D; \n\n(e) to attend the funeral of a member of P’s household or a close family member; \n(f) \n\nin other exceptional circumstances such as— \n(i) to seek medical assistance where this is required urgently or on the advice of a \nregistered medical practitioner including to access services from dentists, opticians, \naudiologists, chiropodists, chiropractors, osteopaths and other medical and health \npractitioners, including services relating to mental health, \n\n(ii) to access critical public services including social services or services provided to \nvictims (such as victims of crime), \n\n(iii) to avoid injury or illness or to escape risk of harm, \n(iv) to access veterinary services where this is required urgently or on the advice of a \n\nveterinary surgeon. \n\n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the \n\ngrounds mentioned in sub-paragraph (1)(c), (d) or (e)— \n\n(a) if P has been given prior permission by a person authorised by the Secretary of State for \n\nthis purpose; \n\n(b) if P complies with any reasonable requirements imposed by the person so authorised in \n\nrelation to the exercise, the visit to the person or attendance at the funeral. \n\n**Meaning of “place”**\n\n**14.**For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room \nin the designated accommodation where P is staying and, if connected to the room where P is \nstaying, the room of any person referred to in paragraph 11(a) (travelling companion), including \nany balcony, and does not include the communal areas or any garden, yard, passage, stair, garage, \nouthouse or appurtenance of the accommodation in which the place is situated. \n\n**Designations**\n\n**15.**The Secretary of State must designate for the purposes of this Schedule— \n\n(a) accommodation; \n(b) transportation to the designated accommodation, \n\nand must publish details of the designations in such manner as appears to the Secretary of State to \nbe appropriate. \n\n**Duties where P is a child**\n\n**16.**If P is a child— \n\n(a) any person who has custody or charge of P when P is travelling to England must ensure, \nso far as is reasonably practicable, that P complies with the obligations in paragraphs 5 \nand 6; \n\n(b) any person who has custody or charge of P during P’s period of self-isolation must \nensure, so far as is reasonably practicable, that P self-isolates in accordance with this \nSchedule. \n\n**Person caring for P**\n\n**17.**A person may reside in the place where P is residing pursuant to this Schedule to provide \n\nassistance P reasonably requires by reason of— \n\n(a) P being a child; or \n(b) any disability of P’s,", + "page_start": 77, + "page_end": 77, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "Select one of the following types of relationships that you want to create or add, as shown \nin Figure 11-126, and click**Next**: \n\n– Metro Mirror \n– Global Mirror (with or without Consistency Protection) \n– Global Mirror with Change Volumes", + "page_start": 603, + "page_end": 603, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "legal4_opengouvernementlicense.pdf", + "query": "What is the prison population grew in average by year between 1993 and 2008 ?", + "target_page": 8, + "target_passage": "The prison population grew rapidly between 1993 to 2008, at an average of 4% a year.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**2. Recent trends in the population**\n\nThe ‘Story of the Prison Population 1993 to 2012’ is an in-depth look at what \nhappened to the prison population between 1993 and 2012 and the major \nfactors contributing to the changes.4 \n\nThe prison population grew rapidly between 1993 to 2008, at an average of \n4% a year. This rapid rise was driven by: \n\n \n\nincreased numbers of people sentenced to immediate custody from \n1993 to 2002; \n\n \n\nincreases in the average custodial sentence length and increased use \nof indeterminate sentences; and \n\n an increase in numbers recalled to prison following breaches of the \nconditions of licence and these offenders spending longer in prison \nonce recalled. \n\nThe rise in the prison population slowed considerably from the summer of \n2008, in part due to the introduction of the Criminal Justice and Immigration \nAct (CJIA) 20085 which changed sentencing and offender management in \nways which helped to reduce growth in the prison population. \n\nThis flatter trend continued until the public disorder seen in UK cities from 6 to \n9 August 2011 which had an immediate but temporary impact on the prison \npopulation. \n\nDuring 2012 and into 2013, the prison population began to fall due to a falling \nremand population and a continued decline in the number of under 18s in \ncustody. The falling remand population during 2012 reflected falling volumes \ngoing through the courts plus the introduction, in December 2012, of \nmeasures restricting the use of remand for all offenders who would be unlikely \nto receive a custodial sentence.6 \n\nFrom the end of August 2013 to the end of October 2013, the remand \npopulation rose sharply, driving an overall increase in the prison population. \nThis was being driven by an increase in demand in the Crown Courts, \nespecially among more serious tri-able either way cases. The total population \nhas continued to rise since the beginning of 2014 and reached 85,9257 on the \n\n4 Story of the Prison Population: www.gov.uk/government/publications/story-of-the-prison- \npopulation-1993-2012 \n5 services.parliament.uk/bills/2007-08/criminaljusticeandimmigration.html \n6 http://services.parliament.uk/bills/2010-11/legalaidsentencingandpunishmentofoffenders.html \n7 www.gov.uk/government/statistics/prison-population-figures-2014 \n\n6", + "page_start": 7, + "page_end": 7, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Key points**\n\nThis bulletin presents projections of the prison population in England and \nWales from November 2014 to December 2020. The prison population \nprojections are based on assumptions about future custodial convictions and \nincorporate the anticipated impacts of agreed policy and procedural initiatives. \n\nThe “Central Scenario” estimates that the prison population will increase from \nthe current position 85,9251 to 87,700 by June 2015. By the end of June 2020 \nthe prison population is projected to be 90,200. This Central Scenario is our \nbest estimate based on the available information. The projected prison \npopulation under our Central Scenario is shown in Chart 1. \n\nThe prison population projections are produced using a model of flows of \noffenders into and out of prison which counts the resulting prison population \neach month. \n\n**Chart 1: Projected prison population (Central Scenario)**\n\n**Total Prison Population**\n**Prison population projections from November 2014 to December 2020**\n105,000 \n\n100,000 \n\n95,000 \n\n**n**\n**o**\n**i**\n**t**\n**a**\n**u**\n**p**\n**o**\n**P**\n**n**\n**o**\n**s**\n\n90,000 \n**l**\n\n85,000 \n\n**i**\n**r**\n**P**\n80,000 \n\n75,000 \n\n70,000 \n\nN \no \nv \n- \n1 \n4 M \na \nr \n- \n1 \n5 \nJ \nu \nl \n- \n1 \n5 \nN \no \nv \n- \n1 \n5 M \na \nr \n- \n1 \n6 \nJ \nu \nl \n- \n1 \n6 \nN \no \nv \n- \n1 \n6 M \na \nr \n- \n1 \n7 \nJ \nu \nl \n- \n1 \n7 \nN \no \nv \n- \n1 \n7 M \na \nr \n- \n1 \n8 \nJ \nu \nl \n- \n1 \n8 \nN \no \nv \n- \n1 \n8 M \na \nr \n- \n1 \n9 \nJ \nu \nl \n- \n1 \n9 \nN \no \nv \n- \n1 \n9 \n**Month End**\n\nCentral Scenario \n\nThe Central Scenario has been modelled assuming custodial convictions are \nbroadly in line with recent trends and average length of sentence to be flat \nbased on recent trends. \n\nThe projections do not attempt to estimate the impact of any future \nGovernment policy that is yet to achieve Royal Assent, and therefore become \nless certain over time.", + "page_start": 3, + "page_end": 3, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Contents**\n\nKey points \n\n1. Central Scenario \n\n2. Recent trends in the population \n\n3. Modelling methodology and projection scenarios \n\n4. Results \n\n5. Previous Projections \n\n6. Caveats on prison population projections \n\nAppendix A: Additional tables \n\nAppendix B: Detail of models, scenarios and assumptions \n\nContact Points for further information", + "page_start": 2, + "page_end": 2, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Appendix A: Additional tables9**\n\nAnnual tables of overall projected prison population \n\n**Table A1: Projected prison population (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 87,100 86,800 85,200 83,900 82,600 81,400 | 87,700 89,100 89,300 89,700 90,100 90,200 | 88,900 92,000 93,600 95,800 97,600 98,900 |\n\n\n**Table A2: Average projected prison population (financial year figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 2016/17 2017/18 2018/19 2019/20 | 87,000 86,200 84,700 83,400 82,200 | 88,200 89,100 89,300 89,800 90,100 | 89,700 92,400 94,100 96,300 97,900 |\n\n\n**Table A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario**\n**projections (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | 2013 | 2014 | Difference |\n| Jun-14 Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 83,400 82,100 82,000 81,600 81,500 81,800 -- | -- 87,700 89,100 89,300 89,700 90,100 90,200 | -- 6.8% 8.6% 9.4% 10.1% 10.2% -- |", + "page_start": 16, + "page_end": 16, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Prison Population Projections 2014 – 2020**\n\nThe assumptions used are based on consultation with policy and operational \nexperts at the Ministry of Justice and the National Offender Management \nService. They also take into account observed data trends: \n\n These projections represent a change from last year where the 2013 \nScenario 2 (central) saw the population gradually falling over the six \nyear lifetime of the projection. The Central Scenario in the projections \nthis year shows the population rising over the next six years. This \nchange arises from the fact that the latest projections capture a recent \nupward trend in prosecutions of more serious offences. \n\n Despite the fact that overall crime is falling there has been an increase \n\nin recorded crime for certain offence types: \n\no Prosecutions for sexual offences are the highest in the decade \nand increased by 19% in the 12 months ending June 2014, in \nline with a 21% increase in recorded crime. Offenders \nsentenced for sexual offences had an Average Custodial \nSentence Length (ASCL) of 59.7 months, a rise of 2.4 months, \ncompared with year ending June 2013. \n\no Violence against the person proceedings for indictable offences \nhave increased by 7% in the 12 months ending June 2014. This \nis in line with an 11% increase in recorded crime. \n\nFurther statistics and commentary on the changes seen in Court proceedings \nand sentencing over the last year is presented in the Criminal Justice System \nStatistics Quarterly publication. This is available online on GOV.UK at: \nwww.gov.uk/government/collections/criminal-justice-statistics-quarterly", + "page_start": 4, + "page_end": 4, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Prison Population Projections 2014 – 2020**\n\n21 November 2014. The latest projections assume demand in the courts \nremains at this higher level. \n\nTable 1 summarises these changes. \n\n**Table 1: Population in custody changes from 2006 to 2014**\n\n| | Offender Management Statistics | | Year on year %\ndifference |\n|---|---|---|---|\n| | Offender Management Statistics | | Year on year % difference |\n| | Start of Year | End of Year | |\n| June 2006 to June 2007 June 2007 to June 2008 June 2008 to June 2009 June 2009 to June 2010 June 2010 to June 2011 June 2011 to June 2012 June 2012 to June 2013 June 2013 to June 2014 | 77,982 79,734 83,194 83,454 85,002 85,374 86,048 83,842 | 79,734 83,194 83,454 85,002 85,374 86,048 83,842 85,509 | 2.2% 4.3% 0.3% 1.9% 0.4% 0.8% -2.6% 2.0% |\n\n\nFurther statistics and commentary on the changes seen in prison population \nover the last year, is presented in the Offender Management Statistics \nQuarterly publication. This is available online on GOV.UK at: \nwww.gov.uk/government/collections/offender-management-statistics-quarterly", + "page_start": 8, + "page_end": 8, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Prison Population Projections 2014 – 2020**\n\nAt the core of the method is a model of flows of offenders into and out of \nprison which counts the resulting prison population each month for sentenced, \nrecall and remand prisoners. \n\nInputs to the prison projections model include projections of future custodial \nconvictions. These are generated from time series projections of numbers of \ndefendants entering the criminal courts and take into account the age, gender \nand offence of defendants entering the system, the flow of cases through the \ncourts and the sentences which concluded cases attract. \n\nThe prison projections model monitors the sizes of the sentenced, recall and \nremand prison populations. These populations depend on the inflows defined \nabove and the outflows. These outflows are defined by observed distributions \nof custodial sentence lengths, and the proportion of custodial sentences \nserved for subsets of these populations. The model also simulates the ageing \nof the prison population over time. \n\nThe projection model is based on data up to June 2014 from various sources \nincluding court proceedings and performance data, sentencing data and \nprison receptions and population data. \n\nThe results of the prison projections model are supplemented with an estimate \nof the future non-criminal and fine defaulter populations, which is based on the \nlatest available data to September 2014. \n\nThree scenarios have been modelled. These scenarios track the impact of \nthree different incremental changes in sentencing behaviour: \n\n The Central Scenario assumes custodial convictions are broadly in line \nwith recent trends. The average length of sentence is assumed to be \nflat based on recent trends in sentence lengths. This broadly reflects \nthe assumptions for Scenario 2 in the November 2013 projections. \n\nWe also consider two illustrative scenarios \n\n Scenario 1 assumes that custodial convictions will fall against recent \ntrends. The average length of sentence is assumed to be lower than \nwhat has been observed in recent trends in sentence lengths. \n\n Scenario 2 assumes a rise in custodial convictions when compared to \nrecent trends. Also the average length of sentence is assumed to be \nhigher than what has been observed in recent trends in sentence \nlengths. \n\nThe three scenarios also incorporate the impact of: \n\n \n\ntrends in the age, gender and offence of defendants entering the \nsystem and in the flow of cases through the courts;", + "page_start": 10, + "page_end": 10, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**3a) Producing prison population projections**\n\nPrison population projections are produced using the Prison Population Stock- \nFlow Model. The principal sub-populations in prison – determinate sentence, \nlife sentence, imprisonment for public protection (IPP) and remand – are \nmodelled using stock-flow structures based on the generic structure shown in \nFigure B2. The stock-flow structures model the flow of offenders into and out \nof prison and count the resulting prison population at the end of each month. \n\n**Figure B2: Generic stock-flow structure in the Prison Population Stock-Flow**\n**Model**\n\n| eecceeppttiioonnss // PPrree--ttaarriiffff eennddss | PPrriissoonn PPooppuullaattiioonn | DDiisscchhaarrggeess |\n|---|---|---|\n| eecceeppttiioonnss // PPrree--ttaarriiffff eennddss | PPrriissoonn PPooppuullaattiioonn | DDiisscchhaarrggeess |\n\n\nAverage Time Served \nAverage Time Served \n\nFor the determinate population, the monthly inflows to prison are based on the \ncustodial convictions projections described above. These custodial convictions \ninclude offenders that may already be serving a sentence for a previous crime \nor those who would serve their whole custodial sentence on remand, meaning \nthat they would not be a new reception to prison. To convert from custodial \nconvictions to prison receptions we apply a conversion ratio derived from the \nhistorical proportions of custodial convictions to prison receptions for each \nsub-population averaged over the last twelve months of historical data (April \n2013 to March 2014 inclusive). \n\nMonthly outflows for the determinate population are based on observed \ncustodial sentence lengths and the observed percentage of sentence length \nserved taken from October 2013 to April 2014. Each projected offender that \nenters the model is given a custodial sentence length that is randomly \nselected from the relevant distribution. These distributions are populated with \ncustodial sentence lengths from actual offender receptions who share the \nsame characteristics of offence, gender and age group in the observed time \nperiod. The percent of custodial sentence length served is derived in the same \nmanner, except that the observed distribution is made up of discharged \noffenders further disaggregated by custodial sentence length band. \n\nFor offenders who receive the new EDS sentence an adjustment is made to \nthe percent of custodial length served to reflect that these offenders will spend \na greater proportion of their sentence in custody than standard determinate \nsentenced offenders discharged to date. \n\nProjected prison receptions are sub-divided by age category (Juvenile, Young \nAdult, Adult) with the exact age of the offender attributed in the same manner \nas the custodial sentence lengths. This allows the model to explicitly age the \noffenders whilst in prison (e.g. move from Juvenile to Young Adult categories).", + "page_start": 26, + "page_end": 26, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**4. Results**\n\nThe Central Scenario estimates that the prison population will rise to 87,700 \nby the end of June 2015 and to 90,200 by the end of June 2020. \n\nChart 2 presents Prison population projections from November 2014 to \nDecember 2020. \n\n**Chart 2: Projected monthly prison population (all scenarios)**\n\n**Total Prison Population**\n**Prison population projections from November 2014 to December 2020**\n105,000 \n\n100,000 \n\n95,000 \n\n**n**\n**o**\n**i**\n**t**\n**a**\n**l**\n**u**\n**p**\n**o**\n**P**\n**n**\n**o**\n**s**\n**i**\n**r**\n**P**\n\n90,000 \n\n85,000 \n\n80,000 \n\n75,000 \n\n70,000 \n\nN \no \nv \n- \n1 \n4 M \na \nr \n- \n1 \n5 \nJ \nu \nl \n- \n1 \n5 \nN \no \nv \n- \n1 \n5 M \na \nr \n- \n1 \n6 \nJ \nu \nl \n- \n1 \n6 \nN \no \nv \n- \n1 \n6 M \na \nr \n- \n1 \n7 \nJ \nu \nl \n- \n1 \n7 \nN \no \nv \n- \n1 \n7 M \na \nr \n- \n1 \n8 \nJ \nu \nl \n- \n1 \n8 \nN \no \nv \n- \n1 \n8 M \na \nr \n- \n1 \n9 \nJ \nu \nl \n- \n1 \n9 \nN \no \nv \n- \n1 \n9 \n**Month End**\n\nScenario 1 Central Scenario \n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 \nby the end of June 2015 and then fall to 81,400 by the end of June 2020. \n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 \nby the end of June 2015 and to 98,900 by the end of June 2020. \n\nThe projected trends reflect the cumulative impacts of the various sentencing, \nlegislative and procedural assumptions that are used to generate the \nprojections. The seasonal pattern reflects the dip in the prison population \nwhich is always seen around the Christmas period. \n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by \nJune 2020. The projected population increase is largely due to the recent \ntrends in case mix where we have seen more serious cases come before the \ncourts. This results in offenders receiving longer custodial sentence lengths, \nwhich in turn places an upward pressure on the prison population. The growth \nin this scenario is largely driven by the rise in the determinate population \nwhich is projected to grow to 60,200 by June 2020. This is partially due to the", + "page_start": 12, + "page_end": 12, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**5. Previous Projections**\n\nAt the end of September 2014 the published prison population was within 1.8 \n% of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 \nScenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does \nnot indicate which scenario the actual prison population will track going \nforward. \n\nDifferences between the 2013 projections and the actual population could be \nexplained by changes, different to those projected, in overall demand, offence \nmix, age and gender of defendants, court routes, custody rates or sentence \nlengths. \n\nChart 3 plots the 2014 Central Scenario projection against the three 2013 \nprison population projections. The 2014-2020 Central Scenario projection is \nabove all three scenarios from last year. The higher level of the new \nprojections can be attributed to a more serious case mix coming into the \ncourts with a resulting increase in average custodial sentence lengths. The \nprojection for June 2019 in the Central Scenario this year is 10.2 % above the \nequivalent scenario (Scenario 2) last year. \n\n**Chart 3: Comparing 2013 and 2014 projections (November 2014 – December**\n**2020)**\n\n**Total Prison Population**\n**Prison population projections from November 2014 to December 2020**\n95,000 \n\n**n**\n**o**\n**i**\n**t**\n**a**\n**l**\n**u**\n**p**\n**o**\n**P**\n**n**\n**o**\n**s**\n**i**\n**r**\n**P**\n\n85,000 \n\n80,000 \n\nM \na \nr \n- \n1 \n7 \nJ \nu \nl \n- \n1 \n7 \nN \no \nv \n- \n1 \n7 M \na \nr \n- \n1 \n8 \nJ \nu \nl \n- \n1 \n8 \nN \no \nv \n- \n1 \n8 M \na \nr \n- \n1 \n9 \nJ \nu \nl \n- \n1 \n9 \nN \no \nv \n- \n1 \n9 \n**Month End**\n\n2013 Scenario 1 2013 Scenario 2", + "page_start": 14, + "page_end": 14, + "source_file": "legal4_opengouvernementlicense.pdf" + } + ] + }, + { + "references": { + "source_file": "legal4_opengouvernementlicense.pdf", + "query": "Do you know the prison population estimation for the and of June 2020 ?", + "target_page": 13, + "target_passage": "The Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020. ", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**Prison Population Projections 2014 – 2020**\n\nAnnual tables of subgroups within the overall projected prison population \n\n**Table A4: Projected determinate sentence prison population (end of June**\n**figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 54,600 54,400 53,500 52,600 51,800 51,000 | 55,500 57,000 57,900 58,800 59,600 60,200 | 56,600 60,000 62,300 64,900 67,200 68,900 |\n\n\n**Table A5: Projected indeterminate sentence prison population (end of June**\n**figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 12,200 11,700 11,000 10,500 10,100 9,600 | 12,200 11,700 11,000 10,500 10,100 9,600 | 12,200 11,700 11,000 10,500 10,100 9,600 |\n\n\n**Table A6: Projected remand prison population (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 12,900 13,000 12,900 13,000 13,000 13,000 | 12,300 12,300 12,300 12,300 12,300 12,300 | 11,700 11,600 11,600 11,600 11,700 11,700 |\n\n\n**Table A7: Projected recall prison population (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 5,400 5,700 5,800 5,800 5,800 5,800 | 5,700 6,100 6,100 6,100 6,100 6,100 | 6,300 6,700 6,800 6,800 6,800 6,800 |", + "page_start": 17, + "page_end": 17, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Prison Population Projections**\n**2014 – 2020**\n**England and Wales**\n\nMinistry of Justice \nStatistics Bulletin", + "page_start": 0, + "page_end": 0, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Key points**\n\nThis bulletin presents projections of the prison population in England and \nWales from November 2014 to December 2020. The prison population \nprojections are based on assumptions about future custodial convictions and \nincorporate the anticipated impacts of agreed policy and procedural initiatives. \n\nThe “Central Scenario” estimates that the prison population will increase from \nthe current position 85,9251 to 87,700 by June 2015. By the end of June 2020 \nthe prison population is projected to be 90,200. This Central Scenario is our \nbest estimate based on the available information. The projected prison \npopulation under our Central Scenario is shown in Chart 1. \n\nThe prison population projections are produced using a model of flows of \noffenders into and out of prison which counts the resulting prison population \neach month. \n\n**Chart 1: Projected prison population (Central Scenario)**\n\n**Total Prison Population**\n**Prison population projections from November 2014 to December 2020**\n105,000 \n\n100,000 \n\n95,000 \n\n**n**\n**o**\n**i**\n**t**\n**a**\n**u**\n**p**\n**o**\n**P**\n**n**\n**o**\n**s**\n\n90,000 \n**l**\n\n85,000 \n\n**i**\n**r**\n**P**\n80,000 \n\n75,000 \n\n70,000 \n\nN \no \nv \n- \n1 \n4 M \na \nr \n- \n1 \n5 \nJ \nu \nl \n- \n1 \n5 \nN \no \nv \n- \n1 \n5 M \na \nr \n- \n1 \n6 \nJ \nu \nl \n- \n1 \n6 \nN \no \nv \n- \n1 \n6 M \na \nr \n- \n1 \n7 \nJ \nu \nl \n- \n1 \n7 \nN \no \nv \n- \n1 \n7 M \na \nr \n- \n1 \n8 \nJ \nu \nl \n- \n1 \n8 \nN \no \nv \n- \n1 \n8 M \na \nr \n- \n1 \n9 \nJ \nu \nl \n- \n1 \n9 \nN \no \nv \n- \n1 \n9 \n**Month End**\n\nCentral Scenario \n\nThe Central Scenario has been modelled assuming custodial convictions are \nbroadly in line with recent trends and average length of sentence to be flat \nbased on recent trends. \n\nThe projections do not attempt to estimate the impact of any future \nGovernment policy that is yet to achieve Royal Assent, and therefore become \nless certain over time.", + "page_start": 3, + "page_end": 3, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**4. Results**\n\nThe Central Scenario estimates that the prison population will rise to 87,700 \nby the end of June 2015 and to 90,200 by the end of June 2020. \n\nChart 2 presents Prison population projections from November 2014 to \nDecember 2020. \n\n**Chart 2: Projected monthly prison population (all scenarios)**\n\n**Total Prison Population**\n**Prison population projections from November 2014 to December 2020**\n105,000 \n\n100,000 \n\n95,000 \n\n**n**\n**o**\n**i**\n**t**\n**a**\n**l**\n**u**\n**p**\n**o**\n**P**\n**n**\n**o**\n**s**\n**i**\n**r**\n**P**\n\n90,000 \n\n85,000 \n\n80,000 \n\n75,000 \n\n70,000 \n\nN \no \nv \n- \n1 \n4 M \na \nr \n- \n1 \n5 \nJ \nu \nl \n- \n1 \n5 \nN \no \nv \n- \n1 \n5 M \na \nr \n- \n1 \n6 \nJ \nu \nl \n- \n1 \n6 \nN \no \nv \n- \n1 \n6 M \na \nr \n- \n1 \n7 \nJ \nu \nl \n- \n1 \n7 \nN \no \nv \n- \n1 \n7 M \na \nr \n- \n1 \n8 \nJ \nu \nl \n- \n1 \n8 \nN \no \nv \n- \n1 \n8 M \na \nr \n- \n1 \n9 \nJ \nu \nl \n- \n1 \n9 \nN \no \nv \n- \n1 \n9 \n**Month End**\n\nScenario 1 Central Scenario \n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 \nby the end of June 2015 and then fall to 81,400 by the end of June 2020. \n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 \nby the end of June 2015 and to 98,900 by the end of June 2020. \n\nThe projected trends reflect the cumulative impacts of the various sentencing, \nlegislative and procedural assumptions that are used to generate the \nprojections. The seasonal pattern reflects the dip in the prison population \nwhich is always seen around the Christmas period. \n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by \nJune 2020. The projected population increase is largely due to the recent \ntrends in case mix where we have seen more serious cases come before the \ncourts. This results in offenders receiving longer custodial sentence lengths, \nwhich in turn places an upward pressure on the prison population. The growth \nin this scenario is largely driven by the rise in the determinate population \nwhich is projected to grow to 60,200 by June 2020. This is partially due to the", + "page_start": 12, + "page_end": 12, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Contents**\n\nKey points \n\n1. Central Scenario \n\n2. Recent trends in the population \n\n3. Modelling methodology and projection scenarios \n\n4. Results \n\n5. Previous Projections \n\n6. Caveats on prison population projections \n\nAppendix A: Additional tables \n\nAppendix B: Detail of models, scenarios and assumptions \n\nContact Points for further information", + "page_start": 2, + "page_end": 2, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Appendix A: Additional tables9**\n\nAnnual tables of overall projected prison population \n\n**Table A1: Projected prison population (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 87,100 86,800 85,200 83,900 82,600 81,400 | 87,700 89,100 89,300 89,700 90,100 90,200 | 88,900 92,000 93,600 95,800 97,600 98,900 |\n\n\n**Table A2: Average projected prison population (financial year figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 2016/17 2017/18 2018/19 2019/20 | 87,000 86,200 84,700 83,400 82,200 | 88,200 89,100 89,300 89,800 90,100 | 89,700 92,400 94,100 96,300 97,900 |\n\n\n**Table A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario**\n**projections (end of June figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | 2013 | 2014 | Difference |\n| Jun-14 Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 83,400 82,100 82,000 81,600 81,500 81,800 -- | -- 87,700 89,100 89,300 89,700 90,100 90,200 | -- 6.8% 8.6% 9.4% 10.1% 10.2% -- |", + "page_start": 16, + "page_end": 16, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Table A10: Projected male 21 years and over prison population (end of June**\n**figures)**\n\n| Scenario | Males 21 years and over | | | | | |\n|---|---|---|---|---|---|---|\n| Scenario | Males 21 years and over | | | | | |\n| | Total Population | | | Determinates | | |\n| | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 76,500 75,800 74,400 73,200 72,200 71,100 | 77,100 78,300 78,500 78,900 79,300 79,400 | 78,700 82,000 83,700 85,800 87,500 88,700 | 47,400 46,800 45,900 45,200 44,600 44,000 | 48,200 49,500 50,400 51,300 52,000 52,600 | 49,800 53,300 55,700 58,200 60,300 62,000 |\n| | | | | | | |\n| Scenario | Indeterminates | | | Remand | | |\n| | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 11,700 11,200 10,500 10,100 9,600 9,200 | 11,700 11,200 10,500 10,100 9,600 9,200 | 11,700 11,200 10,500 10,100 9,600 9,200 | 10,800 10,800 10,800 10,800 10,900 10,800 | 10,200 10,200 10,200 10,200 10,200 10,200 | 9,600 9,600 9,500 9,600 9,600 9,600 |\n| | | | | | | |\n| Scenario | Recall | | | Non Criminal | | |\n| | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 4,900 5,200 5,300 5,300 5,300 5,300 | 5,200 5,500 5,600 5,600 5,600 5,600 | 5,800 6,100 6,100 6,100 6,100 6,100 | 1,700 1,700 1,700 1,700 1,700 1,700 | 1,700 1,700 1,700 1,700 1,700 1,700 | 1,700 1,700 1,700 1,700 1,700 1,700 |\n\n\n**Table A11: Projected male 18-20 years old prison population (end of June**\n**figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 5,700 6,300 6,200 6,200 6,100 6,000 | 5,700 5,900 5,900 5,900 5,900 5,900 | 5,300 4,900 4,700 4,800 4,800 4,800 |", + "page_start": 19, + "page_end": 19, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Table A8: Projected non-criminal prison population (end of June figures)10**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 1,800 1,800 1,800 1,800 1,800 1,800 | 1,800 1,800 1,800 1,800 1,800 1,800 | 1,800 1,800 1,800 1,800 1,800 1,800 |\n\n\n**Table A9: Projected fine defaulter prison population (end of June figures)8**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 100 100 100 100 100 100 | 100 100 100 100 100 100 | 100 100 100 100 100 100 |", + "page_start": 18, + "page_end": 18, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Table A12: Projected female 18 years and over prison population (end of June**\n**figures)**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 4,100 3,900 3,800 3,600 3,600 3,500 | 4,100 4,100 4,100 4,100 4,200 4,200 | 4,300 4,600 4,700 4,800 4,900 4,900 |\n\n\n**Table A13: Projected 15-17 years old prison population (end of June figures)11**\n\n| | Sentencing Scenarios | | |\n|---|---|---|---|\n| | Sentencing Scenarios | | |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 Jun-16 Jun-17 Jun-18 Jun-19 Jun-20 | 700 800 800 800 800 800 | 700 800 800 800 700 800 | 600 500 500 500 500 500 |", + "page_start": 20, + "page_end": 20, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**Prison Population Projections 2014 – 2020**\n\nThe assumptions used are based on consultation with policy and operational \nexperts at the Ministry of Justice and the National Offender Management \nService. They also take into account observed data trends: \n\n These projections represent a change from last year where the 2013 \nScenario 2 (central) saw the population gradually falling over the six \nyear lifetime of the projection. The Central Scenario in the projections \nthis year shows the population rising over the next six years. This \nchange arises from the fact that the latest projections capture a recent \nupward trend in prosecutions of more serious offences. \n\n Despite the fact that overall crime is falling there has been an increase \n\nin recorded crime for certain offence types: \n\no Prosecutions for sexual offences are the highest in the decade \nand increased by 19% in the 12 months ending June 2014, in \nline with a 21% increase in recorded crime. Offenders \nsentenced for sexual offences had an Average Custodial \nSentence Length (ASCL) of 59.7 months, a rise of 2.4 months, \ncompared with year ending June 2013. \n\no Violence against the person proceedings for indictable offences \nhave increased by 7% in the 12 months ending June 2014. This \nis in line with an 11% increase in recorded crime. \n\nFurther statistics and commentary on the changes seen in Court proceedings \nand sentencing over the last year is presented in the Criminal Justice System \nStatistics Quarterly publication. This is available online on GOV.UK at: \nwww.gov.uk/government/collections/criminal-justice-statistics-quarterly", + "page_start": 4, + "page_end": 4, + "source_file": "legal4_opengouvernementlicense.pdf" + } + ] + }, + { + "references": { + "source_file": "legal4_opengouvernementlicense.pdf", + "query": "What is the phone number of the Ministry of Justice press office ?", + "target_page": 30, + "target_passage": "Press enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536 ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Contact Points for further information**\n\nCurrent and previous editions of this publication are available for download \nfrom www.justice.gov.uk/publications/statistics-and-data/index.htm \n\nPress enquiries should be directed to the Ministry of Justice press office, \ntelephone: 020 3334 3536 \n\nOther enquiries about these statistics should be directed to: \n\nJustice Statistics Analytical Services \nMinistry of Justice \n7th Floor \n102 Petty France \nLondon \nSW1H 9AJ \n\nGeneral enquiries about the statistical work of the Ministry of Justice can be e- \nmailed to: statistics.enquiries@justice.gsi.gov.uk \n\nGeneral information about the official statistics system of the UK is available \nfrom www.statistics.gov.uk", + "page_start": 29, + "page_end": 29, + "source_file": "legal4_opengouvernementlicense.pdf" + }, + { + "text": "**FOR FURTHER INFORMATION,**\n**PLEASE CONTACT**\n\n**Investor Relations**\n**Nissan Motor Co., Ltd.**\nGlobal Communications, CSR and IR Division \n17-1, Ginza 6-chome, Chuo-ku \nTokyo 104-8023, Japan \nphone: +81(0)3-5565-2334 \nfax: +81(0)3-3546-2669 \ne-mail: nissan-ir@mail.nissan.co.jp", + "page_start": 111, + "page_end": 111, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**GETTING IN TOUCH WITH THE EU**\n\n**In person**\n\nAll over the European Union there are hundreds of Europe Direct centres. You can find the address of the centre nearest you online \n(european-union.europa.eu/contact-eu/meet-us_en). \n\nOn the phone or in writing \n\nEurope Direct is a service that answers your questions about the European Union. You can contact this service: \n\n• by freephone: 00 800 6 7 8 9 10 11 (certain operators may charge for these calls), \n\n• at the following standard number: +32 22999696, \n\n• via the following form: european-union.europa.eu/contact-eu/write-us_en. \n\n**FINDING INFORMATION ABOUT THE EU**\n\n**Online**\n\nInformation about the European Union in all the official languages of the EU is available on the Europa website \n(european-union.europa.eu). \n\n**EU publications**\n\nYou can view or order EU publications at op.europa.eu/en/publications. 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The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of signing this framework contract by [*forename, surname, function,*\n*directorate of authorising officer*], \n\nof the one part and \n\n2. [*Full official name*] \n\n[*Official legal form*] \n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*] \n\n[*VAT registration number*] \n\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n|---|---|---|\n| [ | appointed as the leader of the group by the members of the group that submitted the | |\n| joint tender | | ] |\n\n\n[*For joint tenders,*r*epeat these data as many times as there are contractors and continue*\n*numbering*] \n\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n|---|---|---|\n| framework contract by [ | forename, surname, function of legal representative and name of | |\n| company in the case of a joint tender | | ], |\n\n\non the other part, \n\nto the**special conditions,**the**general conditions for framework contracts**for \nservices and the following annexes: \n\n**Annex I –** Tender specifications (reference No [*complete*] of [*insert date*]) \n\n**Annex II**– Contractor’s tender (reference No [*complete*] of [*insert date*]) \n\n**Annex III –**[Model for order forms] [and] [model for specific contracts] \n\n1", + "page_start": 0, + "page_end": 0, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "**3.5 Help Desk**\n\n**3.5.1 How to contact the Portal’s Help Desk**\n\nThe European Data Portal Help Desk can be contacted: \n\n•**By email**: help@europeandataportal.eu \n\n•**By phone**: the Portal’s Help Desk is staffed by a multilingual team of experts, who can be \n\ncontacted from Monday to Friday from 09:30 to 17:30 (CET). \n\no EN: (+352) 31 44 01-448 \n\no FR: (+352) 31 44 01-449 \n\n• By providing comments and suggestions via the**online contact/feedback form**available from \n\nthe Portal’s home page. \n\nFrom the header:", + "page_start": 47, + "page_end": 47, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| | | |\n| | | |\n| | | NEWSUSA Contact Us Work From Home Privacy Policy Terms of Use |\n| | | © Copyright NewsUSA 2025. All Rights Reserved. |\n| | | |", + "page_start": 4, + "page_end": 4, + "source_file": "news3.pdf" + }, + { + "text": "| | | | | | |\n|---|---|---|---|---|---|\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Corporate Headquarters European Headquarters Euronet Worldwide Euronet Worldwide 4601 College Boulevard, Suite 300 Horvát u. 14-24. Leawood, Kansas 66211 1027 Budapest, Hungary Tel: 913-327-4200 Tel: 36-1-224-1000 Fax: 913-327-1921 Fax: 36-1-224-1013 © 2001 Euronet Worldwide 021 03/01 All trademarks are property of their respective owners. www.euronetworldwide.com | | | | | |", + "page_start": 47, + "page_end": 47, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "| | | | | | | FRAMEWORK CONTRACT\nORDER FORM | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | FRAMEWORK CONTRACT ORDER FORM | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | Directorate | | | | | | | | Order number: | | | (Name and address of contractor) | | | | | | | | | | | |\n| | and unit: | | | | | | | | | Order number: | | | | | | | | | | | | | |\n| | | | | | | | | | | Currency of payment: | | | | | | | | | | | | | |\n| | | | | | | | | | | EUR | | | | | | | | | | | | | |\n| Tel.: | | | | | | | | | | Tender (date and | | | | | | | | | | | | | |\n| | | | | | | | | | | reference): | | | | | | | | | | | | | |\n| E-mail: | | | | | | | | | | | | | | | | | | | | | | | |\n| This order is governed by Framework Contract No _ECHA/2019/355___ in force from __________ to ___________ | | | | | | | | | | | | | | | | | | | | | | | |\n| LISTING OF THE SUPPLIES / SERVICES | | | | | | | | | | | | UNIT | | | QUANTITY | | | PRICE in € | | | | | |\n| | | | | | | | | | | | | | | | | | | | PRICE in € | | | | |\n| and code | | | | | | | | | | | | | | | | | | | UNIT | | TOTAL | | |\n| | | | | | | | | | | | | | | | | | | | PRICE | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| In accordance with Articles 3 and 4 of the Protocol on the Privileges and Immunities of the European Union, the Commission is exempt from all taxes and dues, including value added tax, on payments due under this contract. For intra-community purchases, the statement ’VAT Exemption / European Union / Article 151 of Council Directive 2006/112/EC’ should be added on the invoice. | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | VAT | | | | | | | | | | | |\n| | | | | | | | | | | | | | VAT | | | | | | | | | | |\n| | | | | | | | | | | | | | TOTAL | | | | | | | | | | |", + "page_start": 45, + "page_end": 45, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "Bangkok Office \nAkara Resources Public Company Limited \n\n19th Floor, Sathorn Thani Building 2 \nNo. 92/54-55 North Sathorn Road \nKwaeng Silom, Khet Bangrak \nBangkok 10500 \nThailand \nTel: \nFax: +66 2 233 9469 \n+66 2 236 5512 \n\nDirectors \n\nRoss Smyth-Kirk (Chairman) \n\nGavin Thomas (Managing Director) \n\nPeter Alexander \n\nCraig Carracher \n\nPeter McAleer \n\nCompany Secretary \n\nRoss Coyle \n\nChief Executive Officer \n\nGavin Thomas \n\nStock Exchange Listing \n\nShare Registry \nSecurity Transfer Registrars Pty Ltd \n\n770 Canning Highway \nApplecross WA 6153 \nPO Box 535 \nApplecross WA 6953 \nAustralia \nTel: \nFax: \nEmail: registrar@securitytransfer.com.au \nWebsite: www.securitytransfer.com.au \n\n+61 8 9315 2333 \n+61 8 9315 2233 \n\nADR Depository \n\n(American Depository Receipts) \nThe Bank of New York Mellon \nADR Division \n101 Barclay Street, 22nd Floor \nNew York, NY 10286 \nUSA \nTel: +1 212 815 2293 \n\nAuditor \nPricewaterhouseCoopers \n\nChatree Mine Office \nAkara Resources Public Company Limited \n\nNo. 99 Moo 9, Tambon Khao Luk \nAmphur Thap Khlo \nPhichit 66230 \nThailand \nTel: \nFax: +66 56 614 500 \n+66 56 614 195 \n\nKingsgate Consolidated Limited is a Company \nlimited by shares, listed on the Australian Stock \nExchange under the code KCN. The Company’s \nshares also trade in the United States of America \nover-the-counter (OTC) as an American \nDepository Receipt (ADR) under the code OTC: \nKSKGY. \n\nThailand Exploration Office \nIssara Mining Limited \n\n| Number | Expiry Date | Strike Price |\n|---|---|---|\n| Number | Expiry Date | Strike Price |\n\n\nRegistered Office & \nPrincipal Business Address \nKingsgate Consolidated Limited \n+66 56 649 253 \n+66 56 649 082 \nTel: \nFax: +61 2 8266 0000 \n+61 2 8266 9999 \n\nSuite 801, Level 8, 14 Martin Place \nSydney NSW 2000 \nAustralia \nTel: \nFax: \nEmail: \n\nChallenger Mine \nChallenger Gold Operations Pty Ltd \n\n+61 2 8256 4800 \n+61 2 8256 4810 \ninfo@kingsgate.com.au \n\nC/- 14 Lum Street \nExport Park SA 5950 \nAustralia \nTel: \nFax: +61 8 8450 0100 \n+61 8 8234 3956 \n\nChile Office \nLaguna Resources Chile Ltda \n\nSan Pio X 2460 oficina 508 \nProvidencia, Santiago \nChile \nTel: +56 2 2231 7565", + "page_start": 116, + "page_end": 116, + "source_file": "ASX_KCN_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", + "query": "What is SOLR ?", + "target_page": 4, + "target_passage": "Search engine used for portal content search and dataset search ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| Acronym | Description |\n|---|---|\n| Acronym | Description |\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |\n\n\n*Table 1-2: Abbreviations and Acronyms*", + "page_start": 4, + "page_end": 4, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "9.2 SPARQL Queries \nSPARQL is a powerful language, and one could write a whole book about it. In fact, there are books \nwritten about it. The best one I have seen is the O’Reilly book Learning SPARQL by Bob DuCharme. \nThis is an excellent book that not only goes into SPARQL but into topics such as RDF/RDFS and how \ntriples are used to represent all information in OWL. I will only touch on those issues here, there is much \nmore to say about them and DuCharme’s book is a great place to learn more. If some of the following is a \nbit hard to understand don’t be discouraged. This is just an attempt to give a very high level introduction \nto something that requires significant study to really understand. \n\nEssentially SPARQL is to the Semantic Web and Knowledge Graphs as SQL is to relational databases. \nJust as SQL can do more than just query, it can also assert new information into a database, so SPARQL \ncan as well. The current SPARQL plugins for Protégé are somewhat limited and don’t support the \nstatements such as INSERT for entering new data so we will just cover the basics of using SPARQL as a \nquery language but keep in mind there is a lot more to it than what we briefly cover here. \n\n| To start with go to the | SPARQL Query | |\n|---|---|---|\n| To start with go to the | SPARQL Query | |\n| Window>Tabs>SPARQL Query | | . This |", + "page_start": 67, + "page_end": 67, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "**3.7 SPARQL Manager**\n\nThe SPARQL Manager provides a graphical user interface (GUI) for sending user defined queries to \nthe Virtuoso SPARQL query engine. \n\nThe powerful SPARQL Protocol and RDF Query Language are primarily aimed at professionals for \nquerying metadata as Linked Data. A basic knowledge of the DCAT-AP specification is highly \nrecommended. \n\nIn the future, users of the SPARQL Manager will be able to save their queries for scheduled \nexecution. Additionally a notification will be send to the user when a result has changed. \n\nClicking the info icon in the upper right corner will display a step-by-step walkthrough of all \ncomponents with a short info about their function. \n\nThis is possible in both of modes of the SPARQL Manager, the search and the assistant mode, which \nwill be described in the following sections. \n\n**3.7.1 SPARQL Search**\n\n\n\nIn this mode you can load some predefined example queries from the right side into the editable text \narea to introduce yourself with the very basic SPARQL syntax. Limiting the number of returned \nresults is possible by selecting a value from the Limit-dropdown or by editing the query directly. \nFurthermore the format for the result can be selected. After clicking the Search-Button the result is \ndisplayed in Result data preview area below. The preview may be truncated depending on the size of \nthe result. The complete result could always be downloaded as a file by clicking the Download-link on \nthe right side.", + "page_start": 53, + "page_end": 53, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**Document indexing**\n*Document indexing*is used for reports that contain logical items, such as customer name or \nnumber. Each of the items in a report can be individually indexed on values, such as account \nnumber, customer name, and balance. Content Manager OnDemand supports up to 128 \nindex values per item. With document indexing, the user is not necessarily required to know \nabout reports or report cycles to retrieve a document from Content Manager OnDemand. \n\n**Report indexing**\n*Report indexing*is used for reports that contain many pages of the same type of data, such as \na transaction log. Each line in the report usually identifies a specific transaction, and it is not \ncost-effective to index each line. Content Manager OnDemand stores the report as groups of \npages and indexes each group. \n\nWhen reports include a sorted transaction value (for example, transaction date and number), \nContent Manager OnDemand can index the data on the transaction value. This indexing is \ndone by extracting the beginning and ending transaction values for each group of pages and \nstoring the values in the database. This type of indexing lets users retrieve a specific \ntransaction value directly. \n\n**1.3 Content Manager OnDemand server and its components**\n\nOn IBM z/OS® and Multiplatforms (MP) systems, the Content Manager OnDemand server \ncan be implemented as a library server and one or more object servers that are on one or \nmore nodes that are connected to a Internet Protocol network. For the Content Manager \nOnDemand system overview, see Figure 1-1 on page 5. \n\n**1.3.1 Library server and object server**\n\nA Content Manager OnDemand*library server*maintains two sets of database tables: \n\n(cid:2) The first set of database tables contains indexes about the reports that are stored in the \nContent Manager OnDemand Archive. \n\n(cid:2) The second set of database tables contains information about the objects that are defined \nto the system, such as users, groups, printers, application groups, applications, folders, \ncabinets, and storage sets. \n\nThe database manager provides the database engine and utilities to administer the database. \nThe library server processes client logons, queries, and print requests and updates to the \ndatabase. The major functions that run on the library server are the request manager, the \ndatabase manager, and the server print manager. \n\nA Content Manager OnDemand*object server*maintains documents on cache storage \nvolumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM \non z/OS systems, or ASM on IBM i systems, allow hierarchical storage management \ntechniques to be applied to the stored documents. An object server loads data, retrieves \ndocuments, and expires documents. The major functions that run on an object server are the \ncache storage manager, data loading and maintenance programs, and optionally, the ASM. \n\nThe basic Content Manager OnDemand configuration is a library server and an object server \non the same physical system or node. This single library or object server configuration \nsupports the database functions and cache storage on one system. You can add an ASM to \nthe single library or object server configuration to maintain documents on archive media.", + "page_start": 33, + "page_end": 33, + "source_file": "sg246915.pdf" + }, + { + "text": "**10.1 Introduction**\n\nFor this chapter, unless explicitly stated otherwise, the term “data” is used to refer to the \nreport data, the extracted documents or segments, and their related indexes and the \nextracted resources. \n\nA Content Manager OnDemand system logically stores data in*application groups*. An \napplication group is defined by the Content Manager OnDemand administrator. It consists of \ndata that has the same indexing, data storage, and expiration requirements. The application \ngroup definition also specifies where the report and document data are stored, how long the \ndata is stored, and how the data expires. The method or methods that can be used to expire \nthe data are a function of the application group parameters that are defined before the data is \nloaded into Content Manager OnDemand. In a Content Manager OnDemand system, data \ntypically goes through a lifecycle of loading, storing, migration, and an expiration process. \n\n**10.2 Loading and storing the data**\n\nThe Content Manager OnDemand architecture allows the control and management of the \ndata throughout its lifecycle. The data lifecycle begins with running an efficient load process. \nEach load process invocation ingests report data for a specified application group. \n\nDuring a load process, Content Manager OnDemand stores report (document) data, its \nresources, and index data, as shown in Figure 10-1. \n\n\n\n**Load**\n**Process**\n\n**Indexes**\nSeg ment-1 \ntabl e \n\nAg Data \nTab le \nD ataba se \nMa nag er \n\nSeg ment-n \ntabl e \n\n*Figure 10-1 Data and index storage locations*\n\nThe Content Manager OnDemand load process identifies, segments, and compresses \ngroups of documents into storage objects that are then stored in the Content Manager \nOnDemand archive, as illustrated in Figure 10-1. To improve the efficiency of the storage \nprocess, Content Manager OnDemand aggregates the stored documents (typically a few \nkilobytes in size) into storage objects. This aggregation provides efficient, high-volume \nstorage, retrieval, and expiration performance.", + "page_start": 243, + "page_end": 243, + "source_file": "sg246915.pdf" + }, + { + "text": "**Important:**Folder queries that use filter fields alone result in a sequential scan through \ndatabase tables. An index field must always be included in folder queries. For more \ninformation about folders, see 3.1.4, “Folders” on page 54. \n\nA thorough understanding of the way that users search for documents in the system is \nrequired before you determine the fields that will be indexes and the fields that will be filters. \nOnly fields that will be heavily used when users are searching for and retrieving documents \nneed a type of index. An index field will always be included in a folder query. \n\n**Note:**Date fields are almost always defined as filters, not indexes. \n\n**Segment**\n*Segment*is the date or date and time field that is used to limit the number of tables that are \nsearched during a folder query. By using a segment date to limit folder queries to a single \ntable or a limited set of tables, performance is improved. The segment date is especially \nimportant for application groups that contain a large amount of data. \n\nIf the expiration type is segment, Content Manager OnDemand also uses the segment field to \ndetermine when to delete data from the application group. You might specify only one \nsegment field for each application group. \n\n**Note:**The date field that is used for the segment date must always have a type of*filter*. By \ndefault, an index is created for the segment date, and setting the segment date to a type of \nindex creates unnecessary processing. \n\n**Application ID field**\nThe application ID field is used to identify an application within an application group when you \ncreate an application group that contains more than one application. The database mapping \nfields are used to map the value to be stored in the database as the label that is displayed for \nfolder queries and in the subsequent query hit list. A query can be made against a specific \napplication in an application group or against all of the applications in an application group. \n\n**3.1.3 Applications**\n\nAn application defines the data to index and load. An application associates the data with an \napplication group and specifies the type of indexing process to perform on the data. It also \ndefines any logical views to be put in place for users and determines any special print options \nto use with the data. In this section, we consider several of the load information attributes that \nare defined for an application. \n\n**Load Information tab**\nThe Load Information tab specifies the processing and resource information that the Content \nManager OnDemand loader uses to load the input data onto storage volumes and to load the \nassociated index data into the database.", + "page_start": 74, + "page_end": 74, + "source_file": "sg246915.pdf" + }, + { + "text": "Documents are identified (indexed) by date, with one or more other fields, such as customer \nname, customer number, or invoice number. A date is optional but highly recommended for \noptimizing document search performance. \n\nOur example fictitious company, AFinancial Co, prints customer credit card statements \nmonthly. This report, the customer credit card statements (Customer Statements), consists of \nthousands of individual customer statements. The company also prints transaction logs \nmonthly. This second report, the transaction log (Transaction Report), contains thousands of \ncustomer transactions per month. The company must load these two reports into Content \nManager OnDemand so that their data can be stored, then easily searched, retrieved, and \nviewed later. Let us look at how these two large reports might be broken up into individual \nContent Manager OnDemand documents. \n\nReports are “loaded” into the Content Manager OnDemand system. A Content Manager \nOnDemand application describes how the report will be divided into documents. Figure 1-2 \non page 8 illustrates two reports, their associated Content Manager OnDemand applications, \nand documents. Let us look at how the associated applications divide the reports into Content \nManager OnDemand documents. \n\nThe first report that we look at is the Customer Statements report. For this example, the \nreport consists of 63,097 individual customer statements. An administrator can define a \n“*Statement application*” for this report that breaks up the report into logical documents. The \nStatement application uses the document indexing method to divide the report into \ndocuments that are based on customer name or customer number. Each statement in the \nreport becomes a document in Content Manager OnDemand. Users can retrieve a statement \nby specifying the date and any combination of customer name and number. \n\nCertain reports might not have a logical way of breaking up into individual documents. For \nexample, the Transaction Report is not sorted by customer name or number. The report is \ngenerated based on the transactions of the day and time, and the customers that are \nassociated with the transactions. In this case, we can break up the report into groups of \npages. An administrator can define a “*Trans application*” for the report that contains lines of \nsorted transaction data. The Trans application uses the report indexing method to divide the \nreport into documents. Each group of 100 pages in the report becomes a document in \nContent Manager OnDemand. Each group is indexed by using the first and last sorted \ntransaction values (transaction date and number) that occur in the group. Users can retrieve \nthe group of pages that contains a specific transaction number by specifying the date and the \ntransaction number. Content Manager OnDemand retrieves the document that contains the \nvalue that is entered by the user. \n\nTo summarize this example, as shown in Figure 1-2 on page 8: \n\n(cid:2) Customer Statements report: Contains all customer statements for a month. Customer \nStatements documents: Each customer statement is a document. \n\n(cid:2) Transaction Report: Logs all transactions as they occur for a month. Transaction Report \ndocuments: Every 100 pages of the report are a document.", + "page_start": 30, + "page_end": 30, + "source_file": "sg246915.pdf" + }, + { + "text": "**Chapter 15. Full text search**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335 \n15.1 Introduction to full text search in Content Manager OnDemand . . . . . . . . . . . . . . . . 336 \n15.2 Full text search architecture in Content Manager OnDemand . . . . . . . . . . . . . . . . . 336 \n15.2.1 Full Text Search Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 \n15.2.2 Index structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 \n15.2.3 Indexing document through FTS Exporter . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338 \n15.2.4 Searching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338 \n15.3 Planning and installing FTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338 \n15.3.1 Component overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339 \n15.3.2 Installing the FTS Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339 \n15.3.3 Operating system resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 \n15.3.4 Workload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 \n15.3.5 Memory heap size. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 \n15.3.6 Index considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341 \n15.4 Configuring and operating full text search. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342 \n15.4.1 Base configuration in Content Manager OnDemand . . . . . . . . . . . . . . . . . . . . 342 \n15.4.2 Configuration of the Full Text Search Exporter . . . . . . . . . . . . . . . . . . . . . . . . . 344 \n15.5 Running the full text indexing process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 \n15.5.1 Automatically indexing new data during the load . . . . . . . . . . . . . . . . . . . . . . . 346 \n15.5.2 Indexing existing data through the arsdoc command . . . . . . . . . . . . . . . . . . . . 346 \n15.5.3 Indexing existing data through ODWEK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 \n15.5.4 Running the FTS Exporter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 \n15.6 Using full text search in Content Manager OnDemand clients . . . . . . . . . . . . . . . . . 347 \n15.6.1 Syntax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348 \n15.6.2 Boolean searches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348 \n15.6.3 Wildcard searches and optional terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348 \n15.6.4 Fuzzy and proximity searches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 \n15.6.5 Weighted searches (boosting terms) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 \n15.7 Troubleshooting tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 \n15.7.1 Content Manager OnDemand server log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 \n15.7.2 Full Text Search Server log. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350", + "page_start": 9, + "page_end": 9, + "source_file": "sg246915.pdf" + }, + { + "text": "**Chapter 10. Migration and expiring data and indexes**. . . . . . . . . . . . . . . . . . . . . . . . . 219 \n10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220 \n10.2 Loading and storing the data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220 \n10.2.1 Storing the report (document) data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 \n10.2.2 Storing the index data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 \n10.2.3 Storing the resource data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 \n10.3 Configuring for migration and expiration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 \n10.3.1 Migrating index data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 \n10.3.2 Expiring data and indexes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226 \n10.3.3 Expiring document data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 \n10.3.4 Expiring annotations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 \n10.4 Reloading data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 \n10.5 Expiration processing on Multiplatforms and z/OS . . . . . . . . . . . . . . . . . . . . . . . . . . 230 \n10.5.1 Content Manager OnDemand expiration: ARSMAINT . . . . . . . . . . . . . . . . . . . 230 \n10.5.2 Expiring indexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 \n10.5.3 Removing documents from the Tivoli Storage Manager archive . . . . . . . . . . . 232 \n10.5.4 Storage Manager-based expiration (z/OS only) . . . . . . . . . . . . . . . . . . . . . . . . 236 \n10.6 Expiring data on Content Manager OnDemand for i . . . . . . . . . . . . . . . . . . . . . . . . . 239 \n10.6.1 Content Manager OnDemand expiration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 \n10.6.2 Storage Manager expiration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240 \n\n**Chapter 11. Exits**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 \n11.1 Introduction to user exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 \n11.2 ACIF exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 \n11.2.1 New macro for user exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 \n11.2.2 Input record exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 \n11.2.3 Index record exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244 \n11.2.4 Output record exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246 \n11.2.5 Resource exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 \n11.2.6 Debugging input user exit programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 \n11.3 OS/390 indexer exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 \n11.3.1 ANYEXIT exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 \n11.3.2 INPEXIT exit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249", + "page_start": 7, + "page_end": 7, + "source_file": "sg246915.pdf" + }, + { + "text": "To understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \n\nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \n\nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:**s**ubClassOf \nPizza. \n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:**s**ubClassOf and the object is any other \nentity. The*?*before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a*for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \n\nPREFIX pizza: ", + "page_start": 68, + "page_end": 68, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", + "query": "What is the function of the Graphical Data Visualisation Tool module ?", + "target_page": 6, + "target_passage": "How to visualize graphical data from a dataset resource ", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "**3.4 Graphical Data Visualisation Tool**\n\nThis section describes the features of the graphical visualisation tool for numeric data. The features \nare currently available for XLS (Excel) and CSV files, except for the selection of the sheet name which \nis applicable only for Excel files. \n\nMost GUI elements from the “Graph” tab (records selection, search box, filters and fields buttons) \nare also available on the “Grid” tab and work in the same way. \n\n**3.4.1 How to visualize graphical data from a dataset resource**\n\nAs a result of a dataset search, the system displays on the “Dataset” tab all distributions \n(resource/data files) that are part of the selected dataset. Each XLS or CSV distribution of the dataset \ncan be further explored by clicking on “Open Visualization” under the “Options” button – if available.", + "page_start": 42, + "page_end": 42, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**3.3 Visualization of Geo-Spatial Data (map.apps)**\n\nThe visualization of geo-spatial data within the European Data Portal provides previewing \nfunctionality for spatial open data. The aim is to allow the user to assess if a dataset meets specific \nrequirements in terms of spatial and thematic coverage. The functionality that is provided in the \nheader (links to disclaimers and language switching) is consistent in the entire portal. \n\n**3.3.1 How to visualize geo-spatial data from a dataset resource**\n\nAccessing the geo-spatial visualization is achieved via the Data Platform interface. A user searches for \nspecific data, enters the dataset view of reasonable results and displays the available distributions \n(see Section 3.2.5). If a dataset distribution is supported by the geo-spatial visualization, a globe \nbutton is displayed (see Figure 3). This is the entry point into the map viewer application. Supported \nformats are OGC Web Map Service (WMS) and GeoJSON. If the user visits the geo-spatial \nvisualization for the first time, an interactive user tutorial is provided to guide the use through \nspecific functions of the user interface, similar to this written user manual.", + "page_start": 37, + "page_end": 37, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**2 Approach**\n\nThe approach used for this User Manual was based on the identification of the main user functions of \nthe Portal and the description of each function from the user’s perspective in terms of “*How to*…”. \n\nEach main function documentation consists of a screen snapshot, the steps required to execute the \nfunction and optionally a screenshot with the results. \n\n| | | | | Module Name | | | Function | |\n|---|---|---|---|---|---|---|---|---|\n| | | | | Module Name | | | Function | |\n| 1 | | | Portal HomePage | | | - How to browse through the Editorial Content (how to access Resources on Open Data: eLearning modules, Training Companion, Reports about Open Data) - How to view / search for “Latest News” - How to view / search for “Open Data Events” - How to subscribe to the EDP Newsletter - How to view “Tweets” on the EDP - How to switch to another User Language | | |\n| | | | | | | - How to search for EDP Site Content | | |\n| | | | | | | - How to search for Datasets by Data Category - How to search for Datasets by Keyword | | |\n| 2 | | | Datasets (Data Platform) | | | Entering the Datasets-View | | |\n| | | | | | | How to filter datasets by using “Faceted Search” | | |\n| | | | | | | How to store personal queries | | |\n| | | | | | | How to filter datasets by geographical area | | |\n| | | | | | | How to download dataset distributions | | |\n| | | | | | | How to view licensing information | | |\n| | | | | | | How to switch to another user language | | |\n| | | | | | | How to browse by data catalogues | | |\n| 3 | | | Visualization of Geo-Spatial Data (map.apps) | | | How to visualize geo-spatial data from a dataset resource | | |\n| 4 | | | Graphical Data Visualisation Tool | | | How to visualize graphical data from a dataset resource | | |\n| 5 | | | Help Desk | | | How to contact The Portal’s Help Desk | | |\n| 6 | | | Metadata Quality Assurance (MQA) | | | Monitoring tool for the metadata quality: ‐ The Global Dashboard View ‐ The Catalogue details view | | |\n| 7 | | | SPARQL Manager | | | How to run SPARQL Queries using: - SPARQL Search | | |", + "page_start": 5, + "page_end": 5, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "In some cases the user might experience the display of an error message. The geo-spatial \nvisualization tries to support all flavors of external services but cannot guarantee to work with \nbroken services. In these situations an error message dialog is presented and the user can decide if a \nsupport ticket shall be opened (see Figure 8).", + "page_start": 40, + "page_end": 40, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "***Figure 44. Data Entry Grid Export to Excel screen***", + "page_start": 29, + "page_end": 29, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**7 Data Export/Import**\n\nThis function enables users to export data from the system in either Excel or XML format. \n\n**7.1 Excel Export – Data Entry**\n\nClick on the “Data Export / Import” tab and the navigation tree will appear on the left-hand side (figure 33). \n\n***Figure 33: Data Export / Import initial navigation tree***\n\nThere are**three options**available to export files: \n\n1.**Export selected single grid**– only the data of the current selected grid will be exported. (figure 34, d) \n2.**Export selected sector / subsector**– all data of the current selected grid and the sub sectors will be \nexported. (figure 34, e) \n3.**Export all data entry grids**– all data entry grids will be exported. (figure 34, f) \n\nClicking on one of the Sector’s or sub sectors’ (figure 34, a) or c)) on the left-hand side navigation tree, three Export \nbuttons will appear on the middle of the screen. (figure 34, b) \n\nClick on one of the “Export” button. The system will then generate an excel export file. \nThe file that has been exported can be seen under “My Data Export” (figure 35). \n\n***Figure 34: Excel export***\n\n*NAIIS-User-Manual.Docx* Page 26 10/02/2013", + "page_start": 25, + "page_end": 25, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**1** **Introduction**\n\n**1.1 Purpose of the Document**\n\nThe main purpose of this document is to present a User Manual for the main user functionalities of \nthe**Portal Version 4.3**, launched in production in May 2019. This document consists of an update of \nthe User Manual for the Portal Version 3.0 published in November 2017[4]. \n\n**1.2 Reference Documents**\n\n| | Id | | | Reference | | | Title | | | Version | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| | Id | | | Reference | | | Title | | | Version | |\n| [1] | | | EDP_S1_MAN | | | EDP_S1_MAN_Portal-Version1-UserManual_v1.0 | | | 1.0 | | |\n| [2] | | | EDP_S1_MAN | | | EDP_S1_MAN_Portal-Version1.3-UserManual_v1.2 | | | 1.3 | | |\n| [3] | | | EDP_S1_MAN | | | EDP_S1_MAN_Portal-Version2.0-UserManual_v1.0 | | | 2.0 | | |\n| [4] | | | EDP_S1_MAN | | | EDP_S1_MAN_Portal-Version3.0-UserManual_v1.0 | | | 3.0 | | |\n\n\n| 1.3 Terminology | |\n|---|---|\n| Acronym | Description |\n| API | Application Programmer Interface |\n| CKAN | (replaced by the “Data Platform”) |\n| CSV | Comma separated values |\n| Data Platform | Single page web app for managing and displaying datasets |\n| DCAT-AP | DCAT Application Profile - Metadata specification based on the Data Catalogue vocabulary (DCAT) |\n| DRUPAL | Content Management System |\n| ECAS / EU-Login | EU user login page |\n| EDP | European Data Portal |\n| FME | Feature Manipulation Engine |\n| GUI | Graphical User Interface |\n| HTTP | Hypertext Transfer Protocol |\n| JSON | JavaScript Object Notation (a lightweight data-interchange format) |\n| maps.app | Geo-spatial data visualization application |\n| MQA | Metadata Quality Assistant |\n| RDF | Resource Description Framework |\n| SOLR | Search engine used for portal content search and dataset search |\n\n\nEuropean Data Portal Version 4.3 – User Manual Page**4**of 57", + "page_start": 3, + "page_end": 3, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**Chapter 5. Graphical user interface**\n\nThis chapter describes an overview of the IBM Spectrum Virtualize graphical user interface \n(GUI). The management GUI is a tool that is enabled and provided by IBM Spectrum \nVirtualize that helps you to monitor, manage, and configure your system. \n\nThis chapter explains the basic view and the configuration procedures that are required to get \nyour IBM Storwize V7000 environment running as quickly as possible by using the GUI. \n\nThis chapter does not describe advanced troubleshooting or problem determination and \nsome of the complex operations (compression, encryption). For more information, see \nChapter 13, “RAS, monitoring, and troubleshooting” on page 673. \n\nThroughout this chapter, all GUI menu items are introduced in a systematic, logical order as \nthey appear in the GUI. However, topics that are described more in detail in other chapters of \nthe book are only referred to here. For example, storage pools (Chapter 6, “Storage pools” on \npage 191), volumes (Chapter 7, “Volumes” on page 241), hosts (Chapter 8, “Hosts” on \npage 317), and Copy Services (Chapter 11, “Advanced Copy Services” on page 435) are \ndescribed in separate chapters. \n\n**Demonstration:**The IBM Client Demonstration Center includes a demonstration of the \nV8.2 GUI. For more information, see the IBM Client Demonstration Center (log in \nrequired). \n\nThis chapter includes the following topics: \n\n(cid:2) 5.1, “Normal operations by using the GUI” on page 132 \n(cid:2) 5.2, “GUI introduction” on page 136 \n(cid:2) 5.3, “System View window” on page 143 \n(cid:2) 5.4, “Monitoring menu” on page 147 \n(cid:2) 5.5, “Pools” on page 155 \n(cid:2) 5.6, “Volumes” on page 155 \n(cid:2) 5.7, “Hosts” on page 156 \n(cid:2) 5.8, “Copy Services” on page 157 \n(cid:2) 5.9, “Access” on page 157 \n(cid:2) 5.10, “Settings” on page 162 \n(cid:2) 5.11, “Additional frequent tasks in GUI” on page 183", + "page_start": 152, + "page_end": 152, + "source_file": "sg247938.pdf" + }, + { + "text": "Once within the map viewer application, the user can decide which layers to be displayed. Most Web \nMap Service (WMS) instances provide more than one layer. The geo-spatial visualization provides a \ndialog for choosing the desired layers for display (see Figure 4). \n\n\n\n*Figure 4 – Selection of layers.*\n\nIn order to examine the resource in more detail, the user can click on a geographic feature while the \n“Feature Info” tool is enabled (see Figure 5). This function is only enabled if the service supports this \nkind of detailed query.", + "page_start": 38, + "page_end": 38, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**3.6.2 The Catalogue details view**\n\nThis page presents a detailed view of the issues per catalogue. The “Download as report” drop-down \nmenu provides a list of all available catalogues. As a next step, the user can choose whether to see \nthe catalogue dashboard, the distribution availability or dataset schema violations. The catalogue \ndashboard is the default view when visiting this page.", + "page_start": 50, + "page_end": 50, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + } + ] + }, + { + "references": { + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", + "query": "How to view “Tweets” on the EDP ?", + "target_page": 20, + "target_passage": "The Home Page displays the latest tweets on the European Data Portal in the “Tweets” panel on the right hand side. ‐ ‐ Click on any of the tweets to display the complete tweet on twitter. Scroll vertically to see previous tweets. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**3.1.5 How to view “Tweets” on the EDP**\n\nThe Home Page displays the latest tweets on the European Data Portal in the “Tweets” panel on the \nright hand side. \n\n‐**Click on any of the tweets to display the complete tweet on twitter.**\n\n‐ **Scroll vertically to see previous tweets.**", + "page_start": 19, + "page_end": 19, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "138–166. \n\n62. Papacharissi, Z.; de Fatima Oliveira, M. Affective news and networked publics: The rhythms of news \n\nstorytelling on# Egypt. J. Commun.**2012**, 62, 266–282. \n\n63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag \nsentiment classification approach. In Proceedings of the 20th ACM International Conference on Information \nand Knowledge Management, Scotland, UK, 24–28 October 2011; pp. 1031–1040. \n\n64. Laniado, D.; Mika, P. Making sense of twitter. In Proceedings of the International Semantic Web Conference \n\n2010, Shanghai, China, 7–11 November 2010; pp. 470–485. \n\n65. González-Ibánez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings \nof the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies: \nShort Papers—Volume 2, Portland, OR, USA, 19–24 June 2011; pp. 581–586. \n\n66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on \ntwitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona, \nSpain, 17–21 July 2011. \n\n67. Kitzie, V.; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter. \nIn Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for \nthe Community, St. Louis, MO, USA, 6–10 October; 2015; p. 41. \n\n68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In Hashtag Publics. \n\nThe Power and Politics of Discursive Networks; Peter Lang: New York, NY, USA, 2015; pp. 61–76. \n\n69. Rushkoff, D. 17. Permanent revolution: Occupying democracy. In The Playful Citizen; Amsterdam University \n\nPress: Amsterdam, The Netherlands, 2013; p. 335. \n\n70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore \n\nhashtag. IC Rev. Cient*í*fica De Inf. Y Comun.**2015**, 11, 49–57. \n\n71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. Commun. \n\nPolitics Cult.**2011**, 44, 37–56. \n\n72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and \n\nconversations about the 2013 IPCC Working Group 1 report. PLoS ONE**2014**, 9, e94785. [CrossRef] \n\n73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P.; Yan, H.; Li, X. Comparing twitter and traditional media using \ntopic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18–21 \nApril 2011; pp. 338–349. \n\n74. Doctor, V. Hashtag History: When and What Started It? Available online: https://www.hashtags.org/featured/ \n\nhashtag-history-when-and-what-started-it/ (accessed on 16 January 2020). \n\n75. Newman, T.P. Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the \nrelease of the Working Group I Summary for Policymakers. Public Underst. Sci.**2017**, 26, 815–825. [CrossRef] \nSegerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore \nthe ecologies of two climate change protests. Commun. Rev.**2011**, 14, 197–215. [CrossRef] \nStatista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in \nMillions). 2019. Available online: https://www.statista.com/statistics/282087/number-of-monthly-active- \ntwitter-users/ (accessed on 10 October 2019). \n\n76. \n\n77. \n\n78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin’: Evolution of Twitter users and behavior. \nIn Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI, \nUSA, 1–4 June 2014.", + "page_start": 19, + "page_end": 19, + "source_file": "pubmed10.pdf" + }, + { + "text": "http://www.facebook.com/IBMRedbooks \n\n(cid:2) Follow us on Twitter: \n\nhttp://www.twitter.com/ibmredbooks \n\n(cid:2) Look for us on LinkedIn: \n\nhttp://www.linkedin.com/groups?home=&gid=2130806 \n\n(cid:2) Explore new Redbooks publications, residencies, and workshops with the IBM Redbooks \nweekly newsletter: \n\nhttps://www.redbooks.ibm.com/Redbooks.nsf/subscribe?OpenForm \n\n(cid:2) Stay current on recent Redbooks publications with RSS Feeds: \n\nhttp://www.redbooks.ibm.com/rss.html", + "page_start": 20, + "page_end": 20, + "source_file": "sg246915.pdf" + }, + { + "text": "52. \n\n53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol. \n\nHum. Serv.**2012**, 30, 160–185. [CrossRef] \n\n54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. Media Commun.**2016**, 4, 13. \n55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the \n6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27 \nAugust 2011. \n\n56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hernández, A.; Morris, M.R. Is anyone out there?: \nUnpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in \nComputing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758. \n\n57. Tsur, O.; Rappoport, A. What’s in a hashtag?: Content based prediction of the spread of ideas in microblogging \ncommunities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining, \nSeattle, WA, USA, 8–12 February 2012; pp. 643–652. \n\n58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption? \nIn Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012; \npp. 261–270. \n\n59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring \nInformation Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of \nMicroposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12. \n\n60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy \non twitter. In Between the Public and Private in Mobile Communication; Routledge: Abingdon, UK, 2017; \npp. 303–323. \n\n61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. Int. J. Press.**2013**, 18,", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed10.pdf" + }, + { + "text": "**3**\n\n**Activity**\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \n\n**1** **6**\n\n**4**\n\n**Chat**\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \n\n**2** **7**\n\n**5**\n\n**Teams**\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \n\n**3**\n\n**Help**\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \n\n**8**\n\n**6**\n\n**Calendar**\nBring up your calendar to view, create, and respond \nto meetings. \n\n**4**\n\n**Search**\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \n\n**9**\n\n**Calls**\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \n\n**5**\n\n**Profile**\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you. \n\n**10**\n\n**7**\n\n\n\n**1**\n\n**8**", + "page_start": 1, + "page_end": 1, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**3.1.2 How to view / search for “Latest News”**\n\nThe Home Page displays the latest 4 news items in the “Latest News” panel on the left hand side. \n\n‐**Click on any of the 4 news items to display the complete news article (here: item#1).**\n\n‐**Or click on “More news” in order to find previously published news articles in the news**\n\n**archive.**", + "page_start": 16, + "page_end": 16, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "Figure 8.2 Viewing the New Instances in the Individuals by Class tab", + "page_start": 65, + "page_end": 65, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library \nin Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed \n(e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the “climate change” dataset \ncontained the #climatechange hashtag and all the tweets in the “global warming” dataset contained the \n#globalwarming hashtag, we did not document these two hashtags when processing data. The number \nof hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose \nfrequency was lower than ten times are excluded in the network analysis. As hashtags are intended \nto be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, \nand excluding them helps researchers focus on meaningful rather than occasional associations. \n\n3.3. Measurement \n\n3.3.1. Hashtag Co-Occurrence Network \n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build \nsemantic networks for climate change and global warming. For instance, for “#cimatechange \nredistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic”, a tweet in the climate \nchange dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus \none in the semantic network of climate change. In the semantic network, nodes represent hashtags and \nthe weight of edge refers to the frequency at which two hashtags co-occurred. \n\nWe visualized the network using Gephi software [81]. Following the established literature \n[60,61,82], only the most prominent hashtags were included in the visualization to concentrate our \nanalysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality \nin each network were selected for visualization. Modularity analysis was then analyzed to identify the \nclusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn \nin the same color. The network spatialization was conducted with Gephi’s built-in force-directed \nlayout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, \nthe closer they are to each other in the spatial layout. \n\nA temporal analysis was introduced to understand the evolution of the two climate discourses \nover a long period. We first examined how the two semantic networks evolved in the past years. \nAll the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each \ndataset. Then, they were clustered according to the strength of their associations in the whole dataset \nand mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the \ndynamic network function supplied by Gephi, we then added the associations between the nodes \nranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes \nfor 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the \nnodes on the 10 maps are the same, but the strengths of their associations are different to represent the \nchanges in the associations of key hashtags for each discourse.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed10.pdf" + }, + { + "text": "**3. Methods**\n\n3.1. Data Source \n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] \nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions \nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing \nin terms of the number of active users, user demographics, and tweeting conventions in the past \nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter \nis one of the most popular social websites, we defined our study as characterizing the perception of \nclimate issues among social media users rather than all the netizens or the whole population. \n\n3.2. Data \n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, \nas these two hashtags exactly correspond to climate change and global warming, respectively, the two \ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global \nwarming) as query hashtags in our research because we think that this refers to global warming in \na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the \nscope of the search to English-language tweets generated between 1 January 2009 and 31 December \n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather \nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or \nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies. \n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to \nselect hashtags, language, start date, and end date as inputs. Once the first request was completed, \nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending \norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain \nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler \nwas automatically terminated when all the qualified tweets publicly available were collected. Our \ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in \nour study. \n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets \ncontaining both hashtags simultaneously were excluded to differentiate between the two datasets \nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, \nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange \nand #globalwarming in each year is displayed in Figure 1a. \n\n**Figure 1.**The number of tweets containing #climatechange or #globalwarming, and their ratio from \n2009 to 2018 (**a**). The number of hashtags contained in the “climate change” or “global warming” \ndatasets, and their ratio from 2009 to 2018 (**b**).", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed10.pdf" + }, + { + "text": "**3.1.7 How to search for EDP Site Content**\n\nIn order to search within the Portal’s site content (i.e. editorial content, articles, events, reports etc.), \n\n**enter any keyword in the “Search site content” text box and click on the** **button**.", + "page_start": 21, + "page_end": 21, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + } + ] + }, + { + "references": { + "source_file": "welcome_to_word_template.pdf", + "query": "Where can we open a document saved on OneDrive ?", + "target_page": 2, + "target_passage": "When you save this document in OneDrive, you’ll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Try it: Select File > Save As, and then select OneDrive and give this document a name. \n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. \nYou can pick up where you left off… even if you left the document open on the computer you’re \nusing now.", + "page_start": 1, + "page_end": 1, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "Create something \n\nBegin with a**Blank document**to get right to work. Or start with a template to save \nyourself time and steps. Just select**File**>**New**, and then select or search for the \ntemplate you want. \n\nFind recent files \n\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting**File**>**Open**takes you to your recently \nused documents and any files that you may have pinned to your list. \n\n\n\n\n\nAccess files anywhere \n\nNeed to work on the go and across different devices? Click**File**>**Account**to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.", + "page_start": 1, + "page_end": 1, + "source_file": "Word QS.pdf" + }, + { + "text": "With this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \n\nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \n\nIf they don’t have Word, the document will open in their web browser, in Word Online. \n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \n\nTry it: Hit enter after this line to make a blank line: \n\n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \n\nand then search for something, like puppy clip art. \n\n2. Select the picture you want, and select Insert.", + "page_start": 2, + "page_end": 2, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "Share your work with others \n\nTo invite others to view or edit your documents, select the**Share**button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment. \n\n\n\n\n\nNext steps with Word \n\n**See what’s new in Office**\nExplore the new and improved features in Word and the other Office apps. \nVisit**https://go.microsoft.com/fwlink/?linkid=871117**for \nmore information. \n\n**Get free training, tutorials, and videos for Office**\nReady to dig deeper into the capabilities that Word has to offer? Visit \n**https://go.microsoft.com/fwlink/?linkid=871123**to explore our free \ntraining options. \n\n**Send us your feedback**\nLove Word? Got an idea for improvement to share with us? On the**File**menu, \nselect**Feedback**and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", + "page_start": 3, + "page_end": 3, + "source_file": "Word QS.pdf" + }, + { + "text": "Save the current backup to a secure and safe location. The files can be downloaded using \nUNIX**scp**or**pscp**for Microsoft Windows, as shown in Example 13-3. Replace the IP address \nwith the cluster IP address of your Storwize V7000 and specify a local folder on your \nworkstation. In this example, we are saving to C:\\V7000Backup. \n\nExample 13-3 Saving config backup files to your workstation \n\nC:\\**putty>pscp -unsafe**\n**superuser@9.174.157.250:/dumps/svc.config.backup.*c:\\V7000backup**\nUsing keyboard-interactive authentication. \nPassword: \nsvc.config.backup.bak_782 | 133 kB | 33.5 kB/s | ETA: 00:00:00 | 100% \nsvc.config.backup.log_782 | 16 kB | 16.8 kB/s | ETA: 00:00:00 | 100% \nsvc.config.backup.sh_7822 | 5 kB | 5.9 kB/s | ETA: 00:00:00 | 100% \nsvc.config.backup.xml_782 | 105 kB | 52.8 kB/s | ETA: 00:00:00 | 100% \n\nC:\\putty> \n\nC:\\>**dir V7000backup**\n Volume in drive C has no label. \n Volume Serial Number is 0608-239A \n\n Directory of C:\\V7000backup \n\n24.10.2018 10:57 . \n24.10.2018 10:57 .. \n24.10.2018 10:57 137.107 svc.config.backup.bak_7822DFF-1 \n24.10.2018 10:57 17.196 svc.config.backup.log_7822DFF-1 \n24.10.2018 10:57 6.018 svc.config.backup.sh_7822DFF-1 \n24.10.2018 10:58 108.208 svc.config.backup.xml_7822DFF-1 \n 4 File(s) 268.529 bytes \n 2 Dir(s) 79.028.662.272 bytes free \n\nC:\\> \n\nThe use of the**-unsafe**option enables you to use the wildcard for downloading all the \nsvc.config.backup files in a single command. \n\n**Tip:**If you encounter Fatal: Received unexpected end-of-file from server when using \nthe**pscp**command, consider upgrading your version of PuTTY. \n\n**13.3.2 Saving the backup by using the GUI**\n\nAlthough it is not possible to generate an ad hoc backup, you can save the backup files by \nusing the GUI. To do so, complete the following steps: \n1. Navigate to**Settings**→**Support**→**Support Package**. \n\n2. Click the**Manual Upload Instructions**twistie to expand it. \n\n3. Click**Download Support Package**, as shown in Figure 13-8 on page 685.", + "page_start": 705, + "page_end": 705, + "source_file": "sg247938.pdf" + }, + { + "text": "**Note:**For the best indexing results, select a monospacing font with the line data graphical \nindexer. \n\nIf the font is changed by using the Administrator Client, the selected font is also used by the \nWindows client the next time that the Windows client is started and a line data document is \nviewed. \n\nFor more information, see Technote 1215957, which is available at the following web address: \n\nhttp://www.ibm.com/support/docview.wss?uid=swg21215957 \n\n**3.1.4 Folders**\n\nA*folder*is the interface that allows a user to search for reports and documents that are stored \nin the Content Manager OnDemand system. One or more application groups can be defined \nto a folder. The user enters index search criteria into the folder search fields. In the \nbackground, an SQL search is issued for each included application group. The results of the \nqueries are accumulated, and a document hit list is constructed and returned to the user. The \nfolder can be customized to provide the look and feel that is wanted for the users of the \nContent Manager OnDemand system. The Content Manager OnDemand administrator can \nalso grant specific permissions for users and groups to use the folders. \n\n*Figure 3-7 Folder general information*\n\n**Display Document Location**\nThe Display Document Location setting (Figure 3-7) determines whether the client shows the \nstorage location of each document in the document list by placing an icon next to each entry. \nThe possible locations are cache storage (on the library server or an object server) or archive \nstorage.", + "page_start": 77, + "page_end": 77, + "source_file": "sg246915.pdf" + }, + { + "text": "Get writing suggestions \n\nWith**Editor**, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion. \n\nView who else is typing \n\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in. \n\n\n\nReview and track changes \n\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the**Review**tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents. \n\nFormat with styles \n\n**Styles**lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the**Home**tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", + "page_start": 2, + "page_end": 2, + "source_file": "Word QS.pdf" + }, + { + "text": "**1** **2**\n\n\n\n\n\n\n\n\n\n press \n\n\n\n\n\n\n\n\n\n**Try This Yourself:**\n\n*Before you begin ensure*\n*that there is a blank*\n*workbook on the screen…*\n\n Click in cell***A3***to make \n\nthis the active cell, type \n**Garden Settings**and \npress \n\n*When you press*\n*next cell down*\n*automatically becomes*\n*the active cell. By the*\n*way, even though the text*\n*looks like it is in cells A3*\n*and B3 it really only is in*\n*cell A3 – since there is*\n*nothing in B3, Excel*\n*allows the spill over to be*\n*displayed giving the*\n*illusion it is in 2 cells…*\n\n*the*\n\n Type**Pool Covers**and \n Repeat the above steps \nand enter the remaining \ntext in column***A***as shown \n\n Click in cell***B2***to make \nthis the active cell, type \n**UK**and press \n**5**\n\n*When you press*\n*the*\n*cell to the right becomes*\n*the active cell…*\n\n Enter the remaining text in \nrow***2***as shown \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n**Handy to Know…**\n \n You don’t have to use \n\nIn the exercise above we have named the \n to make \nworkbook***Garden Department Sales***and \nadjacent cells active. You can simply use the \nfiled it in***C:\\Course Files for Excel 2010***. \nmouse and click in the cells if you want or \nEach time you start Excel it will most likely \neven press the arrow keys to move up, \nassume you want to file your workbooks in a \ndown, left, or right. \nfolder called***Documents***which is associated \nwith the user name you use on the computer. \n\n or \n\n\n\n\n\n\n\n\n\n| FFoorr YYoouurr RReeffeerreennccee……\nTToo esanvteer at enxetw: document:\n11. . ClCiclkic ko nth teh ec eFlil lpeo Tinatbe r on tahned d seeslierecdt Scaevll ea nAds\ntype the required information\n2. Locate the storage folder in the Navigation\n2. paPnrees s , an arrow key or to\n3. Tycpoen fair mFi lteh en admatae eanntdr yc laicnkd oton m[Soavvee ]th e cell\npointer to another cell | |\n|---|---|\n| FFoorr YYoouurr RReeffeerreennccee…… TToo esanvteer at enxetw: document: 11. . ClCiclkic ko nth teh ec eFlil lpeo Tinatbe r on tahned d seeslierecdt Scaevll ea nAds type the required information 2. Locate the storage folder in the Navigation 2. paPnrees s , an arrow key or to 3. Tycpoen fair mFi lteh en admatae eanntdr yc laicnkd oton m[Soavvee ]th e cell pointer to another cell | |", + "page_start": 6, + "page_end": 6, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Summary:**Create a COM add-in for Office 2024, Office LTSC 2024, and Microsoft 365 \n\nVersion 2408 and later applications with your own logic for exporting to PDF format. The \n\ntechnique described requires knowledge of C++ and COM. \n\n**Applies to:**Excel, OneNote, PowerPoint, Publisher, Visio, and Word in Office 2024, Office \n\nLTSC 2024, Microsoft 365 Version 2408 and later. \n\n**Introduction to the Office (2024) Fixed-Format**\n**Export Feature**\n\nThis article explains how third-party software developers can hook in to the fixed-format \n\nexport feature available in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 \n\nand later applications so that they can add their own exporter. \n\nThe applications include built in exporters for Microsoft XML Paper Specification (XPS) \n\nand Portable Document Format (PDF). Fixed-file formats expose the content of a \n\ndocument in a paginated form that is both application-independent and platform- \n\nindependent. \n\nSoftware developers can add their own exporter, by writing an Office add-in that \n\nimplements the**IMsoDocExporter**COM interface. This article describes \n\n**IMsoDocExporter**and its interaction with a hosting Microsoft 365 application, such as \n\nWord. \n\nFixed-format export has been available since the Office 2007 release, and this article \n\nincludes information on the features that are new in the Office 2024, Office LTSC 2024, \n\nMicrosoft 365 Version 2408 releases. \n\n**Important**\n\nThe fixed-format export feature is available in all the applications listed in the preceding Applies \nto section. However, the discussion below uses Publisher as an example application, except in \n\nthose cases where an explanation is more relevant to a different application.", + "page_start": 2, + "page_end": 2, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Note**\n\nFor OneNote, the add-in calls the**Publish**method with a string parameter that is the class ID of \nthe add-in's implementation of the**IMsoDocExporter**interface. OneNote then calls \n\n**CoCreateInstance**with the class ID to get an**IUnknown**interface pointer from the add-in's class \n\nfactory. \n\nAfter Publisher has a pointer to the**IMsoDocExporter**interface, it calls back the add-in \n\nthrough the methods exposed by**IMsoDocExporter**. Through these callbacks, Word \n\nprovides the add-in with document content and other information about the document. \n\nAn excellent source of information about building COM add-ins for Microsoft Office \n\napplications is the codeproject.com article Building an Office2K COM Add-in with \n\nVC++/ATL . \n\n**Method** **Description**\n\n**HrCreateDoc** Called at the start of the fixed-format export process. \n\n**HrAddPageFromEmf** Called to pass the add-in an enhanced metafile (EMF) that \n\nrepresents a rendered view of the content to export. \n\n**HrAddDocumentMetadataString**Called to specify string-format metadata for the document. \n\n**HrAddDocumentMetadataDate** Called to specify date-format metadata for the document. \n\n**HrSetDefaultLcid** Called to specify the default locale ID (LCID) for the content to", + "page_start": 3, + "page_end": 3, + "source_file": "office-pdf.pdf" + } + ] + }, + { + "references": { + "source_file": "welcome_to_word_template.pdf", + "query": "What is the bold keyboard shortcut on word ?", + "target_page": 4, + "target_passage": "Bold (keyboard shortcut: Ctrl+B)", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "To format text, select it, and then select a button in the Font or Paragraph area on the Home \ntab. \n\nTry it: Select text in the lines below and choose formatting options so that the text is an \nexample of the formatting it’s describing: \n\n\n\n\n\n\n\n\n\n\n\n\n\nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a \nlittle toolbar, with the font formatting options? \n\nBetween that and keyboard shortcuts like Ctrl+B \nand Ctrl+I, you save time by not having to go up to \nthe Home tab all the time.", + "page_start": 3, + "page_end": 3, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "The Tell me search box takes you straight to commands and Help in Word. \n\nTry it: Get help: \n\n1. Go to Tell me what you want to do at the top of the window. \n\n2. Type what you want to do. \n\nFor example, type: \n\n Add watermark to quickly get to the watermark command. \n\n Help to go to Word help. \n\n Training to see the list of Word training courses. \n\n What’s new for a list of the most recent updates to Word", + "page_start": 7, + "page_end": 7, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "**Number** **Improvement** **Word Excel PowerPoint**\n\nText, or Decorative has tag with text content \n\n15 Shape with Alt Text and non-whitespace text without Yes Yes \n\nEquation has
tag with Alt Text \n\n16 Table Cell with Equation in a Table without Alt Text has Yes \n\n tag with Alt Text \n\n17 Summary Zoom, Section Zoom, and Slide Zoom has Yes \n\n tag without Alt Text \n\n18 WordArt preserved as text Yes Yes Yes \n\n19 \n\nAlt Text includes the Alt Text Title as well as Alt Text \nDescription \n\nYes Yes Yes \n\n20 Alt Text includes the Object type Yes Yes Yes \n\n21 \n\nAlt Text for Shape with Alt Text includes the text \ncontent \n\nYes Yes \n\n22 Header Row in a Table has tag Yes \n\n23 Total Row in a Table has tag Yes \n\n24 Header Cell in Table has Scope=Row, Column, or Both Yes \n\nin tag \n\n25 Cell in a Table has Row span and Column span set Yes \n\nproperly on or tag \n\nFor lists in PowerPoint, bullet or number is in tag \n\nFor lists in Word, bullet or number is in tag \n\nFor picture bullets, no tag is included \n\nFor nested lists, tag is in tag \n\nDocument language in PDF set as the document \n\nlanguage in PowerPoint \n\nDocument language in PDF set as the document \n\nlanguage in Word \n\nText in different language has tag with Lang \n\nproperty in PowerPoint \n\nText in different language has tag with Lang \n\nproperty in Word", + "page_start": 38, + "page_end": 38, + "source_file": "office-pdf.pdf" + }, + { + "text": "**SELECTING ROWS**\n\nIf you want to make changes to an***entire row***, \nsuch as bolding all of the headings in a row or \nchanging the font of all the cell entries, you must \nfirst select the row. This is done by clicking on the \n\n\n\n\nrow header to the left of the row. Remember that \nany changes you make will apply to every cell in \nthe row all the way across to column XFD, so be \ncareful! \n\n\n\n**Try This Yourself:**\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n **6**\n\nto select this row \n\n\n and click on the \n\n\n\n\n\n| 2 | |\n|---|---|\n| 2 | |\n\n\n*Continue using the previous file*\n***e***\n\n***e***\n***m***\n***a***\n***S***\n*with this exercise, or open the file*\n*E705 Ranges_1.xlsx...*\n\n***l***\n***i***\n***F***\n\n Press \n Move the mouse pointer to the \n\n + \nthe active cell \n to make cell***A1***\n\nrow heading for row***5***\n**3**\n\n*Notice that the mouse pointer*\n*changes to a black arrow that*\n*points towards the row…*\n\n Click once on row heading***5***to \n Click in cell***B7***and press \n\nselect the entire row \n\n*This is the key combination for*\n*selecting an entire row…*\n\n Click on the row header for row***7***\n Hold down row header for row***10***\n\n*All rows from 7 to 10 will be*\n*selected…*\n\n Click in the row header for row***5***, \n\nthen hold down the left mouse \nbutton and drag down the row \nheaders to row***10***\n\n*This is another technique for*\n*selecting rows, but it does require*\n*a steady hand!*\n\n\n\n + \n\n\n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n When***every cell***in a row or column is \n\nselected, the corresponding row or column \nheader is filled in dark blue. When only***some***\nof the cells are selected, the row or column \nheader is filled in orange. These indicators \nhelp you locate the active cell(s) on the \nworksheet. \n\n", + "page_start": 17, + "page_end": 17, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "Get writing suggestions \n\nWith**Editor**, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion. \n\nView who else is typing \n\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in. \n\n\n\nReview and track changes \n\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the**Review**tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents. \n\nFormat with styles \n\n**Styles**lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the**Home**tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", + "page_start": 2, + "page_end": 2, + "source_file": "Word QS.pdf" + }, + { + "text": "**Number** **Improvement** **Word Excel PowerPoint**\n\n34 Actual Text property removed from tag for text Yes \n\nin different language in PowerPoint \n\n35 Actual Text property removed from tag for text Yes \n\nin different language in Word \n\n36

tag for Title Placeholder on Title or Section Yes \n\nHeader layout in PowerPoint \n\n37

tag for Title Placeholder on other slides in Yes \n\nPowerPoint \n\n38

and

tag logic in PowerPoint works for Yes \n\ncustom templates \n\n39 Hyperlinks aren’t nested in
tags Yes Yes \n\n40 Hyperlinks are preserved even for Decorative Objects Yes \n\nand Objects on the Slide Master or Slide Layout \n\n41 For a Hyperlink on a Graphical Object, tag is a Yes Yes \n\nsibling of the tag for the Object \n\n42 For a Hyperlink on text in a Shape with Alt Text, Yes Yes \n\nEquation, or Decorative, tag is a sibling of the \ntag for the Object \n\n43 \n\nFor a Hyperlink on text in a Table Cell with Alt Text, \nEquation, or Decorative, tag is a sibling of the \n\nYes \n\ntag for the Object \n\nDocument Title in PDF set as Document Title in Word Yes \n\nComment Anchor has tag in Word Yes \n\nQuote Style has tag in Word Yes \n\nCaption has tag in Word Yes \n\nParagraph spanning multiple pages has single

tag \nin Word \n\nYes \n\nFootnote and Endnote have tag in Word Yes \n\nFootnote and Endnote have tag in Word Yes \n\nParagraph Quote and Intense Quote Styles have \n

tag in Word \n\nYes \n\nTitle Style has tag in Word Yes", + "page_start": 39, + "page_end": 39, + "source_file": "office-pdf.pdf" + }, + { + "text": "**SELECTING COLUMNS**\n\nIf you want to make changes to an***entire***\n***column***, such as bolding all of the headings in a \ncolumn or changing the font of all the cell entries, \nyou must first select the column. This is done by \n\n\n\n\nclicking on the column header directly above the \ncolumn. Remember that any changes you make \nwill apply to every cell in the column all the way \ndown to row 1,048,576! \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\ncolumn***B***to select it \n\n\n and click on the \n**6**\n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n***e***\n\n***e***\n***m***\n***a***\n***S***\n*file with this exercise, or open*\n*the file E705 Ranges_1.xlsx...*\n\n***l***\n***i***\n***F***\n\n Press \n Move the mouse pointer to the \n\n + \n to make \ncell***A1***the active cell \n\ncolumn heading for column***B***\n\n*Notice that the mouse pointer*\n*changes to a black arrow*\n*pointing down the column…*\n\n Click once to select the column \n\n*This time the row headers*\n*change to orange to indicate*\n*that at least one cell (but not*\n*all) in each row is selected…*\n\n Click in cell***D6***and press \n+ \n\n*This key combination also*\n*selects an entire column…*\n\n Click on the column header for \n Hold down column header for column***D***\n\n*This time, columns B, C, and D*\n*are all selected…*\n\n Click in the column header for \n\ncolumn***A***, then hold down the \nleft mouse button and drag the \nmouse pointer across the \ncolumn headings to column***E***\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n Make sure that you check your worksheet \n\ncarefully after you’ve made changes to entire \ncolumns. Remember that all of the cells in \nthat column are affected – even those in \nrows below the visible area.", + "page_start": 18, + "page_end": 18, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**CHANGING FONT SIZE**\n\nOne way that text can be emphasised is by \nchanging the***size***of the font. For example, if \nyour normal text is 11 pt, you may like to make \nthe headings 13 pt or larger. Font size may also \n\n\n\n\nbe changed for small detailed items, such as \ncomments or a caption. Main headings in a \nworksheet usually appear in a slightly larger font \nsize compared to the rest of the data. \n\n\n\n\n\n\n**8**\n\n\n\n\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E722 Font*\n*Formatting_2.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click in cell***A1***to make the \ncell with the main heading the \nactive cell \n\n Click on the drop arrow next to \nthe***Font Size***command \n\n in the***Font***group on \n\nthe***Home***tab to display a \ngallery of available sizes \n\n Point to various sizes and \n\nnotice how***Live Preview***\nshows you how the heading \nwill look \n\n Click on***16***to change the \n\n*You can also change the font*\n*size of parts of a document,*\n*and you can use the Mini*\n*toolbar...*\n\n Click in cell***A2***\n Click with the right-mouse \nbutton to display the mini- \ntoolbar and the shortcut menu \n\n Click on the drop arrow next to \n\n***Font Size***\nclick on***14***\n\n and \n\n Click in cell***A3***to hide the \n\n\n\nheading to***16***pt \n\n\n\ntoolbar \n\n\n\n**Handy to Know…**\n You may have noticed that the text didn��t \n\nchange size when you used the mini toolbar \nuntil you actually clicked on a different font \nsize. This is because***Live Preview***doesn’t \nwork with the mini toolbar. \n\n**For Your Reference…**\nTo***change font size***: \n\n1. Select the cell or range that you want to \nchange \n\n\n2. Click on the drop arrow of***Font Size***\n\n3. Click on the required font size", + "page_start": 22, + "page_end": 22, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**1** **2**\n\n\n\n\n\n\n\n\n\n press \n\n\n\n\n\n\n\n\n\n**Try This Yourself:**\n\n*Before you begin ensure*\n*that there is a blank*\n*workbook on the screen…*\n\n Click in cell***A3***to make \n\nthis the active cell, type \n**Garden Settings**and \npress \n\n*When you press*\n*next cell down*\n*automatically becomes*\n*the active cell. By the*\n*way, even though the text*\n*looks like it is in cells A3*\n*and B3 it really only is in*\n*cell A3 – since there is*\n*nothing in B3, Excel*\n*allows the spill over to be*\n*displayed giving the*\n*illusion it is in 2 cells…*\n\n*the*\n\n Type**Pool Covers**and \n Repeat the above steps \nand enter the remaining \ntext in column***A***as shown \n\n Click in cell***B2***to make \nthis the active cell, type \n**UK**and press \n**5**\n\n*When you press*\n*the*\n*cell to the right becomes*\n*the active cell…*\n\n Enter the remaining text in \nrow***2***as shown \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n**Handy to Know…**\n \n You don’t have to use \n\nIn the exercise above we have named the \n to make \nworkbook***Garden Department Sales***and \nadjacent cells active. You can simply use the \nfiled it in***C:\\Course Files for Excel 2010***. \nmouse and click in the cells if you want or \nEach time you start Excel it will most likely \neven press the arrow keys to move up, \nassume you want to file your workbooks in a \ndown, left, or right. \nfolder called***Documents***which is associated \nwith the user name you use on the computer. \n\n or \n\n\n\n\n\n\n\n\n\n| FFoorr YYoouurr RReeffeerreennccee……\nTToo esanvteer at enxetw: document:\n11. . ClCiclkic ko nth teh ec eFlil lpeo Tinatbe r on tahned d seeslierecdt Scaevll ea nAds\ntype the required information\n2. Locate the storage folder in the Navigation\n2. paPnrees s , an arrow key or to\n3. Tycpoen fair mFi lteh en admatae eanntdr yc laicnkd oton m[Soavvee ]th e cell\npointer to another cell | |\n|---|---|\n| FFoorr YYoouurr RReeffeerreennccee…… TToo esanvteer at enxetw: document: 11. . ClCiclkic ko nth teh ec eFlil lpeo Tinatbe r on tahned d seeslierecdt Scaevll ea nAds type the required information 2. Locate the storage folder in the Navigation 2. paPnrees s , an arrow key or to 3. Tycpoen fair mFi lteh en admatae eanntdr yc laicnkd oton m[Soavvee ]th e cell pointer to another cell | |", + "page_start": 6, + "page_end": 6, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**PRACTICE EXERCISE**\n**Font Formatting**\n\n\n\n| Tasks:\nBefore starting this exercise you MUST have completed all of the topics in\nthe chapter Font Formatting…\n\nOpen the workbook called PE_Font Formatting.xlsx (it can be found in\nthe same folder as the student files)\n\nFormat the heading in cell A1 as Cambria, 36 pt, bold, Orange Accent 2\n\nFormat the other headings as bold, italic or underline as shown on the\nfollowing page\n\nUse Orange, Accent 2, Lighter 80% to fill the area behind the headings\nas shown on the following page\n\nAdd the superscript 1 in cell H3 and in cell B27 with the following comment\n1 Fee may be reduced as the result of Government Assistance\nYour completed worksheet should appear as shown on the following\npage...\n\nUse the Save As command to save the workbook as PE_Font Formatting\n(Completed).xlsx | |\n|---|---|\n| Tasks: Before starting this exercise you MUST have completed all of the topics in the chapter Font Formatting…  Open the workbook called PE_Font Formatting.xlsx (it can be found in the same folder as the student files)  Format the heading in cell A1 as Cambria, 36 pt, bold, Orange Accent 2  Format the other headings as bold, italic or underline as shown on the following page  Use Orange, Accent 2, Lighter 80% to fill the area behind the headings as shown on the following page  Add the superscript 1 in cell H3 and in cell B27 with the following comment 1 Fee may be reduced as the result of Government Assistance Your completed worksheet should appear as shown on the following page...  Use the Save As command to save the workbook as PE_Font Formatting (Completed).xlsx | |", + "page_start": 26, + "page_end": 26, + "source_file": "Excel Training Manual 1.pdf" + } + ] + }, + { + "references": { + "source_file": "welcome_to_word_template.pdf", + "query": "What is the advise to make the style sets and themes work well ? ", + "target_page": 6, + "target_passage": "They work best when your document is formatted with styles", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Style sets and themes let you completely change the look of your document in an instant. They \nwork best when your document is formatted with styles (so it’s good that we fixed that Heading \nstyle, above). \n\nTry it: Explore style sets and themes: \n\n1. On the Design tab, select Themes, and choose a theme from the drop-down. \nNotice that the gallery of style sets updates to reflect the theme you picked. \n\n2. Select any theme you like from the drop-down and click to apply.", + "page_start": 5, + "page_end": 5, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "Make magic: use Heading styles \n\nThe heading for this part (“Make magic: use Heading styles”) looks the same as the other \nheadings in this document, but it’s not as useful. It’s formatted with font settings (font, size, and \ncolor), while the other headings are formatted with a Heading style (Heading 1, to be exact). \n\nSee the little triangle when you mouse over those other \nheadings? \n\nYou can collapse and expand everything under a heading, like an \noutline. But this one’s not working. Let’s fix it. \n\n\n\nTry it: Apply the Heading 1 style: \n\n1. Put your cursor somewhere in the heading above (“Make magic: use Heading styles”) – \n\ndon’t select anything. \n\n2. On the Home tab, find Styles, and select Heading 1 (keyboard shortcut Ctrl+Alt+1). \n\nTa-da! Now it looks like a heading, and acts like one too.", + "page_start": 4, + "page_end": 4, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "***Style 9***\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_9.xlsx...*\n Click on the***Revenue***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it \n\n Click on the***Chart***\n\n***Styles***tool to the right \nof the chart to see a \ngallery of style options, \nas shown \n\n Scroll through the \n\ngallery and point to \neach style to see how \nyour chart will look in \nLive Preview \n\n Scroll to and click on \n Click on the***Chart***\n\n***Styles***tool to the right \nof the chart to close the \ngallery \n\n Click on the***Chart Data***\nworksheet tab \n\n\n\n\n\n\n\n**Handy to Know…**\n \n\nInstead of using the***Chart Styles***tool to the \nright of the chart, you can also choose chart \nstyles from the***CHART TOOLS: DESIGN***\ntab on the ribbon when a chart is selected. \n\n**For Your Reference…**\nTo***change***the***chart style***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***Chart Styles***tool to the right of \nthe chart \n\n3. Click on the desired style", + "page_start": 54, + "page_end": 54, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Compose**\n\n**Tip**Going into format mode will \nprevent your message from sending \nwhen you hit [Enter], so it's a great \nway to draft and preview messages \nbefore sending them. \n\nHi @Daichi. Can you coordinate a time to meet with \n\n**Format**your messages, add bullet points, \ncharts or hyperlinks. \n\nChristie to talk coverage on Brandhaus while Alex is out**next week?**\n\n**Mark as important**to call attention to specific messages.", + "page_start": 4, + "page_end": 4, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_8.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Revenue***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \n***CHART TOOLS:***\n***DESIGN***and***CHART***\n***TOOLS: FORMAT***tabs \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Quick***\n***Layout***in the***Chart***\n***Layouts***group to display \na gallery of layout \noptions \n\n Click on***Layout 3***to \napply this chart layout to \nthe chart \n\n Repeat steps***2***and***3***to \n\nselect other***chart***\n***layouts***and see how \nthey appear when \napplied to the chart \n\n**5**\n\n Click on***Quick Layout***in \nthe***Chart Layouts***group \nand click on***Layout 5***\n\n Click on the***Chart Data***\nworksheet tab to display \nthis worksheet \n\n\n\n\n\n\n\n**Handy to Know…**\n***Chart layouts***are predefined themes \n\ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n\n**For Your Reference…**\nTo***change***the***chart layout***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Quick Layout***in the***Chart***\n***Layouts***group \n\n3. Select the desired layout", + "page_start": 53, + "page_end": 53, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**CHANGING FONTS**\n\nThe appearance that you choose for your text is \nreferred to as the***font***or***typeface***. Font \ntraditionally refers to a combination of typeface, \nstyle and size in points (e.g. Arial Bold 12 pt). \n\n\n\n\nIn Excel 2007,***font***just refers to the typeface or \nshape of the letters. Typical classic fonts include \nTimes New Roman, Arial, Century Gothic and \n**Copperplate**. \n\n\n\n\n\n **4**\n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E722 Font*\n*Formatting_1.xls...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click in cell***A1***to make the \ncell with the main heading the \nactive cell \n\n Click on the drop arrow next to \n\nthe***Font***command \n in \nthe***Font***group on the***Home***\ntab to display a gallery of \navailable fonts \n\n Point to**Arial Narrow**, then**Book**\n**Antiqua**,**Garamond**and**Gill**\n**Sans MT**\n\n*If you don’t have these fonts,*\n*try different ones. As you point*\n*to each font, the preview will*\n*change...*\n\n Scroll to and click on Comics \n\nSans MS, or another font of \nyour choice if you don’t have \nthis one \n\n*This time the font formatting*\n*has changed in the cell and is*\n*no longer just a preview – it*\n*won’t change again unless you*\n*make another font selection.*\n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***apply font formatting***: \n\n1. Select the text \n\n 2. Click on the drop arrow for***Font***\n\n3. Point to a font to preview it \n4. Click on the font to apply it", + "page_start": 21, + "page_end": 21, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "When a word or phrase is emphasized, it is*shown in italics like this*. \n\nExercises are presented like this: \n\n**Exercise 1: Accomplish this**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. Do this. \n\n2. Then do this. \n\n3. Then do this. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\nPotential pitfalls and warnings are presented like this. \n\n\nTips and suggestions related to using Protégé are presented like this. \n\n| | Explanations as to what things mean are presented like this. |\n|---|---|\n| | Explanations as to what things mean are presented like this. |\n\n\n\n\n| | General notes are presented like this. |\n|---|---|\n| | General notes are presented like this. |\n\n\n\n\n\nVocabulary explanations and alternative names are presented like this.", + "page_start": 5, + "page_end": 5, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "4. Your UI should now look similar to figure 5.5. Select OK to enter the new value. Run the reasoner. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\n\nOne of the most common sources of errors in ontologies is to have the wrong datatype for data \nproperty values. The sooner you catch these errors, the easier they are to debug so it is a good \nidea to run the reasoner frequently after you enter any values. Note that in some versions of \nProtégé 5.5. there is a minor bug where the UI may lock up due to an inconsistent data value \n(e.g., a string value in a property typed for integer). If this happens the best thing to do is save \nyour work if possible, quit Protégé, and then restart it. When you restart it fix the datatype \nerrors*before*you run the reasoner and then run the reasoner to make sure you actually have \nfixed the error. \n\n\n\n**Exercise 30: Create More Instances and Data Property Values**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. Remain in the Individuals by class tab. Click on other Pizzas and create instances of them (apx. 5-10) \nand then fill in their caloric content with values ranging from 200 to 800. Try to have about half of your \npizzas higher than 400 calories and half less than 400. The UI retains the datatype from the previous use \nso once you define the first caloric content you shouldn’t need to set the datatype again but it is always a \ngood idea to make sure it is correct, in this case: xsd:integer. \n\n2. It is a good idea to adhere to an intuitive naming standard for your instances such as <Class \nName><Number> as we did for MargheritaPizza1. Depending on the classes you instantiate your \npizzas should have names like MargheritaPizza2, SohoPizza1, etc. \n\n3. Make sure to create an instance of AmericanaPizza called AmericanaPizza1 that \nhasCaloricContent 723. \n\n4. Make sure to run the reasoner after creating all your instances. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___", + "page_start": 54, + "page_end": 54, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "In addition to your handsome good looks, \n\nwhat impresses us most about you, Gunlocke, \n\nis how open you are to self-improvement. \n\nIt’s usually a slow and difficult process to \n\nmake fundamental shifts in attitude, but \n\nyou jump at the idea of collaboration, and \n\nquickly turn the wheel in a different direction. \n\nWe also love how you balance your sense \n\nof detail and approach with a truly refined \n\naesthetic. Bold and strong, yet sophisticated \n\nand classy — able to adjust to the nuances \n\nof your customer’s personality. Bottom line? \n\nYou’re simply irresistible. \n\n\n\nP E R F E C T M A T C H # 2 \n\n\n\nT H E \n\nDESIGN COMMUNITY \n\nA N D G U N L O C K E", + "page_start": 18, + "page_end": 18, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "**PRACTICE EXERCISE**\n**Font Formatting**\n\n\n\n| Tasks:\nBefore starting this exercise you MUST have completed all of the topics in\nthe chapter Font Formatting…\n\nOpen the workbook called PE_Font Formatting.xlsx (it can be found in\nthe same folder as the student files)\n\nFormat the heading in cell A1 as Cambria, 36 pt, bold, Orange Accent 2\n\nFormat the other headings as bold, italic or underline as shown on the\nfollowing page\n\nUse Orange, Accent 2, Lighter 80% to fill the area behind the headings\nas shown on the following page\n\nAdd the superscript 1 in cell H3 and in cell B27 with the following comment\n1 Fee may be reduced as the result of Government Assistance\nYour completed worksheet should appear as shown on the following\npage...\n\nUse the Save As command to save the workbook as PE_Font Formatting\n(Completed).xlsx | |\n|---|---|\n| Tasks: Before starting this exercise you MUST have completed all of the topics in the chapter Font Formatting…  Open the workbook called PE_Font Formatting.xlsx (it can be found in the same folder as the student files)  Format the heading in cell A1 as Cambria, 36 pt, bold, Orange Accent 2  Format the other headings as bold, italic or underline as shown on the following page  Use Orange, Accent 2, Lighter 80% to fill the area behind the headings as shown on the following page  Add the superscript 1 in cell H3 and in cell B27 with the following comment 1 Fee may be reduced as the result of Government Assistance Your completed worksheet should appear as shown on the following page...  Use the Save As command to save the workbook as PE_Font Formatting (Completed).xlsx | |", + "page_start": 26, + "page_end": 26, + "source_file": "Excel Training Manual 1.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0770.pdf", + "query": "Where are the peaks of the VHE blazars ?", + "target_page": 1, + "target_passage": " VHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "**4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are \nlargely high-frequency-peaked BL Lac objects. How- \never, the program also includes IBLs (intermediate- \npeaked) and LBLs (low-peaked), as well as flat spec- \ntrum radio quasars (FSRQs), in an attempt to in- \ncrease the types of blazars known to emit VHE γ-rays. \nThe observed targets are drawn from a target list con- \ntaining objects visible to the telescopes at reasonable \nzenith angles (−8◦ < δ < 72◦), without a previously \npublished VHE limit below 1.5% Crab, and with a \nmeasured redshift z < 0.3. To further the study of the \n\nVHE emission from 3C 66A was discovered by VER- \nITAS in September 2008 [17] during a flaring episode \nthat was also observed by the Fermi-LAT [18]. The \nobserved flux above 200 GeV was 6% of the Crab Neb- \nula flux and the measured VHE spectrum was very \nsoft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "VERITAS, a stereoscopic array of \n\nVHE blazars have double-humped spectral energy \ndistributions (SEDs), with one peak at UV/X-ray en- \nergies and another at GeV/TeV energies. The ori- \ngin of the lower-energy peak is commonly explained \nas synchrotron emission from the relativistic electrons \nin the blazar jets. The origin of the higher-energy \npeak is controversial, but is widely believed to be the \nresult of inverse-Compton scattering of seed photons \noff the same relativistic electrons. The origin of the \nseed photons in these leptonic scenarios could be the \nsynchrotron photons themselves, or photons from an \nexternal source. Hadronic scenarios are also plausible \nexplanations for the VHE emission, but generally are \nnot favored. \n\n1A VERITAS telescope was relocated during Summer 2009, \nincreasing the array’s sensitivity by a factor ∼1.3. Contemporaneous multi-wavelength (MWL) obser- \n\neConf C091122", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "(z = 0.341) detected in the VHE band. In addition, \nVER J0521+211, likely associated with the radio-loud \nAGN RGB J0521.8+2112, was detected by VERTAS \nin ∼4 h of observations in October 2009 [23]. These \nobservations were motivated by its identification as a \n>30 GeV γ-ray source in the public Fermi-LAT data. \nIts VHE flux is 5% of the Crab Nebula flux, placing it \namong the brightest VHE blazars detected in recent \nyears. VERITAS later observed even brighter VHE \nflaring from VER J0521+211 in November 2009 [24], \nleading to deeper VHE observations. \n\nTable I VERITAS AGN Detections. The only non-blazar \nobject is the radio galaxy M 87. The blazars discovered \nat VHE by VERITAS are marked with a dagger. \n\nObject Class Redshift \n\nFR I \nHBL \nHBL \n1ES 2344+514 HBL \n1ES 1959+650 HBL \nIBL \nRGB J0710+591† HBL \nHBL \n1ES 0806+524† HBL \n1ES 0229+200 HBL \n1ES 1218+304 HBL \nHBL \n1ES 0502+675† HBL \nIBL \nIBL \n? \n\nM 87 \nMkn 421 \nMkn 501 \n\nW Comae† \n\n0.004 \n0.030 \n0.034 \n0.044 \n0.047 \n0.102 \n0.125 \n0.129 \n0.138 \n0.139 \n0.182 \n0.190 \n0.341 \n0.444? \n? \n? \n\nH 1426+428 \n**6. Blazars Upper Limits**\n\nRBS 0413† \n\n3C 66A† \nPKS 1424+240† \nVER J0521+211† \n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) \nduring VERITAS observations from December 2008 \nto March 2009. The initial announcement of the VHE \ndiscovery [19] led to its discovery above 1 GeV in the \nFermi-LAT data using a special analysis. RBS 0413, \na relatively distant HBL (z=0.19), was observed for \n16 h good-quality live time in 2008-092. These data \nresulted in the discovery of VHE gamma-rays (>270γ, \n∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Neb- \nula flux. The discovery [20] was announced simultane- \nously with the LAT MeV-GeV detection. The VHE \nand other MWL observations, including Fermi-LAT \ndata, for each of these three sources will be the sub- \nject of a joint publication involving both the VERI- \nTAS and LAT collaborations. \n\nMore than 50 VHE blazar candidates were observed \nby VERITAS between September 2007 and June 2009. \nThe total exposure on the 49 non-detected candi- \ndates is ∼305 h live time (average of 6.2 h per can- \ndidate). Approximately 55% of the total exposure is \nsplit amongst the 27 observed HBL. The remainder is \ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9 \nFSRQ (13%). There are no clear indications of signifi- \ncant VHE γ-ray emission from any of these 49 blazars \n[25]. However, the observed significance distribution is \nclearly skewed towards positive values (see Figure 1). \nA stacking analysis performed on the entire data sam- \nple shows an overall excess of 430 γ-rays, correspond- \ning to a statistical significance of 4.8σ, observed from \nthe directions of the candidate blazars. The IBL and \nHBL targets make up 96% of the observed excess. Ob- \nservations of these objects also comprise ∼80% of the \ntotal exposure. An identical stacked analysis of all \nthe extragalactic non-blazar targets observed, but not \nclearly detected (>5σ), by VERITAS does not show \na significant excess (∼120 h exposure). The stacked \nexcess persists using alternate methods for estimating \nthe background at each blazar location, and with dif- \nferent event selection criteria (e.g. soft cuts optimized \nfor sources with ΓVHE > 4). The distribution of VHE \nflux upper limits is shown in Figure 1. These 49 VHE \nflux upper limits are generally the most-constraining \never reported for these objects. \n\n**5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by \nVERITAS of three blazars was motivated primarily \nby results from the first year of LAT data taking. In \nparticular, the VHE detections of PKS 1424+240 [21] \nand 1ES 0502+675 [22] were the result of VERITAS \nobservations triggered by the inclusion of these objects \nin the Fermi-LAT Bright AGN List [13]. The former \nis only the third IBL known to emit VHE gamma- \nrays, and the latter is the most distant BL Lac object \n\n**7. Multi-wavelength Studies of VHE**\n**Blazars**", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "tion of correlated VHE and X-ray flux variability, as \nwell as correlated spectral hardening in both the VHE \nand X-ray bands. The VHE MWL observations were \nperformed in both ”quiescent” and flaring states for \nsome of the observed blazars. For the observed HBL \nobjects, the SEDs can be well described by a simple \nSSC model in both high and low states. However, an \nadditional external Compton component is necessary \nto adequately fit the SEDs of the IBL objects. \n\norating institutions in the construction and operation \nof the instrument. \n\n**References**\n\n[1] F. Aharonian et al. 2007, ApJ, 664, L71 \n[2] F. Aharonian et al. 2006, Nature, 440, 1018 \n[3] F. Aharonian et al. 2007, A&A, 475, L9 \n[4] J. Holder, et al. 2008, AIPC, 1085, 657 \n[5] L. Costamante & G. Ghisellini 2002, A&A, 384, \n\nThe Fermi-LAT is already having a significant im- \npact on the blazar KSP. In future seasons, the VER- \nITAS blazar discovery program will focus its dis- \ncovery program on hard-spectrum blazars detected \nby Fermi-LAT, and will likely have a greater focus \non high-risk/high-reward objects at larger redshifts \n(0.3 < z < 0.7). \nIn addition, the number of VHE \nblazars studied in pre-planned MWL campaigns will \nincrease as data from the Fermi-LAT will be publicly \navailable. \nIn particular, the extensive pre-planned \nMWL campaigns will focus on objects that are note- \nworthy for the impact their data may have on under- \nstanding the EBL. The simultaneous observations of \nblazars by VERITAS and Fermi-LAT will completely \nresolve the higher-energy SED peak, often for the first \ntime, enabling unprecedented constraints on the un- \nderlying blazar phenomena to be derived. \n\n[6] E.S. Perlman 2000, AIPC, 515, 53 \n[7] F.W. Stecker et al. 1996, ApJ, 473, L75 \n[8] P. Giommi et al. 2005, A&A, 434, 385 \n[9] S. Turriziani et al. 2007, A&A, 472, 699 \n[10] L. Costamante 2006, arXiv:0612709 \n[11] P. Padovani et al. 2002, ApJ, 581, 895 \n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324 \n[13] A.A. Abdo et al. 2009, ApJ, 700, 597 \n[14] V.A. Acciari et al. 2008, ApJ, 684, L73 \n[15] V.A. Acciari et al. 2009, ApJ, 707, 612 \n[16] V.A. Acciari et al. 2009, ApJ, 690, L126 \n[17] V.A. Acciari et al. 2009, ApJ, 693, L104 \n[18] L.C. Reyes 2009, arXiv:0907.5175 \n[19] R.A. Ong 2009, ATel, 1941 \n[20] R.A. Ong et al. 2009, ATel, 2272 \n[21] V.A. Acciari et al. 2009, ApJ, 708, L100 \n[22] R.A. Ong et al. 2009, ATel, 2301 \n[23] R.A. Ong et al. 2009, ATel, 2260 \n[24] R.A. Ong et al. 2009, ATel, 2309 \n[25] W. Benbow 2009, arXiv:0908.1412 \n[26] V.A. Acciari et al. 2009, ApJ, submitted \n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370 \n[28] V.A. Acciari et al. 2009, ApJ, in press \n[29] J. Grube 2009, arXiv:0907.4862 \n\n**Acknowledgments**\n\nThis research is supported by grants from the US \nDepartment of Energy, the US National Science Foun- \ndation, and the Smithsonian Institution, by NSERC in \nCanada, by Science Foundation Ireland, and by STFC \nin the UK. We acknowledge the excellent work of the \ntechnical support staff at the FLWO and the collab-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0770.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "• Mkn 421: This HBL exhibited major flaring be- \nhavior for several months in 2008. Correlations \nof the VHE and X-ray flux were observed, along \nwith spectral hardening with increased flux in \nboth bands [29]. The MWL aspect of the VERITAS blazar KSP has \nalso been highly successful. Every VERITAS obser- \nvation of a known, or newly discovered, VHE blazar \nhas been accompanied by contemporaneous MWL ob- \nservations. These data have resulted in the identifica-", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0770.pdf", + "query": "What are the blazars observed in the discovery program ?", + "target_page": 2, + "target_passage": "The blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. How ever, the program also includes IBLs (intermediate peaked) and LBLs (low-peaked), as well as flat spec trum radio quasars (FSRQs), in an attempt to in crease the types of blazars known to emit VHE γ-rays.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are \nlargely high-frequency-peaked BL Lac objects. How- \never, the program also includes IBLs (intermediate- \npeaked) and LBLs (low-peaked), as well as flat spec- \ntrum radio quasars (FSRQs), in an attempt to in- \ncrease the types of blazars known to emit VHE γ-rays. \nThe observed targets are drawn from a target list con- \ntaining objects visible to the telescopes at reasonable \nzenith angles (−8◦ < δ < 72◦), without a previously \npublished VHE limit below 1.5% Crab, and with a \nmeasured redshift z < 0.3. To further the study of the \n\nVHE emission from 3C 66A was discovered by VER- \nITAS in September 2008 [17] during a flaring episode \nthat was also observed by the Fermi-LAT [18]. The \nobserved flux above 200 GeV was 6% of the Crab Neb- \nula flux and the measured VHE spectrum was very \nsoft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "tion of correlated VHE and X-ray flux variability, as \nwell as correlated spectral hardening in both the VHE \nand X-ray bands. The VHE MWL observations were \nperformed in both ”quiescent” and flaring states for \nsome of the observed blazars. For the observed HBL \nobjects, the SEDs can be well described by a simple \nSSC model in both high and low states. However, an \nadditional external Compton component is necessary \nto adequately fit the SEDs of the IBL objects. \n\norating institutions in the construction and operation \nof the instrument. \n\n**References**\n\n[1] F. Aharonian et al. 2007, ApJ, 664, L71 \n[2] F. Aharonian et al. 2006, Nature, 440, 1018 \n[3] F. Aharonian et al. 2007, A&A, 475, L9 \n[4] J. Holder, et al. 2008, AIPC, 1085, 657 \n[5] L. Costamante & G. Ghisellini 2002, A&A, 384, \n\nThe Fermi-LAT is already having a significant im- \npact on the blazar KSP. In future seasons, the VER- \nITAS blazar discovery program will focus its dis- \ncovery program on hard-spectrum blazars detected \nby Fermi-LAT, and will likely have a greater focus \non high-risk/high-reward objects at larger redshifts \n(0.3 < z < 0.7). \nIn addition, the number of VHE \nblazars studied in pre-planned MWL campaigns will \nincrease as data from the Fermi-LAT will be publicly \navailable. \nIn particular, the extensive pre-planned \nMWL campaigns will focus on objects that are note- \nworthy for the impact their data may have on under- \nstanding the EBL. The simultaneous observations of \nblazars by VERITAS and Fermi-LAT will completely \nresolve the higher-energy SED peak, often for the first \ntime, enabling unprecedented constraints on the un- \nderlying blazar phenomena to be derived. \n\n[6] E.S. Perlman 2000, AIPC, 515, 53 \n[7] F.W. Stecker et al. 1996, ApJ, 473, L75 \n[8] P. Giommi et al. 2005, A&A, 434, 385 \n[9] S. Turriziani et al. 2007, A&A, 472, 699 \n[10] L. Costamante 2006, arXiv:0612709 \n[11] P. Padovani et al. 2002, ApJ, 581, 895 \n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324 \n[13] A.A. Abdo et al. 2009, ApJ, 700, 597 \n[14] V.A. Acciari et al. 2008, ApJ, 684, L73 \n[15] V.A. Acciari et al. 2009, ApJ, 707, 612 \n[16] V.A. Acciari et al. 2009, ApJ, 690, L126 \n[17] V.A. Acciari et al. 2009, ApJ, 693, L104 \n[18] L.C. Reyes 2009, arXiv:0907.5175 \n[19] R.A. Ong 2009, ATel, 1941 \n[20] R.A. Ong et al. 2009, ATel, 2272 \n[21] V.A. Acciari et al. 2009, ApJ, 708, L100 \n[22] R.A. Ong et al. 2009, ATel, 2301 \n[23] R.A. Ong et al. 2009, ATel, 2260 \n[24] R.A. Ong et al. 2009, ATel, 2309 \n[25] W. Benbow 2009, arXiv:0908.1412 \n[26] V.A. Acciari et al. 2009, ApJ, submitted \n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370 \n[28] V.A. Acciari et al. 2009, ApJ, in press \n[29] J. Grube 2009, arXiv:0907.4862 \n\n**Acknowledgments**\n\nThis research is supported by grants from the US \nDepartment of Energy, the US National Science Foun- \ndation, and the Smithsonian Institution, by NSERC in \nCanada, by Science Foundation Ireland, and by STFC \nin the UK. We acknowledge the excellent work of the \ntechnical support staff at the FLWO and the collab-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**Submillimeter Variability and the Gamma-ray Connection in Fermi**\n**Blazars**\n\nA. Strom \nUniv. of Arizona, AZ 85721, USA \nA. Siemiginowska, M. Gurwell, B. Kelly \nCfA, MA 02138, USA \n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, \n43 of which were detected by Fermi during the first three months of observations. We explore the correlation \nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special \nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de- \ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), \nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate \nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands \nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous \nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ- \nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. \nAll of the the light curves are consistent with being produced by a single process that accounts for both low \nand high states, and there is additional evidence that objects may be transitioning between blazar class during \nflaring epochs. \n\nlimeter Array 1 (SMA) at 1mm and 850µm, including \nan investigation of variable behavior and the deter- \nmination of submillimeter energy spectral indices. In \naddition, we consider the connection to the observed \nγ-ray indices and luminosities. \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n**1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring \nevents occur in blazars indicate that much of the en- \nergy is being produced deep within the jet on small, \nsub-parsec scales [1, 2]. Understanding if/how emis- \nsion differs between blazar subclasses (i.e., BL Lacs \nobjects and flat-spectrum radio quasars (FSRQs)) \nmay offer important insight into the similarity be- \nfurthermore, can provide con- \ntween blazars and, \nstraints on the formation and acceleration of the jets \nthemselves. \n\n**2. SMA BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m \nantennas located near the summit of Mauna Kea. The \nSMA is used in a variety of baseline configurations \nand typically operates in the 1mm and 850µm win- \ndows, achieving spatial resolution as fine as 0.25” at \n850µm. The sources used as phase calibrators for the \narray are compiled in a database known as the SMA \nCalibrator List2 [5]. Essentially a collection of bright \nobjects (stronger than 750 mJy at 230 GHz and 1 Jy \nat 345 GHz), these sources are monitored regularly, \nboth during science observations and dedicated ob- \nserving tracks. \n\nTo select our sample, we identified objects in the \ncalibrator list that were also classified as BL Lacs or \nFSRQs by the Candidate Gamma-Ray Blazar Sur- \nvey [6, CGRaBS]. Of the 243 total objects in the \ncalibrator list, 171 (35 BL Lacs and 136 FSRQs) \nhave positive blazar class identifications, although \nthere are three sources (J0238+166, J0428-379, and \n\n1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + }, + { + "text": "J1751+096) which have conflicting classifications be- \ntween Fermi and CGRaBS. Some blazars found in the \ncalibrator list have been studied extensively (e.g., 3C \n279 and 3C 454.3) but the SMA blazars have not been \nstudied collectively. \n\nFigure 2: Variability index for our sample (top: 1mm, \nbottom: 850µm), with FSRQs as the hatched \ndistribution and BL Lacs as the solid distribution. There \nis no signicant difference in the class distributions in \neither band; the “tail” to the left is populated by objects \nwith errors larger than the intrinsic variability. \n\nForty-four of the objects in our total blazar sample \nwere detected by Fermi and can be found in the cata- \nlog of LAT Bright AGN Sources (LBAS) from Abdo et \nal. [7]. J0050-094 has no redshift in either the LBAS \ncatalog or CGRaBS and is not included in our study. \nOf the 43 remaining sources, 14 are BL Lac objects \nand 29 are FSRQs, with 0.03 ≤ z ≤ 2.19. \n\nflux (in erg cm−2 s−1 Hz−1) over the three month pe- \nriod. We adopt a lambda cold dark matter cosmology \nwith values of H0 = 71 km s−1 Mpc−1, ΩM = 0.27, \nand Λ = 0.73. \n\nWe examined submillimeter light curves for all of \nthe SMA blazars, with observations beginning in ap- \nproximately 2003 (see Figure 1). Typically, the 1mm \nband is much more well-sampled in comparison to the \n850m band, but visual inspection reveals that the reg- \nularity and quality of observations vary greatly from \nsource to source. Many of the objects exhibit non- \nperiodic variability, either in the form of persistent, \nlow-amplitude fluctuations or higher amplitude flar- \ning behavior. \nEnergy Spectral Indices. We derive submillime- \nter spectral energy indices from observations quasi- \nsimultaneous with the Fermi observations. To be con- \nsistent with the use of αγ, we define spectral energy in- \ndex as νFν = ν−αS and calculate αS from the average \nof the energy spectral indices over the corresponding \nthree months. We only calculate αS for the 16 objects \n(8 BL Lacs and 35 FSRQs) with observations at both \n1mm and 850µm during this time frame. \n\n**2.1. Submillimeter Properties**\n\n**3. VARIABILITY ANALYSIS**\n\nSubmillimeter Luminosities. Since we are pri- \nmarily concerned with comparisons to Fermi observa- \ntions, we note that only 129 of the SMA blazars (23 BL \nLacs and 106 FSRQs) were observed by the SMA in \neither band during the three months August-October \n2008. For these objects, submillimeter luminosities \nare calculated in the standard way: \n\n**3.1. Variability Index**\n\nWe roughly characterize the level of variability of \neach source using the variability index from Hovatta \net al. [8]: \n\n(Fmax − σFmax) − (Fmin + σFmin) \n(Fmax − σFmax) + (Fmin + σFmin) \nνobsFobs \n1 + z \nV = (2) \n\nwhere DL is the luminosity distance, νobs is the fre- \nquency of the observed band, and Fobs is the average Figure 2 shows the distribution for the SMA blazars. \nObjects with V ≤ 0 are typically unsuitable for more \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the \nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, \nwhere the blazars are more distributed around αS ∼ 0. \n\nas the presence of SSC versus ERC. Here, we use sub- \nmillimeter luminosity as a proxy for jet power, which \nis correlated with the integrated luminosity of the syn- \nchrotron component. Elevated γ-ray luminosity with \nrespect to the synchrotron component (which is often \nseen in FSRQs) suggests the upscattering of external \nphotons off the synchrotron-emitting electrons. These \nobjects should occupy the upper right of the ratio/jet \npower plot, and BL Lacs, which generally exhibit com- \nponents with roughly comparable luminosities, should \noccupy the lower left. It is clear from the figure, how- \never, that many FSRQs exhibit ratios similar to those \nof the BL Lacs and vis versa. \n\nlow luminosity ratios and high luminosity, which sug- \ngest they may be undergoing the same changes as 3C \n454.3. A possible interpretation of the elevated lumi- \nnosity ratios observed in some BL Lacs objects is that \nthere has been a dramatic increase in γ-ray luminos- \nity due to ERC, which would not be reflected in the \nsynchrotron component. \n\n**5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub- \nmillimeter is to study behavior close to the central \nengine, where the jet material is presumably still be- \ning accelerated. The separate emission processes that \ncontribute to overall SED may present differently in \nBL Lacs and FSRQs, allowing us to understand the \nsimilarities and differences between blazar types. We \nhave investigated these differences between objects in \nterms of submillimeter behavior and, in conclusion, \nfind that \n\n• The SMA blazars exhibit submillimeter energy \nindexes that follow the spectral se- \nspectral \nquence interpretation of blazars. \n\n[10] report that, during its flaring \nepochs, 3C 454.3 transitions from its typical FSRQ \nstate to a more BL Lac-like state, where the syn- \nchrotron component emits much more strongly com- \npared to the γ-ray component than during its “low \nstate”. 3C 454.3, which is the highest submillime- \nter luminosity FSRQ in our sample, would then shift \ndown and to the right in Figure 5 when it enters a \nflaring period. For the first three months of the Fermi \nmission, 3C 454.3 was not flaring, which may explain \nits present location in Figure 5. The three objects for \nwhich there is a type discrepancy between CGRaBS \nand LBAS are all FSRQs (in CGRaBS) and exhibit \n\nSikora et al. \n\neConf C091122", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0806.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0770.pdf", + "query": "How many VHE blazar candidates were observed by VERITAS between September 2007 andJune 2009 ?", + "target_page": 3, + "target_passage": "More than 50 VHE blazar candidates were observed by VERITAS betweenSeptember 2007 andJune 2009.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "(z = 0.341) detected in the VHE band. In addition, \nVER J0521+211, likely associated with the radio-loud \nAGN RGB J0521.8+2112, was detected by VERTAS \nin ∼4 h of observations in October 2009 [23]. These \nobservations were motivated by its identification as a \n>30 GeV γ-ray source in the public Fermi-LAT data. \nIts VHE flux is 5% of the Crab Nebula flux, placing it \namong the brightest VHE blazars detected in recent \nyears. VERITAS later observed even brighter VHE \nflaring from VER J0521+211 in November 2009 [24], \nleading to deeper VHE observations. \n\nTable I VERITAS AGN Detections. The only non-blazar \nobject is the radio galaxy M 87. The blazars discovered \nat VHE by VERITAS are marked with a dagger. \n\nObject Class Redshift \n\nFR I \nHBL \nHBL \n1ES 2344+514 HBL \n1ES 1959+650 HBL \nIBL \nRGB J0710+591† HBL \nHBL \n1ES 0806+524† HBL \n1ES 0229+200 HBL \n1ES 1218+304 HBL \nHBL \n1ES 0502+675† HBL \nIBL \nIBL \n? \n\nM 87 \nMkn 421 \nMkn 501 \n\nW Comae† \n\n0.004 \n0.030 \n0.034 \n0.044 \n0.047 \n0.102 \n0.125 \n0.129 \n0.138 \n0.139 \n0.182 \n0.190 \n0.341 \n0.444? \n? \n? \n\nH 1426+428 \n**6. Blazars Upper Limits**\n\nRBS 0413† \n\n3C 66A† \nPKS 1424+240† \nVER J0521+211† \n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) \nduring VERITAS observations from December 2008 \nto March 2009. The initial announcement of the VHE \ndiscovery [19] led to its discovery above 1 GeV in the \nFermi-LAT data using a special analysis. RBS 0413, \na relatively distant HBL (z=0.19), was observed for \n16 h good-quality live time in 2008-092. These data \nresulted in the discovery of VHE gamma-rays (>270γ, \n∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Neb- \nula flux. The discovery [20] was announced simultane- \nously with the LAT MeV-GeV detection. The VHE \nand other MWL observations, including Fermi-LAT \ndata, for each of these three sources will be the sub- \nject of a joint publication involving both the VERI- \nTAS and LAT collaborations. \n\nMore than 50 VHE blazar candidates were observed \nby VERITAS between September 2007 and June 2009. \nThe total exposure on the 49 non-detected candi- \ndates is ∼305 h live time (average of 6.2 h per can- \ndidate). Approximately 55% of the total exposure is \nsplit amongst the 27 observed HBL. The remainder is \ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9 \nFSRQ (13%). There are no clear indications of signifi- \ncant VHE γ-ray emission from any of these 49 blazars \n[25]. However, the observed significance distribution is \nclearly skewed towards positive values (see Figure 1). \nA stacking analysis performed on the entire data sam- \nple shows an overall excess of 430 γ-rays, correspond- \ning to a statistical significance of 4.8σ, observed from \nthe directions of the candidate blazars. The IBL and \nHBL targets make up 96% of the observed excess. Ob- \nservations of these objects also comprise ∼80% of the \ntotal exposure. An identical stacked analysis of all \nthe extragalactic non-blazar targets observed, but not \nclearly detected (>5σ), by VERITAS does not show \na significant excess (∼120 h exposure). The stacked \nexcess persists using alternate methods for estimating \nthe background at each blazar location, and with dif- \nferent event selection criteria (e.g. soft cuts optimized \nfor sources with ΓVHE > 4). The distribution of VHE \nflux upper limits is shown in Figure 1. These 49 VHE \nflux upper limits are generally the most-constraining \never reported for these objects. \n\n**5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by \nVERITAS of three blazars was motivated primarily \nby results from the first year of LAT data taking. In \nparticular, the VHE detections of PKS 1424+240 [21] \nand 1ES 0502+675 [22] were the result of VERITAS \nobservations triggered by the inclusion of these objects \nin the Fermi-LAT Bright AGN List [13]. The former \nis only the third IBL known to emit VHE gamma- \nrays, and the latter is the most distant BL Lac object \n\n**7. Multi-wavelength Studies of VHE**\n**Blazars**", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "• Mkn 421: This HBL exhibited major flaring be- \nhavior for several months in 2008. Correlations \nof the VHE and X-ray flux were observed, along \nwith spectral hardening with increased flux in \nboth bands [29]. The MWL aspect of the VERITAS blazar KSP has \nalso been highly successful. Every VERITAS obser- \nvation of a known, or newly discovered, VHE blazar \nhas been accompanied by contemporaneous MWL ob- \nservations. These data have resulted in the identifica-", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "VERITAS, a stereoscopic array of \n\nVHE blazars have double-humped spectral energy \ndistributions (SEDs), with one peak at UV/X-ray en- \nergies and another at GeV/TeV energies. The ori- \ngin of the lower-energy peak is commonly explained \nas synchrotron emission from the relativistic electrons \nin the blazar jets. The origin of the higher-energy \npeak is controversial, but is widely believed to be the \nresult of inverse-Compton scattering of seed photons \noff the same relativistic electrons. The origin of the \nseed photons in these leptonic scenarios could be the \nsynchrotron photons themselves, or photons from an \nexternal source. Hadronic scenarios are also plausible \nexplanations for the VHE emission, but generally are \nnot favored. \n\n1A VERITAS telescope was relocated during Summer 2009, \nincreasing the array’s sensitivity by a factor ∼1.3. Contemporaneous multi-wavelength (MWL) obser- \n\neConf C091122", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "tion of correlated VHE and X-ray flux variability, as \nwell as correlated spectral hardening in both the VHE \nand X-ray bands. The VHE MWL observations were \nperformed in both ”quiescent” and flaring states for \nsome of the observed blazars. For the observed HBL \nobjects, the SEDs can be well described by a simple \nSSC model in both high and low states. However, an \nadditional external Compton component is necessary \nto adequately fit the SEDs of the IBL objects. \n\norating institutions in the construction and operation \nof the instrument. \n\n**References**\n\n[1] F. Aharonian et al. 2007, ApJ, 664, L71 \n[2] F. Aharonian et al. 2006, Nature, 440, 1018 \n[3] F. Aharonian et al. 2007, A&A, 475, L9 \n[4] J. Holder, et al. 2008, AIPC, 1085, 657 \n[5] L. Costamante & G. Ghisellini 2002, A&A, 384, \n\nThe Fermi-LAT is already having a significant im- \npact on the blazar KSP. In future seasons, the VER- \nITAS blazar discovery program will focus its dis- \ncovery program on hard-spectrum blazars detected \nby Fermi-LAT, and will likely have a greater focus \non high-risk/high-reward objects at larger redshifts \n(0.3 < z < 0.7). \nIn addition, the number of VHE \nblazars studied in pre-planned MWL campaigns will \nincrease as data from the Fermi-LAT will be publicly \navailable. \nIn particular, the extensive pre-planned \nMWL campaigns will focus on objects that are note- \nworthy for the impact their data may have on under- \nstanding the EBL. The simultaneous observations of \nblazars by VERITAS and Fermi-LAT will completely \nresolve the higher-energy SED peak, often for the first \ntime, enabling unprecedented constraints on the un- \nderlying blazar phenomena to be derived. \n\n[6] E.S. Perlman 2000, AIPC, 515, 53 \n[7] F.W. Stecker et al. 1996, ApJ, 473, L75 \n[8] P. Giommi et al. 2005, A&A, 434, 385 \n[9] S. Turriziani et al. 2007, A&A, 472, 699 \n[10] L. Costamante 2006, arXiv:0612709 \n[11] P. Padovani et al. 2002, ApJ, 581, 895 \n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324 \n[13] A.A. Abdo et al. 2009, ApJ, 700, 597 \n[14] V.A. Acciari et al. 2008, ApJ, 684, L73 \n[15] V.A. Acciari et al. 2009, ApJ, 707, 612 \n[16] V.A. Acciari et al. 2009, ApJ, 690, L126 \n[17] V.A. Acciari et al. 2009, ApJ, 693, L104 \n[18] L.C. Reyes 2009, arXiv:0907.5175 \n[19] R.A. Ong 2009, ATel, 1941 \n[20] R.A. Ong et al. 2009, ATel, 2272 \n[21] V.A. Acciari et al. 2009, ApJ, 708, L100 \n[22] R.A. Ong et al. 2009, ATel, 2301 \n[23] R.A. Ong et al. 2009, ATel, 2260 \n[24] R.A. Ong et al. 2009, ATel, 2309 \n[25] W. Benbow 2009, arXiv:0908.1412 \n[26] V.A. Acciari et al. 2009, ApJ, submitted \n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370 \n[28] V.A. Acciari et al. 2009, ApJ, in press \n[29] J. Grube 2009, arXiv:0907.4862 \n\n**Acknowledgments**\n\nThis research is supported by grants from the US \nDepartment of Energy, the US National Science Foun- \ndation, and the Smithsonian Institution, by NSERC in \nCanada, by Science Foundation Ireland, and by STFC \nin the UK. We acknowledge the excellent work of the \ntechnical support staff at the FLWO and the collab-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0770.pdf" + }, + { + "text": "**4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are \nlargely high-frequency-peaked BL Lac objects. How- \never, the program also includes IBLs (intermediate- \npeaked) and LBLs (low-peaked), as well as flat spec- \ntrum radio quasars (FSRQs), in an attempt to in- \ncrease the types of blazars known to emit VHE γ-rays. \nThe observed targets are drawn from a target list con- \ntaining objects visible to the telescopes at reasonable \nzenith angles (−8◦ < δ < 72◦), without a previously \npublished VHE limit below 1.5% Crab, and with a \nmeasured redshift z < 0.3. To further the study of the \n\nVHE emission from 3C 66A was discovered by VER- \nITAS in September 2008 [17] during a flaring episode \nthat was also observed by the Fermi-LAT [18]. The \nobserved flux above 200 GeV was 6% of the Crab Neb- \nula flux and the measured VHE spectrum was very \nsoft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**Submillimeter Variability and the Gamma-ray Connection in Fermi**\n**Blazars**\n\nA. Strom \nUniv. of Arizona, AZ 85721, USA \nA. Siemiginowska, M. Gurwell, B. Kelly \nCfA, MA 02138, USA \n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, \n43 of which were detected by Fermi during the first three months of observations. We explore the correlation \nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special \nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de- \ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), \nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate \nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands \nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous \nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ- \nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. \nAll of the the light curves are consistent with being produced by a single process that accounts for both low \nand high states, and there is additional evidence that objects may be transitioning between blazar class during \nflaring epochs. \n\nlimeter Array 1 (SMA) at 1mm and 850µm, including \nan investigation of variable behavior and the deter- \nmination of submillimeter energy spectral indices. In \naddition, we consider the connection to the observed \nγ-ray indices and luminosities. \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n**1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring \nevents occur in blazars indicate that much of the en- \nergy is being produced deep within the jet on small, \nsub-parsec scales [1, 2]. Understanding if/how emis- \nsion differs between blazar subclasses (i.e., BL Lacs \nobjects and flat-spectrum radio quasars (FSRQs)) \nmay offer important insight into the similarity be- \nfurthermore, can provide con- \ntween blazars and, \nstraints on the formation and acceleration of the jets \nthemselves. \n\n**2. SMA BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m \nantennas located near the summit of Mauna Kea. The \nSMA is used in a variety of baseline configurations \nand typically operates in the 1mm and 850µm win- \ndows, achieving spatial resolution as fine as 0.25” at \n850µm. The sources used as phase calibrators for the \narray are compiled in a database known as the SMA \nCalibrator List2 [5]. Essentially a collection of bright \nobjects (stronger than 750 mJy at 230 GHz and 1 Jy \nat 345 GHz), these sources are monitored regularly, \nboth during science observations and dedicated ob- \nserving tracks. \n\nTo select our sample, we identified objects in the \ncalibrator list that were also classified as BL Lacs or \nFSRQs by the Candidate Gamma-Ray Blazar Sur- \nvey [6, CGRaBS]. Of the 243 total objects in the \ncalibrator list, 171 (35 BL Lacs and 136 FSRQs) \nhave positive blazar class identifications, although \nthere are three sources (J0238+166, J0428-379, and \n\n1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed7_cc4.pdf", + "query": "For which language have been introduced the ActiveInference.jl library ?", + "target_page": 1, + "target_passage": " We introduce a new software package for the Julia programming language, the library ActiveInference.jl.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**Exercise 2: Set the Preferences for New Entities and Rendering**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| File>Preferences | |\n|---|---|\n| File>Preferences | |\n| the | New entities |\n\n\n| with Active ontology IRI | |\n|---|---|\n| with Active ontology IRI | |\n| Auto-generated name | cha |\n\n\n| Followed by # | | . | Ends with User supplied name | |\n|---|---|---|---|---|\n| Followed by # | | . | Ends with User supplied name | |\n| ge it to | User supplied name | | | . That is the paramet |", + "page_start": 11, + "page_end": 11, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Article \n**Introducing ActiveInference.jl: A Julia Library for Simulation**\n**and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,†**\n**Christoph Mathys 5**\n\n**, Jonathan Ehrenreich Laursen 1,†** **, Conor Heins 2,3,*** **, Karl Friston 3,4** **,**\n\n**and Peter Thestrup Waade 5**\n\n1 \n\nSchool of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; \n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.) \n\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany \n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk \n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK \n5 \n\nInteracting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); \nptw@cas.au.dk (P.T.W.) \n\n** ***Correspondence: cheins@ab.mpg.de \n† \nThese authors contributed equally to this work. \n\n**Abstract:**We introduce a new software package for the Julia programming language, \nthe library ActiveInference.jl. To make active inference agents with Partially Ob- \nservable Markov Decision Process (POMDP) generative models available to the grow- \ning research community using Julia, we re-implemented the pymdp library for Python. \nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive \nand behavioural modelling, as it is used in computational psychiatry, cognitive science \nand neuroscience. This means that POMDP active inference models can now be easily \nfit to empirically observed behaviour using sampling, as well as variational methods. In \nthis article, we show how ActiveInference.jl makes building POMDP active inference \nmodels straightforward, and how it enables researchers to use them for simulation, as well \nas fitting them to data or performing a model comparison. \n\n**Keywords:**active inference; free energy principle; predictive processing; Markov decision \nprocess; cognitive modelling; Julia \nAcademic Editor: Astero Provata \n\n**PACS:**87.15.Aa Received: 25 October 2024 \nRevised: 2 January 2025 \n\n**MSC:**91-08 \nAccepted: 7 January 2025 \nPublished: 12 January 2025 \n\n**JEL Classification:**C63 \n\n**Citation:**Nehrer, S.W.; Ehrenreich \nLaursen, J.; Heins, C.; Friston, K.; \n\nMathys, C.; Thestrup Waade, P. \nIntroducing ActiveInference.jl: A \nJulia Library for Simulation and \n**1. Introduction**\nParameter Estimation with Active \n\nWe introduce a novel software library for Julia, ActiveInference, which lets users \nproduce the simulated behaviour of agents and their internal belief states with active \ninference (AIF) models, as well as fit such models to empirically observed behaviour. \nAIF [1–3] is a generally applicable formal framework for understanding and simulating \nintelligent behaviour that is based in neurobiology and first principles from statistical \nphysics [4–8]. AIF treats action and perception as unified under a joint imperative: to \nminimise the variational free energy (VFE), which quantifies how well the agent’s internal \ngenerative model explains incoming sensory observations. It is an upper bound on the \nthe surprise from sensory observations, making AIF formally related to prediction error \n\nInference Models. Entropy**2025**, 27, 62. \nhttps://doi.org/10.3390/e27010062 \n\n**Copyright:**© 2025 by the authors. \nLicensee MDPI, Basel, Switzerland. \nThis article is an open access article \ndistributed under the terms and \nconditions of the Creative Commons \nAttribution (CC BY) license \n(https://creativecommons.org/ \nlicenses/by/4.0/).", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "Julia uses its “just-in-time” (JIT) compilations via the LLVM framework to approach the \nspeed of languages like C without relying on external compilers [36]. Julia is also natively \nauto-differentiable, which means it can solve what is called the two-language problem \n(i.e., that high-level languages often have to rely on lower-level languages, either for \nperformance or for auto-differentiability; this is the case with standard tools for cognitive \nmodelling, where languages like R [37] must rely on external languages like STAN [38] for \nBayesian model fitting). This means that ActiveInference, in conjunction with Turing [39], \nJulia’s powerful library for Bayesian model fitting, and its newly developed extension for \nbehavioural modelling, ActionModels, makes it possible to use cutting-edge Markov Chain \nMonte Carlo [40] methods, as well as variational methods [35], for Bayesian model fitting \nwith AIF. Crucially, this allows researchers to not only simulate AIF in a fast programming \nlanguage, but to also fit them to empirical behaviour, as is performed in cognitive modelling \nand computational psychiatry. Importantly, this also places AIF models in an ecosystem \nof other models for computational psychiatry so that it can easily be compared with \nmodels, like Hierarchical Gaussian Filters [41], and reinforcement learning models, like the \nclassic Rescorla–Wagner model [42]. As part of making ActiveInference.jl available to the \nscientific community, and to the larger software ecosystem within computational psychiatry, \nit is implemented as part of the Translational Algorithms for Psychiatry-Advancing Science \n(TAPAS) ecosystem [43]. \n\nIn the next section, we provide a conceptual and formal introduction to AIF, particu- \nlarly in the context of using POMDP generative models. In Section 3, we demonstrate how \nto use the package in practice, both for simulation and parameter estimation. In Section 4, \nwe give a fully worked example of how ActiveInference can be used with a concrete \nsimulated dataset. Finally, we discuss potential applications and future directions for \ndeveloping the package.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "In this section, we outline how to use \nparameter recovery and predictive checks. \nActiveInference for simulation and model fitting in conjunction with ActionModels. In the \nfollowing section, we show how to achieve this on a concrete worked example. \n\n**4. Usage Example**\n\nIn this section, we demonstrate a full usage example of how to create an AIF agent, sim- \nulate behaviour in a classic T-maze environment and fit the AIF agent to a simulated exam- \nple dataset. We provide the necessary code to run this simulation. All code required to repro- \nduce the example simulation can be found in an open source OSF repository osf.io/j3k5q/. \nThis example was performed with the current version of ActiveInference.jl (0.1.1); the \nnewest version can be found at github.com/ilabcode/ActiveInference.jl. \n\n4.1. Setting Up Environment and Agent \n\nA T-maze is a simple task commonly employed in the behavioural sciences, as well \nas in the AIF literature [14,54–57]. It is a minimal type of task that requires balancing \nexploration and exploitation, or epistemic and pragmatic value, respectively. It is also \nsuitably represents in a discrete state space. Together, this makes it easily compatible with \na POMDP-based AIF approach. \n\nThe structure of the T-maze is, as the name suggests, a T-shaped maze, consisting \nof a centre location, a cue location (bottom of the T), and reward and loss locations (one \nin each arm of the T) (Figure 2). On every trial, the agent can move to one of the two \narms of the T to receive a reward; one, called the reward location, will yield rewards with \na higher probability than the other side. At the cue location, which the agent can move \nto, the agent receives a cue that indicates which of the locations is the reward location. \nGenerally, the cue may be more or less informative; in this example, it always accurately \nreflected the reward conditions state (reward in the right or left arm). The reward location \nonly provides a reward probabilistically. This means the agent can either take a chance \nand go directly to one of the two upper arms, or spend its first move seeking information \nabout where the reward is before moving to the reward location. Since the clue location \nis not preferred, the second option comes with a cost in terms of pragmatic value, which \nhas to be outweighed by the epistemic value in resolving uncertainty about the reward \nlocation state. Note that for the agent to realise that this uncertainty reduction will aid it in \nits subsequent choice of arm, it would have to be able to anticipate the effect of its actions \non its own future beliefs, a process called “sophisticated inference” [58]. \n\n\n\n**Figure 2.**A depiction of the T-maze. (**A**) The full layout of the T-maze task, with the centre location, \nthe cue location and the two reward conditions. (**B**) A three-step example of a T-maze trial. The agent \n(in this case, a mouse) starts at the centre location. In order to reduce the uncertainty regarding which \narm the reward is located in, the agent moves to the cue location. The cue location reveals the right \narm to be the reward location, and in the subsequent time step, it goes to the right arm and observes \nthe reward with some probability.", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "This introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n\n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n\n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an*Entity*. Individuals and classes can also be \nreferred to as objects. \n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", + "page_start": 4, + "page_end": 4, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "?customer ?relation ?relatedToCustomer.} \n\nThis would be much less intuitive than the user defined names. There are good reasons to use auto- \ngenerated names, especially for large ontologies that are implemented in multiple natural languages. \nHowever, for new users, especially those who plan to use SPARQL and SHACL, I think it is more \nintuitive to start with user supplied names and then progress to auto-generated names if and when the \nrequirements show a true need for them. This approach to developing software incrementally rather than \nto attempt to design the perfect system that can scale for all possible future requirements is known as the \nAgile approach to software development. In my experience Agile methods have proven themselves in \ncountless real-world projects to deliver better software on time and on budget than the alternative \nwaterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/ \n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot \nmore and if you are interested you should check out DuCharme’s book or some of the many SPARQL \ntools and tutorials on the web. Some of these are in the bibliography. \n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open \nWorld Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter \n4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that \nSPARQL is*not*subject to*either*of these restrictions. With SPARQL one can do non-monotonic \nreasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the \nvalue for a property on a specific instance exists or not and can take actions if that property does not exist.", + "page_start": 71, + "page_end": 71, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". \n*Image and Vision Computing*.**26**(1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi. \norg/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co \nrpusID:10767011). \n\nNilsson, Nils (1995), \"Eyes on the Prize\",*AI Magazine*, vol. 16, pp. 9–17", + "page_start": 60, + "page_end": 60, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Description**\n\nexport. \n\n**HrAddOutlineNode** Called to specify user-navigable document outline \n\ninformation. \n\n**HrGetPageBreaks** Called to obtain pagination information from the add-in. \n\n**HrSetPageHeightForPagination** Called to specify the page height to enable the add-in to \n\npaginate the document. \n\n**HrFinalize** Called at the end of the fixed-format export process. Allows \n\nthe add-in to perform any final processing. \n\n**HrBeginStructNode** Called to pass the add-in the starting structure for a \n\ndocument-structure node that spans multiple pages. \n\n**HrEndStructNode** Called to pass the add-in the ending structure for a \n\ndocument-structure node that spans multiple pages. \n\n**EnableCancel** Called to pass the add-in a pointer to an**IDocExCancel**\n\ninterface. \n\n**GetOutputOption** Called to retrieve fixed-format output options. \n\n**SetOutputOption** Called by Office to set fixed-format output options. \n\n**SetDocExporterSite** Called to provide the add-in with a pointer to an \n\n**IMsoDocExporterSite**interface for extended color support. \n\n**Method** **Description**\n\n**AddRef** Increments the reference count. \n\n**QueryInterface**Returns pointers to supported interfaces. The add-in's implementation of \n\n**QueryInterface**should support returning an**IMsoDocExporter**interface pointer \n\nfrom IID_IMsoPdfWriter. \n\n**Release** Decrements the reference count.", + "page_start": 4, + "page_end": 4, + "source_file": "office-pdf.pdf" + }, + { + "text": "| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | using ActiveInference.Environments | |\n| | | |\n| | # setting the probability of reward to 0.95 | |\n| | Env = TMazeEnv(0.95) | |\n| | initialize_gp(Env) | |\n| | | |\n\n\nWe then proceeded to set up**A**,**B**,**C**,**D**and**E**. For this we used the create_matrix_templates \nhelper function to set up the correct structure and then populate it. To start, we defined \nwhat went into the helper function. It took five arguments: the numbers of states and ob- \nservations in each factor and modality; the policy length; the number of controls; and lastly, \nwhat to initially populate them with. The specific states and observations are made clear \nbelow when discussing populating the parameters. \n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | A, B, C, D, E = create_matrix_templates([4, 2], [4, 3, 2], [4, 1], 2, \"zeros\") | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Use identity matrices between locations and observations. | |\n| | # For reward condition right | |\n| | A[1][:,:,1] = [ 1.0 0 .0 0 .0 0 .0 | |\n| | 0.0 1 .0 0 .0 0 .0 | |\n| | 0.0 0 .0 1 .0 0 .0 | |\n| | 0.0 0 .0 0 .0 1 .0 ] | |\n| | | |\n| | # For reward condition left | |\n| | A[1][:,:,2] = [ 1.0 0 .0 0 .0 0 .0 | |\n| | 0.0 1 .0 0 .0 0 .0 | |\n| | 0.0 0 .0 1 .0 0 .0 | |\n| | 0.0 0 .0 0 .0 1 .0 ] | |\n| | | |\n\n\nThe second modality was the reward modality, which mapped the observations “no re- \nward”, “reward” and “loss” onto the location states and reward conditions. For the second \nmodality, we therefore had a tensor that was three reward observations by four location \nstates by two reward conditions, i.e., a 3 × 4 × 2 tensor. When the agent was at the centre \nand cue locations, we let the modality accurately expect the observation of “no reward” \nwith certainty. For the two arm locations, we let the agent be agnostic regarding whether \nthey provided rewards or losses. This was different from the true reward probabilities \n(see Figure 3), which the agent needed to learn over time. This was the case for both \nreward conditions.", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "**Exercise 3: Add a Comment Annotation to Your Ontology**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n| | Active Ontology | |\n|---|---|---|\n| | Active Ontology | |\n| Annotations | | optio |\n\n\n2. The rdfs:comment annotation should be highlighted by default. If it isn’t highlighted click on it. Then \ntype a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain. \n\n3. Click OK. Your Active Ontology tab should like Figure 4.3. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\nAdd Subclass \n\nAdd Sibling Class \n\n\n\n\nDelete Class \n\n\n\n4.1 Named Classes \nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in \nthe Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the \nClass hierarchy view as shown in Figure 4.5.4 All empty ontologies contains one class called owl:Thing. \nOWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing \nall individuals. Because of this all classes are subclasses of owl:Thing. \n\n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the \nClass hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or \nto create them as independent tabs. \n\n13", + "page_start": 13, + "page_end": 13, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed7_cc4.pdf", + "query": "To which system does the AIF apply ?", + "target_page": 2, + "target_passage": "AIF was argued to be applicable to any self organising system that actively maintains a stable boundary that defines its integrity [10], a broad category that includes cells and plants [11], as well as humans [2] and even collectives [12].", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Create AIF object | |\n| | | |\n| | aif = init_aif( | |\n| | A::Vector{Array{T, N}}, # A-matrices | |\n| | B::Vector{Array{T, N}}; # B-matrices | |\n| | C::Vector{Array{Real}}, # C-matrices (optional) | |\n| | D::Vector{Vector{Real}}, # D-matrices (optional) | |\n| | E::Vector{T}, # E-vector (optional) | |\n| | pA::Union{Vector{Array{T, N}}, Nothing}, # Dirichlet priors for A-matrices (optional) | |\n| | pB::Union{Vector{Array{T, N}}, Nothing}, # Dirichlet priors for B-matrices (optional) | |\n| | pD::Union{Vector{Array{Real}}, Nothing}, # Dirichlet priors for D-vectors (optional) | |\n| | parameters::Dict{String, Real}, # Dictionary containing other parameters (optional) | |\n| | settings::Dict{String, Any} # Dictionary containing settings (optional) | |\n| | ) | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Information about number of states , observations , actions and policy length | |\n| | states = [6] # Six states , single factor | |\n| | observations = [5] # Five observations , single modality | |\n| | controls = [2] # Two actions , single factor | |\n| | policy_length = 1 # Length of policies | |\n| | | |\n| | # Generate uniform templates for matrices and vectors of the generative model | |\n| | A, B, C, D, E = create_matrix_templates(states, observations, controls, policy_length) | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # We make C take the following form: [0, 0, 0, 0, 1] | |\n| | C[1] = onehot(5,5) # Initialize the single element of the C object with a one -hot vector | |\n| | | |\n| | # D will be: [1, 0, 0, 0, 0, 0] | |\n| | D[1] = onehot(1,6) # Initialize the single element of the D object with a one -hot vector | |\n| | | |\n| | # To make the agent prefer policy 2 | |\n| | E = onehot(2,2) # Initialize as a one -hot encoded vector: [0,1] | |\n| | | |\n\n\nWe now create the Dirichlet priors for**A**,**B**and**D**. When we use parameter learning, these \nare used to define**A**,**B**and**D**defined above, and are updated at every time step. One \nway to construct Dirichlet priors is to simply multiply the matrices below with a scaling \nfactor; a higher scaling leads to more precise priors that require stronger evidence to update. \nHere, we use a scaling parameter of 2. In the current version, parameter learning is only \nimplemented for the**A**,**B**and**D**:", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "**35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\n**Deferred tax assets**\n**and liabilities**\nDeferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis \nof assets and liabilities under the “balance sheet” approach which will result in the recognition of additional \ndeferred tax assets and liabilities. \n\n**Defined benefit**\n**superannuation surplus**\n**and deficits**\nDefined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position \nand the changes in these values each period will be recognised either directly in the statement of financial \nperformance, progressively using a “corridor” approach or directly in retained earnings. The effective date of this \nstandard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. \n\n**Restoration liabilities**\n\nRestoration liabilities will be discounted to present value and capitalised as a component part of capitalised \nexploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised \nover the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the \nliability unwinds. \n\n**Functional currency**\n\nThe majority of the controlled entities within the Santos Group that have petroleum operations in foreign \njurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in \nthe net assets of those foreign controlled entities to be translated from their US dollar functional currency to \nAustralian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this \naccounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. \n\n**Equity-based payments**\n\nUnder A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including \nshares and options) will be measured based on the fair value of those instruments and amortised to the profit and \nloss over the vesting period. \n\n**Exploration and**\n**evaluation expenditure**\n\nThere is no International Financial Reporting Standard (“IFRS”) which comprehensively deals with the accounting \nand reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies \noperating in the extractive industries will be required to determine their own accounting policy for accounting for \nexploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework \ndefinition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed \nunless they lead to a successful discovery of economic value. \n\nPending the completion of a comprehensive project on accounting for extractive industries, AASB 6 “Expenditure for \nand Evaluation of Mineral Resources” was issued in December 2004 to facilitate the introduction of A-IFRS in \nrespect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to \nIFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in \neach area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an \nasset so long as the following conditions are satisfied: \n\n(a) the rights to tenure of the area of interest are current; and \n\n(b) at least one of the following conditions is also met: \n\n(i) the exploration and evaluation expenditures are expected to be recouped through successful development \nand exploitation of the area of interest, or alternatively, by its sale; or", + "page_start": 88, + "page_end": 88, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n**u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards \nand Interpretations applicable to its operations which became mandatory. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n\n**AASB 2011-4 -*Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel***\n***Disclosure***\nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n\n**Amendments to IAS 32 -*Offsetting Financial Assets and Financial Liabilities***\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set-off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \n\n**Recently issued accounting standards to be applied in future reporting periods:**\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these new standards, amendments to standards, and \ninterpretations is set out below. \n\n**AASB 9/IFRS 9 –*Financial Instruments***\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. The effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements.", + "page_start": 72, + "page_end": 72, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "〉〉 AASB 9*Financial Instruments*(effective for \nannual reporting periods beginning on or \nafter 1 January 2015). AASB 9 addresses the \nclassification, measurement and derecogni- \ntion of financial assets and financial liabili- \nties. The standard is not applicable until 1 \nJanuary 2015 but is available for early adop- \ntion. When adopted, the standard will affect \nin particular the Group’s accounting for its \navailable-for-sale financial assets, since AASB \n9 only permits the recognition of fair value \ngains and losses in other comprehensive \nincome if they relate to equity investments \nthat are not held for trading. \n\nCash flows are presented on a gross basis. The \nGST components of the cash flows arising from \ninvesting or financing activities which are recov- \nerable from, or payable to the taxation authority, \nare presented as operating cash flows. \n\nThere will be no impact on the Group’s \naccounting for financial liabilities, as the new \nrequirements only affect the accounting for \nfinancial liabilities that are designated at fair \nvalue through profit or loss and the Group \ndoes not have any such liabilities. The \nde-recognition rules have been transferred \nfrom AASB 139 Financial Instruments: \nRecognition and Measurement and have \nnot been changed. \n\nCommitments and contingencies are disclosed \nnet of the amount of GST recoverable from, or \npayable to, the taxation authority. \n\nUpon the exercise of the equity settled reward, \nthe related balance of the share-based payments \nreserve is transferred to share capital. \n\nx . Dividends \nDividends are recognised as a liability in the \nperiod in which they are declared. \n\nbb . Operating segment reporting \nOperating segments are reported in a manner \nconsistent with the internal reporting provided \nto the chief operating decision maker. The chief \noperating decision maker, who is responsible for \nallocating resources and assessing performance \nof the operating segments, has been identified \nas the Board of Directors. \n\ny . Earnings per share \n\n〉〉 AASB 10*Consolidated Financial Statements*\n(effective for annual reporting periods \ncommencing on or after 1 January 2013). \nAASB 10 establishes a new control model \nwhich broadens the situations when an \nentity is considered to be controlled by \nanother entity and includes new guidance \nfor applying the model to specific situations, \nincluding when acting as a manager may give \ncontrol, the impact of potential voting rights \nand when holding less than a majority voting \n\n(i) Basic earnings per share \n\nBasic earnings per share is calculated by \ndividing: \n\n〉〉 \n\nthe profit attributable to owners of the \nCompany, excluding any costs of servicing \nequity other than ordinary shares; and \n\n〉〉 by the weighted average number of ordinary \nshares outstanding during the financial year, \nadjusted for bonus elements in ordinary \nSegment results that are reported to the Board \nof Directors include items directly attributable \nto a segment as well as those that can be", + "page_start": 74, + "page_end": 74, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "(ix) Income taxes \nThe Group is subject to income taxes in Australia \nand jurisdictions where it has foreign operations. \nSignificant judgement is required in determining \nthe worldwide provision for income taxes. There \nare certain transactions and calculations under- \ntaken during the ordinary course of business for \nwhich the ultimate tax determination is uncer- \ntain. The Group estimates its tax liabilities based \non the Group understanding of the tax law. \nWhere the final tax outcome of these matters is \ndifferent from the amounts that were initially \nrecorded, such differences will impact the \ncurrent and deferred income tax assets and \nliabilities in the period in which such determina- \ntion is made. \n\n(x) Capitalisation of borrowing costs \nto exploration, evaluation and \ndevelopment \n\nThe Group’s funding of Bowdens Silver Project \nincluded borrowings of $35,000,000. In applying \nthe Group’s accounting policy on borrowing \ncosts (see Note 2s), the Bowdens Silver Project \nis considered to be a qualifying asset as defined \nin AASB 123. As such finance costs in relation to \nthese borrowings have been capitalised as part \nof the Bowdens Silver Project. \n\n(vi) Units-of-production method \n\nof depreciation \n\nThe Group applies the units-of-production \nmethod for depreciation and amortisation of \nits mine properties, mine buildings, plant and \nequipment. These calculations require the use \nof estimates and assumptions and significant \njudgement is required in assessing the estimated \nrecoverable reserves used in the determination \nof the depreciation and amortisation charges. \nFactors that must be considered in determining \nestimated recoverable reserves (which includes \nboth reserves and resources) and production \ncapacity are the history of converting resources \nto reserves and the relevant time frames, antici- \npated mining method and costs, the complexity \nof metallurgy, markets, and future \ndevelopments.", + "page_start": 76, + "page_end": 76, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "reasonable under the circumstances. The Group \nmakes estimates and assumptions concerning \nthe future. Actual results may differ from these \nestimates under different assumptions and \nconditions. The estimates and assumptions that \ncould materially affect the financial position and \nresults are discussed below: \n\n〉〉 AASB 2011-4*Amendments to Australian*\n\nrights may give control. The standard is \napplicable to the Group from 1 July 2013. \nBased on investments held by the Group as \nat 30 June 2013, the standard is not \nexpected to have a significant impact. \n〉〉 AASB 12*Disclosure of Interests in Other*\n*Entities*(effective for annual reporting \nperiods commencing on or after 1 January \n2013). AASB 12 includes all disclosures \nrelating to an entity’s interests in subsidi- \naries, joint arrangements, associates and \nstructures entities. New disclosures have \nbeen introduced about the judgements \nmade by management to determine whether \ncontrol exists, and to require summarised \ninformation about joint arrangements, \nassociates and structured entities and \nsubsidiaries with non-controlling interests. \nThe standard is applicable to the Group from \n1 July 2013. Based on interests held by the \nGroup as at 30 June 2013, the standard is not \nexpected to have a significant impact. \n〉〉 AASB 13*Fair Value Measurement*(effective \n\n*Accounting Standards to Remove Individual*\n*Key Management Personnel Disclosure*\n*Requirements*(effective from 1 July 2013). \nAASB 2011-4 makes amendments to remove \nindividual key management personnel disclo- \nsure requirements from AASB 124. \n〉〉 AASB 2012-2*Amendments to Australian*\n*Accounting Standards – Disclosures –*\n*Offsetting Financial Assets and Financial*\n*Liabilities*(effective from 1 July 2013). ASB \n2012-2 principally amends AASB 7 Financial \nInstruments: Disclosures to require disclo- \nsure of information that will enable users of \nan entity’s financial statements to evaluate \nthe effect or potential effect of netting \narrangements, including rights of set-off \nassociated with an entity’s recognised \nfinancial assets and recognised financial \nliabilities, on the entity’s financial position. \n\n〉〉 AASB 2012-3*Amendments to Australian*\n\n(i) \n\n Mineral resources and \nore reserves estimates \n\nThe Group determines and reports ore reserves \nunder the Australian Code for Reporting of \nMineral Resources and Ore Reserves December \n2004, known as the JORC Code. The information \non mineral resources and ore reserves was \nprepared by or under the supervision of \nCompetent Persons as defined in the JORC \nCode. \n\nThere are numerous uncertainties inherent in \nestimating mineral resources and reserves and \nassumptions that are valid at the time of estima- \ntion may change significantly when new infor- \nmation becomes available. \n\n*Accounting Standards - Offsetting Financial*\n*Assets and Financial Liabilities*(effective from \n1 July 2014). AASB 2012-3 adds application \nguidance to AASB 132 Financial Instruments: \nPresentation to address inconsistencies \nidentified in applying some of the offsetting \ncriteria of AASB 132, including clarifying the \nmeaning of “currently has a legally enforce- \nable right of set-off” and that some gross \nsettlement systems may be considered \nequivalent to net settlement. \nChanges in reported ore reserves may affect the \nGroup’s financial position and results, including \nasset carrying value, depreciation and amortisa- \ntion expenses using units-of-production \nmethod, provision for restoration and rehabilita- \ntion and stripping costs if the stripping ratios \nare revised.", + "page_start": 75, + "page_end": 75, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\nDeferred tax assets and liabilities are ascertained based on temporary differences arising between the tax bases of \nassets and liabilities and their carrying amounts in the financial statements. Deferred tax assets also result where \namounts have been fully expensed but future tax deductions are available. No deferred income tax will be recognised \nfrom the initial recognition of an asset or liability, excluding a business combination, where there is no effect on \naccounting or taxable profit or loss. \n\nDeferred tax assets and liabilities are calculated at the tax rates that are expected to apply to the period when the \nasset recognised or the liability is settled, based on tax rates enacted or substantively enacted at the reporting date. \nTheir measurement also reflects the manner in which management expects to recover or settle the carrying amount \nof the related asset or liability. \n\nDeferred tax assets relating to temporary differences and unused tax losses are recognised only to the extent that it \nis probable that future taxable profit will be available against which the benefits of the deferred tax asset can be \nutilized. Where temporary differences exist in relation to investments in subsidiaries, branches, associates, and joint \nventures, deferred tax assets and liabilities are not recognised where the timing of the reversal of the temporary \ndifference can be controlled and it is not probable that the reversal will occur in the foreseeable future. \n\nCurrent tax assets and liabilities are offset where a legally enforceable right of set-off exists and it is intended that \nnet settlement or simultaneous realisation and settlement of the respective asset and liability will occur. Deferred \ntax assets and liabilities are offset where a legally enforceable right of set-off exists, the deferred tax assets and \nliabilities relate to income taxes levied by the same taxation authority on either the same taxable entity or different \ntaxable entities where it is intended that net settlement or simultaneous realisation and settlement of the respective \nasset and liability will occur in future periods in which significant amounts of deferred tax assets or liabilities are \nexpected to be recovered or settled. \n\n*Tax Consolidation*\nSundance Energy Australia Limited and its wholly-owned Australian controlled entities have agreed to implement \nthe income tax consolidation regime, with Sundance Energy Australia Limited being the head company of the newly \nconsolidated group. Under this regime the group entities will be taxed as a single taxpayer. Whilst this choice is yet \nto be communicated to the Australian Taxation Office, it is intended to be communicated prior to lodgement of the \n31 December 2014 income tax return and will be effective from 1 January 2014. Sundance Energy Australia Limited \nand its wholly-owned Australian controlled entities intend to enter into a Tax Sharing Agreement and Tax Funding \nAgreement in due course. \n\nThe head entity of the income tax consolidated group and the controlled entities in the tax consolidated group \naccount for their own current and deferred tax amounts. These tax amounts are measured as if each entity in the \ntax consolidated group continues to be a standalone taxpayer in its own right. \n\nIn addition to its own current and deferred tax amounts, Sundance Energy Australia Limited, as head company, also \nrecognises the current tax liabilities (or assets) and the deferred tax assets arising from unused tax losses and unused \ntax credits assumed from controlled entities in the tax consolidated group.", + "page_start": 61, + "page_end": 61, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "The differences between current Australian GAAP and A-IFRS which are more likely to have a significant effect on the Santos Group’s financial \nperformance and financial position are summarised below: \n\n**Financial instruments**\nAll financial instruments including derivatives will be recognised in the statement of financial position and all \nderivatives will be carried at fair value. \n\nChanges in the fair value of certain financial instruments will be recorded in the statement of financial performance. \nWhere financial instruments satisfy strict hedge criteria, changes in the fair value will be recognised in equity, or \nwill offset the hedged exposure in the statement of financial performance. \n\nThe A-IFRS relating to financial instruments applies from 1 January 2005. Unlike the majority of other A-IFRS \nstandards which require retrospective application as at 1 January 2004, this accounting standard does not require \nretrospective application. The effect of the first time application of this standard on the opening statement of \nfinancial position at 1 January 2005 will be to recognise additional financial assets and liabilities. \n\nSantos intends to continue to align its hedging transactions to underlying exposures to achieve accounting \neligibility and thereby reduce profit and loss volatility.", + "page_start": 87, + "page_end": 87, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "(cid:129)*IAS 36,*\n\n*Impairment of Asset (IAS 36)*– In May 2013, the IASB \namended IAS 36 to clarify the circumstances in which the recoverable \namount of assets or cash-generating units is required to be disclosed, \nto clarify the disclosures required, and to introduce an explicit \nrequirement \nrate used in determining \nimpairment (or reversals) where the recoverable amount (based on \nfair value less costs of disposal) is determined using a present value \ntechnique. The amendments are effective for annual periods \nbeginning on or after \nJanuary 1, 2014, with early adoption \npermitted. We early adopted this policy as of January 1, 2013 and \nmade the required disclosures. \n\nto disclose the discount \n\n**New Accounting Standards**\nWe adopted the following new accounting standards effective \nJanuary 1, 2013, of which none had a material impact on prior periods. \n(cid:129)*IFRS 10, Consolidated Financial Statements (IFRS 10) –*As a result of \nthe adoption of \nIFRS 10, we have changed our approach to \ndetermining whether we have control over and consequently whether \nwe consolidate our investees. IFRS 10 introduces a new control model \nthat is applicable to all investees. Among other things, it requires the \nconsolidation of an investee if we control the investee on the basis of \nde facto circumstances. In accordance with the transitional provisions \nof IFRS 10, we re-assessed the control conclusion for our investees at \nJanuary 1, 2013. We made no changes in the current or comparative \nperiod as a result of this assessment. \n\n**Recent Accounting Pronouncements**\nWe are required to adopt the following revised accounting standards on \nor after January 1, 2014. We are assessing the impact of adopting these \nrevised standards on our 2014 interim and consolidated financial \nstatements. \n(cid:129)*IAS 32, Financial*\n\n(cid:129)*IFRS 11, Joint Arrangements (IFRS 11) –*As a result of the adoption of \nIFRS 11, we have changed how we evaluate our interests in joint \narrangements. Under IFRS 11, we classify our interests in joint \narrangements as either joint operations or joint ventures depending \non our right to the assets and obligations for the liabilities of the \narrangements. When making this assessment, we consider \nthe \nstructure of \nform of any separate \nvehicles, the contractual terms of the arrangements and other facts \nthe arrangements, the legal \n\n*Instruments: Presentation (IAS 32)*– In December \n2011, the IASB amended IAS 32 to clarify the meaning of when an \nentity has a current \nset-off. The \namendments are effective for annual periods beginning on or after \nJanuary 1, 2014 and are required to be applied retrospectively. We \ndo not expect this to have a significant impact on our consolidated \nfinancial statements. \n\nlegally enforceable right of \n\n(cid:129)*IAS 39, Financial Instruments: Recognition and Measurement (IAS 39)*\n– In June 2013, the IASB amended IAS 39 to provide relief from \ndiscontinuing an existing hedging relationship when a novation that \nwas not contemplated in the original hedging documentation meets \nspecific criteria. The amendments are effective for annual periods \nbeginning on or after January 1, 2014 and are required to be applied", + "page_start": 84, + "page_end": 84, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "(i) the exploration and evaluation expenditures are expected to be recouped through successful development \nand exploitation of the area of interest, or alternatively, by its sale; or \n\n(ii) exploration and evaluation activities in the area of interest have not at the reporting date reached a stage \nwhich permits a reasonable assessment of the existence or otherwise of economically recoverable reserves, \nand active and significant operations in, or in relation to, the area of interest are continuing. \n\nThe IASB decided that the effective date of IFRS 6 to be 1 January 2006 to allow affected companies more time to \nmake the transition to IFRS. Despite the lateness of the issuance of the Australian equivalent accounting standard \nAASB 6, Santos will be required to apply the standard from 1 January 2005. \n\nSantos is currently evaluating this accounting standard and its accounting policy for exploration and evaluation \nexpenditure. At the date of this report, no decision has been made as to how the Santos Group will account for \nexploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005. \n\n**Impairment**\n\nTesting of non-current assets for impairment will be undertaken on the smallest grouping of assets generating cash \nflows, called cash generating units. Where there is an indication that a cash generating unit is impaired, the \nimpairment is to be measured by reference to either the cash generating unit’s discounted future net cash flows, or \nits estimated fair value less costs to sell. Upon initial application of this standard, such testing is likely to result in \nwrite-downs of some non-current assets including exploration, evaluation and development expenditure to their \nrecoverable amount. Any initial impairment write-down may reverse in subsequent periods if there were a change in \nthe estimates used to determine the initial write-down. The impacts of this new requirement will, in part, depend \non the accounting policy adopted for accounting for exploration and evaluation expenditure referred to above. \n\nThe AASB and IASB have significant ongoing projects including a comprehensive “Extractive Industries” project that could affect the differences \nbetween current Australian GAAP and A-IFRS as described above and could further impact the Santos Group’s financial reports in future years. The \nfuture impacts of any new or amended A-IFRS will depend on the particular circumstances in those years. \n87 Annual Report 2004", + "page_start": 88, + "page_end": 88, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed7_cc4.pdf", + "query": "What is the definition of POMDP ?", + "target_page": 4, + "target_passage": " The Partially Observable Markov Decision Process is a type of flexible generative model that is widely used in the AIF literature. In discrete time and usually a discrete state space, this model type is parametrised to fit a given task by a set matrices containing probability distributions.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "A library of pre-made canonical POMDP models could be created so that users can eas- \nily implement them directly. Alternatives to the fixed-point iteration method for updating \nposteriors over environmental states could be included, like the marginal message passing \nalgorithm. There are various ways in which the package can be made more computationally \nefficient, and it could be compared with other software implementations. There are plenty \nof utility and plotting functions that could be added to the package to make it easier to \nuse and to facilitate integration with the model-fitting packages it relies on; for example, \nto allow for combining the models with linear regressions to compare parameters values \nof different populations in a single model. More complex types of POMDP models can \nalso be added, like hierarchical and temporally deep POMDPs. Model structure learning \ncould be considered, where different model structures are compared and chosen between \nby evaluating their free energies. Sophisticated inference, where predictions are also made \nabout changes in one’s own beliefs—depending on expected action-dependent observations \nin the future—could also be implemented [58]. Finally, the package could be extended to \nother types of generative models than POMDPs, including other universal models, like \ngeneralised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", + "page_start": 28, + "page_end": 28, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "**Figure 1.**Depiction of a POMDP generative model. This encodes the agent’s expectations about how \nthe state s of the environment changes over time t, and how it generates observation o at each time step. \n**A**, also called the observation model, describes how environmental states give rise to observations.**B**, \nalso called the transition model, describes how environmental states change over time, depending on \naction u (called policy*π*when structured into sequences).**C**is the preference prior, which encodes \nthe agent’s preferences for observations. This shapes the expected free energy G associated with each \npolicy, which is used for policy selection.**D**encodes the agent’s prior belief over environmental states \nbefore making any observations, and**E**is the prior over policies that determines the agent’s preferences \nfor policies in the absence of other motivation. \n\n2.2. Perception in Active Inference \n\nIn AIF, perception is conceptualised as the result of variational (i.e., approximate) \nBayesian inference, performed by minimising the VFE to optimise parameters of poste- \nrior beliefs about the environment. In exact Bayesian inference, we use a parametrised \ngenerative model m to make an optimal inference about state s of the environment based \non observation o. This is performed by combining a prior belief over states p(s|m); a like- \nlihood model p(o|s, m); and the model evidence p(o|m), a normalisation term encoding \nthe likelihood of receiving the given observations across all possible environmental states, \nas follows [1]: \n\np(o|s, m)p(s|m) \np(o|m) \np(s|o, m) = (1) \n\nThe posterior distribution over states given observations p(s|o, m) here represent the agent’s \nbeliefs about the environment. Forming beliefs in this way is thought to be the process that \nenables conscious, as well as unconscious, perception. The product of the likelihood model \nand prior is also called the joint likelihood p(o, s|m), which fully defines the generative \nmodel, and which we use henceforth. In the following, for notational simplicity, we also \nomit denoting the dependency on the generative model m. \n\nCalculating the model evidence p(o) is often intractable, making exact Bayesian infer- \nence unfeasible. The way to circumvent this in AIF is to use a variational approximation \nto Bayesian inference [23,33,50,51]. This works by transforming the inference into an opti- \nmisation problem, specifically the minimisation of the VFE. First, an arbitrary probability \ndistribution over environmental states q(s), an approximate posterior that is used to ap- \nproximate the exact posterior, is introduced. We then introduce the Kullback–Leibler (KL)", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "Θ is then described by a Dirichlet distribution parametrised by a set of concentration \nparameters*θ*: \n\np(Θ) = Dir(Θ|*θ*) (19) \n\nThe concentration parameter of a Dirichlet distribution is essentially a non-negative count \nof how many times the given category (be it a type of observation or state transition) has \noccurred. The distribution of concentration parameter counts will determine the shape \nof the estimated categorical probability distribution, while the scale of the concentration \nparameters will determine the certainty per precision of the belief. Updating beliefs about \nΘ (the parameters in the matrices) then corresponds to updating these concentration \nparameters*θ*with the following update equation: \n\n*θ*t+1 =*ω*∗*θ*t +*η*∗*χ*t \n(20) \n\nThe updated value for the concentration parameter (*θ*t+1) is found by adding the previous \nconcentration parameter*θ*t multiplied by a forgetting rate*ω*to the observed data count \n*χ*(either the observation in the case of**A**learning, or the inferred state or state transition \nfor other matrices) multiplied by a learning rate*η*. With this relatively simple update \nequation—which, in essence, amounts to just counting the occurrences of categories—an \nAIF agent can update its beliefs about the various matrices it uses to make inferences about \nenvironmental states. For more details on parameter learning with POMDPs, see [23,33,52]. \n\n**3. Using ActiveInference.jl**\n\nIn this section, we provide an overview of the various functions a user will need to \noperate ActiveInference. This includes functionalities for creating POMDP agents, for sim- \nulating behaviour and for fitting the models to data. In the next section, we demonstrate \nhow to use the package on a concrete worked example. ActiveInference is under continual \ndevelopment, and the newest version of the package, including documentation for how to \nuse it, can be found at github.com/ilabcode/ActiveInference.jl. \n\n3.1. Creating and Using a POMDP \n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | using Pkg | |\n| | Pkg.add(ActiveInference) | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | using ActiveInference | |\n| | | |\n\n\nCentral to the package is the AIF object. This is a structure containing all the components of \nthe generative model, as well as the dynamic belief states and the various settings needed to \nperform AIF, and is used in conjunction with most of the high-level functions of the package. \nAn AIF object can be created with the init_aif function, which takes as arguments the \ncomponents of the generative model and a dictionary of various settings and parameters:", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "quantities as its target: the variational free energy (VFE) in the case of perception and the \nexpected free energy (EFE) in the case of action. The VFE is the free energy associated with \na given sensory observation and is resolved perceptually by updating beliefs about the \nenvironment. The EFE is the free energy that is expected in the future, contingent on a \ngiven policy or course of action. Choosing action policies associated with a low EFE lead \nto reducing uncertainty about the environment, as well as making preferred observations \nmore likely. \n\n2.1. POMDPs in Active Inference \n\nIn AIF, the POMDP is one of the most common families of generative models used \nto make inferences about the environment. It is a Markovian discrete state-space model, \nwhere employing it means representing the environment and observations as inhabiting \none among a set of possible (possibly multidimensional) states, and that the changes \nin these states can only depend on the system’s previous state and the agent’s actions. \nEnvironmental states are not directly observable, so they have to be inferred based on \nincoming sensory observations. In AIF for POMDPs and other generative models in general, \nboth perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well \nas the learning of parameters of the generative model (see Section 2.4). Crucially, an agent’s \ngenerative model does not a priori have to be isomorphic to the true environment (i.e., \nthe data-generating process), although this will generally lead to a successful inference, \nand that the generative model will therefore often come to resemble the environment \nthrough learning. \n\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of \nparameters:**A**,**B**,**C**,**D**and**E**[1,33], see Figure 1. Together, these parametrise the agent’s \nprior beliefs about the prior probability of different states in the environment, how states \nof the environment change and how they generate observations. Typically, they will be \nvectors, matrices or tensors; however, henceforth we denote them by their corresponding \nletter in bold. These make up the components needed for the agent to perform AIF.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "Tools for simulating POMDP-AIF models were originally developed as part of the \nDEM [20] library for MATLAB [21] (part of the larger SPM library [22]). Since then, a \nmodal and flexible software package pymdp [23] was created for Python [24], as well as a \nperformance-oriented package cpp-AIF [25] for C++ [26] that can be used across platforms. \nFinally, the factor graph library RxInfer [27] for Julia [28] has also been used to implement \nsome AIF models on an efficient factor graph back-end [29–31]. The important tools \nthat these packages provide make AIF available for researchers to perform simulation \nstudies and for use in engineering contexts. They do not, however, usually allow for \nfitting models to empirically observed data, which is a fundamental method used in \ncognitive modelling [32], often in the context of computational psychiatry [13], to infer the \nmechanisms underlying variations in behaviour or to investigate the differences between \n(for example, clinical) populations. Smith and colleagues [33] provided a guide for manually \ndoing variational Bayesian parameter estimation based on empirical data, but only in \nMATLAB and restricted to a particular class of variational parameter estimation methods \n(variational Laplace), instead of the sampling-based methods that currently predominate in \nthe field of cognitive modelling [34,35]. \n\nIn this paper, we introduce ActiveInference.jl, a new software library for Julia [28] \nthat aims to provide easy-to-use tools for model fitting with AIF models and to introduce \nAIF to the growing community of researchers using Julia for computational psychiatry and \ncognitive modelling. Julia is a free and open-source high-level programming language that \nretains an easy user interface reminiscent of that in MATLAB and Python. Simultaneously,", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Infer policies | |\n| | infer_policies!(aif) | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Sample Action | |\n| | sample_action!(aif) | |\n| | | |\n\n\nThese functions can be combined by users in various ways, depending on their purpose. \nOften, however, users will want to combine them in a single function that implements \nthe full action–perception loop that receives an observation and returns an action. This is \nimplemented with the ActionModels sister package for behavioural modelling. \n\n3.2. Simulation with ActionModels \n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | observation = [1] # observation with one modality | |\n| | # Run the action model for a single observation | |\n| | action_distributions = action_pomdp!(aif::AIF, observation) | |\n| | | |\n\n\n| \u0007 | | |\n|---|---|---|\n| \u0007 | | |\n| | # Initialize ActionModels Agent with active inference agent as a substruct. | |\n| | agent = init_agent( | |\n| | action_model = action_pomdp!, # The active inference action model | |\n| | substruct = aif, # The AIF object | |\n| | ) | |\n| | | |\n\n\nThe agent object can be used with a set of standard functions. single_input! provides \nthe agent with an observation, updates it is beliefs and returns a sampled action; for non- \naction-dependent observations, give_inputs! provides a series of observations across time \nsteps and returns actions for each. These can be easily used in an agent-based simulation to \nhave AIF agents evolve and act over time.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "it means that the transitions of the environment are expected to be uncertain (and therefore, \noften transition to new states). In this sense, volatile and unstable environments will lead \nto less certain predictions about the future. \n**C**, also called the preference prior, is a prior preference over possible observations. It encodes \nthe types of observations that an agent a priori expects to encounter; since minimising ex- \npected free energy through AIF entails taking actions that make the predicted observations \ncome about,**C**also encodes the agent’s preferences. It is a single categorical probability \ndistribution over possible observations; if the observations are multidimensional, there \nis a separate preference prior for each observation modality. If**C**is imprecise (i.e., highly \nentropic), its preferences are weak and it will prioritise collecting information over realising \nits preferences; if it has low entropy, the agent will have stronger preferences and instead \nprioritise preferred outcomes or goals. \n**D**, also called the state prior, is the agent’s prior belief about the states of the environment. It \nspecifies the agent’s belief about the environmental state before receiving any observations. \nThere is a separate state prior over environmental states for each factor. With a more precise \n**A**, the influence of the**D**quickly diminishes since the likelihood overwhelms the prior in \nthe Bayesian inference. \n**E**, also called the habit prior, is the prior over policies or paths. In the AIF vernacular, \npolicies are allowable sequences of actions, with some specified policy length or temporal \ndepth.**E**encodes the agent’s preferences for choosing certain policies in the absence of \nplans based upon expected free energy, sometimes called the agent’s “habits”. It is a single \nprobability distribution over each possible policy. \n\nIn addition to the five matrices, there are several hyper-parameters that are not part \nof the generative model, but are part of the inference algorithm. Here, we include two of \nthe most common: the*γ*and*α*(inverse) temperature parameters.*γ*, the precision over \npolicies, is the inverse temperature of a softmax transformation of expected free energies \nover policies, which is covered later in this section. After policies have been selected for a \ngiven time step, they are marginalised to calculate the probabilities of taking each possible \naction in the next time step.*α*, the action precision, is the inverse temperature of a softmax \ntransformation on these final action probabilities, with higher values resulting in more \nstochastic action selection. \n\nAs noted, here we focus specifically on the POMDP-based generative models often \nused in the AIF literature. However, the basic steps when performing AIF—perception, \naction and learning—remain the same across generative models. In the remainder of this \nsection, we describe each of these three steps in turn.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "the behaviour (Figure 8). We saw that the estimation successfully captured the difference \nbetween the two groups, and that the*α*parameter recovered fairly well. Note that the \nability to recover parameters depends on the specific model and task, as well as on the \nspecific values of the parameters (when*α*is very high, for example, the behaviour becomes \nessentially deterministic; further increases in*α*would then not have any effect on the \nbehaviour, and therefore, not be estimable). A subtle issue here is that the parameters \nthat best explain some data are not necessarily the parameters used to generate those \ndata. This is because the best parameters are those that maximise the marginal likelihood \nof the data (also known as the model evidence); because the model evidence includes \na complexity term, the parameter recovery will often recover parameters that provide a \nsimpler explanation for the data relative to the parameters used to generate these data. \n(cid:7) (cid:4) \n\n# Extract quantities from the fitted model \nagent_parameters = extract_quantities ( model , renamed_posterior_chains ) \n# Extract posterior estimates \nposterior_estimates = get_estimates ( agent_parameters ) \n(cid:6) (cid:5) \n\n**Figure 8.**Results of the parameter recovery study. (**A**) Estimated parameter values plotted against \nthe values used to generate the data. (**B**) Parameter estimates split by the two groups from which the \nparameter values of synthetic subjects were sampled. \n\nFinally, there are various metrics for model comparison that might be calculated, as \nimplemented by various software packages. Here for demonstration, we calculated the \nPareto-Smoothed Importance Sampling approximation to Leave One Out cross-validation \n(PSIS-LOO) [59], as implemented by ParetoSmooth.jl [64]: \n(cid:7) (cid:4) \n\n**using**ParetoSmooth : psis_loo \n# Calculate the PSIS LOO \nPSIS_loo = psis_loo ( model , results . chains ) \n(cid:6) (cid:5) \n\n**5. Discussion**\n\nWe introduce ActiveInference.jl, a novel Julia software package for creating and \nusing POMDP-based AIF models for simulation and fitting to empirical data, demonstrat- \ning its ease of use on a small parameter study with simulated agents. ActiveInference.jl \nmakes AIF modelling available in a fast language, equipped with an interface and situated \nin an ecosystem oriented specifically towards cognitive and behavioural modelling. \n\nImportantly, the ability to fit models to empirical data with sampling-based methods \nprovides value to researchers within cognitive modelling and computational psychiatry: it \nallows for comparing estimated parameter values between population groups or investigat-", + "page_start": 27, + "page_end": 27, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "free energy having some claims to being a better approximation than the information \ncriteria classically used with MCMC methods (although see other approximations, like the \nPareto-Smoothed Importance Sampling [59] or Thermodynamic Integration methods [60]; \nsee [35] for a further review). Note that independently of which of these approaches one \nmight take, the process involves inverting a generative model of the mental processes \nunderlying the behaviour of a given subject, a generative model which itself is an inversion \nof the subject’s generative model of the environment. We can call the generative model that \nthe agent has of its environment the subjective generative model, and the model we have of \nthe agent the objective generative model, in what has been called a meta-Bayesian approach \nor “observing the observer” [1,61]. \n\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic \nbehaviour that it generated; this is called a parameter recovery study since we can then \ncompare the estimated parameters to the generative values used for creating the simulated \ndata [62,63]. Here, we used the simulation method shown in the previous section to \nproduce a synthetic dataset with known parameter values for each agent (in practice, these \nare often participants in an experiment), here with a focus on estimating the*α*parameter. \nWe then used MCMC methods to estimate the parameters for each agent and compared \nthe estimated values with the correct values. Here, we simulated two groups of five \nsynthetic subjects agents with different*α*values (the parameters for the first group were \nsampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group \nwith with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for \n300 time steps. We produced the following data frame, containing the data of each of the \nagents: their observations, actions and an identifier, a format suitable for cognitive and \nbehavioural modelling. \n\n| Row | Location Reward Cue Action_Location Action_Reward SubjectID\nInt64 Int64 Int64 Int64 Int64 Int64 |\n|---|---|\n| Row | Location Reward Cue Action_Location Action_Reward SubjectID Int64 Int64 Int64 Int64 Int64 Int64 |\n| 1 2 3 . . 3000 | 1 1 1 4 1 1 4 1 2 3 1 1 3 3 2 2 1 1 . . . . . . . . . . . . 2 2 2 2 1 10 |\n\n\n| \u0007 | |\n|---|---|\n| \u0007 | |\n| using ActionModels | |\n| | |\n| # Initialize ActionModels Agent with the action model and created active inference agent | |\n| agent = init_agent( | |\n| action_model = action_pomdp!, # Action model function | |\n| substruct = aif, # Active inference agent as a substruct | |\n| ) | |\n| | |\n\n\nWe then set the prior for the parameter we wanted to estimate: the*α*action precision. As \nan example, we chose a wide, weakly informative prior: a Gaussian distribution with mean \n5 and standard deviation 5, truncated at 0 and 20:", + "page_start": 24, + "page_end": 24, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "ing the temporal dynamics of belief changes in experimental participants. Dynamic belief \ntrajectories can then be related to other (for example, physiological) measures, as is usual \nin model-based neuroscience [65]. This method can also, in principle, be used for fitting \nmodels to other types of experimentally observable systems, like animals, organoids [66], \nand simulated or emergent systems [67]. The package can also be used for agent-based \nmodelling in general, for repeating earlier analyses with sampling based model-fitting \nand for comparing POMDP-based AIF models directly to other types of models. \n\nSince they implement full approximate Bayesian inferences, AIF models are compu- \ntationally more demanding than many approaches traditionally used in cognitive and \nagent-based modelling, in particular when the dimensionality of the generative model is \nlarge. This means that models with highly multidimensional or complex behaviour and \nlarge numbers of agents can be computationally infeasible to implement, especially given \nthe additional computational demands introduced by fitting these models to empirical \ndata. Avenues for addressing this implicit scaling problem were proposed in the context of \nmachine learning applications [68,69], and with the use of simplifying assumptions—the \nuse of which are ubiquitous in computational modelling—AIF has been used to model \nmulti-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and \nfish school movements [12]. It remains to be explored how AIF models can be applied to \nhighly complex natural phenomena, such as a concrete election, which underscores the \nneed for efficient but flexible and accessible software tools in the field. \n\nThere are many ways in which ActiveInference can be improved. It would be useful \nto extend the set of dynamic belief states to include prediction errors since they are often \nused for model-based neuroscience. This would entail departing from discrete state-space \n(i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering \nor predictive coding (see below). An alternative would be to generate prediction errors \nfrom belief updating under discrete models, where prediction errors can be read as the \n(KL) divergence between posterior and prior beliefs (i.e., complexity or information gain). \nA simple interface could be added for creating custom parametrisations of the requisite \nparameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed \nto Dirichlet distributions. Parameter learning could be extended to all generative model \nparameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or \ntemperature of the parameters that are learned); similarly for the precision over expected \nfree energies*γ*. Preference priors should also be implementable for environmental states, \nin addition to observations, and**A**can be made action dependent.", + "page_start": 28, + "page_end": 28, + "source_file": "pubmed7_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed6_cc4.pdf", + "query": "What is dyspnea ?", + "target_page": 2, + "target_passage": "Dyspnea refers to a subjective sensation of breathing discomfort.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "prevalence of dyspnea in the adult general population \nacross 11 studies was estimated to be 10%. Dyspnea can \narise from a broad spectrum of underlying factors, \nincluding both respiratory and nonrespiratory \nconditions. Studies have revealed that dyspnea is not \nsolely attributable to respiratory conditions but is also \nheavily influenced by cardiovascular deconditioning and \nby nonrespiratory factors, including psychosocial, social, \nand environmental determinants.5,6 \n\nTake-home Points \n\nStudy Question: How profoundly are adults with \nundiagnosed respiratory symptoms \naffected by \ndyspnea? \nResults: In community-based adults with undiag- \nnosed respiratory symptoms, those identified with \npreserved ratio impaired spirometry experienced the \ngreatest impact of dyspnea, followed by those with \nundiagnosed asthma or COPD. Greater dyspnea \nimpact was associated with increased health care \nutilization, lower quality of life, and reduced work \nproductivity. \nInterpretation: Dyspnea imposes burdens on the \nhealth care system and is associated with impaired \nquality of life and work productivity. \n\nDyspnea is a prevalent symptom with consequences that \nextend beyond its physiologic implications. A study in \nEuropean patients with COPD explored the burden of \ndyspnea and identified potential correlates. The study \nrevealed that higher dyspnea impact correlated with \nlower health-related quality of life, increased work \nimpairment, and a higher frequency of emergency \ndepartment visits.7 \n\nDyspnea refers to a subjective sensation of breathing \ndiscomfort.1 In a study involving a community-based \npopulation aged > 70 years, the prevalence of dyspnea \nwas found to be 32%.2 Dyspnea can lead to limitations in \ndaily activities, reduced exercise tolerance, and \nheightened mortality risks.3 \n\nThe three objectives of our study were as follows: (1) to \nevaluate the impact of dyspnea in adults from the \ngeneral population who had no prior diagnosis of \nrespiratory disease but who reported having significant \nrespiratory symptoms in the past 6 months; (2) to \nidentify associated risk factors for dyspnea and estimate \ntheir influence on the symptom; and (3) to explore the \nrelationship between dyspnea and health care utilization, \nquality of life, and work productivity in adults with \nundiagnosed respiratory symptoms. \n\nDyspnea not only affects individuals with diagnosed \nrespiratory conditions but also poses a significant \nburden on those with undiagnosed conditions. In a \nsystematic review by Müller et al,4 the combined \n\nStudy Design and Methods \nRecruitment of Undiagnosed Cases and Healthy \nControl Patients \nBetween June 2017 and January 2023, adults aged $ 18 \nyears were recruited through a two-step process into the \nUndiagnosed COPD and Asthma Population (UCAP) \nstudy, a multicenter case finding study. Approval for \n\nthe study was obtained from the research ethics boards \nof \nthe 17 participating study sites across Canada. \nInformed, written consent was provided by all study \nparticipants. \n\nBoth landlines and cellphones within a 90-minute radius \nof any of the 17 study sites were dialed randomly. A", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "4. Müller A, Mraz T, Wouters EFM, et al. \nPrevalence of dyspnea in general adult \npopulations: a systematic review and \nmeta-analysis. Respir Med. 2023;218: \n107379. \n\nAcknowledgments \nAuthor contributions: S. D. A. and G. A. W. \ncontributed to conception and design. J. B., E. \nG., G. A. W., K. L. V., and S. D. A. \ncontributed to analysis and interpretation. J. \nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C. \nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. \nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L., \nT. A., N. E., G. G. A., and S. M. contributed to \ndrafting the manuscript for important \nintellectual content. All authors had access to \nand participated in the interpretation of the \ndata and provided input into the preparation \nand submission of the manuscript. The \nauthors vouch for the accuracy and \ncompleteness of the data. \nRole of sponsors: The sponsor had no role in \nthe design of the study, the collection and \nanalysis of the data, or the preparation of the \nmanuscript. \nOther contributions: We thank the \nfollowing individuals from the Canadian \nstudy sites: Ottawa Hospital Research \nInstitute, Ottawa, Ontario: Taylor Poulin; \nSusan Deveau, RRT; Victoria Thompson; \nMeredith McCleery; Angelina Tohme; Vicky \nPanteleakos, RRT; Geneviève Longtin, RRT; \nJoanne Cassidy, RRT; Amanda Bergeron, \nMSc; Jennifer Biggs, RN; Jessica Bergeron; \nand Elisabet White; Vancouver General \nHospital, Vancouver, British Columbia: \nShelley Abercromby, BSc; Jana Caine; David \n\nSavage; Natasha Verzosa; Ravneet Mahal; and \nMary Justine Angeles; Queen Elizabeth II \nHealth Sciences Centre, Halifax, NS: Scott \nFulton, RRT; Hôpital du Sacré Coeur de \nMontréal, Montréal, QC: Simone Chaboillez, \nMT; and Meliza Benabdallah; St. Joseph’s \nHamilton, Hamilton, ON: Liz Johnson; St. \nBoniface Hospital, Winnipeg, MB: Cheryl \nNoble, RN; Institut Universitaire de \nCardiologie et de Pneumologie de Québec- \nUniversité Laval, Québec, QC: Johane \nLepage, BSc; Joanne Milot, RN; and \nChristiane Balizet, RN; University of Calgary, \nCalgary, AB: Lisette Machado, MD; and \nCurtis Dumonceaux, BSc; University of \nAlberta, Edmonton, AB: Miranda Bowen, \nRRT; Fay Hartt; Angie Hillaby, RRT; and \nAmy Haartsma, RRT; St. Michael’s Hospital, \nToronto, ON: Stephanie Segovia, PhD; and \nCarolyn Spiegel-Feld; Queen’s University \nKingston General Hospital, Kingston, ON: \nAnn Taite, BSc; Alison Morra, BScN; Emma \nBullock, HBSc; and Taylar Wall, RRT; \nUniversity of Saskatchewan Royal University \nHospital, Saskatoon, SK: Nancy Zacher; Janet \nBaran, RN; and Yessica Lopez, BA; London \nHealth Sciences Centre - Victoria Hospital, \nLondon, ON: Katie Maguire; Heba \nAlmadhoun; and Robert Campbell-Pereira, \nBSc; St. Clare’s Mercy Hospital, St John’s, NL: \nSarah Anthony, BNRN; and Tanya Nolan, \nBNRN; McGill University Health Centre, \nMontreal, QC: Francine Noel; Royal Victoria \nRegional Health Centre, Barrie, ON: Masoud", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Impact of Dyspnea on Adults With \nRespiratory Symptoms Without a Defined \nDiagnosis \n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; \n\nLouis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; \n\nCatherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; \n\nM. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; \n\nGonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD \n\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health \ncare utilization, quality of life, and work productivity in adults with undiagnosed respiratory \nsymptoms. \n\nRESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory \nsymptoms? \n\nSTUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were \nexperiencing respiratory symptoms. These individuals had not been previously diagnosed \nwith any lung conditions and were recruited from 17 Canadian centers using random digit \ndialing. Each participant underwent spirometry testing both before and after using a bron- \nchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved \nratio impaired spirometry (PRISm), or if their spirometry results were normal. An age- \nmatched control group (n ¼ 231) was similarly recruited using random digit dialing. A \ndyspnea impact assessment score from 0 to 100 was produced using questions from the \nCOPD Assessment Test and St. George’s Respiratory questionnaire. \nRESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, \n63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; \n95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All \ngroups reported significantly more impactful dyspnea than the control group (mean score, \n13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and \ncomorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the \nvariation was explained by disease classification and another 1.7% by the severity of lung \nfunction impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater \ndyspnea impact was associated with increased health care utilization, lower quality of life, and \nreduced work productivity. \nINTERPRETATION: Our findings showed that in community-based adults with undiagnosed \nrespiratory symptoms, those identified with PRISm experienced the greatest impact of dys- \npnea. Dyspnea imposes burdens on the health care system and is associated with impaired \nquality of life and work productivity. \nCHEST 2024; 166(6):1296-1308", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 6 ] Dyspnea R | Regressed on Lung Functio | on Variables Representing | Severity of Impairment | |\n|---|---|---|---|---|\n| Disease Group | Reversibility of FEV, % 1 | Post-BD FEV/FVC Ratio 1 | Post-BD FEV % predicted 1 | Overall P Value |\n| Control | \u00030.163 (P ¼ .47) | \u00030.274 (P [ .05) | \u00030.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | 0.240 (P [ .005) | \u00030.131 (P < .001) | < .001 |\n| Asthma | 0.545 (P [ .01) | 0.107 (P ¼ .58) | \u00030.158 (P ¼ .08) | .009 |\n| COPD | 0.392 (P [ .002) | \u00030.307 (P [ .05) | \u00030.075 (P ¼ .37) | < .001 |\n| PRISm | \u00030.290 (P ¼ .39) | 0.854 (P [ .002) | \u00030.650 (P [ .004) | < .001 |\n\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry \ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio \nimpaired spirometry. \n\n(eg, climate, air quality/industrialization, socioeconomic \nstatus) of the catchment population tend to vary across \nstudy sites. \n\nApproximately 65% of the variability in dyspnea \nremained unexplained by the factors examined in our \nstudy. Most individuals in our study showed normal \nspirometry results but still carried a substantial \nburden of dyspnea, an inconsistency that needs \nexplanation. Several factors not included in our \nanalysis may have contributed to the unexplained \nvariation. Environmental factors (eg, air pollution, \nallergen exposure, seasonal variations in symptoms) \nare potential contributors to this unexplained \nvariability.22 Genetic predispositions could also play a \nsignificant role, as suggested by a study that revealed \nthat parents with dyspnea were 1.8 times more likely \nto have offspring with dyspnea.23 Additionally, fitness \ncould be a contributing factor, especially in \nindividuals with undiagnosed PRISm, asthma, or \nCOPD who may restrict their activities to avoid \ndyspnea, and hence become deconditioned.6 \n\nDyspnea is a complex, subjective symptom that is \nmodified by nonrespiratory factors including \npsychosocial, social, and environmental influences.5 \nInterindividual variability in the perception of dyspnea, \ninfluenced by these nonrespiratory factors, may play an \nimportant role. A study conducted by Ziegler et al24 \nassessed the perception of dyspnea in 42 healthy \nindividuals using a standardized inspiratory resistive \nloading stimulus. The study used the modified Borg \nscale to measure dyspnea perception levels. Among the \nparticipants subjected to the same inspiratory resistive \nload, 31%, 45%, and 24% of participants classified their \nlevel of dyspnea as low, intermediate, and high, \nrespectively. The study revealed that differences between \nindividuals contribute considerable variability to the \nperception of dyspnea, even among healthy participants. \n\nThere were significant but modest differences in mean \ndyspnea levels across the 17 study sites (data not \nshown), which are not explained by the risk factors we \naccounted for in our study. This finding is not surprising \nbecause some of the potential contributing factors \npreviously mentioned and other site-specific factors \nThe affective dimension of dyspnea can be captured \nusing additional questionnaires (eg, Multidimensional \nDyspnea Profile, Dyspnea-12). Studies have explored the \nuse of the Multidimensional Dyspnea Profile in", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 8 ] Unadjusted and Adjusted Dyspnea Assoc | ciations With Health Care Use | | | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| In the past 12 mo, did you visit your general practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing problems? | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| In the past 12 mo, did you visit an emergency department for any breathing problems? | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| In the past 12 mo, were you hospitalized for any breathing problems or respiratory illness? | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n\n\noutpatients with cardiorespiratory disease25 and the \nDyspnea-12 in patients with asthma26 and found that \nthe affective aspect of dyspnea can significantly influence \nthe impact of dyspnea on health status, irrespective of \nthe intensity of breathlessness. \n\nand validated respiratory health questionnaires, and \nour dyspnea assessment measure is a weighted average \nof responses to these validated questions. \nConsequently, the measure has an immediate \ninterpretation in terms of the lived day-to-day \nexperience of individuals. \n\nIn those with PRISm, there was a strong, positive \nassociation between higher values for the FEV1/FVC \nratio and dyspnea. For the PRISm group, a higher \nFEV1/FVC ratio may reflect diminished lung \ncompliance due to interstitial lung disease and/or \nrespiratory system restriction due to obesity, which \ncould contribute to worse dyspnea. Conversely, the \nassociation of dyspnea with the FEV1/FVC ratio was in \nthe opposite direction for those with asthma or COPD, \nand a lower FEV1/FVC ratio correlated with worse \ndyspnea, as expected. \n\nOur study has limitations. We did not undertake \nreliability/reproducibility testing of our questionnaire. \nThe dyspnea impact assessment score was statistically \nassociated with increased health care utilization, lower \nquality of life, and reduced work productivity; therefore, \nby virtue of this analysis, our questionnaire has \nconstruct validity. However, further attempts at external \nvalidation of the questionnaire using an independent \ndata set would be important. Health care utilization \nduring the preceding 12 months was assessed on entry \ninto the study, and there is potential for impaired recall \nof events. Our study may have missed asthma in some \nparticipants because bronchial challenge testing was not \nconducted on those who tested negative for airflow \nobstruction or BD responsiveness. A previous study \nshowed that an additional diagnostic step incorporating Our study complements the literature by focusing on \nadults with undiagnosed respiratory symptoms who \nwere randomly selected and recruited through active \ncase finding in the community. This increases the \ngeneralizability of our results to a broader population. \nOur dyspnea questions were derived from widely used \n\n| TABLE 9 ] Unadjusted and Ad | djusted Dyspnea Associations With Work P | | Productivity (WPAI) | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| Are you currently employed (working for pay)? | 0.995 (0.992-0.998) | .002 | 0.993 (0.990-0.997) | < .001 |\n| Measurea | Dyspnea Coefficient (95% CI) | P Value | Dyspnea Coefficient (95% CI) | P Value |\n| Absenteeism | 0.061 (0.040-0.083) | <.001 | 0.066 (0.044-0.089) | < .001 |\n| Presenteeism | 0.334 (0.293-0.375) | <.001 | 0.349 (0.306-0.392) | < .001 |\n| Work productivity loss | 0.368 (0.323-0.413) | <.001 | 0.383 (0.336-0.430) | < .001 |\n| Activity impairment | 0.503 (0.463-0.544) | <.001 | 0.501 (0.458-0.544) | < .001 |", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 2 ] Mean Responses to Individual Dyspnea Questions | | | | | | |\n|---|---|---|---|---|---|---|\n| Questions About Dyspnea From CAT and SGRQ | | Control Group (n ¼ 231) | Normal Spirometry Group (n ¼ 2,090) | Asthma Group (n ¼ 265) | COPD Group (n ¼ 330) | PRISm Group (n ¼ 172) |\n| Q1 (weight ¼ 0.514) | When I walk up a hill or one flight of stairs, I am breathless. The scale for this question ranges from 0 (when I walk up a hill or 1 flight of stairs, I am not breathless) to 5 (when I walk up a hill or one flight of stairs, I am very breathless). | 0.90 (1.04) | 2.85 (1.46) | 3.03 (1.37) | 3.21 (1.30) | 3.56 (1.37) |\n| Q2 (weight ¼ 0.436) | Over the past 3 mo, I have had shortness of breath. The scale for this question ranges from 0 (over the past 3 mo, I have had shortness of breath.not at all) to 4 (over the past 3 mo, I have had shortness of breath.most days a week). | 0.45 (0.89) | 2.50 (1.30) | 2.71 (1.18) | 2.83 (1.21) | 2.93 (1.18) |\n| Q3: I feel breathless these days. | | | | | | |\n| | Sitting or lying still, % | 3 | 16 | 23 | 14 | 19 |\n| | Getting washed or dressed, % | 2 | 17 | 21 | 20 | 28 |\n| | Walking around at home, % | 2 | 20 | 21 | 23 | 27 |\n| | Walking outside on the level, % | 4 | 36 | 42 | 38 | 49 |\n| | Climbing up a flight of stairs, % | 20 | 75 | 81 | 83 | 87 |\n| | Climbing hills, % | 35 | 83 | 89 | 90 | 89 |\n| | Playing sports or games, % | 34 | 78 | 83 | 81 | 82 |\n| Q3 (total) (weight ¼ 0.648) | The scale for this question ranges from 0 to 7, based on the number of positive answers for the 7 items. | 1.00 (1.25) | 3.23 (1.72) | 3.55 (1.63) | 3.45 (1.61) | 3.76 (1.75) |\n| Q4 (weight ¼ 0.091) | I am breathless when I talk, % | 2 | 35 | 43 | 37 | 39 |\n| Q5 (weight ¼ 0.095) | I am breathless when I bend over, % | 5 | 37 | 45 | 37 | 56 |\n| Q6 (weight ¼ 0.060) | I get afraid or panic when I cannot get my breath, % | 4 | 30 | 33 | 31 | 37 |\n| Because of my breathing. | | | | | | |\n| Q7 (weight ¼ 0.037) | I take a long time to get washed or dressed, % | 1 | 8 | 9 | 10 | 17 |\n| Q8 (weight ¼ 0.023) | I cannot take a bath or shower, or I take a long time, % | 0 | 5 | 7 | 7 | 8 |\n| Q9 (weight ¼ 0.116) | I walk slower than other people, or I have to stop for rests, % | 5 | 40 | 46 | 56 | 66 |\n| Q10 (weight ¼ 0.113) | Jobs such as housework take a long time, or I have to stop for rests, % | 3 | 38 | 40 | 48 | 59 |\n| Q11 (weight ¼ 0.124) | If I climb up one flight of stairs, I have to go slowly or stop, % | 5 | 47 | 44 | 57 | 67 |\n| Q12 (weight ¼ 0.127) | If I hurry or walk fast, I have to stop or slow down | 10 | 59 | 62 | 70 | 80 |", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 7 ] Unadjusted and Adjus | sted Dyspnea Associations With Quality o | | of Life (SF-36) | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea Coefficient (95% CI) | P Value | Dyspnea Coefficient (95% CI) | P Value |\n| Physical functioning | \u00030.693 (\u00030.718 to \u00030.668) | < .001 | \u00030.655 (\u00030.680 to \u00030.630) | < .001 |\n| Physical health limitations | \u00030.634 (\u00030.666 to \u00030.603) | < .001 | \u00030.628 (\u00030.661 to \u00030.595) | < .001 |\n| Emotional problems | \u00030.403 (\u00030.438 to \u00030.369) | < .001 | \u00030.407 (\u00030.443 to \u00030.370) | < .001 |\n| Energy/fatigue | \u00030.454 (\u00030.479 to \u00030.428) | < .001 | \u00030.452 (\u00030.479 to \u00030.425) | < .001 |\n| Emotional well-being | \u00030.230 (\u00030.256 to \u00030.204) | < .001 | \u00030.239 (\u00030.266 to \u00030.213) | < .001 |\n| Social functioning | \u00030.433 (\u00030.466 to \u00030.399) | < .001 | \u00030.434 (\u00030.469 to \u00030.399) | < .001 |\n| Pain | \u00030.410 (\u00030.444 to \u00030.377) | < .001 | \u00030.387 (\u00030.423 to \u00030.352) | < .001 |\n| General health | \u00030.390 (\u00030.416 to \u00030.364) | < .001 | \u00030.382 (\u00030.409 to \u00030.355) | < .001 |\n| Total score | \u00030.485 (\u00030.504 to \u00030.467) | < .001 | \u00030.473 (\u00030.493 to \u00030.454) | < .001 |", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Although neither the CAT nor the SGRQ are dyspnea- \nspecific tools, both are recommended by the Global Initia- \ntive for Chronic Obstructive Lung Disease to evaluate \nsymptoms, including dyspnea,20 and both yield a richer \nassessment of dyspnea than the modified Medical \nResearch Council breathlessness scale.20 Fifteen questions \nwere taken from the CAT and SGRQ questionnaires that \nreferred to individuals’ experiences with dyspnea, and a \ncomposite measure of dyspnea impact using a weighted \nsum of the responses to the 15 questions was constructed. \nQuestions were coded so that larger values indicate more \nimpactful dyspnea. Weights used for question responses \nin calculating the dyspnea impact assessment measure \nwere those of the first component of a principal compo- \nnent analysis (PCA) based on the covariance matrix of \nquestion responses. Questions with multiple responses \nand ordinal structure are individually more informative \nand thus were accorded higher weight than individual \ntrue-false questions. No additional PCA component was \nanticipated a priori to be material for our investigation, \nand an eigenvalue analysis of the PCA was conducted to \nverify this assumption. \n\nAll participants filled out the COPD Assessment Test \n(CAT) questionnaire. Elevated CAT scores indicate a \ngreater burden of respiratory symptoms impacting \ndaily activities and health status.13 The St. George’s \nRespiratory Questionnaire (SGRQ)14-16 was used to \nassess respiratory disease-related quality of life. Higher \nSGRQ scores indicate poorer health status. Both the \nCAT and SGRQ questionnaires were completed prior The composite dyspnea impact measure was scaled so its \nminimum value was 0 if the response to each of the 15 \nquestions was 0, and the maximum value was scaled to \n100 if the individual responses for all 15 questions rep- \nresented the most severe dyspnea response.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Risk Factors Associated With Dyspnea \nPatient-related risk factors were considered first, and re- \nsults of spirometry considered afterward. The spirom- \netry risk factors chosen for the second stage analysis \nincluded the spirometry-based diagnosis of the patient \n(asthma, COPD, PRISm, or normal) and lung function \nresults indicative of the severity of physiologic impair- \nment. Severity was gauged by assessing three principal \nlung function measures: (1) post-BD FEV1 % predicted, \n(2) post-BD FEV1/FVC ratio, and (3) percentage \nreversal of FEV1 with BD. \n\nindicate greater impairment in work productivity and \ndaily activities. \n\nStatistical Analysis \n\nBox plots were used to compare distribution patterns of \ndyspnea impact assessments among the disease groups. \nPairwise comparison tests were conducted to evaluate \nmean dyspnea differences between groups. Multiple \nlinear regression analysis was used to measure contribu- \ntions to variability of dyspnea by selected patient-specific \nrisk factors, spirometry disease classification, and key \nlung function measures. The selected sets of risk factors \nwere evaluated using successive regression analyses. \nAnalysis of variance sums of squares from the successive \nregression analyses provided the cumulative percentage \ncontributions to variability of dyspnea. Simple, multiple, \nand logistic regression analyses were used to study asso- \nciations between dyspnea and health care utilization, \nquality of life, and work productivity outcomes. All sta- \ntistical analyses were done using STATA 16 statistical \nsoftware (StataCorp). \n\nDyspnea Impact and Health Care Use, Quality of \nLife, and Work Productivity \n\nThe impact of dyspnea and its associations with health \ncare use, quality of life, and work productivity were exam- \nined. Health care utilization was assessed through self- \nreported data. Quality of life was assessed using the 36- \nItem Short Form Health Survey questionnaire, where \nhigher scores indicate better health status. Work produc- \ntivity was assessed using the Work Productivity and Activ- \nscores \nity Impairment questionnaire, where higher \n\nResults \nFigure 1 illustrates the results of the case finding \napproach, including the enrollment of the control group. \nAmong 5,631 potentially eligible participants, 1,359 participants (24%) did not meet the threshold of $ 6 \npoints on the ASQ or $ 20 points on the COPD- \nDiagnostic Questionnaire and were thus excluded, \nleaving 4,272 individuals deemed eligible for spirometry. \n\n21,274 excluded \n8,273 Previous diagnosis of asthma \n5,363 Previous diagnosis of COPD \n190 Age < 18 years \n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary \nfibrosis, or lung cancer \n1,331 History of MI, heart problems, stroke, aortic or cerebral \naneurysm, eye surgery, or detached retina in past 3 mos. \n19 Pregnant, in the third trimester \n3,715 Under care of respirologist or using an inhaled respiratory \n\n2,090 (73.2%) had normal \nspirometry \n172 (6.0%) had PRISM \n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; \nCOPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "5. Nishino T. Dyspnoea: underlying \n\nmechanisms and treatment. Br J Anaesth. \n2011;106:463-474. \n\n17. Global Initiative for Asthma. Global \nstrategy for asthma management and \nprevention. Global Initiative for Asthma \nwebsite. Accessed July 30, 2023. https:// \nginasthma.org/wp-content/uploads/2023/ \n07/GINA-2023-Full-report-23_07_06- \nWMS.pdf \n\n6. Neder J, Berton D, Müller P, et al. \n\nVentilatory inefficiency and \nexertional dyspnea in early chronic \nobstructive pulmonary disease. Ann \nAm Thorac Soc. 2017;14(suppl_1): \nS22-S29. \n\n7. Gruenberger JB, Vietri J, Keininger DL, \n\nMahler DA. Greater dyspnea is associated \nwith lower health- related quality of life \namong European patients with COPD. Int \nJ Chron Obstruct Pulmon Dis. 2017;12: \n937-944. \n\n8. Preteroti M, Whitmore GA, \n\nassessed through inspiratory resistive \nloading. J Bras Pneumol. 2015;41(2): \n143-150. \n\n25. Ekström M, Bornefalk H, Sköld M, et al. \n\nValidation of the Swedish \nMultidimensional Dyspnea Profile (MDP) \nin outpatients with cardiorespiratory \ndisease. BMJ Open Respir Res. 2019;6: \ne000381. \n\n26. Yorke J, Russell AM, Swigris J, et al. \nAssessment of dyspnea in asthma: \nvalidation of The Dyspnea-12. J Asthma. \n2011;48(6):602-608. \n\n18. Global Initiative for Chronic Obstructive \nLung Disease. Global strategy for the \ndiagnosis, management, and prevention of \nchronic obstructive pulmonary disease. \nGlobal Initiative for Chronic Obstructive \nLung Disease website. Accessed July 30, \n2023. https://goldcopd.org/wp-content/ \nuploads/2023/03/GOLD-2023-ver-1.3-17 \nFeb2023_WMV.pdf \n\n27. Boulet LP, Boulay ME, Cote A, et al. \n\nAirway inflammation and \nhyperresponsiveness in subjects with \nrespiratory symptoms and normal \nspirometry. Eur Respir J. 2023;61(3): \n2201194. \n\n19. Magner KMA, Cherian M, Whitmore GA, \net al. Assessment of preserved ratio \nimpaired spirometry (PRISm) using pre \nand post bronchodilator spirometry in a \nrandomly-sampled symptomatic cohort. \nAm J Resp Crit Care Med. 2023;208(10): \n1129-1131. \n\n28. Gerstein E, Bierbrier J, Whitmore GA, \n\net al. Impact of undiagnosed chronic \nobstructive pulmonary disease and asthma \non symptoms, quality of life, healthcare \nuse, and work productivity. Am J Respir \nCrit Care Med. 2023;208(12):1271-1282. \n\n29. Aaron SD, Vandemheen K, \n\nWhitmore GA, et al. Early diagnosis and \ntreatment of COPD and asthma: a \nrandomized, controlled trial. N Engl J \nMed. 2024;390(22):2061-2073. \n\nVandemheen KL, et al. Population-based \ncase-finding to identify subjects with \nundiagnosed asthma or COPD. Eur Respir \nJ. 2020;55:2000024. \n\n9. Huynh C, Whitmore GA, \n\nVandemheen KL, et al. Derivation and \nvalidation of the UCAP-Q case-finding \nquestionnaire to detect undiagnosed \nasthma and COPD. Eur Respir J. \n2022;60(3):2103243. \n\n20. Hanania NA, O’Donnell DE. Activity- \nrelated dyspnea in chronic obstructive \npulmonary disease: physical and \npsychological consequences, unmet \nneeds, and future directions. Int J \nChron Obstruct Pulmon Dis. 2019;14: \n1127-1138. \n10. Shin B, Cole SL, Park SJ, et al. A new \nsymptom-based questionnaire for \npredicting the presence of asthma. \nJ Investig Allergol Clin Immunol. 2010;20: \n27-34. \n\n21. Reilly Associates. WPAI scoring. Reilly \n\nAssociates website. Accessed May 1, 2024. \nhttp://www.reillyassociates.net/wpai_\nscoring.html \n\n30. Han MK, Ye W, Wang D, et al. \n\nBronchodilators in tobacco-exposed \npersons with symptoms and preserved \nlung function. N Engl J Med. 2022;387(13): \n1173-1184.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed6_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed6_cc4.pdf", + "query": "What are the criterion to be control patient in the dyspnea study ?", + "target_page": 3, + "target_passage": "Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ.", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "| TABLE 6 ] Dyspnea R | Regressed on Lung Functio | on Variables Representing | Severity of Impairment | |\n|---|---|---|---|---|\n| Disease Group | Reversibility of FEV, % 1 | Post-BD FEV/FVC Ratio 1 | Post-BD FEV % predicted 1 | Overall P Value |\n| Control | \u00030.163 (P ¼ .47) | \u00030.274 (P [ .05) | \u00030.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | 0.240 (P [ .005) | \u00030.131 (P < .001) | < .001 |\n| Asthma | 0.545 (P [ .01) | 0.107 (P ¼ .58) | \u00030.158 (P ¼ .08) | .009 |\n| COPD | 0.392 (P [ .002) | \u00030.307 (P [ .05) | \u00030.075 (P ¼ .37) | < .001 |\n| PRISm | \u00030.290 (P ¼ .39) | 0.854 (P [ .002) | \u00030.650 (P [ .004) | < .001 |\n\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry \ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio \nimpaired spirometry. \n\n(eg, climate, air quality/industrialization, socioeconomic \nstatus) of the catchment population tend to vary across \nstudy sites. \n\nApproximately 65% of the variability in dyspnea \nremained unexplained by the factors examined in our \nstudy. Most individuals in our study showed normal \nspirometry results but still carried a substantial \nburden of dyspnea, an inconsistency that needs \nexplanation. Several factors not included in our \nanalysis may have contributed to the unexplained \nvariation. Environmental factors (eg, air pollution, \nallergen exposure, seasonal variations in symptoms) \nare potential contributors to this unexplained \nvariability.22 Genetic predispositions could also play a \nsignificant role, as suggested by a study that revealed \nthat parents with dyspnea were 1.8 times more likely \nto have offspring with dyspnea.23 Additionally, fitness \ncould be a contributing factor, especially in \nindividuals with undiagnosed PRISm, asthma, or \nCOPD who may restrict their activities to avoid \ndyspnea, and hence become deconditioned.6 \n\nDyspnea is a complex, subjective symptom that is \nmodified by nonrespiratory factors including \npsychosocial, social, and environmental influences.5 \nInterindividual variability in the perception of dyspnea, \ninfluenced by these nonrespiratory factors, may play an \nimportant role. A study conducted by Ziegler et al24 \nassessed the perception of dyspnea in 42 healthy \nindividuals using a standardized inspiratory resistive \nloading stimulus. The study used the modified Borg \nscale to measure dyspnea perception levels. Among the \nparticipants subjected to the same inspiratory resistive \nload, 31%, 45%, and 24% of participants classified their \nlevel of dyspnea as low, intermediate, and high, \nrespectively. The study revealed that differences between \nindividuals contribute considerable variability to the \nperception of dyspnea, even among healthy participants. \n\nThere were significant but modest differences in mean \ndyspnea levels across the 17 study sites (data not \nshown), which are not explained by the risk factors we \naccounted for in our study. This finding is not surprising \nbecause some of the potential contributing factors \npreviously mentioned and other site-specific factors \nThe affective dimension of dyspnea can be captured \nusing additional questionnaires (eg, Multidimensional \nDyspnea Profile, Dyspnea-12). Studies have explored the \nuse of the Multidimensional Dyspnea Profile in", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Risk Factors Associated With Dyspnea \nPatient-related risk factors were considered first, and re- \nsults of spirometry considered afterward. The spirom- \netry risk factors chosen for the second stage analysis \nincluded the spirometry-based diagnosis of the patient \n(asthma, COPD, PRISm, or normal) and lung function \nresults indicative of the severity of physiologic impair- \nment. Severity was gauged by assessing three principal \nlung function measures: (1) post-BD FEV1 % predicted, \n(2) post-BD FEV1/FVC ratio, and (3) percentage \nreversal of FEV1 with BD. \n\nindicate greater impairment in work productivity and \ndaily activities. \n\nStatistical Analysis \n\nBox plots were used to compare distribution patterns of \ndyspnea impact assessments among the disease groups. \nPairwise comparison tests were conducted to evaluate \nmean dyspnea differences between groups. Multiple \nlinear regression analysis was used to measure contribu- \ntions to variability of dyspnea by selected patient-specific \nrisk factors, spirometry disease classification, and key \nlung function measures. The selected sets of risk factors \nwere evaluated using successive regression analyses. \nAnalysis of variance sums of squares from the successive \nregression analyses provided the cumulative percentage \ncontributions to variability of dyspnea. Simple, multiple, \nand logistic regression analyses were used to study asso- \nciations between dyspnea and health care utilization, \nquality of life, and work productivity outcomes. All sta- \ntistical analyses were done using STATA 16 statistical \nsoftware (StataCorp). \n\nDyspnea Impact and Health Care Use, Quality of \nLife, and Work Productivity \n\nThe impact of dyspnea and its associations with health \ncare use, quality of life, and work productivity were exam- \nined. Health care utilization was assessed through self- \nreported data. Quality of life was assessed using the 36- \nItem Short Form Health Survey questionnaire, where \nhigher scores indicate better health status. Work produc- \ntivity was assessed using the Work Productivity and Activ- \nscores \nity Impairment questionnaire, where higher \n\nResults \nFigure 1 illustrates the results of the case finding \napproach, including the enrollment of the control group. \nAmong 5,631 potentially eligible participants, 1,359 participants (24%) did not meet the threshold of $ 6 \npoints on the ASQ or $ 20 points on the COPD- \nDiagnostic Questionnaire and were thus excluded, \nleaving 4,272 individuals deemed eligible for spirometry. \n\n21,274 excluded \n8,273 Previous diagnosis of asthma \n5,363 Previous diagnosis of COPD \n190 Age < 18 years \n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary \nfibrosis, or lung cancer \n1,331 History of MI, heart problems, stroke, aortic or cerebral \naneurysm, eye surgery, or detached retina in past 3 mos. \n19 Pregnant, in the third trimester \n3,715 Under care of respirologist or using an inhaled respiratory \n\n2,090 (73.2%) had normal \nspirometry \n172 (6.0%) had PRISM \n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; \nCOPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "4. Müller A, Mraz T, Wouters EFM, et al. \nPrevalence of dyspnea in general adult \npopulations: a systematic review and \nmeta-analysis. Respir Med. 2023;218: \n107379. \n\nAcknowledgments \nAuthor contributions: S. D. A. and G. A. W. \ncontributed to conception and design. J. B., E. \nG., G. A. W., K. L. V., and S. D. A. \ncontributed to analysis and interpretation. J. \nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C. \nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. \nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L., \nT. A., N. E., G. G. A., and S. M. contributed to \ndrafting the manuscript for important \nintellectual content. All authors had access to \nand participated in the interpretation of the \ndata and provided input into the preparation \nand submission of the manuscript. The \nauthors vouch for the accuracy and \ncompleteness of the data. \nRole of sponsors: The sponsor had no role in \nthe design of the study, the collection and \nanalysis of the data, or the preparation of the \nmanuscript. \nOther contributions: We thank the \nfollowing individuals from the Canadian \nstudy sites: Ottawa Hospital Research \nInstitute, Ottawa, Ontario: Taylor Poulin; \nSusan Deveau, RRT; Victoria Thompson; \nMeredith McCleery; Angelina Tohme; Vicky \nPanteleakos, RRT; Geneviève Longtin, RRT; \nJoanne Cassidy, RRT; Amanda Bergeron, \nMSc; Jennifer Biggs, RN; Jessica Bergeron; \nand Elisabet White; Vancouver General \nHospital, Vancouver, British Columbia: \nShelley Abercromby, BSc; Jana Caine; David \n\nSavage; Natasha Verzosa; Ravneet Mahal; and \nMary Justine Angeles; Queen Elizabeth II \nHealth Sciences Centre, Halifax, NS: Scott \nFulton, RRT; Hôpital du Sacré Coeur de \nMontréal, Montréal, QC: Simone Chaboillez, \nMT; and Meliza Benabdallah; St. Joseph’s \nHamilton, Hamilton, ON: Liz Johnson; St. \nBoniface Hospital, Winnipeg, MB: Cheryl \nNoble, RN; Institut Universitaire de \nCardiologie et de Pneumologie de Québec- \nUniversité Laval, Québec, QC: Johane \nLepage, BSc; Joanne Milot, RN; and \nChristiane Balizet, RN; University of Calgary, \nCalgary, AB: Lisette Machado, MD; and \nCurtis Dumonceaux, BSc; University of \nAlberta, Edmonton, AB: Miranda Bowen, \nRRT; Fay Hartt; Angie Hillaby, RRT; and \nAmy Haartsma, RRT; St. Michael’s Hospital, \nToronto, ON: Stephanie Segovia, PhD; and \nCarolyn Spiegel-Feld; Queen’s University \nKingston General Hospital, Kingston, ON: \nAnn Taite, BSc; Alison Morra, BScN; Emma \nBullock, HBSc; and Taylar Wall, RRT; \nUniversity of Saskatchewan Royal University \nHospital, Saskatoon, SK: Nancy Zacher; Janet \nBaran, RN; and Yessica Lopez, BA; London \nHealth Sciences Centre - Victoria Hospital, \nLondon, ON: Katie Maguire; Heba \nAlmadhoun; and Robert Campbell-Pereira, \nBSc; St. Clare’s Mercy Hospital, St John’s, NL: \nSarah Anthony, BNRN; and Tanya Nolan, \nBNRN; McGill University Health Centre, \nMontreal, QC: Francine Noel; Royal Victoria \nRegional Health Centre, Barrie, ON: Masoud", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 7 ] Unadjusted and Adjus | sted Dyspnea Associations With Quality o | | of Life (SF-36) | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea Coefficient (95% CI) | P Value | Dyspnea Coefficient (95% CI) | P Value |\n| Physical functioning | \u00030.693 (\u00030.718 to \u00030.668) | < .001 | \u00030.655 (\u00030.680 to \u00030.630) | < .001 |\n| Physical health limitations | \u00030.634 (\u00030.666 to \u00030.603) | < .001 | \u00030.628 (\u00030.661 to \u00030.595) | < .001 |\n| Emotional problems | \u00030.403 (\u00030.438 to \u00030.369) | < .001 | \u00030.407 (\u00030.443 to \u00030.370) | < .001 |\n| Energy/fatigue | \u00030.454 (\u00030.479 to \u00030.428) | < .001 | \u00030.452 (\u00030.479 to \u00030.425) | < .001 |\n| Emotional well-being | \u00030.230 (\u00030.256 to \u00030.204) | < .001 | \u00030.239 (\u00030.266 to \u00030.213) | < .001 |\n| Social functioning | \u00030.433 (\u00030.466 to \u00030.399) | < .001 | \u00030.434 (\u00030.469 to \u00030.399) | < .001 |\n| Pain | \u00030.410 (\u00030.444 to \u00030.377) | < .001 | \u00030.387 (\u00030.423 to \u00030.352) | < .001 |\n| General health | \u00030.390 (\u00030.416 to \u00030.364) | < .001 | \u00030.382 (\u00030.409 to \u00030.355) | < .001 |\n| Total score | \u00030.485 (\u00030.504 to \u00030.467) | < .001 | \u00030.473 (\u00030.493 to \u00030.454) | < .001 |", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "to spirometry to avoid influencing patients’ perceptions \nof their dyspnea. \n\nprerecorded message then inquired whether any house- \nhold member was $ 18 years of age and had experi- \nenced respiratory symptoms (eg, shortness of breath, \nwheezing, \nsputum, prolonged \ncough) within the past 6 months. Households with affir- \nmative responses were subsequently contacted by the \nlocal study coordinator for a follow-up call. The house- \nhold member \nreporting respiratory symptoms was \nverbally consented and screened for eligibility to partic- \nipate in the study over the telephone.8,9 \n\nincreased mucus or \n\nExclusion criteria included the following: (1) a history of \ndiagnosis of lung or airway disease, (2) use of respiratory \ninhalers aside from as-needed salbutamol, (3) contrain- \ndications for spirometry (eg, occurrences of myocardial \ninfarction, stroke, aortic or cerebral aneurysm, eye sur- \ngery, detached retina within the last 3 months), (4) \ninability or refusal to provide informed consent, (5) be- \ning in the third trimester of pregnancy, and (6) being < \n18 years of age. \n\nClassification of Undiagnosed Cases \nCertified study personnel administered spirometry tests \nbefore and after BD use. Participants showing an in- \ncrease of at least 12% and 200 mL in their FEV1 after \nreceiving 400 mg of salbutamol were classified as having \nspirometry indicative of asthma.17 Those whose post-BD \nratio of FEV1/FVC fell below the lower 95% confidence \nlimit (ie, FEV1/FVC < lower limit of normal) were clas- \nsified as having spirometry indicative of COPD.18 Partic- \nipants meeting the criteria for both conditions were \nlabeled as having COPD. Those with a post-BD \n< 80% of the predicted normal and a post-BD \nFEV1 \nFEV1/FVC ratio > 0.70 were classified as having \nspirometry indicative of preserved ratio impaired \nspirometry (PRISm). PRISm was defined based on \npost-BD spirometry values for a more specific classifica- \ntion.19 Participants not meeting criteria for asthma, \nCOPD, or PRISm were labeled as having normal \nspirometry. \n\nEach participant completed the Asthma Screening Ques- \ntionnaire (ASQ)10 via telephone. Individuals aged $ 60 \nyears, and those aged < 60 years who scored < 6 points \non the ASQ, also completed the COPD-Diagnostic \nQuestionnaire.11,12 Participants scoring $ 6 points on \nthe ASQ or $ 20 points on the COPD-Diagnostic Ques- \ntionnaire were invited to the study site for pre- and post- \nbronchodilator (BD) spirometry. \n\nAssessment of the Impact of Participants’ Dyspnea \n\nA control group without respiratory symptoms was \nselected randomly using identical random digit dialing \nreported no respiratory \nmethods. Control patients \nsymptoms in the preceding 6 months and obtained a \nscore of 0 on the ASQ. Participants were recruited as \ncontrol patients if they could be matched with an indi- \nvidual from the undiagnosed group based on age ((cid:2) 5 \nyears) and sex. This matching process aimed to have \nsimilar demographic profiles between the control group \nand the newly found cases. This matching was imple- \nmented solely to ensure demographic comparability \nacross the study groups and not for pairing patients \nfor statistical analysis purposes.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 8 ] Unadjusted and Adjusted Dyspnea Assoc | ciations With Health Care Use | | | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| In the past 12 mo, did you visit your general practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing problems? | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| In the past 12 mo, did you visit an emergency department for any breathing problems? | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| In the past 12 mo, were you hospitalized for any breathing problems or respiratory illness? | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n\n\noutpatients with cardiorespiratory disease25 and the \nDyspnea-12 in patients with asthma26 and found that \nthe affective aspect of dyspnea can significantly influence \nthe impact of dyspnea on health status, irrespective of \nthe intensity of breathlessness. \n\nand validated respiratory health questionnaires, and \nour dyspnea assessment measure is a weighted average \nof responses to these validated questions. \nConsequently, the measure has an immediate \ninterpretation in terms of the lived day-to-day \nexperience of individuals. \n\nIn those with PRISm, there was a strong, positive \nassociation between higher values for the FEV1/FVC \nratio and dyspnea. For the PRISm group, a higher \nFEV1/FVC ratio may reflect diminished lung \ncompliance due to interstitial lung disease and/or \nrespiratory system restriction due to obesity, which \ncould contribute to worse dyspnea. Conversely, the \nassociation of dyspnea with the FEV1/FVC ratio was in \nthe opposite direction for those with asthma or COPD, \nand a lower FEV1/FVC ratio correlated with worse \ndyspnea, as expected. \n\nOur study has limitations. We did not undertake \nreliability/reproducibility testing of our questionnaire. \nThe dyspnea impact assessment score was statistically \nassociated with increased health care utilization, lower \nquality of life, and reduced work productivity; therefore, \nby virtue of this analysis, our questionnaire has \nconstruct validity. However, further attempts at external \nvalidation of the questionnaire using an independent \ndata set would be important. Health care utilization \nduring the preceding 12 months was assessed on entry \ninto the study, and there is potential for impaired recall \nof events. Our study may have missed asthma in some \nparticipants because bronchial challenge testing was not \nconducted on those who tested negative for airflow \nobstruction or BD responsiveness. A previous study \nshowed that an additional diagnostic step incorporating Our study complements the literature by focusing on \nadults with undiagnosed respiratory symptoms who \nwere randomly selected and recruited through active \ncase finding in the community. This increases the \ngeneralizability of our results to a broader population. \nOur dyspnea questions were derived from widely used \n\n| TABLE 9 ] Unadjusted and Ad | djusted Dyspnea Associations With Work P | | Productivity (WPAI) | |\n|---|---|---|---|---|\n| Measure | Unadjusted | | Adjusted | |\n| | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| Are you currently employed (working for pay)? | 0.995 (0.992-0.998) | .002 | 0.993 (0.990-0.997) | < .001 |\n| Measurea | Dyspnea Coefficient (95% CI) | P Value | Dyspnea Coefficient (95% CI) | P Value |\n| Absenteeism | 0.061 (0.040-0.083) | <.001 | 0.066 (0.044-0.089) | < .001 |\n| Presenteeism | 0.334 (0.293-0.375) | <.001 | 0.349 (0.306-0.392) | < .001 |\n| Work productivity loss | 0.368 (0.323-0.413) | <.001 | 0.383 (0.336-0.430) | < .001 |\n| Activity impairment | 0.503 (0.463-0.544) | <.001 | 0.501 (0.458-0.544) | < .001 |", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Although neither the CAT nor the SGRQ are dyspnea- \nspecific tools, both are recommended by the Global Initia- \ntive for Chronic Obstructive Lung Disease to evaluate \nsymptoms, including dyspnea,20 and both yield a richer \nassessment of dyspnea than the modified Medical \nResearch Council breathlessness scale.20 Fifteen questions \nwere taken from the CAT and SGRQ questionnaires that \nreferred to individuals’ experiences with dyspnea, and a \ncomposite measure of dyspnea impact using a weighted \nsum of the responses to the 15 questions was constructed. \nQuestions were coded so that larger values indicate more \nimpactful dyspnea. Weights used for question responses \nin calculating the dyspnea impact assessment measure \nwere those of the first component of a principal compo- \nnent analysis (PCA) based on the covariance matrix of \nquestion responses. Questions with multiple responses \nand ordinal structure are individually more informative \nand thus were accorded higher weight than individual \ntrue-false questions. No additional PCA component was \nanticipated a priori to be material for our investigation, \nand an eigenvalue analysis of the PCA was conducted to \nverify this assumption. \n\nAll participants filled out the COPD Assessment Test \n(CAT) questionnaire. Elevated CAT scores indicate a \ngreater burden of respiratory symptoms impacting \ndaily activities and health status.13 The St. George’s \nRespiratory Questionnaire (SGRQ)14-16 was used to \nassess respiratory disease-related quality of life. Higher \nSGRQ scores indicate poorer health status. Both the \nCAT and SGRQ questionnaires were completed prior The composite dyspnea impact measure was scaled so its \nminimum value was 0 if the response to each of the 15 \nquestions was 0, and the maximum value was scaled to \n100 if the individual responses for all 15 questions rep- \nresented the most severe dyspnea response.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 3 ] Intergroup Comparisons | s of Dyspnea Impact | | |\n|---|---|---|---|\n| Pairwise Comparison | Mean Dyspnea Score (95% CI) | Mean Difference (95% CI) | P Value |\n| Control | 13.8 (11.8-15.7) | \u000338.0 (\u000341.1 to \u000334.9) | < .001 |\n| Normal spirometry | 51.8 (50.7-52.8) | | |\n| Control | 13.8 (11.8-15.7) | \u000343.7 (\u000347.6 to \u000339.8) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Control | 13.8 (11.8-15.7) | \u000342.8 (\u000346.9 to \u000338.7) | < .001 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Control | 13.8 (11.8-15.7) | \u000349.2 (\u000353.7 to \u000344.6) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 5.7 (3.0 to 8.4) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 4.8 (1.8, 7.8) | .002 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 11.2 (7.5 to 14.8) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| PRISm | 63.0 (59.5-66.4) | 5.5 (1.1 to 9.8) | .014 |\n| COPD | 57.5 (55.1-59.9) | | |\n| PRISm | 63.0 (59.5-66.4) | 6.4 (1.9 to 10.9) | .005 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Asthma | 56.6 (53.9-59.3) | 0.9 (\u00032.8 to 4.7) | .63 |\n| COPD | 57.5 (55.1-59.9) | | |\n\n\nclassification accounted for 12% of the total variability \nof dyspnea. \n\nexposure in an array of risky occupations. These risk \nfactors, taken as a whole, accounted for 21% of the \nvariability in dyspnea. \n\nTable 6 presents the contribution of lung function \nmeasures of physiologic impairment after accounting for \npatient-related risk factors and disease classification. For \nthe PRISm disease group, a higher post-BD FEV1/FVC \nratio and a lower post-BD FEV1 % predicted value were \nassociated with greater dyspnea impact. For the COPD \ndisease group, a lower post-BD FEV1/FVC ratio was \nassociated with greater dyspnea impact. Reversibility of \nFEV1 was associated with higher dyspnea impact only in \npatients with asthma or COPD. Lung function measures \nof disease severity accounted for 2% of the variability in \ndyspnea. \n\nAfter adjustment for patient-specific risk factors in the \nfirst stage analysis, we adjusted for spirometry-defined \ndisease (PRISm, asthma, COPD, or normal \nspirometry) in Table 5. Adjustment for disease \n\nt \nn \ne \nm \ns \ns \ne \ns \ns \na \na \ne \nn \np \ns \ny \nD \n\nAfter adjusting for age, sex, and BMI, dyspnea was \nnegatively associated with all domains of quality of life, \nincluding physical functioning (coefficient, (cid:3)0.655; \nP < .001), role limitations due to physical health \n(coefficient, (cid:3)0.628; P < .001), general health \n(coefficient, (cid:3)0.382; P < .001), and total score \n(coefficient, (cid:3)0.473; P < .001) (Table 7). \n\n100 \n\n80 \n\n60 \n\n40 \n\n20 \n\n0 \n\nNormal \nspirometry \nAsthma COPD PRISm \n\nHealthy \ncontrol \nparticipants \n\nFigure 2 – Box plot demonstrating dyspnea impact according to \nspirometry disease classification. The center line marks the median. The \nboxes span the interquartile range (IQR). The outer fences are set at \ndistances 1.5 (cid:4) IQR from the box. Outliers appear as plotted dots. After adjusting for age, sex, and BMI, dyspnea was \nassociated with an increased likelihood of annual visits \nto health care providers for respiratory complaints (OR,", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "5. Nishino T. Dyspnoea: underlying \n\nmechanisms and treatment. Br J Anaesth. \n2011;106:463-474. \n\n17. Global Initiative for Asthma. Global \nstrategy for asthma management and \nprevention. Global Initiative for Asthma \nwebsite. Accessed July 30, 2023. https:// \nginasthma.org/wp-content/uploads/2023/ \n07/GINA-2023-Full-report-23_07_06- \nWMS.pdf \n\n6. Neder J, Berton D, Müller P, et al. \n\nVentilatory inefficiency and \nexertional dyspnea in early chronic \nobstructive pulmonary disease. Ann \nAm Thorac Soc. 2017;14(suppl_1): \nS22-S29. \n\n7. Gruenberger JB, Vietri J, Keininger DL, \n\nMahler DA. Greater dyspnea is associated \nwith lower health- related quality of life \namong European patients with COPD. Int \nJ Chron Obstruct Pulmon Dis. 2017;12: \n937-944. \n\n8. Preteroti M, Whitmore GA, \n\nassessed through inspiratory resistive \nloading. J Bras Pneumol. 2015;41(2): \n143-150. \n\n25. Ekström M, Bornefalk H, Sköld M, et al. \n\nValidation of the Swedish \nMultidimensional Dyspnea Profile (MDP) \nin outpatients with cardiorespiratory \ndisease. BMJ Open Respir Res. 2019;6: \ne000381. \n\n26. Yorke J, Russell AM, Swigris J, et al. \nAssessment of dyspnea in asthma: \nvalidation of The Dyspnea-12. J Asthma. \n2011;48(6):602-608. \n\n18. Global Initiative for Chronic Obstructive \nLung Disease. Global strategy for the \ndiagnosis, management, and prevention of \nchronic obstructive pulmonary disease. \nGlobal Initiative for Chronic Obstructive \nLung Disease website. Accessed July 30, \n2023. https://goldcopd.org/wp-content/ \nuploads/2023/03/GOLD-2023-ver-1.3-17 \nFeb2023_WMV.pdf \n\n27. Boulet LP, Boulay ME, Cote A, et al. \n\nAirway inflammation and \nhyperresponsiveness in subjects with \nrespiratory symptoms and normal \nspirometry. Eur Respir J. 2023;61(3): \n2201194. \n\n19. Magner KMA, Cherian M, Whitmore GA, \net al. Assessment of preserved ratio \nimpaired spirometry (PRISm) using pre \nand post bronchodilator spirometry in a \nrandomly-sampled symptomatic cohort. \nAm J Resp Crit Care Med. 2023;208(10): \n1129-1131. \n\n28. Gerstein E, Bierbrier J, Whitmore GA, \n\net al. Impact of undiagnosed chronic \nobstructive pulmonary disease and asthma \non symptoms, quality of life, healthcare \nuse, and work productivity. Am J Respir \nCrit Care Med. 2023;208(12):1271-1282. \n\n29. Aaron SD, Vandemheen K, \n\nWhitmore GA, et al. Early diagnosis and \ntreatment of COPD and asthma: a \nrandomized, controlled trial. N Engl J \nMed. 2024;390(22):2061-2073. \n\nVandemheen KL, et al. Population-based \ncase-finding to identify subjects with \nundiagnosed asthma or COPD. Eur Respir \nJ. 2020;55:2000024. \n\n9. Huynh C, Whitmore GA, \n\nVandemheen KL, et al. Derivation and \nvalidation of the UCAP-Q case-finding \nquestionnaire to detect undiagnosed \nasthma and COPD. Eur Respir J. \n2022;60(3):2103243. \n\n20. Hanania NA, O’Donnell DE. Activity- \nrelated dyspnea in chronic obstructive \npulmonary disease: physical and \npsychological consequences, unmet \nneeds, and future directions. Int J \nChron Obstruct Pulmon Dis. 2019;14: \n1127-1138. \n10. Shin B, Cole SL, Park SJ, et al. A new \nsymptom-based questionnaire for \npredicting the presence of asthma. \nJ Investig Allergol Clin Immunol. 2010;20: \n27-34. \n\n21. Reilly Associates. WPAI scoring. Reilly \n\nAssociates website. Accessed May 1, 2024. \nhttp://www.reillyassociates.net/wpai_\nscoring.html \n\n30. Han MK, Ye W, Wang D, et al. \n\nBronchodilators in tobacco-exposed \npersons with symptoms and preserved \nlung function. N Engl J Med. 2022;387(13): \n1173-1184.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 2 ] Mean Responses to Individual Dyspnea Questions | | | | | | |\n|---|---|---|---|---|---|---|\n| Questions About Dyspnea From CAT and SGRQ | | Control Group (n ¼ 231) | Normal Spirometry Group (n ¼ 2,090) | Asthma Group (n ¼ 265) | COPD Group (n ¼ 330) | PRISm Group (n ¼ 172) |\n| Q1 (weight ¼ 0.514) | When I walk up a hill or one flight of stairs, I am breathless. The scale for this question ranges from 0 (when I walk up a hill or 1 flight of stairs, I am not breathless) to 5 (when I walk up a hill or one flight of stairs, I am very breathless). | 0.90 (1.04) | 2.85 (1.46) | 3.03 (1.37) | 3.21 (1.30) | 3.56 (1.37) |\n| Q2 (weight ¼ 0.436) | Over the past 3 mo, I have had shortness of breath. The scale for this question ranges from 0 (over the past 3 mo, I have had shortness of breath.not at all) to 4 (over the past 3 mo, I have had shortness of breath.most days a week). | 0.45 (0.89) | 2.50 (1.30) | 2.71 (1.18) | 2.83 (1.21) | 2.93 (1.18) |\n| Q3: I feel breathless these days. | | | | | | |\n| | Sitting or lying still, % | 3 | 16 | 23 | 14 | 19 |\n| | Getting washed or dressed, % | 2 | 17 | 21 | 20 | 28 |\n| | Walking around at home, % | 2 | 20 | 21 | 23 | 27 |\n| | Walking outside on the level, % | 4 | 36 | 42 | 38 | 49 |\n| | Climbing up a flight of stairs, % | 20 | 75 | 81 | 83 | 87 |\n| | Climbing hills, % | 35 | 83 | 89 | 90 | 89 |\n| | Playing sports or games, % | 34 | 78 | 83 | 81 | 82 |\n| Q3 (total) (weight ¼ 0.648) | The scale for this question ranges from 0 to 7, based on the number of positive answers for the 7 items. | 1.00 (1.25) | 3.23 (1.72) | 3.55 (1.63) | 3.45 (1.61) | 3.76 (1.75) |\n| Q4 (weight ¼ 0.091) | I am breathless when I talk, % | 2 | 35 | 43 | 37 | 39 |\n| Q5 (weight ¼ 0.095) | I am breathless when I bend over, % | 5 | 37 | 45 | 37 | 56 |\n| Q6 (weight ¼ 0.060) | I get afraid or panic when I cannot get my breath, % | 4 | 30 | 33 | 31 | 37 |\n| Because of my breathing. | | | | | | |\n| Q7 (weight ¼ 0.037) | I take a long time to get washed or dressed, % | 1 | 8 | 9 | 10 | 17 |\n| Q8 (weight ¼ 0.023) | I cannot take a bath or shower, or I take a long time, % | 0 | 5 | 7 | 7 | 8 |\n| Q9 (weight ¼ 0.116) | I walk slower than other people, or I have to stop for rests, % | 5 | 40 | 46 | 56 | 66 |\n| Q10 (weight ¼ 0.113) | Jobs such as housework take a long time, or I have to stop for rests, % | 3 | 38 | 40 | 48 | 59 |\n| Q11 (weight ¼ 0.124) | If I climb up one flight of stairs, I have to go slowly or stop, % | 5 | 47 | 44 | 57 | 67 |\n| Q12 (weight ¼ 0.127) | If I hurry or walk fast, I have to stop or slow down | 10 | 59 | 62 | 70 | 80 |", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed6_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RSG_2004.pdf", + "query": "What is the revenue of Republic Services in 2002 ?", + "target_page": 2, + "target_passage": " $ 2,365.1", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**Cumulative EÅect**\n**of Changes in**\n**Accounting**\n**Principles** **Balance as of**\n**December 31,**\n**2002** **Balance as of**\n**December 31,**\n**2003** **Acquisitions** **Divestitures**\n\nEastern Region ÏÏÏÏÏÏÏÏ \nCentral Region ÏÏÏÏÏÏÏÏ \nSouthern Region ÏÏÏÏÏÏÏ \nSouthwestern Region ÏÏÏ \nWestern RegionÏÏÏÏÏÏÏÏ $ 429.0 \n343.0 \n323.2 \n134.7 \n314.3 $ 7.2 \n7.5 \n2.6 \n.3 \n3.6 $(.3) \nÌ \nÌ \nÌ \nÌ $ Ì \nÌ \nÌ \nÌ \n(7.0) $ 435.9 \n350.5 \n325.8 \n135.0 \n310.9 \n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $21.2 $(.3) $(7.0) $1,558.1 \n\n$1,544.2 \n\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as \nfollows: \n\n**Years Ended December 31,**\n**2003** **2002**\n\n**2004**\n\nCollection: \n\nResidential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 655.2 $ 601.2 $ 530.7 \n\nCommercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 737.9 706.0 696.7 \n\nIndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 523.0 501.6 \n\n50.9 50.8 \n\nOther ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nTotal collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n558.1 \n\n62.2 \n\n2,013.4 1,881.1 1,779.8 \n\nTransfer and disposal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,031.0 967.5 854.1 \n\nLess: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (519.8) (493.7) (428.5) \n\nTransfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 511.2 473.8 425.6 \n\n183.5 162.9 159.7 \n\n$2,708.1 $2,517.8 $2,365.1 \n\nOther ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n**11. FUEL HEDGE**\n\nDuring June 2001, the Company entered into option agreements for approximately 14.3 million gallons of \nheating oil. Under SFAS 133, the options qualiÑed for and were designated as eÅective hedges of changes in \nthe prices of forecasted diesel fuel purchases. These option agreements settled each month in equal notional \namounts through December 2002. The option agreements were structured as zero-cost collars indexed to the \nprice of heating oil. These option agreements expired in December 2002. In accordance with SFAS 133, \n$1.6 million representing the eÅective portion of the change in fair value for the year ended December 31, \n2002, net of tax, has been recorded in stockholders' equity as a component of accumulated other comprehen- \nsive income. The ineÅective portion of the change in fair value was a gain of approximately $.1 million for the \nyear ended December 31, 2002, and has been included in other income (expense), net in the accompanying \nConsolidated Statements of Income. Realized losses of $.8 million related to these option agreements are \nincluded in cost of operations in the Company's Consolidated Statements of Income for the year ended \nDecember 31, 2002.", + "page_start": 89, + "page_end": 89, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**Depreciation,**\n**Amortization,**\n**Depletion and Operating**\n**Accretion(c)** **Gross**\n**Revenue** **Intercompany**\n**Revenue(b)** **Net**\n**Revenue** **Capital**\n**Expenditures(d)** **Total**\n**Assets** **2003** **Income**\n\nEastern Region ÏÏÏÏÏÏÏÏÏ $ 600.2 \n671.7 \nCentral Region ÏÏÏÏÏÏÏÏÏ \n680.3 \nSouthern RegionÏÏÏÏÏÏÏÏ \n332.6 \nSouthwestern Region ÏÏÏÏ \n729.4 \nWestern Region ÏÏÏÏÏÏÏÏ \n.2 \nCorporate Entities(a)ÏÏÏÏ \n\n$ (93.0) \n(151.6) \n(76.9) \n(31.2) \n(143.9) \n\n$ 507.2 \n520.1 \n603.4 \n301.4 \n585.5 \n.2 $ 36.4 \n74.0 \n62.8 \n28.7 \n46.2 \n3.7 $ 71.3 \n106.6 \n107.5 \n50.2 \n148.8 \n(71.7) $ 40.7 \n75.7 \n69.9 \n28.9 \n51.4 \n6.6 $ 826.9 \n960.5 \n865.6 \n409.4 \n813.2 \n678.5 Ì \n\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 $(496.6) $2,517.8 $251.8 $412.7 $273.2 $4,554.1 \n\n**2002**\n\nEastern Region ÏÏÏÏÏÏÏÏ $ 564.1 \n589.6 \nCentral Region ÏÏÏÏÏÏÏÏ \n643.1 \nSouthern Region ÏÏÏÏÏÏÏ \n311.8 \nSouthwestern Region ÏÏÏ \n690.0 \nWestern Region ÏÏÏÏÏÏÏ \n.2 \nCorporate Entities(a)ÏÏÏ $ (79.7) $ 484.4 \n469.4 \n577.6 \n282.7 \n550.9 \n.1 $ 32.0 \n53.6 \n52.7 \n22.8 \n41.3 \n(2.8) $(4.1) $ 87.0 \n105.3 \n(1.5) \nÌ 118.3 \nÌ \n41.9 \nÌ 145.5 \nÌ (38.5) (120.2) \n(65.5) \n(29.1) \n(139.1) \n(.1) \n\n**Depreciation,**\n**Amortization,**\n**and**\n**Depletion(c)** **Other**\n**Charges Operating**\n**Income**\n**(Income)** **Gross**\n**Revenue** **Intercompany**\n**Revenue(b)** **Net**\n**Revenue** **Capital**\n**Expenditures(d)** **Total**\n**Assets**\n\n$ 39.2 \n77.1 \n58.0 \n30.6 \n47.3 \n6.4 $ 822.2 \n950.9 \n830.7 \n374.6 \n826.7 \n404.0 \n\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,798.8 $(433.7) $2,365.1 $199.6 $(5.6) $459.5 $258.6 $4,209.1 \n\n(a) Corporate functions include legal, tax, treasury, information technology, risk management, human \nresources, national accounts and other typical administrative functions. The increase in operating income \nfor Corporate Entities from 2003 to 2004 is due primarily to higher self-insurance expense recorded \nduring 2003. \n(b) Intercompany operating revenue reÖects transactions within and between segments and are generally \nmade on a basis intended to reÖect the market value of such services. \n(c) EÅective January 1, 2003, the Company adopted SFAS 143. (See Note 1, Basis of Presentation, for \nfurther information.) \n\n(d) Capital expenditures for 2002 exclude $72.6 million used to purchase equipment consisting primarily of \nrevenue-producing vehicles originally placed into service pursuant to an operating lease. \n\nGoodwill is the cost of acquired businesses in excess of the fair value of net assets acquired. The activity \nin goodwill, net of accumulated amortization, during 2004 and 2003 is as follows: \n\n**Balance as of**\n**December 31,**\n**2003** **Balance as of**\n**December 31,**\n**2004** **Acquisitions** **Transfers**\n\nEastern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCentral Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSouthern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSouthwestern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nWestern RegionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 2.6 \n10.7 \n2.0 \n.2 \n(2.3) $(2.1) \n(3.6) \n(1.3) \n(1.6) \nÌ $ 436.4 \n357.6 \n326.5 \n133.6 \n308.6 \n\n$13.2 $(8.6) $1,562.7 \n\n$ 435.9 \n350.5 \n325.8 \n135.0 \n310.9 \n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,558.1 \n\n81", + "page_start": 88, + "page_end": 88, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC.**\n\n**VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n**SCHEDULE II**\n**(in millions)**\n\n**Balance at**\n**Beginning**\n**of Year** **Additions**\n**Charged to**\n**Income** **Accounts**\n**Written**\n**OÅ** **Balance at**\n**End**\n**of Year** **Other(1)**\n\nCLASSIFICATIONS \nAllowance for doubtful accounts: \n\n2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $19.0 \n19.0 \n19.0 $ 8.0 \n10.4 \n11.2 $ (9.0) \n(10.4) \n(11.4) $ Ì \nÌ \n.2 $18.0 \n19.0 \n19.0", + "page_start": 101, + "page_end": 101, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**CONSOLIDATED STATEMENTS OF CASH FLOWS**\n**(in millions)**\n\n**Years Ended December 31,**\n**2003** **2004** **2002**\n\nCASH PROVIDED BY OPERATING ACTIVITIES: \n\nNet income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAdjustments to reconcile net income to net cash provided by operating \n$ 237.9 $ 177.6 $ 239.6 \n\n154.0 \n98.4 \n7.0 \n13.7 \n57.6 \n8.0 \n10.6 \n2.1 \nÌ 141.0 \n92.8 \n5.3 \n12.7 \n178.9 \n10.4 \n6.7 \n(1.8) \n37.8 126.1 \n67.4 \n6.1 \nÌ \n73.1 \n11.2 \n4.0 \n(4.8) \nÌ \n\nactivities: \nDepreciation and amortization of property and equipment ÏÏÏÏÏÏÏÏÏÏ \nLandÑll depletion and amortization ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAmortization of intangible and other assetsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAccretion ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nDeferred tax provision ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nProvision for doubtful accounts ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nIncome tax beneÑt from stock option exercisesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther non-cash items ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCumulative eÅect of changes in accounting principles, net of tax ÏÏÏÏ \nChanges in assets and liabilities, net of eÅects from business \n\nacquisitions and dispositions: \nAccounts receivable ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nPrepaid expenses and other assetsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAccounts payable and accrued liabilities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther liabilities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nPurchases of property and equipmentÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nProceeds from sale of property and equipment ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCash used in business acquisitions, net of cash acquired ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCash proceeds from business dispositions ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAmounts due and contingent payments to former owners ÏÏÏÏÏÏÏÏÏÏÏÏÏ \nChange in restricted cashÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nChange in restricted marketable securitiesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nNet payments on revolving credit facilityÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nProceeds from notes payable and long-term debt ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nPayments of notes payable and long-term debt ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nIssuances of common stock ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nPurchases of common stock for treasury ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCash dividends ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nPurchase of equipment under operating lease ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n(27.5) \n91.8 \n15.3 \n(2.6) (21.8) \n(109.4) \n9.0 \n61.3 (13.6) \n(5.9) \n37.1 \n29.4 \n\n666.3 600.5 569.7 \n\nCASH USED IN INVESTING ACTIVITIES: \n\n(283.8) \n5.7 \n(47.3) \nÌ \n(3.7) \n(21.4) \n143.8 (273.2) \n9.1 \n(51.5) \n3.2 \n(17.6) \n(40.0) \n(182.4) (258.6) \n14.6 \n(55.8) \n18.9 \n(2.7) \n(32.7) \nÌ \n\n(206.7) (552.4) (316.3) \n\nÌ \n88.8 \n(252.2) \n38.2 \n(266.1) \n(46.0) \nÌ Ì \n86.3 \n(2.6) \n49.1 \n(184.2) \n(19.0) \nÌ (30.0) \n96.9 \n(2.2) \n29.9 \n(150.0) \nÌ \n(72.6) \n\n(437.3) (70.4) (128.0) \n\n22.3 \n119.2 (22.3) \n141.5 125.4 \n16.1 \n\nCASH AND CASH EQUIVALENTS AT END OF PERIODÏÏÏÏÏÏÏÏÏ $ 141.5 $ 119.2 $ 141.5", + "page_start": 63, + "page_end": 63, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\nprices. Unrealized gains and losses, net of tax, are recorded as a component of accumulated other \ncomprehensive income (loss). The Company liquidated a portion of these marketable securities and used the \nproceeds to repay the $225.0 million of public notes, which matured in May 2004. \n\n**Other Matters**\n\nThe Company's business activities are conducted in the context of a developing and changing statutory \nand regulatory framework. Governmental regulation of the waste management industry requires the Company \nto obtain and retain numerous governmental permits to conduct various aspects of its operations. These \npermits are subject to revocation, modiÑcation or denial. The costs and other capital expenditures which may \nbe required to obtain or retain the applicable permits or comply with applicable regulations could be \nsigniÑcant. Any revocation, modiÑcation or denial of permits could have a material adverse eÅect on the \nCompany. \n\n**13. RELATED PARTY TRANSACTIONS**\n\nIt is the Company's policy that transactions with related parties must be on terms that, on the whole, are \nno less favorable than those that would be available from unaÇliated parties. It is management's belief that all \nof these transactions met that standard at the time such transactions were eÅected. \n\n**14. QUARTERLY FINANCIAL INFORMATION (UNAUDITED)**\n\nThe following is an analysis of certain items in the Consolidated Statements of Income by quarter for \n2004 and 2003: \n\n**First**\n**Quarter** **Second**\n**Quarter** **Third**\n**Quarter** **Fourth**\n**Quarter**\n\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2004 $637.3 \n2003 $594.6 $683.2 \n$637.3 $699.9 \n$648.0 $687.7 \n$637.9 \n\nOperating income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2004 $110.0 \n2003 $105.4 $116.2 \n$113.5 $116.5 \n$ 87.3 $109.6 \n$106.5 \n\nIncome before cumulative eÅect of changes in \naccounting principles ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n2004 $ 56.9 \n2003 $ 54.6 \n2004 $ 56.9 \n2003 $ 16.8 $ 60.9 \n$ 60.4 \n$ 60.9 \n$ 60.4 $ 62.5 \n$ 44.7 \n$ 62.5 \n$ 44.7 $ 57.6 \n$ 55.7 \n$ 57.6 \n$ 55.7 \nNet incomeÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nDiluted income per share before cumulative eÅect of \nchanges in accounting principles ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2004 $ .36 \n.33 \n2003 $ $ \n$ .39 \n.37 $ \n$ .41 \n.28 \n\n$ \n$ .38 \n.35 \n\nDiluted net income per share ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2004 $ \n2003 $ .36 \n.10 $ \n$ .39 \n.37 $ \n$ .41 \n.28 $ \n$ .38 \n.35 \n\nWeighted average common and common equivalent \nshares outstanding ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2004 \n2003 158.4 \n163.3 155.7 \n162.5 153.8 \n162.2 153.5 \n160.5 \n\nDuring 2003, the Company experienced an increase in expense associated with self-insurance. This \nincrease was attributable to the expansion of the Company's operations and various changes in estimates as a \nresult of continued negative trends through the 2003 policy year, based upon recent actuarial claims", + "page_start": 92, + "page_end": 92, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**CONSOLIDATED STATEMENTS OF STOCKHOLDERS' EQUITY**\n**AND COMPREHENSIVE INCOME**\n**(in millions)**\n\n**Accumulated**\n**Other**\n\n**Common Stock**\n**Par**\n**Shares,**\n**Value**\n**Net** **Additional**\n**Paid-In**\n**Capital** **Deferred**\n**Compensation** **Retained**\n**Earnings** **Treasury**\n**Stock** **Comprehensive Comprehensive**\n**Income (Loss)** **Income**\n\nBALANCE AT \n\nDECEMBER 31, 2001ÏÏÏÏÏ \nNet income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nIssuances of common stock \nPurchases of common stock \n\n169.6 \n\n$1.8 \nÌ Ì \n2.0 Ì $1,264.7 \nÌ \n34.0 $ Ì \nÌ \nÌ $ 641.1 $(150.1) \nÌ \nÌ $(1.6) \nÌ \nÌ 239.6 \nÌ $239.6 \nÌ \n\nfor treasuryÏÏÏÏÏÏÏÏÏÏÏÏÏ (8.0) Ì Ì Ì Ì (150.0) Ì Ì \n\nChange in value of \n\nderivative instruments, net \nof tax ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Ì Ì Ì 1.6 \n\nTotal comprehensive income Ì Ì Ì $241.2 \n\nÌ \n\nÌ \n\nBALANCE AT \n\nDECEMBER 31, 2002ÏÏÏÏÏ \nNet income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCash dividendsÏÏÏÏÏÏÏÏÏÏÏÏ \nIssuances of common stock \nPurchases of common stock \n\n163.6 \n\n1.8 \nÌ Ì \nÌ Ì \n2.6 Ì 1,298.7 \nÌ \nÌ \n49.1 \n\nfor treasuryÏÏÏÏÏÏÏÏÏÏÏÏÏ (8.4) Ì Ì \n\nChange in value of \ninvestments, net of tax ÏÏÏ Ì Ì Ì \n\nTotal comprehensive income Ì Ì Ì \n\n157.8 \n\n1.8 \nÌ Ì \nÌ Ì \n.1 \n2.3 1,347.8 \nÌ \nÌ \n48.8 \n\nÌ \n\nÌ \n\n880.7 \n177.6 \n(19.0) \nÌ (300.1) \nÌ \nÌ \nÌ \n\nÌ (184.2) \n\nÌ Ì \n\nÌ Ì \n\n1,039.3 \n237.9 \n(54.6) \nÌ (484.3) \nÌ \nÌ \nÌ \n\nÌ Ì \n\nÌ Ì \n\nÌ (266.1) \n\nÌ Ì \n\nÌ Ì \n\n1.6 \n\nÌ \n\nÌ \nÌ \nÌ \nÌ \n\nÌ \n\n(.1) \n\nÌ \n\n(.1) \nÌ \nÌ \nÌ \n\nÌ \n\nÌ \n\nÌ \n\n.1 \n\nÌ \n\nBALANCE AT \n\nDECEMBER 31, 2003ÏÏÏÏÏ \nNet income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCash dividendsÏÏÏÏÏÏÏÏÏÏÏÏ \nIssuances of common stock \nIssuances of restricted stock \nand deferred stock units ÏÏ .1 Ì 2.8 \n\nAmortization of deferred \ncompensation ÏÏÏÏÏÏÏÏÏÏÏ Ì Ì Ì \n\nPurchases of common stock \nfor treasuryÏÏÏÏÏÏÏÏÏÏÏÏÏ (9.6) Ì Ì \n\nChange in value of \ninvestments, net of tax ÏÏÏ Ì Ì Ì \n\nTotal comprehensive income Ì Ì Ì \n\nBALANCE AT \nDECEMBER 31, 2004ÏÏÏÏÏ 150.6 $1.9 $1,399.4 \n\nÌ \n\nÌ \n\nÌ \nÌ \nÌ \nÌ \n\nÌ \n\nÌ \n\nÌ \n\nÌ \nÌ \nÌ \nÌ \n\n(2.8) \n\n1.8 \n\nÌ \n\nÌ \n\nÌ \n\n$(1.0) $1,222.6 $(750.4) $ Ì \n\nThe accompanying notes are an integral part of these statements.", + "page_start": 62, + "page_end": 62, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\napproximately $48.0 million which was collected or used to oÅset taxes payable during the year ended \nDecember 31, 2004. \n\nA reconciliation of the statutory federal income tax rate to the Company's eÅective tax rate is shown \nbelow: \n\n**Years Ended**\n**December 31,**\n**2003** **2004** **2002**\n\n35.0% 35.0% 35.0% \n1.9 \n1.3 \n1.7 \n2.4 \n(.6) \n(.7) \n38.0% 38.0% 38.0% \n\n.7 \n2.1 \n.2 \n\nStatutory federal income tax rate ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nNon-deductible expenses ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nState income taxes, net of federal beneÑt ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther, netÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nEÅective income tax rate ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nComponents of the net deferred income tax asset and liability in the accompanying Consolidated Balance \nSheets are as follows: \n\n**December 31,**\n**2004** **2003**\n\nDeferred tax assets (liabilities): \nCurrent portion Ì \n\nBook basis in property over tax basisÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAccruals not currently deductible ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n$ $ \n\nLong-term portion Ì \n\nBook basis in property over tax basisÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nAccruals not currently deductible ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n1.8 \n8.1 \n9.9 2.5 \n3.3 \n5.8 $ $ \n\n$(434.4) \n27.9 \n$(406.5) $(367.3) \n13.8 \n$(353.5) \n\nAt December 31, 2004, the Company had available domestic federal and state net operating loss \ncarryforwards of approximately $25.6 million ($16.6 million after tax), which begin to expire in 2023. In \nassessing the realizability of deferred tax assets, management considers whether it is more likely than not some \nportion or all of the deferred tax assets will not be realized after the initial recognition of the deferred tax asset. \nThe Company provides valuation allowances to oÅset portions of deferred tax assets due to uncertainty \nsurrounding the future realization of such deferred tax assets. The Company adjusts the valuation allowance, if \nany, in the period management determines it is more likely than not that deferred tax assets will or will not be \nrealized. \n\nThe Company made income tax payments (net of refunds received) of approximately $12.9 million, \n$17.7 million and $69.3 million for the years ended December 31, 2004, 2003 and 2002, respectively. \n\nThrough the date of the Company's initial public oÅering of common stock in July 1998, the Company \nÑled consolidated federal income tax returns with AutoNation Inc. (\"\"AutoNation''), its former parent \ncompany. In accordance with the Company's tax sharing agreement with AutoNation, the Company may be \nliable for certain assessments imposed by the Internal Revenue Service for the periods through June 1998. \nThe Internal Revenue Service is auditing the Company's consolidated tax returns for Ñscal years 1998 through \n2003. Management believes that the tax liabilities recorded are adequate. However, a signiÑcant assessment in \nexcess of liabilities recorded against the Company could have a material adverse eÅect on the Company's \nÑnancial position, results of operations or cash Öows. \n\n77", + "page_start": 84, + "page_end": 84, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\nHedging Activities'' (\"\"SFAS 133''), as amended. (For further information, see Note 11, Fuel Hedge.) Of this \namount, $1.6 million, net of tax, representing the eÅective portion of the change in fair value was recorded to \nother comprehensive income for the year ended December 31, 2002. \n\nAt December 31, 2004, the Company had $38.7 million of restricted marketable securities held as \nÑnancial guarantees. These securities consist of mutual funds invested in short-term investment grade \nsecurities, including mortgage-backed securities and U.S. Government obligations. These securities are \navailable for sale and, as a result, are stated at fair value based on quoted market prices. During the years \nended December 31, 2004 and 2003, the Company recorded a $.1 million and ($.1) million unrealized \ngain/(loss), net of tax, respectively, to other comprehensive income related to the change in fair value of these \nsecurities. \n\nThe Company had no other components of other comprehensive income for the periods presented. \n\n**Statements of Cash Flows**\n\nThe Company considers all unrestricted highly liquid investments with purchased maturities of three \nmonths or less to be cash equivalents. The eÅect of non-cash transactions related to business combinations, as \ndiscussed in Note 4, Business Combinations, and other non-cash transactions are excluded from the \naccompanying Consolidated Statements of Cash Flows. \n\n**Fair Value of Financial Instruments**\n\nThe carrying amounts of cash and cash equivalents, restricted cash and marketable securities, receivables, \naccounts payable and accrued liabilities approximate fair value due to the short maturity of these instruments. \nThe fair value of the Company's Ñxed rate unsecured notes and tax-exempt Ñnancing using quoted market \nrates is $1,227.4 million at December 31, 2004. The carrying value of the unsecured notes and tax exempt \nÑnancing is $1,123.3 million at December 31, 2004. The carrying amounts of the Company's remaining notes \npayable and tax-exempt Ñnancing approximate fair value because interest rates are variable and, accordingly, \napproximate current market rates. \n\n**Concentration of Credit Risk**\n\nThe Company provides services to commercial, industrial, municipal and residential customers in the \nUnited States. Concentrations of credit risk with respect to trade receivables are limited due to the wide \nvariety of customers and markets in which services are provided as well as their dispersion across many \ngeographic areas in the United States. The Company performs ongoing credit evaluations of its customers, but \ndoes not require collateral to support customer receivables. The Company establishes an allowance for \ndoubtful accounts based on various factors including the credit risk of speciÑc customers, age of receivables \noutstanding, historical trends, economic conditions and other information. \n\n**New Accounting Pronouncement**\n\nOn December 16, 2004, the Financial Accounting Standards Board issued Statement of Financial \nAccounting Standards No. 123 (revised 2004), \"\"Share-Based Payment'' (\"\"SFAS 123(R)''), which is a \nrevision of Statement of Financial Accounting Standards No. 123, \"\"Accounting for Stock-Based Compensa- \ntion'' (\"\"SFAS 123''). SFAS 123(R) supersedes APB Opinion No. 25, \"\"Accounting for Stock Issued to \nEmployees,'' and amends SFAS 95, \"\"Statement of Cash Flows.'' Generally, the approach in SFAS 123(R) is \nsimilar to the approach described in SFAS 123. However, SFAS 123(R) requires all share-based payments to \nemployees, including grants of employee stock options, to be recognized in the income statement based on \ntheir fair values. Pro forma disclosure is no longer an alternative.", + "page_start": 72, + "page_end": 72, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n$1.8 million was recorded as compensation expense in the Company's Consolidated Statements of Income. \nThe remaining $1.0 million, representing the unamortized balance of unearned compensation on restricted \nstock, is included as a separate component of stockholders' equity in the Company's Consolidated Balance \nSheets. No other stock units or restricted shares were granted during the twelve months ended December 31, \n2004. \n\nThe following table summarizes the activity for Equity-Based Compensation Units for the years ended \n2002, 2003 and 2004: \n\n**Weighted-Average**\n**Exercise Price** **Shares**\n\n12.4 \n2.3 \n(1.9) \n(.2) \n\n$16.22 \n17.45 \n15.18 \n15.39 \n16.61 \n19.30 \n16.21 \n16.02 \n17.18 \n24.65 \n16.24 \n19.72 \n$18.51 \n\n12.6 \n2.0 \n(2.5) \n(.3) \n\n11.8 \n1.8 \n(2.3) \n(.2) \n\n11.1 \n\nUnits outstanding at December 31, 2001 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nGranted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nUnits outstanding at December 31, 2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nGranted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nUnits outstanding at December 31, 2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nGranted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nUnits outstanding at December 31, 2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nThe following table summarizes information about the Company's outstanding and exercisable stock \noptions at December 31, 2004: \n\n**Outstanding**\n**Weighted-**\n**Average**\n**Remaining**\n**Contractual**\n**Life (Yrs.)**\n\n**Exercisable**\n\n**Weighted-**\n**Average**\n**Exercise**\n**Price** **Weighted-**\n**Average**\n**Exercise**\n**Price** **Range of Exercise Price** **Shares**\n\n$10.16 Ì $13.55 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n$13.56 Ì $16.93 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n$16.94 Ì $20.32 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n$20.33 Ì $33.88 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.5 \n4.9 \n4.8 \n8.6 $11.87 \n14.68 \n18.12 \n26.05 .6 \n.9 \n5.1 \n.2 $11.87 \n14.73 \n17.93 \n24.78 \n\n5.4 18.68 6.8 17.13 \n\n**Shares**\n\n.6 \n1.3 \n7.3 \n1.8 \n\n11.0 \n\nThe Company also maintains the Republic Services 401(k) Plan (the \"\"Plan''), which is a deÑned \ncontribution plan covering all eligible employees. Under the provisions of the Plan, participants may direct the \nCompany to defer a portion of their compensation to the Plan, subject to a maximum of 15% of eligible \ncompensation, as deÑned. In general, the Company provides matching contributions of 50% of the amount \ncontributed by each participant up to 4% of the employee's salary. The employer match is generally made in \nshares of the Company's common stock. Both employee and Company contributions vest immediately. During \n2004, the Company contributed shares of its common stock valued at $3.5 million to the Plan.", + "page_start": 86, + "page_end": 86, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\ndate of acquisition. The Company allocates the cost of the acquired business to the assets acquired and the \nliabilities assumed based on estimates of fair values thereof. These estimates are revised during the allocation \nperiod as necessary if, and when, information regarding contingencies becomes available to further deÑne and \nquantify assets acquired and liabilities assumed. To the extent contingencies such as preacquisition environ- \nmental matters, litigation and related legal fees are resolved or settled during the allocation period, such items \nare included in the revised allocation of the purchase price. After the allocation period, the eÅect of changes in \nsuch contingencies is included in results of operations in the periods in which the adjustments are determined. \nThe Company does not believe potential diÅerences between its fair value estimates and actual fair values are \nmaterial. \n\nThe Company acquired various solid waste businesses during the years ended December 31, 2004, 2003 \nand 2002. The aggregate purchase price paid for these transactions was $47.4 million, $51.5 million and \n$55.8 million, respectively. \n\nProperty and equipment ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nIntangible assets ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nRestricted cash ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nWorking capital deÑcit ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther assets (liabilities), net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nDuring 2004, 2003 and 2002, $28.2 million, $27.7 million and $5.1 million, respectively, of the total \npurchase price paid for acquisitions and contingent payments to former owners was allocated to landÑll \nairspace. For landÑlls purchased as part of a group of several assets, the allocations of purchase price were \nbased on the discounted expected future cash Öow of each landÑll relative to other assets within the acquired \ngroup and were adjusted for other non-depletable landÑll assets and liabilities acquired (primarily Ñnal \ncapping, closure and post-closure liabilities). LandÑll purchase price is amortized using the units-of- \nconsumption method over total available airspace, which includes probable expansion airspace where \nappropriate, and is included in property and equipment, net in the accompanying Consolidated Balance \nSheets. \n\nThe following summarizes the preliminary purchase price allocations for business combinations ac- \ncounted for under the purchase method of accounting: \n\n**Years Ended December 31,**\n**2002**\n**2003**\n**2004**\n\n$36.6 \n14.1 \n.6 \n(3.4) \n(.6) $ 41.3 \n24.3 \nÌ \n(14.9) \n.8 $27.0 \n43.0 \nÌ \n(8.9) \n(5.3) \n\nCash used in acquisitions, net of cash acquired ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $47.3 $ 51.5 $55.8 \n\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nNet incomeÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nDiluted earnings per share ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nWeighted-average common and common equivalent shares \n\nSubstantially all of the intangible assets recorded for these acquisitions are deductible for tax purposes. \n\nThe Company's unaudited pro forma consolidated results of operations assuming all signiÑcant acquisi- \ntions during 2004 accounted for under the purchase method of accounting had occurred at the beginning of \nthe periods presented are as follows: \n\n**Years Ended**\n**December 31,**\n**2004** **2003**\n\n$2,715.1 \n$ 238.1 \n1.53 \n$ $2,530.0 \n$ 179.7 \n1.11 \n$ \n\noutstanding ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 155.3 162.1 \n\n74", + "page_start": 81, + "page_end": 81, + "source_file": "NYSE_RSG_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RSG_2004.pdf", + "query": "Who is the Vice Chairmain of the Board of Republic Services ?", + "target_page": 5, + "target_passage": " Harris W. Hudson1 Vice Chairman of the Board", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**\n**ON THE FINANCIAL STATEMENTS**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.: \n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and \nsubsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, \nstockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits \nalso included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements \nand schedule are the responsibility of the Company's management. Our responsibility is to express an opinion \non these Ñnancial statements and schedule based on our audits. \n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight \nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable \nassurance about whether the Ñnancial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An \naudit also includes assessing the accounting principles used and signiÑcant estimates made by management, as \nwell as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable \nbasis for our opinion. \n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the \nconsolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and \nthe consolidated results of their operations and their cash Öows for each of the three years in the period ended \nDecember 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the \nrelated Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a \nwhole, presents fairly in all material respects the information set forth therein. \n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of \naccounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas \ncollection systems. \n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight \nBoard (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting \nas of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by \nthe Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, \n2005, expressed an unqualiÑed opinion thereon.", + "page_start": 58, + "page_end": 58, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**\n**ON INTERNAL CONTROL OVER FINANCIAL REPORTING**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.: \n\nWe have audited management's assessment, included in the accompanying Report of Management on \nRepublic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and \nsubsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on \ncriteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring \nOrganizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is \nresponsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the \neÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on \nmanagement's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial \nreporting based on our audit. \n\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight \nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable \nassurance about whether eÅective internal control over Ñnancial reporting was maintained in all material \nrespects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating \nmanagement's assessment, testing and evaluating the design and operating eÅectiveness of internal control, \nand performing such other procedures as we considered necessary in the circumstances. We believe that our \naudits provide a reasonable basis for our opinion. \n\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable \nassurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external \npurposes in accordance with generally accepted accounting principles. A company's internal control over \nÑnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, \nin reasonable detail, accurately and fairly reÖect the transactions and dispositions of the assets of the company; \n(2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial \nstatements in accordance with generally accepted accounting principles, and that receipts and expenditures of \nthe company are being made only in accordance with authorizations of management and directors of the \ncompany; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized \nacquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial \nstatements. \n\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect \nmisstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that \ncontrols may become inadequate because of changes in conditions, or that the degree of compliance with the \npolicies and procedures may deteriorate. \n\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal \ncontrol over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the \nCOSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal \ncontrol over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.", + "page_start": 59, + "page_end": 59, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the \nCompany has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. \n\nREGISTRANT: \n\nREPUBLIC SERVICES, INC. \n\nBy: /s/ \n\nJAMES E. O'CONNOR \nJames E. O'Connor \n*Chairman of the Board and Chief Executive OÇcer*\n*(principal executive oÇcer)*\n\nFebruary 25, 2005 \n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the \nfollowing persons on behalf of the Registrant and in the capacities and on the dates indicated. \n\n**Signature** **Title** **Date**\n\n/s/ JAMES E. O'CONNOR \nJames E. O'Connor \nChairman of the Board and Chief \nExecutive OÇcer (principal \nexecutive oÇcer) \n\nFebruary 25, 2005 \n\n/s/ HARRIS W. HUDSON Vice Chairman and Director February 25, 2005 \nHarris W. Hudson \n\n/s/ TOD C. HOLMES \nTod C. Holmes \nFebruary 25, 2005 \n\nSenior Vice President and Chief \n\nFinancial OÇcer (principal Ñnancial \noÇcer) \n\nVice President and Chief Accounting February 25, 2005 \n\nOÇcer (principal accounting \noÇcer) \n\nDirector February 25, 2005 \n\n/s/ CHARLES F. SERIANNI \nCharles F. Serianni \n\n/s/ JOHN W. CROGHAN \nJohn W. Croghan \n\n/s/ W. LEE NUTTER \nW. Lee Nutter \n\n/s/ RAMON A. RODRIGUEZ \nRamon A. Rodriguez \n\n/s/ ALLAN C. SORENSEN \nAllan C. Sorensen \n\n/s/ MICHAEL W. WICKHAM \nMichael W. Wickham", + "page_start": 100, + "page_end": 100, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**EXHIBIT 23.1**\n\n**CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**\n\nWe consent to the incorporation by reference in the Registration Statements (Form S-8 Nos. 333-81801, \n333-78125, 333-45542 and 333-104048) pertaining to the Republic Services 401(k) Plan, 1998 Stock \nIncentive Plan, Republic Services, Inc. Amended and Restated Employee Stock Purchase Plan, and Republic \nServices, Inc. Amended and Restated 1998 Stock Incentive Plan, respectively, of our reports dated \nFebruary 24, 2005, with respect to the consolidated Ñnancial statements and schedule of Republic Services, \nInc., Republic Services, Inc. management's assessment of the eÅectiveness of internal control over Ñnancial \nreporting, and the eÅectiveness of internal control over Ñnancial reporting of Republic Services, Inc., included \nin this Annual Report (Form 10-K) for the year ended December 31, 2004.", + "page_start": 102, + "page_end": 102, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data)**\n\n**1. BASIS OF PRESENTATION**\n\nThe accompanying Consolidated Financial Statements include the accounts of Republic Services, Inc. (a \nDelaware corporation) and its subsidiaries (the \"\"Company''). The Company provides non-hazardous solid \nwaste collection and disposal services in the United States. All intercompany transactions have been \neliminated in consolidation. \n\nAs of January 1, 2003, the Company adopted Statement of Financial Accounting Standards No. 143, \n\"\"Accounting for Asset Retirement Obligations'' (\"\"SFAS 143''). SFAS 143 required the Company to change \nthe methodology it used to record Ñnal capping, closure and post-closure costs relating to its landÑlls. As of \nJanuary 1, 2003, the Company recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax \nbasis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In \naddition, the Company also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, \nas a cumulative eÅect of a change in accounting principle for its methane gas collection systems. This change \nin accounting for methane gas collection systems was prompted by a thorough evaluation of the Company's \nlandÑll accounting policies in connection with the adoption of SFAS 143 and is consistent with the \nmethodology used by other participants in the waste industry. \n\nThe following table summarizes the adjustments to net income and earnings per share for the year ended \nDecember 31, 2002 as if SFAS 143 and the Company's change in accounting principle relating to its methane \ngas collection systems were eÅective January 1, 2002: \n\n**Year Ended**\n**December 31, 2002**\n\n**Net**\n**Income** **Diluted Earnings**\n**Per Share**\n\nReported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSFAS 143: \n\n$239.6 $1.44 \n\nReversal of closure and post-closure expense previously reported ÏÏÏÏ \nReversal of landÑll purchase price amortization previously reportedÏÏ \nAccretion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nLandÑll amortizationÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .10 \nÌ \n(.04) \n(.07) \n\n(.01) \n\n16.2 \n.8 \n(6.5) \n(10.9) \n\nTotal adjustments for SFAS 143 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (.4) \n\nMethane Gas Collection Systems: \n\nReversal of depreciation previously reported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nDepletion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .3 \n(2.3) \n\nTotal adjustment for methane gas collection systems ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n(2.0) \n\nAdjusted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $237.2", + "page_start": 64, + "page_end": 64, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**7. STOCKHOLDERS' EQUITY**\n\nDuring 2000 through 2004, the Board of Directors authorized the repurchase of up to $1,025.0 million of \nthe Company's Common Stock. As of December 31, 2004, the Company had paid $750.4 million to \nrepurchase 35.2 million shares of its common stock, of which 9.6 million shares were acquired during the year \nended December 31, 2004 for $266.1 million. \n\nIn July 2003, the Company announced that its board of directors initiated a quarterly cash dividend of \n$.06 per share, which was increased to $.12 per share in the third quarter of 2004. Dividends declared were \n$54.6 million and $19.0 million during 2004 and 2003, respectively. As of December 31, 2004, the Company \nrecorded a dividend payable of approximately $18.1 million to shareholders of record at the close of business \non January 3, 2005. \n\n**8. EMPLOYEE BENEFIT PLANS**\n\nIn July 1998, the Company adopted the 1998 Stock Incentive Plan (\"\"Stock Incentive Plan'') to provide \nfor grants of options to purchase shares of common stock, restricted stock and other equity-based compensa- \ntion (\"\"Equity-Based Compensation Units'') to employees and non-employee directors of the Company who \nare eligible to participate in the Stock Incentive Plan. The Company accounts for stock-based compensation in \naccordance with Accounting Principles Board Opinion No. 25, \"\"Accounting for Stock Issued to Employees'' \n(\"\"APB 25''), and related interpretations. Stock options are granted at prices equal to the fair market value of \nthe Company's common stock on the date of grant; therefore, no compensation expense is recognized. \nCompensation expense resulting from grants of restricted stock or stock units is recognized during the vesting \nperiod. \n\nOptions granted under the Stock Incentive Plan are non-qualiÑed and are granted at a price equal to the \nfair market value of the Company's common stock at the date of grant. Generally, options granted have a term \nof ten years from the date of grant, and vest in increments of 25% per year over a four year period beginning on \nthe Ñrst anniversary date of the grant. Options granted to non-employee directors have a term of ten years and \nvest immediately at the date of grant. In May 2002, the Company's stockholders approved and adopted an \namendment and restatement of the Stock Incentive Plan, which modiÑed a number of its provisions, including \nan increase in the number of shares of common stock reserved for issuance under the Stock Incentive Plan \nfrom 20.0 million to 27.0 million. As of December 31, 2004, there were 6.0 million stock options reserved for \nfuture grants under the Stock Incentive Plan. \n\nDuring the three months ended March 31, 2004, the Company awarded 20,000 deferred stock units to its \nnon-employee directors under its Stock Incentive Plan. An additional 5,000 deferred stock units were granted \nto a new director during the three months ended December 31, 2004. These stock units vest immediately but \nthe directors receive the underlying shares only after their board service ends. The stock units do not carry any \nvoting or dividend rights, except the right to receive additional stock units in lieu of dividends.", + "page_start": 85, + "page_end": 85, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**EXHIBIT 32.1**\n\n**CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350,**\n**AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002**\n\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for \nthe period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof \n(the \"\"Report''), I, James E. O'Connor, Chairman and Chief Executive OÇcer of the Company, hereby \ncertify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of \n2002, that to the best of my knowledge: \n\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities \nExchange Act of 1934, as amended; and \n\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial \ncondition and results of operations of the Company. \n\nFebruary 25, 2005 \n\n**EXHIBIT 32.2**\n\n**CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350,**\n**AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002**\n\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for \nthe period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof \n(the \"\"Report''), I, Tod C. Holmes, Chief Financial OÇcer of the Company, hereby certify, pursuant to \n18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the \nbest of my knowledge: \n\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities \nExchange Act of 1934, as amended; and \n\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial \ncondition and results of operations of the Company. \n\nFebruary 25, 2005 \n\n/s/ TOD C. HOLMES \n\nTod C. Holmes \nSenior Vice President and Chief Financial OÇcer", + "page_start": 105, + "page_end": 105, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "On behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in \nus. We are a Company that cares about you, and we pledge to continue working hard to serve you in \n2005 and beyond. \n\nSincerely, \n\n\n\nAs I thought about these achievements, I realized they result from the environment that we work to \n\ncreate for both our customers and our people. We care about our customers and the communities we \n\nserve. About our people. About the environment. And, of course, we care about you -- our \n\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme \n\nfor 2005 is “Republic Services…A Company that cares”. \n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we \n\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way \n\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to \n\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year \n\nwill be no different. We will continue to concentrate on these fundamentals. \n\nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the \n\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we \n\ntake this responsibility very seriously. \n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 \n\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers, \n\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or \n\nher business and community. Our goal is to remain flexible and to tailor our services to each \n\ncustomer.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "On behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in \nus. We are a Company that cares about you, and we pledge to continue working hard to serve you in \n2005 and beyond. \n\nSincerely, \n\n\n\nAs I thought about these achievements, I realized they result from the environment that we work to \ncreate for both our customers and our people. We care about our customers and the communities we \nserve. About our people. About the environment. And, of course, we care about you -- our \nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme \nfor 2005 is “Republic Services…A Company that cares”. \n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we \ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way \nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to \ncontrol prices. And, we communicated to our customers the value of the services we offer. This year \nwill be no different. We will continue to concentrate on these fundamentals. \n\nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the \nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we \ntake this responsibility very seriously. \n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 \nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers, \nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or \nher business and community. Our goal is to remain flexible and to tailor our services to each \ncustomer.", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "| | O | ffi | ce | rs | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Glenn D. Bonner Phyllis A. James Robert C. Selwood Senior Vice President Senior Vice President & Senior Vice President Chief Information Officer Senior Counsel Accounting Daniel J. D’Arrigo Cynthia Kiser Murphey Bryan L. Wright Senior Vice President Senior Vice President Senior Vice President, Finance Human Resources Assistant General Counsel & Assistant Secretary Alan Feldman Punam Mathur Senior Vice President Senior Vice President Public Affairs Corporate Diversity & Community Affairs Bruce Gebhardt Senior Vice President Global Security | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |", + "page_start": 79, + "page_end": 79, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_STO_2004.pdf", + "query": "How mush did the Moomba incident cost to Santos in 2004 ?", + "target_page": 12, + "target_passage": " the Moomba incident resulted in $17 million of one-off costs in 2004.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "to effectively control its costs \nin the face of significant external \npressures in the form of rising \nservices and materials prices. \n\nExamining production costs in \ndetail reveals: \n\n• the start-up of Bayu-Undan and \nacquisitions added $16 million \nto Santos’ cost base \n\n• changes in our accounting \n\nadded a further $16 million \nto Santos’ production costs \n\n**2004 WAS A YEAR OF GOOD**\n**OPERATING RESULTS**\nOverall the increase in 2004 profit \nof 16% reflected a year of sound \noperating performance. Sales \nrevenue was a record $1,501 \nmillion, up 2.5% on 2003, \nreflecting higher prices across \nmost products and was achieved \ndespite lower production as a \nresult of the Moomba incident \nand declining output from late \nlife fields. \n\nboe. Field decline reduced \nproduction by a further \n5.0 million boe. \n\nOffsetting these factors, Santos’ \ngrowth projects are starting to \ncome on line and have begun to \nreverse the decline experienced \nover the past three years. Two \nprojects were commissioned in \n2004: the Bayu-Undan liquids \nproject and the Minerva gas \nproject. In addition, acquisitions \ncontributed 0.8 million boe to \nproduction. \n\n**‘The sound operating results**\n**achieved in 2004 underline**\n**the changing face of Santos**\n**towards a higher value, higher**\n**margin business. We ended the**\n**year with a strong financial**\n**position and our financial**\n**flexibility intact.’**\n\n• higher insurance premiums \n\nSantos benefited from higher \nworld oil prices and realised \nUS$51.83 per boe in 2004, an \nincrease of 19% over 2003. The \nbenefit of higher world oil prices \nsubstantially offset the impact \nof lower production volumes. \n\nFor 2005, production is expected \nto improve by around 15%, or \n4% excluding the impact of the \nMoomba incident. Santos now \nexpects production to be around \n54 million boe in 2005. This \nincrease is largely driven by the \ncommissioning of Mutineer-Exeter \nin March 2005 and the John \nBrookes gas field in the middle \nof the year. \n\nSantos was also able to negotiate \nhigher domestic gas prices (up \n4% on average) and deliver new \nrevenue streams from project \nstart-ups and acquisitions during \nthe year. \nPiecing this together, the key \nthemes in our financial \nperformance were: \n\n**PRODUCTION COSTS**\n**UNDER CONTROL**\nProduction costs in 2004 were \n$309 million, up $45 million or \n17% on 2003. Analysis shows \nthat Santos was able to continue **PRODUCTION HAMPERED BY**\n**MOOMBA INCIDENT**\n2004 production was lower due \nto the Moomba incident, which \nreduced production by 4.6 million \n\n($8 million) and one-off stock \nwrite-offs ($5 million) were \noffset by $17 million in cost \nsavings largely as a result of \nSantos’ continuous \nimprovement initiatives \n\n• the Moomba incident resulted \nin $17 million of one-off costs \nin 2004. \n\n• cost savings in established \nproduction areas more than \noffset increases in the price \nof services and materials \n\n• Santos’ cost base rose as \nproduction from new \ndevelopments and acquisitions \nwere added to the Company’s \nexpanding portfolio of \nproducing assets. \n\n60 \n54.2 \n\n**47.1**\n50 \n\n**1,501**\n1,465 \n40 \n\n30 \n\n20 \n\n**380**\n327 \n10 \n\ne \no \nb \nm \nm \n0 \n**’04**", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "A large proportion of the costs \nand foregone revenues associated \nwith the repair of the damaged \nplant and the reduced oil and \ngas production volumes are \nbeing recovered under \ninsurance policies. \n\nImportantly, Santos was able \nto work effectively with its key \nstakeholders, including customers, \njoint venturers and government \ndepartments, to minimise the \ncommercial impacts. \nEven with the large effort \nexpended on the Moomba \nincident, Santos was able to \ndeliver strong results for 2004, \nreflecting higher average prices \nacross most products. \n\nNatural gas supplies were quickly \nrestored, in part by recovering \nprocessed gas from underground \nstorage reservoirs. Liquids \nprocessing facilities were \nprogressively reinstated allowing \nfurther increases to gas production \nand sales volumes, with the \nramp-up to full liquids production \nachieved by August as planned. \n\nThis strong financial performance, \ncombined with the confidence \nthat Santos will continue to grow \nearnings in the future, enabled \nthe Board to increase the final \ndividend on ordinary shares by \n20% from 15 cents to 18 cents \nper share, fully franked. For the \nfull year, dividends increased \nby 10% to 33 cents per share, \ncompared with 30 cents per share \n\nAnnual Report 2004", + "page_start": 3, + "page_end": 3, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**RECORD CAPITAL EXPENDITURE**\nCapital expenditure ended \nright on target at $930 million – \na record year for Santos – \napproaching a level which is \ndouble DD&A, reflecting how \nrapidly the portfolio is changing. \n\n**OPERATING CASH FLOW AND CAPITAL EXPENDITURE**\n$million \n\n1000 \n**930**\n897 \n821 \n800 \n761 \n717 750 \n660 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n**605** 600 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n400 \n\n200 \n\n0 \n\n’02 ’03 ’01 **’04**\n\nSantos will continue with a high \ndevelopment expenditure in 2005, \nbut expects to spend more in line \nwith cash generation. Exploration \nspend is estimated to be about \n$150 million, while development \nspend is expected to be reduced \nto $530 million and delineation \nto $90 million. Other capital \nspending is expected to be \nreduced to $80 million. \n\n**DEPRECIATION, DEPLETION AND**\n**AMORTISATION**\nAll things being equal, DD&A \ncould have been expected to \nbe lower this year, as Santos \nproduced lower volumes and had \nwritten off the Heytesbury plant \nin the onshore Otway Basin \nlast year. \n\n**CASH FLOW LOWER**\nWhile Santos had a strong profit \nyear, this is not fully reflected in \ncash flows. \nThis results in a total planned \ncapital expenditure for 2005 of \napproximately $850 million. \n\n**FINANCIAL FLEXIBILITY INTACT**\nSantos ended the year in a \nstrong financial position with its \nfinancial flexibility intact, despite \nthe record development spending. \n\nThe FUELS issue was successful \nand Santos’ gearing increased \nonly marginally, despite the large \ncapital program in 2004. \n\nHowever, two factors caused an \nincrease in 2004 DD&A. Firstly, \nwhile reserve revisions were \npositive overall, negative \nrevisions were predominantly in \nproducing areas which increased \ndepletion rates in 2004, while \npositive reserve revisions were in \nareas where Santos is not yet \nproducing or where straight line \ndepreciation is dominant; for \nexample, Casino and John \nBrookes. \n\nThere were large movements \nin trade debtors between years, \nreflecting the timing of liftings \nand the payments for them. \n\nIn addition, Santos has not yet \nbeen paid for the insurance claim \nrelating to the Moomba incident. \nA total of $117 million was \nrecognised in sundry income, \nwhich represents an estimate \nof the amount receivable from \ninsurers for lost revenue, \nadditional costs and replacement \nplant and equipment. At year end \nthe money was still owed and so \nis not shown as part of operating \ncash flow. The final quantification \nof the claim with insurers is \nprogressing. \n\nThis is important in Santos’ \nbusiness as the Company needs \nto be able to fund exploration \nsuccess as it occurs, and our \ndevelopment projects are \nincreasing in size. \n\nSecondly, on the future \ndevelopment cost side, depletion \nis up partly because Santos is \nstarting to factor in higher steel \nand service company costs into \nlong-term economic models.", + "page_start": 12, + "page_end": 12, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**128.0**\n**409.1**\n**117.3**\n**21.5** 111.1 \n171.7 \n112.4 \n14.3 **39.3**\n**1,917.7**\n**58.8**\n**10.0** 52.9 \n1,410.3 \n53.2 \n7.4 \n\n**675.9** 409.5 **2,025.8** 1,523.8 \n\n**3,210.3**\n**2,058.7**\n**1.2**\n**4.0**\n**3.0**\n**2.9** 2,945.3 \n1,840.8 \n11.7 \n8.5 \n1.4 \n1.1 **905.8**\n**665.4**\n**2,530.7**\n**–**\n**2.4**\n**–** 903.6 \n673.1 \n2,295.9 \n– \n0.8 \n– \n\n**5,280.1** 4,808.8 **4,104.3** 3,873.4 \n\n**5,956.0** 5,218.3 **6,130.1** 5,397.2 \n\n**371.6**\n**5.8**\n**49.9**\n**11.2**\n**52.8**\n**14.7** 291.3 \n8.9 \n45.4 \n29.3 \n55.3 \n10.6 \n\n**506.0** 440.8 \n\n**16.3**\n**1,209.5**\n**560.4**\n**131.6**\n**33.9** 18.8 \n963.3 \n535.8 \n116.0 \n55.7 \n\n**1,951.7** 1,689.6 \n\n**2,457.7** 2,130.4 \n\n**3,498.3** 3,087.9 \n\n**2,139.0**\n**(9.0)**\n**1,368.3** 1,893.1 \n(8.8) \n1,203.6 **2,139.0**\n**–**\n**1,299.8**\n\n**3,498.3** 3,087.9 **3,438.8**\n\n**436.3**\n**1.5**\n**1,686.4**\n**9.9**\n**48.7**\n**–** 655.0 \n2.0 \n1,411.7 \n23.5 \n47.5 \n– \n\n**2,182.8** 2,139.7 \n\n**–**\n**–**\n**462.5**\n**46.0**\n**–** – \n– \n454.2 \n38.3 \n– \n\n**508.5** 492.5 \n\n**2,691.3** 2,632.2 \n\n**3,438.8** 2,765.0 \n\n1,893.1 \n– \n871.9 \n\n2,765.0 \n\n**Current assets**\nCash \nReceivables \nInventories \nOther 7 \n8 \n9 \n\n**Total current assets**\n\n**Non-current assets**\nExploration and development expenditure \nLand and buildings, plant and equipment \nOther financial assets \nIntangibles \nDeferred tax assets \nOther \n\n**Total non-current assets**\n\n**Total assets**\n\n**Current liabilities**\nPayables \nDeferred income \nInterest-bearing liabilities \nCurrent tax liabilities \nProvisions \nOther \n\n**Total current liabilities**\n\n**Non-current liabilities**\nDeferred income \nInterest-bearing liabilities \nDeferred tax liabilities \nProvisions \nOther \n\n**Total non-current liabilities**\n\n**Total liabilities**\n\n**Net assets**\n\n**Equity**\nContributed equity \nForeign currency translation reserve \nRetained profits \n\n**Total equity**\n\nThe statements of financial position are to be read in conjunction with the notes to the financial statements.", + "page_start": 52, + "page_end": 52, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Australia** **International** **Consolidated**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**505.9** 529.8 \n\n**116.6**\n**(17.5)**\n**43.9**\n**(4.7)**\n**(21.6)**\n**–** – \n– \n– \n(1.3) \n– \n(20.2) \n\n**622.6** 508.3 \n\n**3.8** 15.6 \n\n**–**\n**–**\n**–**\n**(17.4)**\n**–**\n**–** – \n– \n– \n(58.4) \n– \n– \n\n**(13.6)** (42.8) \n\n**28. Segment Information (continued)**\n\n***Primary Reporting***\n**Geographic segments**\n**Revenue**\nTotal segment revenue \nOther unallocated revenue \n**1,633.1** 1,445.9 \n\n**Total revenue**\n\n**Results**\nEarnings before interest, tax and significant items \nSignificant items: \n\nInsurance recovery \nCosts associated with Moomba liquids recovery plant fire \nProfit on sale of oil and gas assets \nWrite-down of exploration and development expenditure \nOrganisation restructure costs \nAccelerated depreciation – Heytesbury \n\nGain on sale of listed investments \nUnallocated corporate expenses \n\n**Earnings before interest and tax**\nUnallocated borrowing costs \n\nProfit from ordinary activities before income tax expense \nIncome tax expense \n\n**Net profit after income tax attributable to the**\n**shareholders of Santos Ltd**\n\n**Non-cash expenses**\nDepreciation, depletion and amortisation \nUnallocated corporate depreciation, depletion and amortisation \n**434.4**\n\nTotal depreciation, depletion and amortisation \n\nWrite-down of exploration and development expenditure \nUnallocated corporate write-down of listed investment \n**4.7**\n\n**Total non-cash expenses**\n\n**Acquisition of non-current assets**\nControlled entities \nOil and gas assets, property, plant and equipment \nUnallocated corporate acquisition of oil and gas assets, \n**92.2**\n**761.8** 24.0 \n587.0 \n\nproperty, plant and equipment \n\n**Total acquisition of non-current assets**\n\n**1,753.8**\n**(0.6)** 1,580.5 \n38.9 \n\n**1,753.2** 1,619.4 \n\n**509.7** 545.4 \n\n**116.6**\n**(17.5)**\n**43.9**\n**(22.1)**\n**(21.6)**\n**–** – \n– \n– \n(59.7) \n– \n(20.2) \n\n**609.0**\n**0.1**\n**(34.7)** 465.5 \n45.8 \n(45.8) \n\n**574.4**\n**(33.6)** 465.5 \n(34.6) \n\n**540.8**\n**(160.9)** 430.9 \n(103.9) \n\n**379.9** 327.0 \n\n**525.2**\n**14.5** 520.8 \n10.8 \n\n**539.7** 531.6 \n\n**22.1**\n**–** 59.7 \n4.4 \n\n**561.8** 595.7 \n\n**127.3**\n**908.2** 24.0 \n727.0 \n\n**21.3** 23.3 \n\n**1,056.8** 774.3 \n\n**5,814.8**\n**141.2** 5,050.5 \n167.8 \n\n**5,956.0** 5,218.3 \n\n**2,250.0**\n**207.7** 1,853.2 \n277.2 \n\n**2,457.7** 2,130.4 \n\n**Assets**\nSegment assets \nUnallocated corporate assets \n**5,120.1** 4,447.8 \n\n**Consolidated total assets**\n\n**Liabilities**\nSegment liabilities \nUnallocated corporate liabilities \n\n**Consolidated total liabilities**\n\n***Secondary Reporting***\n**Business segments**\n\nThe Santos Group operates predominantly in one business, namely the exploration, development, production, transportation and marketing of \nhydrocarbons. Revenue is derived from the sale of gas and liquid hydrocarbons and the transportation of crude oil.", + "page_start": 82, + "page_end": 82, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\n**1,544.3**\n**–**\n**3.5**\n**14.5**\n**19.9**\n**(583.6)**\n**(169.6)**\n**(65.2)**\n**(158.8)** 1,637.3 \n0.4 \n2.5 \n17.0 \n28.2 \n(439.9) \n(118.7) \n(60.9) \n(168.6) **644.4**\n**251.7**\n**45.1**\n**19.0**\n**18.0**\n**(279.0)**\n**(78.4)**\n**(90.6)**\n**(137.5)** 683.0 \n0.4 \n36.9 \n22.1 \n1.6 \n(186.4) \n(39.8) \n(83.6) \n(65.1) \n\n**605.0** 897.3 **392.7** 369.1 \n\n**Cash flows from operating activities**\nReceipts from customers \nDividends received \nInterest received \nOverriding royalties received \nPipeline tariffs and other receipts \nPayments to suppliers and employees \nRoyalty, excise and PRRT payments \nBorrowing costs paid \nIncome taxes paid \n\n**Net cash provided by operating activities**\n\n**Cash flows from investing activities**\nPayments for: \n\nExploration \nDelineation \nDevelopment \nLand and buildings, plant and equipment \nAcquisitions of oil and gas assets \nAcquisitions of controlled entities \nShare subscriptions in controlled entities \nRestoration \n\nProceeds from disposal of non-current assets \nProceeds from disposal of controlled entities \nOther investments \n\n**Net cash used in investing activities**\n\n**Cash flows from financing activities**\nDividends paid \nProceeds from issues of ordinary shares \nProceeds from issue of redeemable convertible preference shares \nRedemption of reset convertible preference shares \nNet drawdowns/(repayments) of borrowings \nNet (payments to)/receipts from controlled entities \nPremium paid on buy-back of reset convertible preference shares \nOther \n\n**Net cash (used in)/provided by financing activities**\n\n**Net increase/(decrease) in cash**\n**Cash at the beginning of the year**\nEffects of exchange rate changes on the balances of cash held in foreign currencies \n\n**Cash at the end of the year**\n\n(149.8) \n(75.0) \n(188.1) \n(337.8) \n(7.6) \n(22.7) \n– \n(2.6) \n108.0 \n22.6 \n– \n\n(653.0) \n\n(198.0) \n8.3 \n– \n– \n(20.4) \n– \n– \n– \n\n(210.1) \n\n34.2 \n84.8 \n(7.9) \n\n111.1 \n\n**(65.7)**\n**(6.1)**\n**(124.4)**\n**(127.7)**\n**–**\n**(93.6)**\n**(151.7)**\n**(0.1)**\n**430.0**\n**–**\n**(0.5)**\n\n**(139.8)**\n\n**(212.8)**\n**6.4**\n**589.5**\n**(350.0)**\n**–**\n**(297.0)**\n**(2.4)**\n**–**\n\n**(266.3)**\n\n**(13.4)**\n**52.9**\n**(0.2)**\n\n**39.3**\n\n(30.6) \n(29.5) \n(68.7) \n(91.7) \n(1.5) \n(22.7) \n(469.9) \n(0.3) \n62.7 \n3.9 \n– \n\n(648.3) \n\n(198.0) \n8.3 \n– \n– \n– \n494.1 \n– \n– \n\n304.4 \n\n25.2 \n26.6 \n1.1 \n\n52.9 \n\n**(126.0)**\n**(73.7)**\n**(256.1)**\n**(343.1)**\n**(14.5)**\n**(112.3)**\n**–**\n**(7.3)**\n**39.9**\n**–**\n**(0.5)**\n\n**(893.6)**\n\n**(212.8)**\n**6.4**\n**589.5**\n**(350.0)**\n**282.8**\n**–**\n**(2.4)**\n**0.4**\n\n18 \n18 \n\n**313.9**\n\n**25.3**\n**111.1**\n**(8.4)**\n\n**128.0**\n\nThe statements of cash flows are to be read in conjunction with the notes of the financial statements.", + "page_start": 53, + "page_end": 53, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**As at 31 December** **1995** **1996** **1997** **1998** **1999** **2000** **2001** **2002** **2003** **2004**\n\nSantos average realised oil price (A$/bbl) 24.96 27.43 27.42 20.95 27.57 46.54 45.53 44.74 43.59 **51.83**\n\n**Financial performance**($million) \n\nProduct sales revenue 671.6 729.2 778.5 769.4 944.5 1,497.1 1,459.7 1,478.4 1,465.0**1,500.9**\n\nTotal operating revenue 740.1 804.0 859.5 1,000.8 995.6 1,556.2 1,561.8 1,542.3 1,619.4**1,753.2**\n\nForeign currency gains/(losses) (16.0) 25.0 3.6 2.0 0.3 2.7 0.2 (0.7) (7.9) **(3.0)**\n\nProfit from ordinary activities before tax 241.0 331.9 322.3 267.3 \n\n339.6 725.9 627.6 493.3 430.9 **540.8**\n\n91.0 30.5 239.1 181.7 171.2 103.9 **160.9**\n\nIncome tax relating to ordinary activities 130.4 136.0 116.1 \n\nNet profit after income tax attributable \nto the shareholders of Santos Ltd 110.6 195.9 206.2 176.3 309.1 486.8 445.9 322.1 327.0 **379.9**\n\n**Financial position**($million) \n\nTotal assets 2,915.5 3,443.4 4,036.2 4,236.1 4,338.7 4,659.8 5,048.7 5,320.8 5,218.3**5,956.0**\n\nNet debt 642.0 938.6 1,114.2 1,280.0 1,301.1 866.6 1,060.8 1,162.9 897.6**1,131.4**\n\nTotal equity 1,519.3 1,586.3 1,919.0 1,939.2 2,056.7 2,310.9 2,726.6 2,863.9 3,087.9**3,498.3**\n\n66 91 112 34 26 **16**\n\n87.9 121.1 190.1 180.7 78.1 100.1 93.4 133.1 136.4 **125.6**\n\n53.9 105.8 179.7 158.1 116.8 187.1 308.1 308.8 519.0 **672.7**\n\n40.1 150.3 205.4 165.7 102.5 153.5 258.7 319.0 94.9 **131.1**\n\n**Reserves and production**(mmboe) \n\nProven plus Probable reserves (2P) 703 860 1,009 966 941 921 724 732 636 **643**\n\nProduction 36.8 39.2 41.1 45.6 49.2 56.0 55.7 57.3 54.2 **47.1**\n\n**Exploration***\n\nWells drilled (number) 81 \n\nExpenditure ($million) \n\n**Other capital expenditure**($million) \n\nDelineation and development*\n\nBuildings, plant and equipment \n*From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.", + "page_start": 45, + "page_end": 45, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**MALEO NEGOTIATIONS**\n**ADVANCED**\nOutside Australia, Santos and \nits co-venturers have executed \na Heads of Agreement for the \nsale of the entire gas reserves \nof the Maleo field offshore East \nJava, Indonesia. Santos continued \nnegotiations with PT Perusahaan \nGas Negara, Indonesia’s state- \nowned gas distributor, on behalf \nof the joint venture to finalise \nthe Gas Sales Agreement. The \nproject is targeting first \nproduction in the first half of \n2006 at rates of up to 100 \nmmcf/d for more than five years. \n\nsubsidiary, Santos Direct Pty Ltd \n(‘Santos Direct’). \n\nThe move to market and sell gas \ndirectly into the Victorian retail \nmarket is a first for Santos and \nleverages off Santos’ position as \none of Australia’s largest gas \nproducers, supplying wholesale \ngas to major industrial customers \nand specialist marketers in all \nmainland Australian states and \nterritories. \n\n**FIRST RETAIL GAS SALES WITH**\n**SANTOS DIRECT**\nAs well as selling gas into the \nwholesale gas market, Santos \nsecured a retail gas licence from \nthe Victorian Government in \n2004. This allows Santos to sell \ngas direct to industrial customers \nand into the Victorian spot \nmarket through a wholly-owned \n\nhigher volumes of crude oil \nthat Santos will receive from \nthe Mutineer-Exeter and Oyong \nprojects, coming on stream \nin 2005, and the increasing \nglobalisation of the liquids \nmarketplace. \n\nSantos Direct will market Santos’ \n10% share of gas production from \nthe Minerva field – around 15 \nTJ/d – in the offshore Otway \nBasin, which commenced \nproduction at the end of 2004. \n\nThe validity of this approach has \nalready been demonstrated by the \nsale of the first Mutineer-Exeter \noil cargo at a premium to Tapis \ndespite a discount for the \nuncertain delivery date. \n\n**‘During 2004 we brought**\n**together everyone at Santos**\n**responsible for commercialisation**\n**into a single team. One of the**\n**outcomes from this was the**\n**introduction of gas swaps,**\n**where we were able to move**\n**gas between Santos assets in**\n**different states.’**\n\n**LIQUIDS MARKETING**\n**ALLIANCE WITH BP**\nAnother important marketing \ndevelopment during the year was \nthe decision to outsource the \nmarketing of crude oil and natural \ngas liquids to BP. The new \nmarketing arrangements are in \nresponse to the significantly \n\n**RICK WILKINSON**\nVice President \nGas Marketing \nand Commercialisation \n\nSantos continues to build \nan inventory of high quality \noptions to provide a platform \nfor production growth over \nthe coming years. Santos is \ncommitted to a program of \ndiversification while capitalising \non the long-term Cooper Basin \nlegacy asset. Most importantly, \nthis involves leveraging \nthe strengths of the core \ncompetencies built up over \na number of years and Santos' \nwell-positioned domestic \ngas franchise. \n\n\n\n**The alignment of joint venture**\n**interests in the John Brookes and**\n**East Spar fields has created an**\n**important production hub at**\n**Varanus Island, Carnarvon Basin,**\n**offshore Western Australia.**", + "page_start": 22, + "page_end": 22, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**18. Contributed Equity (continued)**\n\n**(b) Santos Employee Share Acquisition Plan (continued)**\n\nSummary of share movements in the Plan during 2004 (and comparative 2003 information): \n\n**Opening**\n**balance** **Granted during**\n**the year** **Distributions**\n**during the year** **Closing balance**\n\n**Number**\n**of shares**\n**Fair value**\n**per share**\n**$** **Fair value**\n**aggregate**\n**$** **Fair value**\n**aggregate**\n**$**\n**Grant dates** **Number** **Number** **Number**\n\n**2004**\n**24 August 2001**\n**2 September 2002**\n**2 September 2003**\n**22 November 2004** **177,908**\n**195,624**\n**242,991**\n**–** **–**\n**–**\n**–**\n**157,014** **–**\n**–**\n**–**\n**8.14** **177,908**\n**32,760**\n**42,237**\n**244** **1,180,728**\n**227,623**\n**294,081**\n**2,089** **–**\n**162,864**\n**200,754**\n**156,770** **–**\n**1,381,087**\n**1,702,394**\n**1,329,410**\n\n**616,523** **157,014** **253,149** **1,704,521** **520,388** **4,412,891**\n\n**2003**\n25 August 2000 \n24 August 2001 \n2 September 2002 \n2 September 2003 192,950 \n196,552 \n216,840 \n– \n\n606,342 \n\nShares are allocated at a price equal to the weighted average sale price of the Company’s ordinary shares on the Australian Stock Exchange during \nthe one week period up to and including the Grant Date. This is shown as fair value per share for shares granted during the year. The fair value of \nshares distributed from the trust during the year and remaining in the trust at the end of the financial year is the market price of shares of the \nCompany on the Australian Stock Exchange as at close of trading on the respective dates. \n\nDistributions during the year occurred at various dates throughout the year and therefore have not been separately listed. \n\nThe amounts recognised in the financial statements of the Santos Group and the Company in relation to the Santos Employee Share Acquisition \nPlan during the year were: \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million \n\nEmployee expenses \nIssued ordinary share capital **1.2**\n**1.3** 1.4 \n1.5 **1.2**\n**1.3** 1.4 \n1.5 \n\nAt 31 December 2004, the total number of shares acquired under the Plan since its commencement was 1,874,287. \n\n**(c) Santos Employee Share Purchase Plan**\n\nThe Santos Employee Share Purchase Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation, \nwith amendment, approved at the Annual General Meeting on 5 May 2000. \n\n***General Employee Participation***\n\nThe Plan is open to all employees (other than a casual employee or Director of the Company) determined by the Board who are continuing \nemployees at the date of the offer. However, employees who are not resident in Australia at the time of an offer under the Plan and those who \nhave participated in the Executive Long Term Incentive Plan during the year will not be eligible to participate in that offer unless the Board \notherwise decides. \n\nUnder the Plan, eligible employees may be offered the opportunity to subscribe for or acquire fully paid ordinary shares in the capital of the \nCompany at a discount to market price, subject to restrictions, including on disposal, determined by the Board (which has been a period of one \nyear for issues so far). The subscription or acquisition price is Market Value (being the weighted average sale price of the Company’s ordinary \nshares on the Australian Stock Exchange during the one week period up to and including the offer date) less any discount determined by the \nBoard (5% for issues so far). Under the Plan, at the discretion of the Board, financial assistance may be provided to employees to subscribe for \nand acquire shares under the Plan. The 5% discount constitutes financial assistance for these purposes. Participants are entitled to vote, receive \ndividends and participate in bonus and rights issues while the shares are restricted.", + "page_start": 64, + "page_end": 64, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "NOTES TO THE FINANCIAL STATEMENTS \n\nfor the year ended 31 December 2004 \n\n**Consolidated** **Santos Ltd**\n\n**2004**\n**$million** 2003 \n$million **2004**\n**$million** 2003 \n$million **29. Commitments for Expenditure**\n\nThe Santos Group has the following commitments for expenditure: \n**(a) Capital commitments**\n\nCapital expenditure contracted for at balance date for which no amounts \nhave been provided in the financial statements: \n\nDue not later than one year \nDue later than one year but not later than five years **253.5**\n**13.4** 237.7 \n33.2 **93.9**\n**8.2** 84.3 \n0.2 \n\n**266.9** 270.9 **102.1** 84.5 \n\nSantos Ltd has guaranteed the capital commitments of certain controlled entities \n(refer note 31 for further details). \n**(b) Minimum exploration commitments**\n\nMinimum exploration commitments for which no amounts have been provided \nin the financial statement or capital commitments: \n\nDue not later than one year \nDue later than one year but not later than five years \nDue later than five years **42.1**\n**118.8**\n**11.6** 108.2 \n207.7 \n31.4 **10.3**\n**61.2**\n**–** 36.5 \n70.9 \n– \n\n**172.5** 347.3 **71.5** 107.4 \n\nThe Santos Group has certain obligations to perform minimum exploration work and expend \nminimum amounts of money pursuant to the terms of the granting of petroleum \nexploration permits in order to maintain rights of tenure. These commitments may be \nvaried as a result of renegotiations of the terms of the exploration permits, licences or \ncontracts or alternatively upon their relinquishment. The minimum exploration \ncommitments are less than the normal level of exploration expenditures expected to be \nundertaken by Santos Ltd and its controlled entities. \n\n**(c) Lease commitments**\nOperating leases: \n\nDue not later than one year \nDue later than one year but not later than five years \nDue later than five years \n\n**54.7**\n**102.9**\n**0.1** 39.1 \n140.1 \n19.0 **8.4**\n**21.1**\n**–** 18.7 \n115.1 \n18.9 \n\n**157.7** 198.2 **29.5** 152.7 \n\n**30. Superannuation Commitments**\n\nSantos Ltd and certain controlled entities participate in a number of superannuation funds and pension plans in Australia and the United States of \nAmerica. From 1 February 2002, three of the more significant employee benefit plans were combined into a single plan which provides benefits either \non a defined benefit or cash accumulation basis for employees or their dependants on retirement, resignation, temporary or permanent disablement \nor death. The employers and employee members make contributions as specified in the rules of the plan. \n\nIn the case of the defined benefit component of the combined plan, employer contributions are based on the advice of the plan’s actuary. The most \nrecent actuarial assessment of the plan was undertaken as at 1 January 2004. \n\nThe following is a summary of the Santos Superannuation Plan: \n\n**Type of benefit**\n**Basis of contributions**\n\nDefined benefits and cash accumulation \nPercentage of member’s salary contributed by member and employer. The employer’s percentage \nreflects the amount to provide an accumulation and the amount recommended by the actuary to \nprovide the defined benefit.", + "page_start": 83, + "page_end": 83, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_STO_2004.pdf", + "query": "What is the main focus of the Santos 2005 program ?", + "target_page": 19, + "target_passage": " Oil is the main focus of the 2005 program", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**HIGH IMPACT DRILLING**\n**IN 2005**\nThe 2005 exploration program \nhas the highest resource potential \nof any program undertaken \nat Santos. \n\nSuez in Egypt, the Bonaparte \nBasin in the Timor Sea and the \nCarnarvon Basin offshore \nWestern Australia. exploration portfolio. A \nmulti-well drilling program \nwill be undertaken in Santos’ \nKutei Basin PSCs during 2005. \n\nThe 2005 program reflects \nthe increasing materiality of \nSantos’ exploration portfolio \nand continues the emphasis on \nmore globally-focused exploration \nas an important part of the \nCompany’s growth strategy. \n\nAnother gas discovery has \nbeen made at Hurricane 1 in \nthe Carnarvon Basin, offshore \nWestern Australia. While both \nwells were discoveries, they \nrequire further evaluation to \ndetermine their commercial \nsignificance. \n\nSantos plans to drill 25 wells and \nwill invest $150 million testing \nprospects within its expanding \ndomestic and international \nexploration portfolio – up 19% \nfrom the $126 million spent on \nexploration in 2004. \n\nSantos has already had drilling \nsuccess early in 2005 with the \nHiu Aman 1 well – the first to be \ndrilled by Santos in the Donggala \nPSC. Hiu Aman 1 has indicated \nthe presence of a prolific \nhydrocarbon system in this area. \nThe discovery should add other \nlower risk prospects to Santos’ \nOil is the main focus of the \n2005 program with most activity \nin the Kutei and East Java Basins \noffshore Indonesia, the Gulf of \n\n**2005 WILDCAT EXPLORATION PROGRAM**\n\n**Gulf of Mexico**\nCougar, Thunder \n\n**Kutei Basin**\nHiu Aman, Raksasa, Orca, Pangkal \n\n**Gulf of Suez**\nRAD 1, NZB A, NZB B, \nNZB C,Khufu, Pawnee \n\n**East Java Basin**\nAgung, Herbras, \nBanjar Panji \n\n**Bonaparte Basin**\nCaldita, Phoenix \n\n**Denison Trough**\nGreenmount, Yamala", + "page_start": 18, + "page_end": 18, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "Santos’ Strategic Projects team \nfocuses on assets that have \nproven difficult to commercialise \nor that need to be considered \nin a regional context rather than \non an individual basis. \n\nworking up a range of possible \nevaluation projects to be \nundertaken in 2005. \n\n**NORTHERN AUSTRALIA GAS**\nSantos has a significant existing \ngas resource base and some \npromising exploration acreage \nin the waters offshore Darwin, \nwhere it intends to drill a gas \nexploration well later this year. \n\nThe other key activity for this \nteam has been to lead Santos’ \ncontinuous improvement focus. \n\n**UNITED STATES GAS**\nThe US gas business was a major \nfocus in 2004 for a number of \nreasons, not the least of which \nare the higher gas prices in the \nUS compared with the domestic \nAustralian market, and the ability \nto rapidly commercialise new \ndiscoveries. \n\n**‘Our objective is to derive value**\n**from undeveloped assets which**\n**have been outside of Santos’**\n**base business.’**\n\nThe Company currently operates \nthe Mereenie gas field in the \nAmadeus Basin in central \nAustralia, which supplies gas to \nDarwin. Santos’ first offshore gas \nproduction in northern Australia \nbegins in 2006, sending Bayu- \nUndan gas to Darwin for \nconversion to LNG. Santos plans \nto build upon its growing \nposition in the region to target \nfurther development which could \nensure long-term gas supplies \nfor the current market, or an \nexpanded Northern Territory \ndomestic market, or for export. \n\nAn ongoing development and \ndelineation program was carried \nout during the year, yielding \nbetter than planned production. \nThe exploration initiative also \ncontinued to seek higher risk \nbut more material prospects, \naimed at enhancing the move \ninto the shallow water area of \nthe Gulf of Mexico. Exploration \nresults in this area during 2005 \nwill shape Santos’ future strategy \nin the US. \n\n**PAPUA NEW GUINEA GAS**\nSantos is in active discussions \nwith the PNG Gas Project \nparticipants to potentially \nre-enter the PNG Gas Project. \nSantos has a significant interest \nin a large part of the liquids-rich \nHides gas field which is integral \nto the development of \nthe Project. \n\n**TIGHT GAS**\nHydrocarbons contained in traps \nwith poor permeability are known \nas ‘tight gas’. Large tight gas \nresources are known to exist in \nthe Cooper Basin. Under current \ncircumstances, this gas cannot \nbe economically developed but, \nwith the combination of improved \nproduction techniques and better \ncommercial terms, could prove \nattractive. \n\nSantos assessed the resources \nand potential technologies that \ncould be applied to unlock these \nresources during 2004 and is now", + "page_start": 23, + "page_end": 23, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "We expect to participate in \ndrilling a record 157 wells during \n2005, of which 25 are exploration \nwildcat wells. Consistent with \nthe growing internationalisation \nof Santos, this includes eight \nwells in Indonesia and six wells \nin the Gulf of Suez, Egypt. This \nprogram offers an attractive \ncombination of risk and reward \nand is a new focus to our \noverseas exploration effort. \n\nis also located in relatively \nshallow water with infrastructure \nnearby, creating options for \nearly production. \n\nProduction is expected to rise \nin 2005 when, as usual, our \nfinancial performance will be \nsubject to oil prices, exchange \nrates and interest rates. These \nfactors have a significant effect \non our bottom line. A US$1 per \nbarrel change in the oil price \nequates to a A$16 million change \nin net profit after tax in 2005. \n\nBayu-Undan is currently stripping \nliquids and re-injecting the gas \npending tie-in of the pipeline to \nDarwin in May 2005 for future \nLNG production. The onshore LNG \nfacilities are more than two-thirds \ncomplete. With a gross production \nof 19 million barrels, 22% above \nexpectations for the year, we were \npleased with the performance of \nBayu-Undan and look forward to \na full year contribution from this \nexciting project in 2005. \n\nAt Santos, we are proud that an \nAustralian company took on that \nchallenge and succeeded, and I \ncongratulate the exploration and \ndrilling teams on a great effort. \nWith the Jeruk discovery behind \nus, Indonesia is at the forefront \nof our international exploration \nefforts. With eight wells planned \nin the region for 2005, Santos is \ncurrently the most active explorer \nin Indonesia. \n\nA one US cent movement in the \nAustralia–US dollar exchange rate \nwould produce a change in profit \nafter tax of A$8 million, and \na 1% change in interest rates \nequates to a change in net profit \nafter tax of A$9 million. \n\n**A STRONG FINANCIAL**\n**PERFORMANCE**\nIt was pleasing that Santos \nwas able to conclude 2004 \non a higher note than it started. \n2004 has also been an important \nperiod for shareholders, with a \nsignificant improvement in the \nSantos share price combined with \nan increase in the dividend. \n\nWe achieved record annual \nrevenue thanks to higher oil and \ngas prices combined with the \nreturn of full production at \nMoomba to produce a 21.5% jump \nin second half sales: the best \nresult for any six-month period \nin Santos' history. \n\nThe average realised price for \ncrude oil was up nearly 19% \nto A$51.83 per barrel. \n\nIn the US, two exploration wells \nare planned, one onshore, and \none offshore in the shallow \nwaters of the Gulf of Mexico. \n\nThe Minerva gas field off \nVictoria's western coast started \nproduction in December 2004 \nand is ramping up to full field \nproduction of around 150 TJ \nper day. Our share in this project \nis 10%, and is significant because \nit represents our first foray \ninto marketing gas directly to \ncustomers or into the Victorian \nspot market through our sales \nvehicle, Santos Direct, aimed \nat delivering higher prices. \n\n**PRODUCTION TO REBOUND**\nWhile we expected lower \nproduction overall in 2004, our \noutput was obviously curtailed \nfurther by the incident at the \nMoomba plant. The good news \nis that several projects emerged \nfrom the development pipeline \nduring the year and made positive \ncontributions to our expanding \nsuite of oil and gas facilities. \n**RECORD EXPLORATION**\n**EFFORT AHEAD**\nExploration is a great way to \nincrease shareholder value so \nI am pleased to be able to report \nthat in 2004, Santos drilled 16 \nwildcat wells resulting in seven \nhydrocarbon discoveries. \n\nThese results have left Santos \nwell positioned to continue its \nstrong investment program which \nsaw capital expenditure peak at \n$930 million in 2004.", + "page_start": 6, + "page_end": 6, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "These results have left Santos \nwell positioned to continue its \nstrong investment program which \nsaw capital expenditure peak at \n$930 million in 2004. \n\nProduction is forecast to increase \nby 15% in 2005, or by 4% after \nexcluding the effect of the \nMoomba downtime, to about \n54 million boe. We expect this \npositive forward trend to be \nfollowed by further production \ngrowth of more than 10% in 2006. \n\nGrowing our oil and gas reserves \nfor future production is the goal \nof our exploration efforts. On \na rolling three-year average we \nhave replaced the hydrocarbons \nthat Santos has produced at \na rate of 130% of Proven (1P) \nreserves, at an average \nreplacement cost of around \nUS$7 per boe. \n\nIn 2005 we expect to invest \naround $850 million of new \ncapital in projects and our \nstrategy is to plan for firm \ndevelopments based on \naffordability at relatively low oil \nprices. If higher prices continue \nand some projects mature quickly \nand can be given the green light, \nour overall capital expenditure \nmay be higher. \nThe Bayu-Undan liquids project \ncame on line in April 2004 \nand, at its increased design \nthroughput of just over one \nbillion cubic feet of gas per day, \nproduced liquids at a rate of \n100,000 barrels per day. \n\nIn Australia, our increasing focus \non the potential of offshore areas \nwill see Santos drill three wells \noff Western Australia in 2005, \none off southern Australia and \ntwo wells off northern Australia. \nWe will also drill two wells \nonshore in Queensland and one \nonshore in Victoria. \n\nThe discovery of oil and gas \nat Hiu Aman in the Kutei Basin, \noffshore East Kalimantan, has \nprovided a strong start to our \n2005 exploration program and \nwe look forward with anticipation \nto further work on that \nsignificant find. Santos has a \n50% interest in the discovery. We \nbelieve this region of Indonesia \nis very promising and Santos \nexpects to drill four wells in the \nKutei Basin in 2005. \n\n**BIGGEST DEVELOPMENT**\n**YEAR YET**\nI am pleased also to report \nthat 2004 was a record year for \ndevelopment with six projects \nadvancing through the pipeline. \n\nSantos has an exciting \nexploration program for 2005: one \nthat I believe holds the highest \nresource potential of any program \nin the Company's 50-year history. \n\n5 Annual Report 2004", + "page_start": 6, + "page_end": 6, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**‘2004 was a great year for our**\n**explorers. We started drilling**\n**one of the most exciting**\n**portfolios in our industry and**\n**our success to date shows that**\n**our strategy of basin excellence**\n**is delivering.’**\nSantos discovered gas in the \nUnited States at the Torres 1A \nonshore well, which was brought \nonto production only two months \nafter drilling was completed. \n\n**JACQUES GOUADAIN**\nVice President \nGeoscience and New Ventures \n\nThe program added at least \n93 million boe (including the \npre-drill estimate for Jeruk) of \nrecoverable resources that will be \nfurther evaluated by delineation \nand, in some cases, production \nhistory to determine 1P and 2P \nreserve additions. \n\nCooper Basin in central Australia \nwhere four of six wildcat wells \nwere cased and suspended as \ngas discoveries. \n\nThere was also success in the \noffshore Otway Basin with the \nMartha gas discovery near the \nCasino field, which is currently \nbeing evaluated to determine \nits commercial significance. \nAdditional drilling is planned to \noccur nearby in 2005 to follow \nup this encouraging result. \nImportantly, these results were \nachieved with financial discipline, \nspending $126 million which was \nsubstantially less than forecast. \n\nThe most significant drilling \nresult for the year was the Jeruk \noil discovery in the Sampang PSC \noffshore East Java, Indonesia. \nThe Jeruk discovery is still under \nevaluation but its commercial \nsignificance appears encouraging. \nSantos has confirmed an oil \ncolumn of at least 379 metres \nwith a likely gross recoverable \nresource in excess of the pre-drill \nestimate of 170 million barrels. \n\nOther wells in the offshore Otway \nBasin included the deep water \nAmrit 1 well, which was plugged \nand abandoned after failing to \nintersect economic hydrocarbons, \nand Callister 1 which was also \nplugged and abandoned with \ngas shows. \n\nExploration is a key growth driver \nfor Santos and success with the \ndrill bit is vital to adding value \nfor Santos shareholders. During \nthe past four years Santos has \nbeen working to build exploration \nopportunities by: \n\n• acquiring new \nexploration acreage \n\n• adding material \nexploration prospects \n\n• drilling wildcat \nexploration wells. \n\n**SUCCESS RATE OF 44% IN 2004**\nSantos’ 2004 exploration effort \nproduced good results, as the \nCompany high graded its \nexploration acreage and started \ndrilling one of the most exciting \nportfolios in the industry. \n\nSantos discovered hydrocarbons \nin seven of the sixteen wildcat \nwells that were drilled, achieving \nan impressive success rate \nof 44%. Santos also had further \nexploration successes in the \n\n\n\n**Float-off of Jack Bates rig**\n**prior to deep water drilling**\n**operations, offshore Otway**\n**Basin, Victoria.**\n\n15 Annual Report 2004", + "page_start": 16, + "page_end": 16, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "across Santos operations. The \nlong-term environmental and \nfinancial benefits of using this \ntechnology are expected to be \nconsiderable. \n\nSantos has a number of long-term \nprojects underway which will \noptimise the substantial \ninvestment the Company makes \nin training people. Importantly, \nthese projects will deliver \nprograms that are targeted to \nmeet business and individual \nneeds and to support culture \nchange initiatives. \n\n**REDUCED OIL SPILLS**\nThere was a substantial reduction \nin the volume of hydrocarbons \nreleased to the environment \nin 2004, with uncontained \nhydrocarbons spilt reducing from \n1,943 cubic metres to 83 cubic \nmetres and Santos continues to \nfocus on reducing oil spills. \n\n**BANKSIA AWARDS**\nSantos was selected in 2004 \nas a finalist in the Banksia \nEnvironmental Awards for the \nwork undertaken in the Company- \nled initiative to protect the \nworld-renowned Coongie Lakes, \nresulting in the area being \ndeclared a new National Park by \nthe South Australian Government. \n**GREENHOUSE POLICY**\nSantos released its Greenhouse \nPolicy in 2004 to drive performance \nimprovements in this area through \nreducing emissions and producing \noil and gas more efficiently. \n\n\n\nAs a finalist for this award Santos \nwas recognised for its leadership \nrole in bringing together a group \nof disparate parties to develop a \nMemorandum of Understanding \nrecommending further protection \nfor the Coongie Lakes. \n\nSantos’ Greenhouse Policy is \nbeing rolled out across the \norganisation through cross- \nfunctional greenhouse gas teams \nthat have the right skill sets and \nresponsibilities to progress this \ninitiative. These teams will \nmanage Greenhouse Policy and \nregulation, carbon management \nand trading opportunities, and \nenergy efficiency. A key internal \ndriver for emissions reduction \nwill be the promotion of energy \nefficiency. \n\n**WASTE MANAGEMENT**\nSantos trialled innovative waste \nmanagement techniques during \n2004 to reduce the volume of \nhydrocarbon waste generated \nfrom Cooper Basin operations. \nPreliminary results indicate that \nthese waste volumes can be \nreduced to 3-5% of their original \nvolume, which is a significant \nachievement. \n\nOne of the first tasks undertaken \nwas a voluntary employee survey \nto identify the gaps between the \nexisting culture and the desired \nculture. The outcomes of the \nsurvey will assist in the \ndevelopment of programs and \nactivities that will better align \nwork practices with Santos’ \nstrategic goals. \nSantos is committed to achieving \neffective emission reduction \ntargets, to the pursuit of energy \nefficiency strategies and to the \nidentification and implementation \n\n**Santos is investing in the future of Australia’s petroleum industry**\n**through the funding of the Australian School of Petroleum at the**\n**University of Adelaide.**\n\nThis technology will be \nimplemented where possible \n\n**OIL SPILL VOLUMES**\nm3 \n\n2000 \n\n1500 \n\n1000 \n\n500 \n\n0 \n’01 \n\nThis long-term program is \ndesigned to ensure that the \nway employees work together \nenhances Santos’ ability \nto be successful. \n\nbe working in business operations \nwith a lean and efficient \ncorporate and services group. \n\nWith the exception of a small \nnumber of project teams, all \nnon-award based positions \nin the Company were declared \nvacant and a selection process \ncommenced around a set of \ncriteria designed to ensure that \npeople with the right skills and \nthe ability to successfully grow \nSantos were appointed. \nAs is often the case with \ntransformational change \ninitiatives, not everyone was \nre-appointed and, as a result, the \nworkforce was reduced by 9%.", + "page_start": 28, + "page_end": 28, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**RECORD CAPITAL EXPENDITURE**\nCapital expenditure ended \nright on target at $930 million – \na record year for Santos – \napproaching a level which is \ndouble DD&A, reflecting how \nrapidly the portfolio is changing. \n\n**OPERATING CASH FLOW AND CAPITAL EXPENDITURE**\n$million \n\n1000 \n**930**\n897 \n821 \n800 \n761 \n717 750 \n660 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n**605** 600 \n\n| | |\n|---|---|\n| | |\n| | |\n\n\n| | |\n|---|---|\n| | |\n| | |\n\n\n400 \n\n200 \n\n0 \n\n’02 ’03 ’01 **’04**\n\nSantos will continue with a high \ndevelopment expenditure in 2005, \nbut expects to spend more in line \nwith cash generation. Exploration \nspend is estimated to be about \n$150 million, while development \nspend is expected to be reduced \nto $530 million and delineation \nto $90 million. Other capital \nspending is expected to be \nreduced to $80 million. \n\n**DEPRECIATION, DEPLETION AND**\n**AMORTISATION**\nAll things being equal, DD&A \ncould have been expected to \nbe lower this year, as Santos \nproduced lower volumes and had \nwritten off the Heytesbury plant \nin the onshore Otway Basin \nlast year. \n\n**CASH FLOW LOWER**\nWhile Santos had a strong profit \nyear, this is not fully reflected in \ncash flows. \nThis results in a total planned \ncapital expenditure for 2005 of \napproximately $850 million. \n\n**FINANCIAL FLEXIBILITY INTACT**\nSantos ended the year in a \nstrong financial position with its \nfinancial flexibility intact, despite \nthe record development spending. \n\nThe FUELS issue was successful \nand Santos’ gearing increased \nonly marginally, despite the large \ncapital program in 2004. \n\nHowever, two factors caused an \nincrease in 2004 DD&A. Firstly, \nwhile reserve revisions were \npositive overall, negative \nrevisions were predominantly in \nproducing areas which increased \ndepletion rates in 2004, while \npositive reserve revisions were in \nareas where Santos is not yet \nproducing or where straight line \ndepreciation is dominant; for \nexample, Casino and John \nBrookes. \n\nThere were large movements \nin trade debtors between years, \nreflecting the timing of liftings \nand the payments for them. \n\nIn addition, Santos has not yet \nbeen paid for the insurance claim \nrelating to the Moomba incident. \nA total of $117 million was \nrecognised in sundry income, \nwhich represents an estimate \nof the amount receivable from \ninsurers for lost revenue, \nadditional costs and replacement \nplant and equipment. At year end \nthe money was still owed and so \nis not shown as part of operating \ncash flow. The final quantification \nof the claim with insurers is \nprogressing. \n\nThis is important in Santos’ \nbusiness as the Company needs \nto be able to fund exploration \nsuccess as it occurs, and our \ndevelopment projects are \nincreasing in size. \n\nSecondly, on the future \ndevelopment cost side, depletion \nis up partly because Santos is \nstarting to factor in higher steel \nand service company costs into \nlong-term economic models.", + "page_start": 12, + "page_end": 12, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**MALEO NEGOTIATIONS**\n**ADVANCED**\nOutside Australia, Santos and \nits co-venturers have executed \na Heads of Agreement for the \nsale of the entire gas reserves \nof the Maleo field offshore East \nJava, Indonesia. Santos continued \nnegotiations with PT Perusahaan \nGas Negara, Indonesia’s state- \nowned gas distributor, on behalf \nof the joint venture to finalise \nthe Gas Sales Agreement. The \nproject is targeting first \nproduction in the first half of \n2006 at rates of up to 100 \nmmcf/d for more than five years. \n\nsubsidiary, Santos Direct Pty Ltd \n(‘Santos Direct’). \n\nThe move to market and sell gas \ndirectly into the Victorian retail \nmarket is a first for Santos and \nleverages off Santos’ position as \none of Australia’s largest gas \nproducers, supplying wholesale \ngas to major industrial customers \nand specialist marketers in all \nmainland Australian states and \nterritories. \n\n**FIRST RETAIL GAS SALES WITH**\n**SANTOS DIRECT**\nAs well as selling gas into the \nwholesale gas market, Santos \nsecured a retail gas licence from \nthe Victorian Government in \n2004. This allows Santos to sell \ngas direct to industrial customers \nand into the Victorian spot \nmarket through a wholly-owned \n\nhigher volumes of crude oil \nthat Santos will receive from \nthe Mutineer-Exeter and Oyong \nprojects, coming on stream \nin 2005, and the increasing \nglobalisation of the liquids \nmarketplace. \n\nSantos Direct will market Santos’ \n10% share of gas production from \nthe Minerva field – around 15 \nTJ/d – in the offshore Otway \nBasin, which commenced \nproduction at the end of 2004. \n\nThe validity of this approach has \nalready been demonstrated by the \nsale of the first Mutineer-Exeter \noil cargo at a premium to Tapis \ndespite a discount for the \nuncertain delivery date. \n\n**‘During 2004 we brought**\n**together everyone at Santos**\n**responsible for commercialisation**\n**into a single team. One of the**\n**outcomes from this was the**\n**introduction of gas swaps,**\n**where we were able to move**\n**gas between Santos assets in**\n**different states.’**\n\n**LIQUIDS MARKETING**\n**ALLIANCE WITH BP**\nAnother important marketing \ndevelopment during the year was \nthe decision to outsource the \nmarketing of crude oil and natural \ngas liquids to BP. The new \nmarketing arrangements are in \nresponse to the significantly \n\n**RICK WILKINSON**\nVice President \nGas Marketing \nand Commercialisation \n\nSantos continues to build \nan inventory of high quality \noptions to provide a platform \nfor production growth over \nthe coming years. Santos is \ncommitted to a program of \ndiversification while capitalising \non the long-term Cooper Basin \nlegacy asset. Most importantly, \nthis involves leveraging \nthe strengths of the core \ncompetencies built up over \na number of years and Santos' \nwell-positioned domestic \ngas franchise. \n\n\n\n**The alignment of joint venture**\n**interests in the John Brookes and**\n**East Spar fields has created an**\n**important production hub at**\n**Varanus Island, Carnarvon Basin,**\n**offshore Western Australia.**", + "page_start": 22, + "page_end": 22, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "Western Australian coast, in \nwhich Santos has a one-third \ninterest, is the first offshore oil \nfield development which we \noperate and is also the first of \nfive more offshore production \nprojects due to commence over \nthe next 18 months, three of \nwhich are operated by Santos. \n\nSeveral projects in Indonesia – \nMaleo (gas) and Oyong (oil \nand gas) – have entered the \ndevelopment pipeline at a design \nphase. These projects are now \njoined by Jeruk which, subject \nto further appraisal drilling and \ncommercial issues, has early \nproduction potential. \n\nthat we are on track to meet them \nwithin the timeframe set out. \n\nAll our financial measures \nrepresenting shareholder return \nwere favourable, being close to \ntargets which, given the difficult \nstart to the year, was an \nexceptional result. \n\nProduction was down, as \nexpected, but was further reduced \nby the effects of the Moomba \nincident. However, as previously \nstated, we expect this trend to \nbe reversed in 2005. \n\n**CONTINUOUS IMPROVEMENT**\n**IMPORTANT**\nOur primary goal is to produce \nhigher returns for our shareholders \nand, in our drive to do so, it is \nimportant to identify ways in \nwhich we might achieve more \nefficient and cost-effective \noutcomes. \n\nOur Sole, Kipper and Golden \nBeach gas assets in the Gippsland \nBasin, where we recently \ncompleted acquisitions to \nincrease our interests and become \noperator of the strategic Orbost \nprocessing plant, are also at the \nearly development stage. \n\nReserve replacement has been \nstrong over the past three years, \naveraging about 130%. While this \nis below our long-term goal of \ngreater than 140%, it does not \ninclude the recent Jeruk discovery \nand is a solid result against the \nindustry average of less \nthan 100%. \n\nMutineer-Exeter appraisal \ndelivered a lower than expected \noutcome in terms of reserves. \nConversely, at Bayu-Undan, where \nthe LNG project continues to \nmake steady progress towards \nstart-up in the first half of 2006, \nSantos' fortunes went the other \nway, as development drilling \nupgraded Proven plus Probable \n(2P) gas and liquids reserves \nby 14 million boe. \n\nAs a result, an important initiative \nhas been the introduction of a \ncontinuous improvement program. \nThe organisational restructure \nimplemented during 2004 yielded \ndividends with savings recorded \nin the past year of $38 million for \nprogram outlays of $22 million. \n\nIn all, Santos has an impressive \nand exciting development outlook \nover the next few years. \n\nThe good news for the Mutineer- \nExeter project is that the field \nhas been developed under budget \nand production is starting three \nmonths ahead of schedule. \n\nSimilarly, our reserve replacement \ncost for 2004 is above our target \ndue mainly to the high level \nof expenditure on major \ndevelopment projects during the \nyear. On a three-year average \nbasis, which is more \nrepresentative of the nature \nof the business, the result is \na reserve replacement cost of \nUS$7.19 – much more in line \nwith our target. \n\nThese programs will continue to \ncontribute at even higher levels \ngoing forward for even less cost. \n\n**A PART OF OUR COMMUNITY**\nSantos engages with many \nstakeholders and we believe it \nis important to have rewarding \nrelationships with the communities \nto which we belong. \n\nThe netback achieved in 2004 \nwas an improvement over 2003 \nand was on target due largely to \nhigher average product prices, but \nalso reflected the results of the \ncontinuous improvement program. \nWe sponsor a wide range \nof educational, cultural and \ncommunity events and programs. \n\n2004 \nperformance \nComments \n\n-13.1% Moomba incident impact \n\n121% \nExcludes Jeruk \nexploration success \n\nUS$12.37 \nImpacted by development focus \nin 2004 \n\nA$21 On target \n\n8.8% Improving trend \n\n9.4% Improving trend", + "page_start": 7, + "page_end": 7, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "**TRAINING AND DEVELOPING**\n**PEOPLE**\nMaking sure training and \ndevelopment supports current \nand future business requirements, \nand provides opportunities for \npeople to develop their skills to \nachieve optimum performance, \nare key aspects of Santos’ human \nresources strategy. \n**CULTURE CHANGE**\nThe need to develop a culture \nthat supports the newly designed \nbusiness processes was another \nof the major outcomes of the \nchange program. A Santos-wide \nculture change program led by \nemployees is currently underway.", + "page_start": 28, + "page_end": 28, + "source_file": "ASX_STO_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed5.pdf", + "query": "What is the primary aim of the OSPRO cohort study ?", + "target_page": 2, + "target_passage": " The primary aim of the OSPRO cohort study was to de velop and validate review of systems (i.e. evidence of sys temic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in out patient orthopedic physical therapy settings", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Abbreviations \nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of \nReferral and Outcome; OSPRO-ROS: Review of systems screening tool from \nOSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening \ntool from OSPRO cohort study \n\nReceived: 9 November 2017 Accepted: 14 August 2018 \n\nReferences \n1. \n\n2. \n\n3. \n\n4. \n\n5. \n\n6. \n\nAcknowledgements \nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. \nMarlow for their input on study design and analysis. OPT-IN Network \nParticipants included: University of Florida: Joel Bialosky; UF Health: Giorgio \nZeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike \nHodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI \nPhysical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise \nHarris, Jordan Floyd, Wade Harrell; University of Southern California: Lori \nMichener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata \nSalvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando \nMalaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University \nof Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, \nAdam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: \nRyan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia \nUniversity: Angela Tate; Life’s Work Physical Therapy: Sandra Stryker, Aaron \nLeonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, \nCharleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul \nMintken, Virginia Arnette, Andrea Barsch. \n\n7. \n\nFunding \nThis project was supported by the 2013 Clinical Research Network grant \nfrom the Orthopaedic Section, American Physical Therapy Association. The \nfunding body had no role in the design of the study or collection, analysis, \nand interpretation of the data or in writing the manuscript. TAL received \nadditional support from the Foundation for Physical Therapy with Promotion \nof Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional \nsupport from Brooks Rehabilitation while designing this study. JMB received \nsupport from the American National Institutes of Health (NIH) Rehabilitation \nResearch Career Development Program (K12-HD055929). \n\n8. \n\n9. \n\nAvailability of data and materials \nThe data that support the findings of this study are available from the \ncorresponding author upon reasonable request. \n\n11.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed5.pdf" + }, + { + "text": "appropriate. Comparison of adjusted odds ratios (OR) \nand 95% confidence interval (CI) were used to determine \nthe relative strength of each predictor in parsimonious \nmodels. Multicollinearity was assessed using variance \ninflation factor (VIF) and tolerance, where VIFs < 10 and \ntolerances > 0.1 suggested no significant collinearity \namong independent variables [39]. \n\nBlock 2: 10-item OSPRO-YF and 10-item OSPRO-ROS \nat baseline. \nBlock 3: Remaining items from the OSPRO-YF \n(+ 7 items) and OSPRO-ROS (+ 13 items). These were \nincluded to determine whether full-length versions of \nthe tools provided better prediction over shortened \nversions. \nBlock 4: Baseline-to-4 week change in pain intensity, \nregion-specific disability, and OSPRO-YF scores. Early \nchanges in these variables may be associated with \nimproved prediction of outcomes over baseline vari- \nables alone [38]. This approach modeled change in \nthese variables as a measure of treatment response and \nallowed us to assess the relative value of treatment \nmonitoring for the prediction of healthcare utilization \noutcomes. \n\nPlanned sensitivity analyses for missing data \nThe electronic OPT-IN data collection forms required \ncomplete data from respondents before they were \nallowed to proceed to subsequent survey pages. There- \nfore, the occurrence of missing data for independent \npredictor variables was minimal (< 1% of sample). How- \never, for subjects who were lost to follow-up, we planned \ntwo approaches to assess the potential influence of miss- \ning data on study outcomes. First, demographic and \nbaseline health variables would be compared between \nthose with complete follow-up at 1 year and those with- \nout follow-up at 1 year to identify any potential group \ndifferences related to completion of follow-up. Second, \nsensitivity analyses would be conducted by repeating \neach analysis using inverse probability of attrition \nweighting (IPAW). This propensity scoring approach \naccounts for attrition-related selection bias in longitu- \ndinal studies by more heavily weighting observations \nassociated with a lower probability of study completion \n[40]. Thus, the resulting analysis is compensated for \nunder-representation of subjects who are more likely to \nbe lost to follow-up. IPAW produces smaller effect esti- \nmate biases than more conventional methods that adjust \nfor baseline predictors of attrition [41]. Briefly, logistic \nregression will be performed to identify predictors of \nattrition using an opportunistic approach that optimizes \nmodel fit, with an area under the curve (AUC) target \nvalue of > 0.7. Demographic and baseline health variables \nthat differ between follow-up status cohorts will be used \nas candidate variables for the regression model to derive \nweights. Then, \ninverse of predicted probabilities for \nremaining in the study will be used to weight observa- \ntions, and all analyses will be repeated. Regression re- \nsults using IPAW will be compared with those obtained \nfrom complete case only analyses to assess the potential \ninfluence of missing data on the findings and identify ro- \nbust predictors. We will focus our interpretation on pre- \ndictors that are consistent across complete case and \nIPAW models for each type of healthcare service as they \nare more robust and most likely to be reproduced in fu- \nture studies.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed5.pdf" + }, + { + "text": "physical therapy settings where \n\nIn future studies, we will embed the OSPRO tools into \nelectronic medical record (EMR) databases to refine and \ntest outcomes prediction models at the health care systems \nlevel. Importantly, we will collect clinical encounter data \nthrough the EMR and combine it with administrative or \nbilling data to confirm the results of this study with more \nobjective measures of health care use. These studies will \nalso allow us to provide better guidance on how to use the \nOSPRO tools to identify serious psychiatric involvement or \nsystemic sources of pain that require medical referral. Fi- \nnally, we will explore alternative scoring strategies for the \ntools, such as weighted scoring for the OSPRO-ROS and \nuse of predicted full-length psychological questionnaire \nscores for the OSPRO-YF. Healthcare providers could then \nuse the collective information from these studies to build \nlearning health systems that facilitate effective, real-time \nclinical decision-making support to improve value of care \nfor patients with musculoskeletal pain. \n\nConclusion \nBaseline disability and change in pain intensity were im- \nportant predictors of \nsubsequent pain-related \nany \nhealthcare utilization, while predictors of individual ser- \nvice utilization were outcome-specific. Identification of \nrisk is improved through treatment monitoring for pain \nand, in some cases, disability and pain-related psycho- \nlogical distress. Comorbidity burden was an important \npredictor of subsequent utilization of opioids and diag- \nnostic tests and imaging, both of which have been recent \ntargets of healthcare policy to constrain their unneces- \nsary use. Future research is needed to refine these pre- \ndictor variables and incorporate them into risk models \nthat support clinical decision-making so that treatment \neffectiveness and efficiency are optimized in value-based \nsystems. \n\nthe clinical encounter might \n\nThird, we were unable to adequately model the spe- \ncific effects of worker’s compensation, self-pay and some", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed5.pdf" + }, + { + "text": "The authors also distinguish between the two major principles of legislative approaches in OSH, that is, \neither setting an objective and letting the actors define how this goal can be achieved**(goal-oriented**\n**approach)**, or prescribing also quite detailed measures to reach the objective**(prescriptive**\n**approach)**:352 \n\n*‘There seems to be a general view that the Framework Directive, with its orientation towards a goal-*\n*oriented approach to OSH (rather than prescriptive) successfully lays out a suitable template for*\n*managing workplace risks – but not in itself enough to ensure that all risks are dealt with sufficiently.*\n*One criticism of the goal-setting approach is that the absence of prescriptive intermediate goals makes*\n\n*compliance harder to verify and, in the absence of that verification procedure, harder to enforce*\n*(especially in OSH cultures with a history of the prescriptive approach).’*353 \n\nRegarding the**level of compliance with the legal goals or prescriptions**, the study authors assess it \nas ‘moderate to good.’ They see major differences depending on the topic and the size of the \nenterprises:", + "page_start": 120, + "page_end": 120, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "commercial insurance coverage on utilization due to the \nlow incidence of these forms of payment in our study \nsample. Modeling these separately would have created \nthe potential for unreliable and imprecise effect esti- \nmates. Readers should consider the within-group hetero- \ngeneity caused by this approach and exercise caution \nwhen applying these results to individuals who do not \nhave traditional public or private insurance coverage. Fu- \nture studies should investigate the performance of the \nOSPRO tools in predicting outcomes for patients with \nWorker’s Compensation. \n\nHowever, explained variance estimates in our models \nranged from 34 to 61%, suggesting further research is \nnecessary to identify additional factors contributing to \nhealthcare utilization following physical therapy. \n\nThe primary limitation of the study is the high number \nof subjects lost to follow-up. We attempted to account \nfor the bias introduced by loss to follow-up in our \nmodels with IPAW, which is a robust strategy for con- \nducting analyses with missing data [41, 51]. We observed \ngood concordance between results of complete case and \nweighted analyses, giving us confidence in our findings. \nHowever, important differences in age, race, education, \nsymptom onset, baseline pain intensity, and baseline \npain-related psychological distress were noted between \nthose who did and did not complete follow-up. These \ndifferences suggest that the group lost to follow-up may \nrepresent a unique population to whom these results \nmay not apply. Different factors may predict utilization \noutcomes for this unique population. As a result, readers \nshould exercise caution when extending these findings \nto individuals and populations that substantially differ \nfrom the analytic sample in this study. Specifically, these \npredictive models may need to be adjusted for younger \nindividuals of non-white race, with lower education \nlevels, sudden onset of symptoms, and those with higher \npain intensity and pain-associated distress. \n\nA final limitation is the use of patient recall to meas- \nure utilization. To mitigate recall bias, we used two \nfollow-up points, at 6 and 12 months. However, under- \nor over-reporting of utilization is often a concern with \nstudies requiring subject recall [56–58]. Medical record \nand claims data were not available for these subjects. \nReaders should consider our inability to independently \nconfirm utilization when interpreting results. \n\nA second limitation is that we did not know about the \nsubjects’ prior experiences with physical \ntherapy, or \nwhether they arrived at physical therapy through direct \naccess or referral from another provider. These factors \ncould be associated with treatment expectations, which \nhave known effects on treatment outcomes [52, 53]. We \nalso did not collect specific information on treatment. \nBut by including changes \nin pain, disability, and \npain-related psychological distress in the models, we \nwere able to account for treatment response. The benefit \nof this approach is that models are generalizable for pre- \ndicting utilization outcomes across “real-world” prag- \nmatic \ntreatment \nvariation is expected. The drawback is that we are pro- \nhibited from making conclusions regarding which char- \ninfluence \nacteristics of \nsubsequent pain-related healthcare utilization. Important \ncharacteristics to consider would include number of \nvisits, type of interventions or whether patients com- \npleted their course of physical therapy. These have been \nproposed or identified as important contributors to \ndownstream costs following physical therapy [54, 55] \nand may be a source of unexplained variance in our \nmodels. Characteristics of the clinical encounter should \nbe considered in future studies to refine the prediction \nmodels developed in our analyses. \n\nphysical therapy settings where", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed5.pdf" + }, + { + "text": "35. \n\n36. George SZ, Beneciuk JM, Bialosky JE, Lentz TA, Zeppieri G, Pei Q, et al. \n\nDevelopment of a review-of-systems screening tool for orthopaedic \nphysical therapists: results from the Optimal Screening for Prediction of \nReferral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2015;45: \n512–26. \nLentz TA, Beneciuk JM, Bialosky JE, Zeppieri G, Dai Y, Wu SS, et al. \nDevelopment of a yellow flag assessment tool for orthopaedic physical \ntherapists: results from the Optimal Screening for Prediction of Referral and \nOutcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2016;46:327–43. \n\n38. Beneciuk JM, Fritz JM, George SZ. The STarT back screening tool for \n\nprediction of 6-month clinical outcomes: relevance of change patterns in \noutpatient physical therapy settings. J Orthop Sports Phys Ther. 2014;44: \n656–64. \n39. Myers RH. Classical and modern regression with applications. 2nd ed. Pacific \nGrove: Duxbury Press; 2000. \n40. Weuve J, Tchetgen Tchetgen EJ, Glymour MM, Beck TL, Aggarwal NT, \n\nWilson RS, et al. Accounting for bias due to selective attrition: the example \nof smoking and cognitive decline. Epidemiol Camb Mass. 2012;23:119–28. \n41. Hernán MA, Hernández-Díaz S, Robins JM. A structural approach to \n\nselection bias. Epidemiol Camb Mass. 2004;15:615–25. \nKent P, Keating JL, Leboeuf-Yde C. Research methods for subgrouping low \nback pain. BMC Med Res Methodol. 2010;10:62. \n42. \n\n43. Peduzzi P, Concato J, Kemper E, Holford TR, Feinstein AR. A simulation study \nof the number of events per variable in logistic regression analysis. J Clin \nEpidemiol. 1996;49:1373–9. \nTabachnick BG, Fidell LS. Using multivariate statistics. 5th ed. Boston: \nPearson; 2006. \n45. Green SB. How many subjects does it take to do a regression analysis. \nMultivar Behav Res. 1991;26:499–510.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed5.pdf" + }, + { + "text": "Modelling methodology \n\nThis brief section outlines the modelling process behind the conclusion in section one, which \nstates that we might expect somewhere between 2,400 and 7,000 individuals from the original \ncohort of users in 2004 to be captured within the 2013 figure of new DIP arrestees (who test \npositive for opiates-only or who are positive-for-both). \n\nWe begin by putting in a plausible range of crime-involved OCUs through the period. This \ncombines the total OCU estimates published by Hay et al., (ranging from around 320,000 OCUs \ndown to around 295,000 in recent years) with available estimates of the percentage who are \nlikely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the \nNTORS study (Gossop et al., 2003). As such, a range of between 170,000 and 100,000 crime- \ninvolved OCUs is likely to include all plausible values (see first row of table below). \n\nWe then calculate the rate at which that population is likely to be arrested and test positive by \nusing the number of individuals testing positive from 2008 (25,433), when DIP was fully up and \nrunning. This gives the second row of the table. Combining the values in the first two rows and \napplying the probability formula given in the main body of the text gives the third row: the \nprobability of first positive DIP test in 2013. Note that this assumes all these individuals continue \nto offend through the period, which may not be the case, hence final results are probably an \nupper bound. The final row simply multiples the figure in the first row by the figure in the third to \ngive our estimate of the original cohort who might appear in the 2013 DIP figures as new.", + "page_start": 41, + "page_end": 41, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "ORs and regression coefficients are presented with 95% CIs and P values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI ¼ Work Pro- \nductivity and Activity Impairment questionnaire. \naMeasures calculated from WPAI questions.21", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Some important questions remain at the end of such a report: \n\n• The**quality of statistics and surveys fades the more irregular are the working**conditions \nbeing studied. Which research methods are adequate for a clearer and more reliable evidence \nbase on these working conditions? It might require research methods different from those used \ntoday, for example, more investigative case studies; it might also be helpful to evaluate the \n**existing national working conditions surveys or statistics**under this aspect. \n\n•**Fading employer–employee relations.**There are special research efforts necessary to study \nthe application of OSH regulations of work with weak or no employer–employee relations, for \nexample, for the self-employed and new forms of employment. \n\n•**Surveys usually suffer a participation bias, for example, for the migrant workforce.**The \nlow participation rate of migrants can contribute to a particular underestimation regarding their \noften unfavourable working conditions. \n\n•**Workers in manual occupations**report**better health than administrative workers**but**less**\n**expectations to do the job until being 60 years old**. What are the reasons behind this? Is it \nthe healthy worker effect, strong occupation-related differences regarding the perception of \nhealth and the expression of health problems? 502,503 \n\n• High work intensity is a major cause for low wellbeing and high psychosocial risks. Survey data \nsuggest that**work intensification stopped after 2005**. What might be the reasons? Are the \ncurrent indicators not specific enough to measure developments of work intensity? Has since \nthen the major burden of intensification been put on other types of workers, for example, \nsubcontracted or self-employed, temporary and seasonal workers, or on workers in the global \nsupply chain? \n\n• How much evidence is there that**dangerous work has been increasingly contracted out to**\n**small and medium-size enterprises and the self-employed**? Are there sufficiently detailed \ndata on whether a larger share of service and client-related work at atypical times or work \nrequiring long working hours has been taken over by self-employed or subcontractors? \n\n• The**influence of enterprise size**is often difficult to explain. In several aspects, the SMEs \nperform better, and in other important aspects worse. What might be the reason for this? \n•**How is it possible to overcome the ‘prevention gap’ that in general exists between mobile**\n**and stationary workplaces?**Can the solutions be technical or must there be organisational \nand legal measures, for example, a limitation of the prolonged use of ergonomically inadequate \nequipment like mobile phones? \nImpact of**international and global supply chains on OSH: Does it improve or worsen the**\n**working conditions in the EU?**Research could try to estimate the risk-reducing impact of the \nshift of some high-risk productions to enterprises outside the EU, for example, mining, base \nchemicals, recycling and so on (export of risks), and to estimate the OSH impact of EU export \nproduction, for example, vehicles, specialty chemicals, machines for risks at work inside the EU \n(import of risks). \nIt would also be a big step forward if research could achieve an agreed**standard value or a**\n**standard range**(as reliable as possible) for the**attributable fraction of work**to widespread \ndiseases, that is, cardiovascular diseases, mental and behavioural disorders, musculoskeletal \ndiseases and cancer. \n\n• \n\n•", + "page_start": 139, + "page_end": 139, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "example, in Sweden. 378 Meanwhile, the spectrum of guidance developed regarding work-related \npsychosocial risks is very wide; it covers aspects such as job satisfaction (overall level of wellbeing), \nengagement, performance and work-related stress,379 and also discrimination, harassment, aggression \nand violence.380 \n\n**6.2 EU and national OSH strategies**\nThe EU and many Member States**applied and apply strategic approaches**, based on EU or national \nevidence of the state of OSH. OSH strategies are a steering instrument to focus the activities of all \nactors on major recognised deficits of OSH infrastructures or processes.381 \n\nThe newest**EU Strategic Framework on Health and Safety at Work 2021-2027**puts the focus on \nchange, with the title*‘Occupational safety and health in a changing world of work’*.382 Consequently, the \nstrategic framework focuses on three key objectives for these years: \n\n•*anticipating and managing change in the new world of work brought about by the green, digital*\n*and demographic transitions;*\n\n•*improving prevention of workplace accidents and illnesses;*\n\n•*increasing preparedness for any potential future health crises.*\n\nThe proposed focus areas and actions are related to these three objectives. Under the first key objective \nthere are actions like ‘Modernising and simplifying EU OSH rules in the context of the green and digital \ntransitions’; a special focus is on psychosocial and ergonomic risks. The second objective promotes a \nvision zero approach to work-related deaths, particularly referring to hazardous substances and \ncardiovascular diseases, the promotion of health at work and inclusive workplaces for all.383 \n\nThe third objective responds to the impact of the pandemic situation in 2020 and 2021. It includes the \ndevelopment of emergency procedures for future similar situations (‘Health crisis’). The Strategic \nFramework repeats and corroborates the value of research and data-based evidence by stating: \n*‘Research and data collection, both at EU and national level, are a pre-condition for the prevention of*\n*work-related diseases and accidents. Scientific advice and the latest technological developments feed*\n*into OSH legislation and policy.’*\n\nAlso, many Member States have agreed on provision of better data as an objective in their national \nstrategies.384 The EU strategy often gives orientation for the development of national OSH strategies. \nUnder the last strategy period, 24 of the 27 Member States had applied a strategy. Many national OSH \nstrategies contained similar targets. EU-OSHA published an overview report on national strategies, and \nthe OSH Barometer contains as one indicator a harmonised overview on the aspects of national \nstrategies.385 \n\nOSH strategies are regarded as an important and innovative policy area, a chance for better \ncollaboration, and also a very relevant joint national OSH activity. Those strategies help in priority setting \nand focused action on weaknesses. Strategies were often agreed in social dialogue processes, and \nmany strategy actors also developed new and better monitoring instruments and indicators.386 Labour \ninspections play an important or essential role in most of these strategies. 387 \n\n**OSH Barometer – Steering of OSH, National strategies:**\nhttps://visualisation.osha.europa.eu/osh-barometer/osh-steering/national-strategies \n\n**OSHWiki: Section ‘OSH System at national level’, descriptions of the OSH Systems of**\n**the EU Member States:**https://oshwiki.eu/wiki/Category:OSH_systems_at_national_level \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n124", + "page_start": 123, + "page_end": 123, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed5.pdf", + "query": "What is the range of the pain rating scale ?", + "target_page": 3, + "target_passage": "Pain intensity was assessed by the numerical pain rating scale (NPRS) ranging from “0” (no pain) to “10” (worst pain imaginable)", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "[24–26]. Participants \n\npain imaginable) \nrated their \ncurrent pain intensity, as well as their best (lowest) and \nworst \nthe past 24 h. \nCurrent, best and worst pain ratings were averaged for \npurposes of analysis. \n\nHealthcare utilization predictors \nWe collected potential predictors by self-reported ques- \ntionnaires at initial evaluation using an online study web- \nsite. Participants were directed back to the study website \n4 weeks following initial evaluation to again complete \nquestions on pain intensity, disability, and pain-related \npsychological distress. Change in pain intensity, disability, \nand pain-related psychological distress from baseline to \n4 weeks were modeled as treatment response variables \nand included as potential predictors. \n\n(highest) pain intensity over \n\nRegion-specific disability \nSelf-reported region-specific disability was assessed with \nthe Neck Disability Index [27, 28], Oswestry Disability \nQuestionnaire [29, 30], Quick Disability of Arm Shoulder \nand Hand [31] or International Knee Documentation \nCommittee Subjective Knee Form [32] for cervical, low \nback, shoulder and knee pain, respectively. Region-specific \ndisability measures were z-transformed for purposes of \nanalysis, consistent with our prior work involving multiple \nanatomical regions [33]. \n\nComorbidities \nCharlson comorbidity index (CCI) \nThe Charlson Comorbidity Index was used to measure \nthe presence of chronic comorbid medical conditions \n[34]. It lists 19 medical conditions that participants are \nasked to indicate whether they “have ever been diag- \nnosed with by a physician”. Conditions are weighted \nand added for an overall measure of comorbidity \nburden. The CCI has demonstrated good test-retest re- \nliability (0.91) and positive but weak to modest correla- \ntions with medication use, hospitalizations, \nlength of \ntotal charges, and pharmacy and laboratory \nstay, \ncharges for older adults in general medical care and \nsurgical care settings [35]. \n\nSociodemographic and health-related information \nParticipants completed a standard intake questionnaire \nform previously used in our clinical studies that assessed \nage, sex, race, and insurance provider type. This ques- \ntionnaire also assessed health-related variables included \nanatomical region of primary pain complaint (low back, \nneck, shoulder, or knee) and whether the patient had \nundergone surgery for their primary pain complaints \n(yes or no). Due to small cell sizes for certain categories, \nrace was dichotomized as white or non-white. For insur- \nance type, participants were asked to choose one of the \nfollowing options: private, public (Medicare and/or Me- \ndicaid), uninsured/self-pay, worker’s compensation, and \nother/commercial insurance. Among the study sample, \nwe observed few with no insurance (n = 7) or worker’s \ncompensation (n = 14). The study also included relatively \nfew with ‘other/commercial insurance’ (n = 45). Within \nthis group, informal assessment of these various plans \nsuggested high heterogeneity of plan characteristics and \ncoverage. Due to the small number of subjects in these \nindividual insurance strata and to improve interpretabil- \nity of results, we collapsed those reporting no insurance, \nworker’s compensation and other/commercial insurance \ninto a single category (i.e., ‘Other’). Therefore, insurance \ntype was categorized as private, public, or other (no in- \nsurance, worker’s compensation, or other/commercial \ninsurance) for purposes of analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed5.pdf" + }, + { + "text": "Assessment tools \nOSPRO Review of Systems tool (OSPRO-ROS) \nThe OSPRO-ROS is a review-of-systems screening tool for \nuse in outpatient orthopedic physical therapy settings [36]. \nThe OSPRO-ROS has demonstrated good concurrent val- \nidity with depression and a comprehensive 97-item battery \n[36] \nof non-musculoskeletal symptoms (i.e., red flags). \nModerate \nthe \ncapabilities of \nstrong predictive \nOSPRO-ROS have been reported for persistence of pain, \nquality of life, and change in comorbidity 12 months fol- \nlowing physical therapy in patients with musculoskeletal \npain [20, 21]. The OSPRO-ROS includes standard symp- \ntom descriptors to aid with identification of systemic or \nnon-musculoskeletal origins of musculoskeletal pain. It \nincludes questions related to symptoms of the cardiovascu- \nlar, gastrointestinal, endocrine, nervous, \nintegumentary, \npulmonary, and musculoskeletal systems. The full-length \n23-item version of the OSPRO-ROS is capable of identify- \ning 100% of positive red-flag responders (i.e. \nindicating \n“yes” to at least one systemic symptom on a questionnaire) \nin outpatient orthopedic physical therapy settings. [36] A \nshorter, 10-item version is also available that has been \n\nto \n\nPain-related clinical variables \nPain status was determined using established definitions \nthat account for the duration of pain and activity limita- \ntions [22, 23] using the following two questions: 1) \n“How long have you been experiencing your current \npainful symptoms?” and 2) “Have you experienced ANY \npain and activity limitations every day for the past 3 \nmonths?” Responses to question 1 of “greater than 90 \ndays” or responses to question 2 of “Yes” were used to \nclassify patients as having persistent pain at \ninitial \nevaluation. \n\nPain intensity \nPain intensity was assessed by the numerical pain rating \nscale (NPRS) ranging from “0” (no pain) to “10” (worst", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed5.pdf" + }, + { + "text": "shown to identify approximately 95% of positive red-flag re- \nsponders. For statistical analyses, the “yes” responses were \nadded for each version and included in each model as a \ncontinuous independent variable. participants were asked whether they used any of the fol- \nlowing healthcare services for their primary musculoskeletal \npain complaint in the time following their physical therapy \ntreatment: \n\n1. Opioid painkillers (eg. Vicodin, Lortab, \n\nHydrocodone, Fentanyl, Percocet, Oxycontin, \nOxycodone, tramadol, Ultram, Diludid, etc) \nInjections \n\n2. \n3. Surgery \n4. Diagnostic tests or Imaging (eg. xray, MRI, CT \n\nscan, nerve conduction test, etc.) \nvalidity with pain intensity 5. Emergency room visits \n\nOSPRO Yellow Flag tool (OSPRO-YF) \nThe OSPRO-YF is a yellow flag assessment tool that in- \ncludes items from pain vulnerability domains (negative \naffect and fear-avoidance) and pain resilience domains \n(positive affect and self-efficacy) to aid with identification \nof pain-related psychological distress in outpatient ortho- \npedic physical therapy settings [37]. The OSPRO-YF has \ngood concurrent \nand \nregion-specific disability [37] and is capable of predicting \npain intensity, disability, quality of life and persistent pain \n12 months following physical therapy in patients with \nmusculoskeletal pain [20, 21]. The full-length OSPRO-YF \nhas 17-items, however a shortened 10-item version is also \navailable with an acceptable trade-off in accuracy. Like the \nOSPRO-ROS, the OSPRO-YF is designed for implementa- \ntion into electronic medical record (EMR) systems to \nquickly and accurately identify risk for a variety of clinical \noutcomes [19]. For statistical analyses, a summary score \nwas derived for each version by adding the item responses \nafter reverse-scoring items 2, 13, 14, 15 and 17 so that \nhigher scores indicate higher pain-related psychological \ndistress. The summary score was then included in each \nmodel as a continuous independent variable. \n\n“Yes” responses were followed by questions regarding \nthe quantity of services utilized (i.e. number of opioid \npainkillers, number of diagnostic tests or number of \nemergency room visits). All utilization questions were \nanswered on a categorical scale (0, 1, 2–5, 5–10, or > 10) \nindicating the quantity of a particular service received \nduring the applicable follow-up timeframe. At 6-month \nfollow-up, study participants reported their use of ser- \nvices for the previous 2 months, allowing a timeframe of \n4 months from initial evaluation for them to complete \nphysical therapy. At 12-month follow-up, study partici- \npants reported their use of services over the previous \n6 months since their last survey. This method provided \nan 8-month overall follow-up period after physical ther- \napy and two follow-up points were included to minimize \nrecall bias. \n\nIntervention \nAll physical therapy treatment was provided at the discre- \ntion of the treating clinician. The duration of the episode, \nthe number of physical therapy visits, and individual treat- \nment parameters (type, \nfrequency) \nwere not collected for pragmatic reasons. In particular, \nclinical and utilization data are not commonly collected in \na standardized format and would need to be extracted \nfrom disparate medical record databases across different \nhealth care systems to assess treatment. This was not feas- \nible given the scope and design of \nthis multisite \nsurvey-based study. However, instead of coding treatment \ntype we included baseline-to-4 week change in pain inten- \nsity, region-specific disability, and OSPRO-YF scores in \neach model as measures of treatment response. In that \nmanner the individual effects of the treatment received \nwere included in the predictive models, without directly \naccounting for the type of treatment. \n\nintensity, duration,", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed5.pdf" + }, + { + "text": "R E S E A R C H A R T I C L E \n\nPrediction of healthcare utilization \nfollowing an episode of physical therapy \nfor musculoskeletal pain \nTrevor A. Lentz1* , Jason M. Beneciuk2,3 and Steven Z. George4 \n\nAbstract \n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively \nidentify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The \npurpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode \nof physical therapy for musculoskeletal pain. \n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) \nlongitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder \npain in physical therapy (n = 440). Demographics, health-related information, review of systems, comorbidity and \npain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in \npain intensity, disability, and pain-related psychological distress were measured as treatment response variables. \nAt 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests \nor imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models \nwere developed for any subsequent care and service-specific utilization. \n\nResults: Subsequent pain-related healthcare utilization was reported by 43% (n = 106) of the study sample that completed \nthe 12-month follow-up (n = 246). Baseline disability and 4-week change in pain intensity were important global predictors \nof subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain \nintensity, disability and pain-related psychological distress predicted specific service utilization. \n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical \ntherapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability \nand pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could \nenhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is \nrequired to determine how specific characteristics of the clinical encounter influence future utilization. \n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring \n\n\n\nBackground \nMusculoskeletal pain is a prevalent and costly health \ncondition with far-reaching public health consequences \nincluding chronic pain, disability and opioid-related ad- \ndiction [1]. Clinical practice guidelines now recom- \nfrontline \nmend non-pharmacological \nmanagement for musculoskeletal pain, which will lead \n\nto increased utilization of services such as physical \ntherapy [1–3]. Physical therapy is effective for improving \ndisability and reducing costs associated with many muscu- \nloskeletal pain conditions [4–9]. However, pain-related \nhealthcare utilization beyond the physical therapy episode \n(e.g. subsequent use of surgery, injection, opioids, etc.) \nmay indicate suboptimal treatment response, the presence \nof more complex needs, or unwarranted escalation of care. \nDownstream healthcare utilization is not often considered \nas an outcome of care or indication of treatment effective- \nness for musculoskeletal pain. But the importance of \n\ntreatment as \n\n*Correspondence: trevor.lentz@duke.edu \n1Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, \nNC 27705, USA \nFull list of author information is available at the end of the article", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed5.pdf" + }, + { + "text": "Emergency room \nModels for emergency room use had the highest pseudo-R2 \nvalues of any individual service (0.48–0.50), but also had \nthe largest number of predictors (8–9). Agreement between \ncomplete case and weighted models was moderate. The \nmodels converged on the following predictors: age (OR = \n0.91–0.94, p < 0.05), insurance (OR = 8.99–13.15, p < 0.05), \nbaseline disability (OR = 3.33–4.88, p < 0.001), and change \nin pain (OR = 1.59–1.77, p < 0.05). Higher utilization was \nassociated with younger age, other insurance (e.g., self-pay,", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed5.pdf" + }, + { + "text": "13. \n\n14. \n\n15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM. \n\nChronic pain and health services utilization: is there overuse of diagnostic \ntests and inequalities in nonpharmacologic treatment methods utilization? \nMed Care. 2013;51:859–69. \nLangley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G. \nThe societal impact of pain in the European Union: health-related quality of \nlife and healthcare resource utilization. J Med Econ. 2010;13:571–81. \n17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive \nvalue of pain intensity on costs and resources utilization in patients with \nperipheral neuropathic pain. Clin J Pain. 2015;31:273–9. \n\n16. \n\n18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and \nresponse to treatment. Phys Ther. 2011;91:712–21. \n19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for \n\nEthics approval and consent to participate \nEthics approval for this study was granted by the University of Florida \nInstitutional Review Board-01 (Study #: 525–2012). All participants provided \nwritten consent to participate in the study. \n\nConsent for publication \nNot applicable. \n\nCompeting interests \nThe authors declare that they have no competing interests. \n\nPublisher’s Note \nSpringer Nature remains neutral with regard to jurisdictional claims in \npublished maps and institutional affiliations. \n\nAuthor details \n1Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, \nNC 27705, USA. 2Department of Physical Therapy, College of Public Health & \nHealth Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL \n32610-0154, USA. 3Brooks Rehabilitation Clinical Research Center, 3901 \nUniversity Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4Duke Clinical \nResearch Institute, Department of Orthopaedic Surgery, Duke University, 2400 \nPratt Street, Durham, NC 27705, USA. \n\nPrediction of Referral and Outcome (OSPRO) in patients with \nmusculoskeletal pain conditions: a longitudinal validation cohort from the \nUSA. BMJ Open. 2017;7:e015188. \n\n20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr. \nOptimal Screening for Prediction of Referral and Outcome (OSPRO) for \nMusculoskeletal Pain Conditions: Results From the Validation Cohort. J \nOrthop Sports Phys Ther. 2018;48(6):460–75. \n\n21. Beneciuk JM, Lentz TA, He Y, Wu SS, George SZ. Prediction of persistent \nmusculoskeletal pain at 12 months: a secondary analysis of the Optimal \nScreening for Prediction of Referral and Outcome (OSPRO) validation cohort \nstudy. Phys Ther. 2018;98:290–301. \nFreburger JK, Holmes GM, Agans RP, Jackman AM, Darter JD, Wallace AS, et \nal. The rising prevalence of chronic low back pain. Arch Intern Med. 2009; \n169:251–8. \n\n46. Harris RJ. A primer of multivariate statistics. 3rd ed. Mahwah: Psychology \nPress; 2001. \n47. Piette JD, Kerr EA. The impact of comorbid chronic conditions on diabetes \ncare. Diabetes Care. 2006;29:725–31. \n48. Rice ASC, Smith BH, Blyth FM. Pain and the global burden of disease. Pain. 22. \n\n23. Carey TS, Freburger JK, Holmes GM, Jackman A, Knauer S, Wallace A, et al. \n\nRace, care seeking, and utilization for chronic back and neck pain: \npopulation perspectives. J Pain Off J Am Pain Soc. 2010;11:343–50. \nJensen MP, Turner JA, Romano JM, Fisher LD. Comparative reliability and \nvalidity of chronic pain intensity measures. Pain. 1999;83:157–62. \n\n50. \n24. \n\n51. 25. Bolton JE. Accuracy of recall of usual pain intensity in back pain patients. \nPain. 1999;83:533–9.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed5.pdf" + }, + { + "text": "Table 2 Baseline health-related information for the full cohort, and for those with complete and incomplete follow-up \n\np-value a Variable Label \nFull cohort at baseline \n(n = 440) Completed follow-up \n(n = 246) Did not complete follow-up \n(n = 194) \n\nHealth-related information \n\nAnatomical region Neck 98 (22.3%) 48 (19.5%) 50 (25.8%) 0.27 \n\nLow Back 118 (26.8%) 66 (26.8%) 52 (26.8%) \n\nShoulder 107 (24.3%) 59 (24.0%) 48 (24.7%) \n\nKnee 117 (26.6%) 73 (29.7%) 44 (22.7%) \n\nSymptom onset Gradual 239 (54.3%) 146 (59.3%) 93 (47.9%) 0.03 \n\nSudden 138 (31.4%) 65 (26.4%) 73 (37.6%) \n\nTraumatic 63 (14.3%) 35 (14.2%) 28 (14.4%) \n\nMean ± SD 0.80 \n\n423.01 ± 1259.33 \n90 (0–10000) \n\n39 (20.1%) \n\n155 (79.9%) \n\n33 (17.0%) \n\n147 (75.8%) \n\n36 (18.6%) \n\n151 (77.8%) \n\n4.58 ± 2.21 \n4.5 (0–9.7) \n\n0.08 ± 1.03 \n−0.01 (−2.41–3.14) \n\n0.63 ± 1.25 \n0 (0–8) \n\nDuration of symptoms urgery \nfor condition \n398.58 ± 1715.80 \n90 (0–29565) 379.79 ± 1999.77 \n90 (1–29565) Median (min, max) \n\nYes 83 (18.9%) 44 (17.9%) \n\nNo 357 (81.1%) 202 (82.1%) \n\nWork-related injury (32 missing) Yes 63 (14.3%) 30 (12.2%) \n\nNo 345 (78.4%) 198 (80.5%) \n\nChronicity Acute 101 (23.0%) 65 (26.4%) \n\nChronic 324 (73.6%) 173 (70.3%) \n\nPain Intensity Mean ± SD \n\n4.22 ± 1.98 \n4 (0–9.67) \n\n3.94 ± 1.72 \n4 (0–8) \n−0.06 ± .97 \n−0.23 (−2.21–2.94) \n\nMedian (min, max) \n\nDisability Mean ± SD \n\n0 ± 1.0 \n−0.16 (−2.41–3.14) Median (min, max) \n\nCCI Mean ± SD \n\n0.66 ± 1.47 \n0 (0–13) 0.68 ± 1.62 \n0 (0–13) Median (min, max) \n\nCCI Charlson comorbidity index \na Group comparisons with independent samples t-tests for continuous variables and chi-square tests for categorical variables \n\nTable 5. Comparison of adjusted odds ratios (OR) and 95% \nconfidence interval (CI) were used to determine the relative \nstrength of each predictor in the parsimonious models. \nOdds ratios are reported from the parsimonious models as \nthese are intuitive, clinically interpretable predictive indices. \nSummary findings for all utilization outcomes are presented \nin Table 7. In summarizing results, we focus on predictors \nthat were identified consistently across complete case and Individual predictors of healthcare utilization \nParsimonious model results were used to identify signifi- \ncant individual predictors of health care utilization. Results \nof the parsimonious models are listed in Table 6 and sum- \nmarized below. Variance explained (pseudo-R2) values re- \nported in the summaries below are specific to performance \nof individual parsimonious models, and are different than \npseudo-R2 values of the full multivariate models listed in \n\nTable 3 Baseline OSPRO questionnaire scores for the full cohort and for those with complete and incomplete follow-up \n\np-value a Variable Label \nFull Cohort at baseline \n(n = 440) Completed follow-up \n(n = 246) Did not complete follow-up \n(n = 194) \n\nOSPRO-ROS 10-item Mean ± SD \n\n2.68 ± 2.38 \n2 (0–10) 2.52 ± 2.24 \n2 (0–10) 2.89 ± 2.55 \n2.5 (0–10) \n\n0.11 \n\nMedian (min, max) \n\nOSPRO-ROS + 13 items Mean ± SD \n\n1.25 ± 1.80 \n1 (0–12) 1.14 ± 1.52 \n1 (0–7) 1.38 ± 2.09 \n1 (0–12) \n\n0.17 \n\nMedian (min, max) \n\nOSPRO-YF 10-item Mean ± SD \n\n17.43 ± 6.69 \n17 (4–47) 16.87 ± 6.46 \n16 (4–40) \n\n0.04 \n\nMedian (min, max) \n\n18.15 ± 6.91 \n17 (4–47) \n\nOSPRO-YF + 7 items Mean ± SD \n\n14.92 ± 5.51 \n15 (3–34) 15.57 ± 6.12 \n16 (3–34) Median (min, max) \n\nCCI Charlson comorbidity index, OSPRO-ROS Review of systems screening tool, OSPRO-YF Pain-related psychological distress screening tool \na Independent samples t-tests to assess group differences between those who did and did not complete follow-up", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed5.pdf" + }, + { + "text": "8. \n\n9. \n\nAvailability of data and materials \nThe data that support the findings of this study are available from the \ncorresponding author upon reasonable request. \n\n11. \n\nVon Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et \nal. 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Agreement between self-reported and \n\nhealth insurance claims on utilization of health care: a population study. J \nClin Epidemiol. 2009;62:1316–22. \n\n57. Petrou S, Murray L, Cooper P, Davidson LL. The accuracy of self-reported \nhealthcare resource utilization in health economic studies. Int J Technol \nAssess Health Care. 2002;18:705–10. \nShort ME, Goetzel RZ, Pei X, Tabrizi MJ, Ozminkowski RJ, Gibson TB, et al. \nHow accurate are self-reports? Analysis of self-reported health care \nutilization and absence when compared with administrative data. J Occup \nEnviron Med. 2009;51:786–96. \n\n58. \n\n34. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying \nprognostic comorbidity in longitudinal studies: development and validation. \nJ Chronic Dis. 1987;40:373–83. \nKatz JN, Chang LC, Sangha O, Fossel AH, Bates DW. Can comorbidity be \nmeasured by questionnaire rather than medical record review? Med Care. \n1996;34:73–84. \n\n35. \n\n36. George SZ, Beneciuk JM, Bialosky JE, Lentz TA, Zeppieri G, Pei Q, et al.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed5.pdf" + }, + { + "text": "physical therapy settings where \n\nIn future studies, we will embed the OSPRO tools into \nelectronic medical record (EMR) databases to refine and \ntest outcomes prediction models at the health care systems \nlevel. Importantly, we will collect clinical encounter data \nthrough the EMR and combine it with administrative or \nbilling data to confirm the results of this study with more \nobjective measures of health care use. These studies will \nalso allow us to provide better guidance on how to use the \nOSPRO tools to identify serious psychiatric involvement or \nsystemic sources of pain that require medical referral. Fi- \nnally, we will explore alternative scoring strategies for the \ntools, such as weighted scoring for the OSPRO-ROS and \nuse of predicted full-length psychological questionnaire \nscores for the OSPRO-YF. Healthcare providers could then \nuse the collective information from these studies to build \nlearning health systems that facilitate effective, real-time \nclinical decision-making support to improve value of care \nfor patients with musculoskeletal pain. \n\nConclusion \nBaseline disability and change in pain intensity were im- \nportant predictors of \nsubsequent pain-related \nany \nhealthcare utilization, while predictors of individual ser- \nvice utilization were outcome-specific. Identification of \nrisk is improved through treatment monitoring for pain \nand, in some cases, disability and pain-related psycho- \nlogical distress. Comorbidity burden was an important \npredictor of subsequent utilization of opioids and diag- \nnostic tests and imaging, both of which have been recent \ntargets of healthcare policy to constrain their unneces- \nsary use. Future research is needed to refine these pre- \ndictor variables and incorporate them into risk models \nthat support clinical decision-making so that treatment \neffectiveness and efficiency are optimized in value-based \nsystems. \n\nthe clinical encounter might \n\nThird, we were unable to adequately model the spe- \ncific effects of worker’s compensation, self-pay and some", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed5.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed5.pdf", + "query": "What are the health consequences of musculoskeletal pain ?", + "target_page": 1, + "target_passage": "Musculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related ad diction [1].", + "chunk_present": { + "presence": true, + "index": 5 + } + }, + "top_chunk": [ + { + "text": "224 Pega et al., 2022: Global, regional and national burden of disease attributable to 19 selected occupational risk \nfactors for 183 countries, 2000–2016: A systematic analysis from the WHO/ILO Joint Estimates of the Work- \nrelated Burden of Disease and Injury, here \n225 Kauppinen et al., 1998: Occupational exposure to carcinogens in the European Union in 1990-1993: \ninternational information system on occupational exposure to carcinogens, here \nCAREX Canada \nFevotte et al., 2011: Matgéné: A Program to Develop Job-Exposure Matrices in the General Population in France \nMannetje et al., 2011: Developing a general population job-exposure matrix in the absence of sufficient exposure \nmonitoring data \n\n226 YLDs = years lived with disability, together with YLLs = years of life lost, it composes the DALY (DALY = YLL + \nYLD). \n\n227 GBD 2019 Mental Disorders Collaborators, 2022: Global, regional, and national burden of 12 mental disorders \nin 204 countries and territories, 1990–2019: a systematic analysis from the Global Burden of Disease Study 2019, \nhere \n228 WHO: Mental disorders, Key facts and \nIHME: Global Health Data Exchange (GHDx), here \n229 OECD, 2015: Sick on the Job?: Myths and Realities about Mental Health and Work \n230 OECD/European Union, 2018: Health at a Glance: Europe 2018: State of Health in the EU Cycle \n231 Andlin-Sobocki et al., 2005: Cost of disorders of the brain in Europe \n\n233 Norder et al., 2017: Beyond return to work from sickness absence due to mental disorders: 5-year longitudinal \nstudy of employment status among production workers, here \n234 Leka & Jain, 2017: EU Compass for Action on Mental Health and Well-Being - Mental Health in the Workplace \nin Europe \n235 Musculoskeletal disorders refer to backache and/or muscular pains in shoulders, neck, upper limbs and/or \nlower limbs (hips, legs, knees, feet, etc.). In the medical systematic it is the IC 10 group of diseases: Diseases of \nthe musculoskeletal system and connective tissue. \n236 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU \n237 Graveling, 2018: Ergonomics and Musculoskeletal Disorders (MSDs) in the Workplace. A Forensic and \nEpidemiological Analysis \n238 Da Costa & Viera, 2010: Risk factors for work-related musculoskeletal disorders: a systematic review of recent \nlongitudinal studies, here \n239 EU-OSHA, 2020: Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a \nliterature review (p. 15). \n240 EU-OSHA, 2019: Summary - Work-related musculoskeletal disorders: prevalence, costs and demographics in \nthe EU (p. 8). \n241 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU \n242 Ibid., p. 174ff. \n\n243 Eurofound, 2007: Fourth European Working Conditions Survey (2005) (p. 77). \n\n244 United Nations Economic Commission for Europe (UNECE), 2015: Handbook on measuring quality of \nemployment: A statistical framework, here \n\n245 Quinlan & Bohle, 2013: Re-invigorating industrial relations as a field of study: Changes at work, substantive \nworking conditions and the case of OHS, here (p. 8). \n\n246 The percentages of responses to this question in the European Working Conditions Survey (EWCS, 2015) are \ndisplayed. Each bar shows the percentages of the four possible responses for each EU Member State, the \naverage for the EU Member States, and the responses for Switzerland and Norway. Responses are displayed for \nthe question below: How satisfied are you with working conditions in your main paid job? Answer options were: \nNot at all satisfied; Not very satisfied; Satisfied; Very satisfied. See here", + "page_start": 149, + "page_end": 149, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "a \n\nThis study was undertaken in a nationwide, US cohort \nof patients receiving outpatient physical therapy for a \nprimary complaint of knee, shoulder, back or neck pain. \nThe primary aim of the analysis was to predict incidence \nof additional pain-related healthcare utilization in the \nyear following the episode of physical therapy for mus- \nculoskeletal pain. We considered factors not commonly \nassessed in outcomes prediction for musculoskeletal \npain, \nlike insurance, comorbidities, and treatment re- \nsponse, as well as those more often associated with \npain-related outcomes (e.g. psychological distress). This \nproject will lead to the development of potentially novel \noutcome prediction models for this population in a com- \nmon, non-pharmacological US healthcare setting. The \nresults of this study will be particularly important in \nvalue-based payment settings where enhanced clinical \ndecision-making drives treatment effectiveness and sys- \ntem efficiency. \n\nThe primary aim of the OSPRO cohort study was to de- \nvelop and validate review of systems (i.e. evidence of sys- \ntemic involvement) and yellow flag (i.e. pain-related \npsychological distress) screening tools for use in out- \npatient orthopedic physical therapy settings. These screen- \ning tools, once validated and refined for clinical decision \nmaking, may improve the value of care delivery by accur- \nately identifying individuals who 1) are appropriate for \nreferral \nof \nnon-musculoskeletal symptoms, and/or 2) would benefit \nfrom enhanced, psychologically-informed physical ther- \napy. Early identification of individuals most appropriate \nfor these modified pathways of care has the potential to \nreduce wasteful downstream health care utilization, limit \nthe risk of unwarranted and costly care escalation, and im- \nprove clinical outcomes. Results of the primary analyses \nexamining the predictive ability of the OSPRO tools for \npain, disability, health status, and comorbidity outcomes \nhave been previously published [20]. Pre-planned second- \nary analyses included prediction of persistent pain state \n[21] and this current analysis predicting future healthcare \nutilization. All subjects consented to participation in the \nstudy and ethics approval was granted by the University of \nFlorida Institutional Review Board. \n\nto other providers for management", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed5.pdf" + }, + { + "text": "The trend towards more psychosocial and emotional challenges at work**does not mean that ‘classical’**\n**exposures**or**ergonomically burdensome work has disappeared**. There is a large number of \nworkers in all sectors — between 40% and 75% in ESENER and the EWCS — who report**ergonomic**\n**risks**. These are, for example, repetitive hand and arm movements in industry and service occupations, \nwhere a particularly high percentage is reported by low-skilled manual workers; moving heavy loads in \ncraft occupations, or patients in health and care occupations, where a particularly high percentage is \nreported by high-skilled manual workers; and tiring and painful positions, where again the highest level \nis reported by high-skilled manual workers. \n\nStill a quite constant share of workers reports**exposure to physical risks like noise, vibrations, high**\n**or low temperatures and to chemical and biological agents**; depending on occupation and sector, \nbetween 15% and 30% of workers are exposed to such risks (EWCS). No or very minor decreases in \nthese risks can be seen during the past 15 years.", + "page_start": 9, + "page_end": 9, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "In a similar way,**the levels of ergonomic risks**are related with the sectoral structure of a country, \ndetermining the type of occupations and work tasks. EU-OSHA provided a detailed analysis of the \nprevalence of musculoskeletal disorders (MSDs) and the related risk factors in several studies on \nmusculoskeletal diseases, for example, ‘Work-related musculoskeletal disorders: why are they still so \nprevalent?’58 \n\nAn example of the**interrelation between sectors and risks is the connection**between the sector \naggregate ‘Trade, transport, food/accommodation and recreation activities’ and three major indicators \nof ergonomic burden, that is, ‘Painful, tiring positions’, ‘Repetitive hand or arm movements’, and \n‘Carrying or moving heavy loads’. \n\nSeven countries have a share of employees in this sector of more than 30% (Cyprus, Greece, Spain, \nMalta, Bulgaria, Croatia and Latvia), and many of them are present in two or three lists of countries with \nthe highest number of responses regarding the indicators. \n\n\n\nk \nc \no \nt \nS \ne \nb \no \nd \nA \n/ \nn \no \ns \nO \nl \n\nr \ne \ny \nT \n© \n\nl", + "page_start": 42, + "page_end": 42, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "therapy re-design might \n\nOpioids and diagnostic tests and imaging were the two \nmost common subsequent healthcare services utilized \nfollowing physical therapy. Of the individuals that com- \npleted follow up and had any subsequent healthcare \nutilization, approximately 42% reported opioid use and \n70% reported use of diagnostic tests and imaging. An \nimportant health-related predictor of these services was \nlevel of comorbidity burden. For those with high comor- \nbidity burden and inadequate treatment response to \nphysical therapy, use of additional diagnostic tests and \nimaging or low-dose opioids may be appropriate in some \ncases. But given the growing public health concern over \nopioid use and the desire to avoid unnecessary treat- \nment driven by imaging, our results suggest the import- \nance of considering disease burden when developing \ntreatment pathways and healthcare policy to mitigate \nrisk for avoidable use of these services. Interestingly, \nneither \npredicted \nutilization outcomes even though it has been linked to \nmental health, comorbidity, and persistent pain state in \nother analyses [20, 21]. Systemic symptom burden is a \nmeasure of patient complexity that is related to but dis- \ntinct from comorbidity burden [36, 47]. In these ana- \nlyses, the chronic condition measure (i.e. the CCI) was \na better predictor of utilization than symptom burden \n(i.e. OSPRO-ROS). The reasons for this finding are un- \nclear but may be related to providers and patients being \nmore likely to pursue follow-up medical care for mus- \nculoskeletal pain when known co-existing conditions \nare present as opposed to reporting of symptoms alone. \nThe distinction between symptom and disease burden \nin defining musculoskeletal patient complexity, and its \ninfluence on clinical decision-making and outcomes, \nshould be the subject of future research particularly re- \nlated to aging populations [48]. \n\nversions of the OSPRO-ROS \n\nthe study is longitudinal \nfollow-up at multiple time points following an episode \nof physical therapy for a variety of musculoskeletal pain \nconditions. Anatomical location of pain was not a sig- \nnificant predictor of healthcare use in all but one model, \na \nsuggesting results \nspectrum of musculoskeletal pain conditions. Another \nstrength of this cohort study is the assessment of various \nhealthcare utilization outcomes of interest for establish- \ning health policy. When considered alongside more trad- \nitional pain- or disability-related outcomes prediction \nmodels, these findings will improve the ability of health- \ncare systems and providers \nin \nvalue-based purchasing environments. The consideration \nof multiple screening tools (i.e. yellow flags and review \nof systems) and treatment monitoring variables is also a \nstrength of this study as screening and systematic treat- \nment monitoring are not routine in clinical practice. A \nfinal strength is inclusion of multiple sociodemographic, \nhealth-related and psychosocial factors as potential pre- \ndictors. Healthcare outcomes and utilization exhibit \nemergent properties that require the consideration of \nexplain [50]. \nmultiple, \n\nThe primary strength of \n\nare widely applicable across \n\nUtilization outcomes benchmarks have not been estab- \nlished to determine how the percentage of subsequent \nhealthcare use in this study compares to outcomes using \nother health services. Prior studies suggest physical ther- \napy is associated with reduced incidence of additional \nhealthcare use compared to not using physical therapy \nin patients with acute low back pain [10, 49]. Some competing factors to fully", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed5.pdf" + }, + { + "text": "R E S E A R C H A R T I C L E \n\nPrediction of healthcare utilization \nfollowing an episode of physical therapy \nfor musculoskeletal pain \nTrevor A. Lentz1* , Jason M. Beneciuk2,3 and Steven Z. George4 \n\nAbstract \n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively \nidentify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The \npurpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode \nof physical therapy for musculoskeletal pain. \n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) \nlongitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder \npain in physical therapy (n = 440). Demographics, health-related information, review of systems, comorbidity and \npain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in \npain intensity, disability, and pain-related psychological distress were measured as treatment response variables. \nAt 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests \nor imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models \nwere developed for any subsequent care and service-specific utilization. \n\nResults: Subsequent pain-related healthcare utilization was reported by 43% (n = 106) of the study sample that completed \nthe 12-month follow-up (n = 246). Baseline disability and 4-week change in pain intensity were important global predictors \nof subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain \nintensity, disability and pain-related psychological distress predicted specific service utilization. \n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical \ntherapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability \nand pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could \nenhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is \nrequired to determine how specific characteristics of the clinical encounter influence future utilization. \n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring \n\n\n\nBackground \nMusculoskeletal pain is a prevalent and costly health \ncondition with far-reaching public health consequences \nincluding chronic pain, disability and opioid-related ad- \ndiction [1]. Clinical practice guidelines now recom- \nfrontline \nmend non-pharmacological \nmanagement for musculoskeletal pain, which will lead \n\nto increased utilization of services such as physical \ntherapy [1–3]. Physical therapy is effective for improving \ndisability and reducing costs associated with many muscu- \nloskeletal pain conditions [4–9]. However, pain-related \nhealthcare utilization beyond the physical therapy episode \n(e.g. subsequent use of surgery, injection, opioids, etc.) \nmay indicate suboptimal treatment response, the presence \nof more complex needs, or unwarranted escalation of care. \nDownstream healthcare utilization is not often considered \nas an outcome of care or indication of treatment effective- \nness for musculoskeletal pain. But the importance of \n\ntreatment as \n\n*Correspondence: trevor.lentz@duke.edu \n1Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, \nNC 27705, USA \nFull list of author information is available at the end of the article", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed5.pdf" + }, + { + "text": "**Figure 27: Prevalence of musculoskeletal diseases – EWCS 2015**\n\n\n\nAbsence from work due to MSDs accounts for a high proportion of working days lost in EU Member \nStates. In 2015, more than half (53%) of workers with MSDs (including those with other health problems) \nreported being absent from work during the past year, which is considerably higher than the proportion \nof workers without health problems (32%). Workers with MSDs are not only more likely to be absent \nfrom work, but (given absence) on average are also absent for a longer period. For example, 26% of \nworkers with chronic MSDs and other health problems report being absent for more than eight days \nduring the past year, which is considerably higher than the 7% for workers with no health problems. 241 \n\nOverall estimates of the burden of MSDs for the EU27 seem to be difficult, due to different recognition \nand treatment schemes.242 The estimates of WHO/ILO and ICOH result in 850,000 and 950,000 DALYs \nfor the EU27, based on a fraction of 26.38% attributable to work; in total, MSDs are the cause of 15-20% \nof all DALYs. \n\n**OSH Barometer – Accidents, diseases and wellbeing – Diseases:**\nhttps://visualisation.osha.europa.eu/osh-barometer/osh-outcomes/work-related-diseases/who- \nilo/prevalence-of-diseases/all-diseases \n\n**Eurostat – Data and databases on health:**\nhttps://ec.europa.eu/eurostat/web/health/data/database \n\n**WHO – Occupational Burden of Disease Application:**\nhttps://who-ilo-joint-estimates.shinyapps.io/OccupationalBurdenOfDisease/", + "page_start": 87, + "page_end": 87, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "In general, the EU-wide surveys (self-reported working conditions or health problems) show a high \nprevalence of ergonomic risks. Between 40% and 65% of the respondents in ESENER and the EWCS \nreport**classical ergonomic risks**. A quite constant share of workers reports**physical exposures**like \nnoise, vibrations, high or low temperatures and exposure to chemical and biological agents; depending \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n38", + "page_start": 37, + "page_end": 37, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "satisfaction, for example, Austria, Cyprus, Germany, Greece, Ireland, Hungary, the Netherlands, \nPortugal and Slovakia. The one negative item might also be work-related health problems, for example, \nfor Sweden and Finland. \n\nMost countries show more extreme contradictions, that is, being in some aspects better and in others \nworse than average, like Estonia, Lithuania, Poland, Bulgaria, Portugal, Slovenia and Spain. Many of \nthese countries have very low figures for work-related health problems. Contradictory but mostly \nnegative responses (two or three fields with values under average) we find for Austria, Belgium, Croatia, \nFrance, Latvia, Lithuania, Malta, Romania, Poland, Spain and Slovenia. \n\n**4.4 Conclusions**\n**Work accident data**— fatal and non-fatal — show an impressive decline in the past 20 years, even if \none takes into account the significant level of underreporting. Preventive technical and organisational \nsafety measures and sectoral shifts were the crucial factors for this improvement. The relevance of**non-**\n**fatal accidents with severe health consequences**— permanent disability or more than three months’ \ntime-off period (more than 230,000) — should be recognised and further investigated. \n\n**Public health data**show a significant increase in**life expectancy**and**substantial shifts in morbidity**\nduring the past three decades at EU level, also documenting major differences between EU Member \nStates in mortality and morbidity.**Socioeconomic inequality**is an evident reason for higher mortality \nand morbidity. There is less evidence concerning the correlation between working conditions — as a \nmajor element of the socioeconomic status — and mortality and morbidity at EU level. \n\nThe clearest evidence on the**relationship between working conditions and diseases**exists for \nrecognised occupational diseases, and for these, the trend is also strongly downwards. In contrast, the \nestimates of the development of**work-related diseases**— based on fractions of diseases attributable \nto work occupation — show a persistently high burden. The current estimates of ILO/WHO and of ICOH \nrange between 115,000 and 180,000 deaths and between 4.5 million and 6.9 million DALYs; advanced \nresearch and the incorporation of more disease groups — mental health, diseases caused by biological \nagents — will significantly increase these figures. Literature, studies and surveys like the EWCS, LFS \nand the Flash Eurobarometer clearly show the strong relations between health status and occupation. \nEurostat works on improvements concerning the morbidity statistics (task force, pilot statistics on \noccupational diseases). EU-wide morbidity statistics from national administrative sources might be \navailable in the future; currently self-reported health data are the major source for EU-wide harmonised \nquantitative data. \n\n**Wellbeing and satisfaction at work**show similar patterns as health and work accidents and work- \nrelated health issues. Sectors with high physical demands and high customer and client orientation and \noccupations with a lower skill level report lower wellbeing and satisfaction levels; these groups report a \ngood health status — mostly being younger — but fewer expectations to be able to work in this \noccupation until the age of 60. Professions with strong customer and client orientation have lower-than- \naverage wellbeing and satisfaction rates. \n\n**Workers in manual occupations**265 have higher accident rates, lower life expectancy and less \nexpectancy to do the job until age 60.**Administrative workers (clerical, managerial)**have a better \nstatus in the above-mentioned aspects but report a worse health situation. For many items the eastern \nEU Member States — often all of them — report the least positive data. The**healthy worker effect and**\n**cultural differences**— to express not being healthy — probably strongly influence the self-assessment.", + "page_start": 98, + "page_end": 98, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "8. \n\n9. \n\nAvailability of data and materials \nThe data that support the findings of this study are available from the \ncorresponding author upon reasonable request. \n\n11. \n\nVon Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et \nal. United states national pain strategy for population research: concepts, \ndefinitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068–80. \nClarke JL, Skoufalos A, Scranton R. The American opioid epidemic: \npopulation health implications and potential solutions. Report from the \nnational stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1–10. \nDowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for \nchronic pain--United States, 2016. JAMA. 2016;315:1624–45. \nBoyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual \nphysical therapy in the treatment of cervical radiculopathy: a systematic \nreview. J Man Manip Ther. 2011;19:135–42. \nBürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical \ntherapy only and of usual care for various health conditions: systematic \nreview. Phys Ther. 2016;96:774–86. \nDeyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al. \nPhysical therapy treatment effectiveness for osteoarthritis of the knee: a \nrandomized comparison of supervised clinical exercise and manual therapy \nprocedures versus a home exercise program. Phys Ther. 2005;85:1301–17. \nDeyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC. \nEffectiveness of manual physical therapy and exercise in osteoarthritis of \nthe knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173–81. \nFreburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the \nmanagement of chronic spine disorders: a propensity score approach. Phys \nTher. 2006;86:381–94. \nKuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al. \nEffectiveness of physical therapy in treating atraumatic full-thickness rotator \ncuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013; \n22:1371–9. \nFritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients \nwith low back pain to physical therapy: impact on future health care \nutilization and costs. Spine. 2012;37:2114–21. \nFritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions \nafter a new consultation for low back pain: implications of the usage of \nphysical therapy for subsequent health care costs and utilization. Arch Phys \nMed Rehabil. 2013;94:808–16. \n\nAuthors’ contributions \nTAL provided input on study design and analysis plan, drafted the manuscript \nand approved final version of the manuscript. SZG secured funding, provided \noverall design, gave input on the analysis plan and approved final version of \nthe manuscript. JMB provided input on design and analysis plan and approved \nfinal version of the manuscript. \n\n12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care \nback pain screening tool: identifying patient subgroups for initial treatment. \nArthritis Rheum. 2008;59:632–41. \nTraeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG, \net al. Estimating the risk of chronic pain: development and validation of a \nprognostic model (PICKUP) for patients with acute low back pain. PLoS \nMed. 2016;13:e1002019. \nKarran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al. \nCan screening instruments accurately determine poor outcome risk in \nadults with recent onset low back pain? A systematic review and meta- \nanalysis. BMC Med. 2017;15:13. \n\n13. \n\n14. \n\n15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed5.pdf" + } + ] + }, + { + "references": { + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", + "query": "What is Creative Commons ?", + "target_page": 2, + "target_passage": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn \nOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open \nand public domain works. View full licensing and attribution information about all works included in the \nvideo on Flickr.", + "page_start": 11, + "page_end": 11, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**A Note from Leadership**\n\n\n\n2023 was a busy year at Creative \nCommons. Our**Open Culture**program \nand**Open Climate Campaign**entered \ntheir third and second years, respectively. \nWe hosted our first in-person CC Global \nSummit since 2019 in Mexico City. We \nheld critical consultations and open \npanels on AI, copyright, and the CC \nLicenses, cultural heritage, education, \nand science; and we launched our**Open**\n**Infrastructure Circle**in an effort to \nensure the CC Licenses are funded well \ninto the future. \n\nWe also marked transitions in leadership. \nAt the end of December, Catherine Stihler \nconcluded her time as Chief Executive \nOfficer (CEO) at Creative Commons, and I \ntransitioned in as Interim. In March 2024, I \nwas appointed CC’s permanent CEO. I \nlook forward to working closely with our \nBoard of Directors, staff, and larger \ncommunity on**the critical work that**\n**awaits us in 2024**. \n\n\n\n**Anna Tumadóttir, CEO**", + "page_start": 2, + "page_end": 2, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \n\nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4 \n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as defined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be beneficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5 \n\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this \n4 \nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements. \n\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - \n5 \ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "**Areas of Exploration**\n\n**Support for Creators in the**\n**Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via \nroundtables, community conferences \n(e.g.**MozFest**,**Wikimania**), and public \nevents (e.g. symposium on**Generative**\n**AI & Creativity**)to debate copyright law, \nthe ethics of open sharing, and other \nrelevant areas that touch AI. \n\nAt our CC Global Summit, participants \ndrafted**community-driven principles**\non AI that are a valuable input and will \nhelp inform the organization’s thinking \nas we determine CC’s exact role in the AI \nspace. \n\n\n\n“The Pillars of Creation” by \nJames Webb Space Telescope \nis licensed under CC BY 2.0.", + "page_start": 8, + "page_end": 8, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "***6. Cross-cutting design questions***\n\nThe workshops briefly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \n\n*Would authors, publishers, and other relevant rightsholders*\n*and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \n\nWhile a system that required affirmative “opt-in” consent would limit utility significantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so significant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \n\nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. \n Opt-outs might be more granular, by focusing on allowing or forbidding particular \nuses or other categories of users, given that rights holders have many different sets of \npreferences. \n\n38 \n\nAnother question is about*who*can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n\n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the \n38 \nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.", + "page_start": 17, + "page_end": 17, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \n\nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \n\n*Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n\n•**Defining and ensuring acceptable and ethical use:**Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. \n One can imagine more fine-grained \nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n\n39 \n\n•**Charging for use to support sustainability of the training corpus itself:**While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40 \n\n•**Ensuring benefits of AI are broadly shared, including with book authors or**\n**publishers:**The creation of a training resource might \nlower barriers to the \ndevelopment of AI tools, and in that way support broadly shared benefits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a significant challenge, \nAI might not look much different, and the benefits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n\n For examples of gated access to AI models, see https://huggingface.co/docs/hub/en/models-gated. \n39 \n\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume \n40 \ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/ \nwiki/Wikimedia_Enterprise.", + "page_start": 18, + "page_end": 18, + "source_file": "creative_common_ai.pdf" + } + ] + }, + { + "references": { + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", + "query": "When was the first CC licence created?", + "target_page": 4, + "target_passage": "The first CC License was created in 2002.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Training in how to use CC Licenses is**\n**key to their adoption.**\n\nWe offer a ten-week**CC Certificate**program that is now tailored not only to the \neducation and library sectors, but also galleries, archives, libraries, and museums \nand**available in 10 languages**. \n\n**In 2023, we greatly expanded our CC Licenses**\n**training and education offerings:**\n\n**19 Workshops & Trainings**\nwith institutions like ALA, Connecticut Humanities & State University of New York, \nDigital Research Alliance of Canada, and WikiConf North America. \n\n**2 Week-Long CC Certificate Bootcamps**\nfor California Community Colleges. \n\n**27 Webinars**\non topics like the basics of Open Culture, the possibilties of Open Educational \nResources (OER) for business-university cooperation, and the future of CC Licenses \nin digital and online education. \n\n**12 CC Legal Open Office Hours**\nhosted by our legal team, providing a personalized opportunity for the CC \ncommunity to ask questions about CC Licenses, open access, and sharing.", + "page_start": 4, + "page_end": 4, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "For one assessment of the difficulties of complying with the CC licenses in this context, to the extent \n18 \nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming,*Journal of the Copyright Society*2024. \nhttps://doi.org/10.2139/ssrn.4523551.", + "page_start": 9, + "page_end": 9, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \n\nBy clicking on the**licence name**(here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", + "page_start": 33, + "page_end": 33, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "© Crown copyright 2016 \n\nThis publication is licensed under the terms of the Open Government Licence v3.0 \nexcept where otherwise stated. To view this licence, visit \nnationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the \nInformation Policy Team, The National Archives, Kew, London TW9 4DU, or email: \npsi@nationalarchives.gsi.gov.uk. \n\nWhere we have identified any third party copyright information you will need to obtain \npermission from the copyright holders concerned.", + "page_start": 44, + "page_end": 44, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "advantage to a competitor. Annual \ninvestments in new capabilities, \neducation and continuous improvement help to maintain and improve \nRCI’s security posture. These are focused on protection and prevention, \nrobust detection and advance preparation and planning to help prevent \na potential breach from turning into a crisis. Risk management \nresources continue to be focused in this area. services may be increased from time-to-time as a result of compliance \nwith industry or legislative initiatives to address consumer protection \nconcerns or such Internet-related issues as copyright infringement, \nunsolicited commercial e-mail, cybercrime and lawful access. Our cable, \nwireless and broadcasting licences may not generally be transferred \nwithout regulatory approval. \n\nGenerally, our licences are granted for a specified term and are subject \nto conditions on the maintenance of these licences. These licencing \nconditions may be modified at any time by the regulators. The \nregulators may decide not to renew a licence when it expires, and any \nfailure by us to comply with the conditions on the maintenance of a \nlicence could result in a revocation or forfeiture of any of our licences or \nthe imposition of fines. \n\nWe use standard industry practices for network and information \ntechnology security, survivability and disaster recovery. Our ongoing \nsuccess partly depends on protecting our corporate business-sensitive \ninformation about our customers and \ndata, \nemployees. We treat this information as intellectual property and \nprotect it from unauthorized access and compromise. We rely on our \npolicies and procedures and information technology systems to protect \nthis information. If we do not secure our data and the privacy of our \ncustomer information, we may not be in compliance with regulatory \nstandards and it could result in negative publicity, litigation and damage \nto our \nthese outcomes can cause us to lose \ncustomers or public confidence, or experience financial losses. \n\nincluding personal \n\nThe licences include conditions requiring us to comply with Canadian \nownership restrictions of the applicable legislation. We are currently in \ncompliance with all of \nthese Canadian ownership and control \nrequirements. However, if these requirements are violated, we would \nbe subject to various penalties, possibly including, in the extreme case, \nthe loss of a licence. \n\nreputation. Any of \n\n**Impact of Network Failures on Revenue and Customer Service**\nIf our networks or key network components fail, it could, in some \ncircumstances, result in a loss of service for our customers for an \nindefinite period and have an adverse effect on our results and financial \nposition. We rely on business partners to carry some traffic for some of \nour customers. If one of these carriers has a service failure, it might also \ncause a service interruption for our customers that would last until we \ncould reroute the traffic to another carrier. \n\n**The Wireless Code**\nThe CRTC’s decision to implement its wireless consumer code of \nconduct, among other things, effectively requires Canadian wireless \ncarriers to move away from offering three-year service contracts and \ninstead offer two-year contracts, and this could change our customer \nacquisition and retention costs and subscriber churn. The Wireless Code \nalso sets billing caps on data roaming and domestic data overage \ncharges, creates a prohibition on requiring customers to provide 30- \ndays’ notice of cancellation, and requires the payment of interest on \nsecurity deposits, which could also reduce our results of operations. \n\n**Unauthorized Access to Digital Boxes or Internet Modems**\nWe use encryption technology developed and supported by our vendors \nto protect our cable signals from unauthorized access and to control \naccess to programming based on subscription packages. We also use \nencryption and security technologies to prevent unauthorized access to \nour Internet service.", + "page_start": 78, + "page_end": 78, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**A Note from Leadership**\n\n\n\n2023 was a busy year at Creative \nCommons. Our**Open Culture**program \nand**Open Climate Campaign**entered \ntheir third and second years, respectively. \nWe hosted our first in-person CC Global \nSummit since 2019 in Mexico City. We \nheld critical consultations and open \npanels on AI, copyright, and the CC \nLicenses, cultural heritage, education, \nand science; and we launched our**Open**\n**Infrastructure Circle**in an effort to \nensure the CC Licenses are funded well \ninto the future. \n\nWe also marked transitions in leadership. \nAt the end of December, Catherine Stihler \nconcluded her time as Chief Executive \nOfficer (CEO) at Creative Commons, and I \ntransitioned in as Interim. In March 2024, I \nwas appointed CC’s permanent CEO. I \nlook forward to working closely with our \nBoard of Directors, staff, and larger \ncommunity on**the critical work that**\n**awaits us in 2024**. \n\n\n\n**Anna Tumadóttir, CEO**", + "page_start": 2, + "page_end": 2, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "Our business, except for the non-broadcasting operations of Media, is \nregulated by two groups: \n(cid:129) the Canadian Federal Department of Industry on behalf of the \ncan and do, however, affect the terms and conditions under which we \noffer these services. \n\n**Spectrum Licences**\nIndustry Canada sets technical standards for telecommunications under \nthe*Radiocommunication Act (Canada)*(Radiocommunication Act) and \nthe Telecommunications Act. It licences and oversees: \n(cid:129) the technical aspects of the operation of radio and television stations \n(cid:129) the frequency-related operations of cable television networks \n(cid:129) awarding and supervising spectrum for wireless communications \n\nMinister of Industry (Canada) (together, Industry Canada) \n*Telecommunications Act*\n(Telecommunications Act) and the*Broadcasting Act*\n(Broadcasting Act). \n\n(cid:129) the CRTC, under the \n\nRegulation relates to the following, among other things: \n(cid:129) wireless spectrum and broadcasting licensing \n(cid:129) competition \n(cid:129) the cable television programming services we must, and can, \nsystems in Canada. \n\ndistribute \n\n(cid:129) wireless and wireline interconnection agreements \n(cid:129) rates we can charge third parties for access to our network \n(cid:129) the resale of our networks \n(cid:129) roaming on our networks \n(cid:129) ownership and operation of our communications systems \n(cid:129) our ability to acquire an interest in other communications systems. \n\nOur costs of providing services may increase from time to time as we \ncomply with industry or legislative initiatives to address consumer \nprotection \ncopyright \ninfringement, unsolicited commercial e-mail, cybercrime and lawful \naccess. \n\nconcerns or Internet-related issues like \n\n**Royalties**\nThe Copyright Board of Canada (Copyright Board) oversees the \nadministration of copyright royalties in Canada and establishes the \nroyalties to be paid for the use of certain copyrighted works. It sets the \ncopyright \nroyalties that Canadian broadcasting undertakings, \nincluding cable, radio, television and specialty services, pay to copyright \ncollectives. \n\ntariff \n\nRegulatory changes or decisions can adversely affect our consolidated \nresults of operations. \n\n**Billing and Contracts**\nThe Quebec Consumer Protection Act amendments, effective June \n2010, introduced new provisions applicable to wireless, wireline and \nInternet service contracts. These amendments include new rules on the \ncontent of such contracts, the determination of the early cancellation \nfees that can be charged to customers, the use of security deposits and \nthe cancellation and renewal rights of the consumers. The amendments \nalso established new provisions on the sale of prepaid cards and the \ndisclosure of related costs. \n\nGenerally, our spectrum and broadcast licences are granted for a \nspecified term and are subject to conditions for maintaining these \nlicences. The regulators can modify these licensing conditions at any \ntime, and they can decide not to renew a licence when it expires. If we \ndo not comply with the conditions, a licence may be forfeited or \nrevoked, or we may be fined. \n\nAmendments to the Manitoba Consumer Protection Act took effect in \nSeptember 2012 and parallel the changes to the Quebec Consumer \nProtection Act. Similar legislation also came into effect in September \n2012 in Newfoundland and Labrador and has been tabled in Nova \nScotia. A private member’s bill proposing similar legislation has been \nintroduced in New Brunswick. \n\nThe licences have conditions that require us, amongst other things, to \nthe applicable \ncomply with Canadian ownership restrictions of \nlegislation, and we are currently in compliance with them. If we violate \nthe requirements, we would be subject to various penalties and it could \ninclude losing a licence in extreme cases.", + "page_start": 70, + "page_end": 70, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", + "query": "To what subjects Creative Commons expand its work in 2023 ?", + "target_page": 8, + "target_passage": "We expanded our work in biodiversity, climate, and life sciences focused on ensuring that science research and data are open", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**A Note from Leadership**\n\n\n\n2023 was a busy year at Creative \nCommons. Our**Open Culture**program \nand**Open Climate Campaign**entered \ntheir third and second years, respectively. \nWe hosted our first in-person CC Global \nSummit since 2019 in Mexico City. We \nheld critical consultations and open \npanels on AI, copyright, and the CC \nLicenses, cultural heritage, education, \nand science; and we launched our**Open**\n**Infrastructure Circle**in an effort to \nensure the CC Licenses are funded well \ninto the future. \n\nWe also marked transitions in leadership. \nAt the end of December, Catherine Stihler \nconcluded her time as Chief Executive \nOfficer (CEO) at Creative Commons, and I \ntransitioned in as Interim. In March 2024, I \nwas appointed CC’s permanent CEO. I \nlook forward to working closely with our \nBoard of Directors, staff, and larger \ncommunity on**the critical work that**\n**awaits us in 2024**. \n\n\n\n**Anna Tumadóttir, CEO**", + "page_start": 2, + "page_end": 2, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Areas of Exploration**\n\n**Support for Creators in the**\n**Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via \nroundtables, community conferences \n(e.g.**MozFest**,**Wikimania**), and public \nevents (e.g. symposium on**Generative**\n**AI & Creativity**)to debate copyright law, \nthe ethics of open sharing, and other \nrelevant areas that touch AI. \n\nAt our CC Global Summit, participants \ndrafted**community-driven principles**\non AI that are a valuable input and will \nhelp inform the organization’s thinking \nas we determine CC’s exact role in the AI \nspace. \n\n\n\n“The Pillars of Creation” by \nJames Webb Space Telescope \nis licensed under CC BY 2.0.", + "page_start": 8, + "page_end": 8, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn \nOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open \nand public domain works. View full licensing and attribution information about all works included in the \nvideo on Flickr.", + "page_start": 11, + "page_end": 11, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Our Impact**\n\nCC believes that opening up knowledge is key to addressing the world’s most \npressing challenges. Today, we steer campaigns, programming, and training in \nmany areas: \n\n**Open Culture**\n2023 was quite a year for the CC \nOpen Culture Program, thanks to \ngenerous funding from**Arcadia**. \nWe grew our Open Culture team \nfrom one to two and a half staff, \nrolling out new initiatives like \nTAROC (Towards a \nRecommendation on Open \nCulture) and**Open Culture Live:**\n**A Webinar Series**. We invite you \nto read “**What did Creative**\n**Commons do for Open Culture**\n**in 2023?**” to learn more. \n\n**Open Education**\nWe delivered workshops and \npresentations on CC Licenses and \nOpen Educational Resources at \nover 16 conferences and events. \nThe CC Open Education Platform \nalso funded six global projects, \n**including work to advance the**\n**UNESCO Recommendation on**\n**OER.**\n\n\n\n**Open Journalism**\nThanks to generous funding from \nthe**John D. and Catherine T.**\n**MacArthur Foundation**, CC \nhosted its very first Open \nJournalism track at the CC Global \nSummit, including eight \npresentations, lightning talks, \npanel discussions, and \nworkshops as well as a**keynote**\n**by Anya Kamenetz**. \n\nRepresentatives from 33 news \noutlets and digital rights-focused \norganizations attended the CC \nSummit sessions. The Open \nJournalism track built on \n**numerous collaborations and**\n**workshops**throughout 2023.", + "page_start": 6, + "page_end": 6, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \n\nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4 \n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as defined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be beneficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5 \n\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this \n4 \nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements. \n\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - \n5 \ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "November 2023. \n\n124. \"AI Writing and Content Creation Tools\" (https://mitsloanedtech.mit.edu/ai/tools/writing). MIT \nSloan Teaching & Learning Technologies. Archived (https://web.archive.org/web/202312252 \n32503/https://mitsloanedtech.mit.edu/ai/tools/writing/) from the original on 25 December \n2023. Retrieved 25 December 2023. \n\n125. Marmouyet (2023). \n126. Kobielus (2019). \n127. Thomason, James (21 May 2024). \"Mojo Rising: The resurgence of AI-first programming \n\nlanguages\" (https://venturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-l \nanguages).*VentureBeat*. Archived (https://web.archive.org/web/20240627143853/https://ve \nnturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-languages/) from the \noriginal on 27 June 2024. Retrieved 26 May 2024. \n\n128. Wodecki, Ben (5 May 2023). \"7 AI Programming Languages You Need to Know\" (https://aibu \n\nsiness.com/verticals/7-ai-programming-languages-you-need-to-know).*AI Business*. \nArchived (https://web.archive.org/web/20240725164443/https://aibusiness.com/verticals/7-ai \n-programming-languages-you-need-to-know) from the original on 25 July 2024. Retrieved \n5 October 2024. \n\n129. Plumb, Taryn (18 September 2024). \"Why Jensen Huang and Marc Benioff see 'gigantic' \n\nopportunity for agentic AI\" (https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-s \nee-gigantic-opportunity-for-agentic-ai/).*VentureBeat*. Archived (https://web.archive.org/web/ \n20241005165649/https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-see-gigan \ntic-opportunity-for-agentic-ai/) from the original on 5 October 2024. Retrieved 4 October \n2024. \n\n130. Davenport, T; Kalakota, R (June 2019). \"The potential for artificial intelligence in healthcare\" \n\n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181).*Future Healthc J*.**6**(2): 94–98. \ndoi:10.7861/futurehosp.6-2-94 (https://doi.org/10.7861%2Ffuturehosp.6-2-94). \nPMC 6616181 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181). PMID 31363513 \n(https://pubmed.ncbi.nlm.nih.gov/31363513).", + "page_start": 34, + "page_end": 34, + "source_file": "wikipedia3.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + } + ] + }, + { + "references": { + "source_file": "TSX_KMP_2013.pdf", + "query": "From which country does Killam Properties Inc originate ?", + "target_page": 3, + "target_passage": "Killam Properties Inc. is a growth oriented Canadian real estate company.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "about Killam properties inc. \nKillam Properties Inc. is a growth oriented Canadian real estate \ncompany. We own, manage and develop multi-family residential \nproperties in Atlantic Canada and Ontario. Since our first acquisition \nin 2002, our real estate portfolio has grown to $1.5 billion and \nincludes 12,647 apartment units and 5,164 manufactured home \ncommunity (MHC) sites. We are committed to growing Killam’s \nearnings by maximizing the returns from our existing portfolio and \nexpanding through acquisitions and development. \n\nour mission \nTo have a team of caring staff deliver clean, safe, quality housing to \ntenants who are proud to call our properties home. \n\nour core Values \n\nDo the \n**Right**\nThing \nStrong \n**Customer**\nRelationships Creative \n**Solutions** Curb \n**Appeal** **Build**\nCommunity \n\n\n\n**president’s letter** **9**\n\n**asset portfolio** **18**\n\n**MD&a** **21**\n\n**Financial Statements 66**\n\n**Five-Year Summary** **96**\n\n180 mill street, london, ontario", + "page_start": 2, + "page_end": 2, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**PART II**\n\n**Business Overview**\n\nKillam Properties Inc., based in Halifax, Nova Scotia, is one of Canada’s largest residential landlords, owning, operating, managing and developing \nmulti‑family residential and Manufactured Home Community (“MHC”) properties. Killam’s 164 apartment properties are located in Atlantic \nCanada’s six largest urban centres and in Ontario. The Company’s 35 MHCs are located in Ontario and Atlantic Canada. The value of Killam’s \nreal estate assets at December 31, 2013, was $1.5 billion. Killam is focused on growing its portfolio, maximizing the value of its properties and \nincreasing FFo per share. \n\nKillam was founded in 2000, based on the recognition of an opportunity to create value through the consolidation of apartments in Atlantic \nCanada and MHCs across Canada. Killam’s first apartment was purchased in 2002 and its first MHC was purchased in 2003. From 2002 to 2009, \nKillam’s apartment portfolio grew through the acquisition of properties in Atlantic Canada’s six largest cities, namely Halifax, Moncton, Saint \nJohn, Fredericton, St. John’s and Charlottetown. Killam is now Atlantic Canada’s largest residential landlord, with a 14.2% market share of the \nmulti‑family rental units in these core markets. Killam entered the Ontario apartment market in 2010, and today owns twelve properties in the \nprovince, including assets in Toronto, Ottawa, London and Cambridge. Killam plans to expand its presence in Ontario with additional acquisitions \nand developments. The apartment business is Killam’s largest business segment, accounting for 86% of the Company’s NOI from property \noperations and equity income in 2013. At December 31, 2013, Killam’s apartment portfolio consisted of 12,647 units. \n\nKillam complements its acquisition program with the construction of apartment buildings. During 2013, Killam completed the development \nof four projects totalling 282 units and commenced two additional projects in the second half of the year. Management does not expect \ndevelopments to exceed 5% of the total asset base in any given year. \n\nIn addition, the Company owns MHCs, also known as land‑lease communities or trailer parks. Killam owns the land and infrastructure supporting \neach community and leases the lots to tenants, who own their own homes and pay Killam a monthly site rent. Killam owns 35 communities \nwhich accounted for 14% of Killam’s NOI in 2013. During the year Killam sold ten MHC properties located in New Brunswick, allowing the \nCompany to crystallize the value of the properties at attractive cap‑rates and use the funds to continue to grow the apartment portfolio. \n\n**Key Performance Indicators (KPIs)**\n\nManagement measures Killam’s performance based on the following KPIs: \n\n1. \nFFO per Share – A standard measure of earnings for real estate entities. Management is focused on growing FFO per share on an annual \nbasis. \n\n2. Rental Increases – Management expects to achieve increases in average rental rates on an annual basis and measures the average rental \nincreases achieved. \n\n3. Occupancy – Management is focused on maximizing occupancy levels while also managing the impact of higher rents. This measure \nconsiders units rented as a percentage of total stabilized units at a point in time. \n\n4. \nSame Store NOI Growth – This measure considers the Company’s ability to increase the NOI at properties that it has owned for equivalent \nperiods year‑over‑year, removing the impact of acquisitions, dispositions, developments and other non same store operating adjustments. \n\n5. Weighted average cost of Debt – Killam monitors the weighted average cost of its mortgage debt and total debt. \n\n6. Debt to total assets – Killam measures its debt levels as a percentage of total assets and works to ensure that the debt to total assets \nremains at a range of 55% to 65%. \n\n7. term to maturity – management monitors the average number of years to maturity on its debt.", + "page_start": 22, + "page_end": 22, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "increasing Geographic \nDiversification \n\nWith a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada.", + "page_start": 16, + "page_end": 16, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**1. Corporate Information**\n\nKillam Properties Inc (“Killam” or the “Company”) is a real estate company specializing in the acquisition, management and development of \nmulti‑residential apartment buildings and manufactured home communities in Canada. Killam is incorporated under the Canada Business \nCorporations Act. Killam’s common shares are publicly traded and listed on the Toronto Stock Exchange under the symbol “KMP”. The \nconsolidated financial statements comprise the financial statements of Killam and its subsidiaries as at December 31, 2013**.**the company’s \nhead office operations are located at 3700 Kempt Road, Halifax, Nova Scotia, B3K 4X8 and the Company’s registered office is located at \n2571 Windsor Street, Halifax, Nova Scotia, B3K 5C4. \n\nThe consolidated financial statements of the Company for the year ended December 31, 2013, were authorized for issue in accordance \nwith a resolution of the Board of Directors on Tuesday, February 18, 2014. \n\n**2. Significant Accounting Policies**\n\n**(A) Statement of Compliance**\n\nThese consolidated financial statements have been prepared in accordance with International Financial Reporting Standards (“IFRS”) as \nissued by the International Accounting Standards Board (“IASB”). \n\n**(B) Basis of Presentation**\n\nThe consolidated financial statements of the Company have been prepared on a historical cost basis, except for investment properties that \nhave been measured at fair value. Historical cost is generally based on the fair value of the consideration given in exchange for assets. The \nconsolidated financial statements have been prepared on a going concern basis and are presented in Canadian dollars, which is Killam’s \nfunctional currency, and all values are rounded to the nearest thousand ($000), except when otherwise noted. Standards and guidelines \nnot effective for the current accounting period are described in Note 4. \n\n**(C) Basis of Consolidation**\n\n*(i) Subsidiaries*\nThe consolidated financial statements include the accounts of Killam and its subsidiaries. Non‑controlling interests represent the portion of \nprofit or loss and net assets not held by Killam, and are presented separately in the Consolidated Statements of Income and Comprehensive \nIncome and within equity in the Consolidated Statement of Financial Position, separately from shareholders’ equity. \n\nSubsidiaries are entities controlled by Killam. The financial statements of subsidiaries are included in the consolidated financial statements \nfrom the date that control commences until the date that control ceases. The accounting policies of subsidiaries have been changed when \nnecessary to align them with the policies adopted by Killam. In certain circumstances, Killam has control over entities in which it does not \nown more than 50% of the voting power. \n\nThe Company’s significant investment in subsidiaries and a joint venture, all of which are incorporated in Canada, are listed in the following \ntable: \n\n**Subsidiary** **% Interest**\n\nKillam Properties Inc. 100% \n\nKillam investments inc. 100% \n\nKillam investments (Pei) inc. 100% \n\nKillam Properties Apartments Trust 100% \n\nKillam Properties M.H.C. Trust 100% \n\n661047 n.B. inc. 100% \n\nBlackshire court limited 100% \n\nBlackshire court limited Partnership 95.92% \n\nKillam KFH (180 mill st.) inc. 100% \n\nKillam KFH (Kanata lakes) inc. 100% \n\nKillam KFH (1355 silver spear road) inc. 100% \n\nKillam KFH sigma GP inc. 50% \n\nKillam KFH‑Sigma Properties LP 25%", + "page_start": 69, + "page_end": 69, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "Killam properties inc \n**2013 annual report**", + "page_start": 0, + "page_end": 0, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Killam properties Inc.**\nsuite 100 \n3700 Kempt road \nHalifax, nova scotia \nB3K 4X8 \n\n1.866.453.8900 \nkillamproperties.com \ntsx: kmp", + "page_start": 97, + "page_end": 97, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada. \n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.", + "page_start": 28, + "page_end": 28, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "a Diversified portfolio \n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The \napartment portfolio represents 86% of Killam’s earnings and includes a variety of property types, \nsuch as high-rises, mid-rises and walk-ups, in nine urban centres across five provinces. With a wide \nselection of properties and price points in each city, Killam caters to a broad tenant base. \nKillam’s 35 manufactured home communities represent 14% of earnings and are located \nprimarily in Nova Scotia and Ontario. The manufactured home communities complement the \napartment business, providing stable and predictable cash flows. \n\n\n\n\n\n\n\n\n\ns2, Halifax, nova scotia", + "page_start": 12, + "page_end": 12, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Portfolio Summary**\nThe following table summarizes Killam’s apartment portfolio by market as at and for the year ended December 31, 2013: \n\n**Apartment Properties**\n\n**Number of**\n**Properties** **% of Apartment NOI**\n**and Equity Income** **Units(1)**\n\n**Nova Scotia**\n Halifax(2) \n sydney \n4,970 \n139 \n5,109 54 \n2 \n56 47.1% \n1.2% \n48.3% \n\n**New Brunswick**\n moncton \n Fredericton \n saint John \n miramichi \n\n1,593 \n1,394 \n1,143 \n96 \n4,226 30 \n20 \n13 \n1 \n64 9.8% \n9.9% \n5.6% \n0.7% \n26.0% \n\n**Ontario**(3) \n Ottawa \n london \n cambridge \n toronto \n\n492 \n264 \n225 \n378 \n1,359 6 \n2 \n2 \n2 \n12 2.7% \n2.8% \n3.4% \n1.5% \n10.4% \n\n**Newfoundland and Labrador**\n st. John’s \n Grand Falls \n\n813 \n148 \n961 11 \n2 \n13 \n\n7.3% \n1.1% \n8.4% \n\n**Prince Edward Island**\n Charlottetown \n summerside \n\n6.6% \n0.3% \n6.9% \n**100.0%** **Total**\n\n(1) Unit count includes properties held through Killam’s partnerships and joint ventures. \n(2) Killam owns a 47% interest in and manages Garden Park Apartments, a 246‑unit building located in Halifax, NS. Killam’s 47% ownership interest \nrepresents 116 of the 246 units related to this property. \n(3) Killam owns three buildings located in Ontario through a joint venture, with Killam having a 25% ownership interest and managing the properties. \nKillam’s 25% ownership interest represents 118 of the 472 units related to these properties. \n\n**Manufactured Home Communities Portfolio**\nThe following table summarizes Killam’s MHC investment by province as at and for the year ended December 31, 2013: \n\n**Number of**\n**Communities**\n16 \n1 \n16 \n2 \n**35** **% of MHC**\n**NOI**\n34.3% \n34.2% \n29.3% \n2.2% \n**100.0%** **Sites**\n2,626 \n224 \n2,144 \n170 \n**5,164** Nova Scotia \nnew Brunswick \nontario \nnewfoundland and labrador \n**Total**", + "page_start": 29, + "page_end": 29, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Continued Geographic Expansion in Ontario**\n\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \n\n**Reduced Cap‑Rate Compression in 2013**\n\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance. \n\n**Dividend Increase**\n\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014. \n\n**Performance Compared to 2013 Key Objectives**\n\n**Consolidation of Multi‑family Residential Real Estate Market**\n\n2013 target Complete approximately $75‑$125 million in acquisitions. \n\n2013 Performance \nKillam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments. \n\n**Increase Investment in New Properties**\n\n2013 target \nFocus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n\n2013 Performance \n\nDuring 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \n\nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \n\nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.", + "page_start": 25, + "page_end": 25, + "source_file": "TSX_KMP_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "TSX_KMP_2013.pdf", + "query": "How Killam Properties Inc does increase its geographic diversification ? ", + "target_page": 5, + "target_passage": "We are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. ", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "**Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada. \n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.", + "page_start": 28, + "page_end": 28, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "increasing Geographic \nDiversification \n\nWith a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada.", + "page_start": 16, + "page_end": 16, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "We are increasing our geographic \ndiversification by expanding our \napartment ownership outside Atlantic \nCanada. Over the last four years we have \ninvested approximately $200 million in \napartments located in Ontario and at the \nend of 2013 owned 1,359 units in three \ncore Ontario markets: Ottawa, Toronto and \nSouthwestern Ontario. Our long-term goal \nis to have 50% of our earnings generated \noutside Atlantic Canada. We plan to \nachieve this by focusing future acquisition \nand development activity in Ontario, and \npotentially Western Canada. \n\n**Increasing Geographic**\n**Diversification** **Investing in**\n**newer properties**\n\nWe are expanding our portfolio with a \nfocus on acquiring newer properties \nand through development. We believe \nthat newer buildings often generate \nhigher total returns due to limited \ndeferred maintenance requirements, \nlower operating costs and a preference \nfor renters to live in newer buildings. \nWith 35% of Killam’s apartment portfolio \nconstructed since the year 2000, Killam has \none of the newest multi-family real estate \nportfolios in Canada. \n\n**apartment Value by Year**\n**of Construction**\n\n**annual apartment net operating**\n**and equity Income from**\n**atlantic Canada and ontario**\n$ millions \n\nAtlantic Canada ontario \n$80 \n\n$70 \n\n$60 \n\n$50 \n\n**2000 + | 35%**\n**1990 - 99 | 10%**\n**1980 - 89 | 6%**\n**1970 - 79 | 25%**\n**Pre 1970 | 24%**\n\n$40 \n\n$30 \n\n$20 \n\n$10 \n\n$0 \n 09 10 11 12 13", + "page_start": 4, + "page_end": 4, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "development program to a maximum of 5% of our balance sheet per year. We \nhave three other developments projects in various planning stages, but don’t \nexpect to begin construction on any additional new projects until late 2014 or \ninto 2015. \n\n**Geographic Diversification is a Priority**\n\nGeographic diversification is a priority for Killam. Our asset base in Atlantic \nCanada is the foundation of the Company; however, with Atlantic Canada \nrepresenting only 5% of the Canadian rental market, our growth opportunities \nincrease significantly by expanding our target markets outside of this region. \nWith its strong operating platform, Killam can support a larger and more \ngeographically diverse portfolio. We are actively growing a portfolio of \napartments in Ontario in three target markets: Ottawa, the Greater Toronto \nArea, and Southwestern Ontario. An increased investment outside Atlantic \nCanada will increase not only Killam’s growth potential, it will also expand the \nCompany’s diversification and exposure to higher growth markets. \n\nAcquisitions in Ontario represented 45% of acquisitions in 2013. In addition \nto 1,359 apartment units in the province, we also have 2,144 manufactured \nhome community sites, representing 29% of the MHC NOI last year. Based on \nour current portfolio, 15% of Killam’s 2014 NOI will be generated in Ontario, \ncompared to our longer-term goal of generating 50% of NOI outside Atlantic \nCanada. We expect to reach this goal by focusing acquisition activity in \nOntario, with the majority of future investment anticipated in the province over \nthe next few years. We will look for additional development opportunities in \nOntario and we are exploring opportunities in Western Canada, attracted by \nthe strong population growth trends in Alberta’s urban markets. \n\nI would like to thank all Killam employees for their contributions and \ncommitment over the last year and our board of directors for their governance. \nAlso, I would like to thank you, our shareholders, for your continued investment \nin Killam. I invite you to attend the Company’s annual meeting on May 7, 2014 \nat 2:00 pm Atlantic Time at the Halifax Marriott Harbourfront Hotel, either in \nperson or via webcast. \n\nYours truly,", + "page_start": 10, + "page_end": 10, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "about Killam properties inc. \nKillam Properties Inc. is a growth oriented Canadian real estate \ncompany. We own, manage and develop multi-family residential \nproperties in Atlantic Canada and Ontario. Since our first acquisition \nin 2002, our real estate portfolio has grown to $1.5 billion and \nincludes 12,647 apartment units and 5,164 manufactured home \ncommunity (MHC) sites. We are committed to growing Killam’s \nearnings by maximizing the returns from our existing portfolio and \nexpanding through acquisitions and development. \n\nour mission \nTo have a team of caring staff deliver clean, safe, quality housing to \ntenants who are proud to call our properties home. \n\nour core Values \n\nDo the \n**Right**\nThing \nStrong \n**Customer**\nRelationships Creative \n**Solutions** Curb \n**Appeal** **Build**\nCommunity \n\n\n\n**president’s letter** **9**\n\n**asset portfolio** **18**\n\n**MD&a** **21**\n\n**Financial Statements 66**\n\n**Five-Year Summary** **96**\n\n180 mill street, london, ontario", + "page_start": 2, + "page_end": 2, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Geographic**\n**Diversification**\n\n2013 target 2013 acquisition program to include investments in Ontario. \n\n 2013 Performance \n\nDuring 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West \nin Toronto. These acquisitions increased Killam’s total unit count in Ontario to 1,359 units, representing \n11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by \nadding property managers, dedicated leasing representatives and administrative staff to manage the growing \nportfolio. \n\n**Growth in Same Store**\n**Net Operating Income**\n\n2013 target Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013). \n\n 2013 Performance \n\nconsolidated same store noi decreased by 0.4% for the year ended December 31, 2013. this decrease was \ndriven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first \nquarter as well as another spike in pricing in new Brunswick in December 2013. this resulted in a 14.6% \nincrease in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net \nproperty revenues, as well the management of other property operating expenses at levels consistent with \n2012, helped to offset the impact of higher utility costs. \n\n**2014 Targets**\n\n**Consolidation of Multi‑family Residential Real Estate Market**\n**and Increase Investment New Properties** Complete a minimum of $75 million in acquisitions and continue to \ndevelop two current projects on schedule and within 5% of budget.", + "page_start": 26, + "page_end": 26, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "a Diversified portfolio \n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The \napartment portfolio represents 86% of Killam’s earnings and includes a variety of property types, \nsuch as high-rises, mid-rises and walk-ups, in nine urban centres across five provinces. With a wide \nselection of properties and price points in each city, Killam caters to a broad tenant base. \nKillam’s 35 manufactured home communities represent 14% of earnings and are located \nprimarily in Nova Scotia and Ontario. The manufactured home communities complement the \napartment business, providing stable and predictable cash flows. \n\n\n\n\n\n\n\n\n\ns2, Halifax, nova scotia", + "page_start": 12, + "page_end": 12, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Continued Geographic Expansion in Ontario**\n\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \n\n**Reduced Cap‑Rate Compression in 2013**\n\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance. \n\n**Dividend Increase**\n\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014. \n\n**Performance Compared to 2013 Key Objectives**\n\n**Consolidation of Multi‑family Residential Real Estate Market**\n\n2013 target Complete approximately $75‑$125 million in acquisitions. \n\n2013 Performance \nKillam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments. \n\n**Increase Investment in New Properties**\n\n2013 target \nFocus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n\n2013 Performance \n\nDuring 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \n\nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \n\nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.", + "page_start": 25, + "page_end": 25, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Business Strategy**\n\n**Maximize NOI from Existing Portfolio**\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI \ngrowth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, \ninvesting in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes. \n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property \ngeneral and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam’s \napartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on \nKillam’s operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy \nusage. \n\n**Growth through Acquisitions**\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 \nmillion in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island. \n\n**Growth through Development**\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed \nfive properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, \nmaximizes the use of excess land and eliminates the seller’s profit, generating higher returns than through acquisitions. Management expects to \nlimit development projects to approximately 5% of the balance sheet on an annual basis. \n\n**Investment in New Properties**\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam’s ownership \nin new, high‑quality buildings will result in above‑market and long‑term demand for the Company’s assets from an aging population, reduce \nannual capital requirements for deferred maintenance, and transform Killam’s portfolio, over time, into one of the highest quality portfolios in \ncanada. \n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC’s Fall 2013 \nHalifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. \nThe average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of \n$976. \n\nThe new properties added to Killam’s portfolio are condo quality, providing tenants with features and amenities traditionally associated with \nownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners \nreaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new \nassets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount \nof annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally \nhigher in newer buildings. \n\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between \nolder and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a \nsignificant premium for quality assets. \n\n**Geographic Diversification**", + "page_start": 28, + "page_end": 28, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Increased Supply Risk**\nIncreased supply risk is the risk of loss from increased competition from the addition of new rental units in Killam’s core markets. Numerous \nother residential developers and apartment owners compete for potential tenants. Although it is Killam’s strategy to own multifamily residential \nproperties in premier locations in each market in which it operates, some of the apartments or MHCs of Killam’s competitors may be newer, \nbetter located or offer lower rents. An increase in alternative housing could have a material adverse effect on Killam’s ability to lease units and \nin the rents charged and could adversely affect Killam’s revenues and ability to meet its obligations. To mitigate against this risk Killam has a \ngeographically diverse asset base. Management is expanding this diversification by increasing Killam’s investment in apartment markets outside \nAtlantic Canada. \n\n**Credit Risk**\nCredit risk arises from the possibility that tenants may experience financial difficulty and be unable to fulfill their lease term commitments. The \nCompany mitigates the risk of credit loss through the diversification of its existing portfolio and limiting its exposure to any one tenant. Credit \nassessments are conducted with respect to all new leasing and the Company also obtains a security deposit to assist in potential recovery \nrequirements. In addition, the receivable balances are monitored on an ongoing basis with the result that the Company’s exposure to bad debt is \nnot significant. The Company’s bad debt expense experience has historically been less than 0.4% of revenues. None of Killam’s tenants account \nfor more than 1% of tenant receivables. \n\n**Development Risk**\nDevelopment risk is the risk that costs of developments will exceed original estimates, unforeseen delays occur and/or units will not be leased in \nthe timeframe and/or at rents anticipated. Killam minimizes its exposure to development risk my limiting the amount of development underway \nat any one time. To reduce the Company’s exposure to price increases, Killam enters into fixed‑rate contracts when possible. To reduce the \nlease‑up risk, Killam does extensive market research in advance of each development to support expected rental rates, and pre‑markets its \nproperties early on in the process, to increase demand for the new developments.", + "page_start": 58, + "page_end": 58, + "source_file": "TSX_KMP_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "TSX_KMP_2013.pdf", + "query": "What is the Killam Properties Inc 2013 performance about the Geographic Diversification objective ?", + "target_page": 8, + "target_passage": "Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. ", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "Killam properties inc \n**2013 annual report**", + "page_start": 0, + "page_end": 0, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada. \n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.", + "page_start": 28, + "page_end": 28, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Geographic**\n**Diversification**\n\n2013 target 2013 acquisition program to include investments in Ontario. \n\n 2013 Performance \n\nDuring 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West \nin Toronto. These acquisitions increased Killam’s total unit count in Ontario to 1,359 units, representing \n11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by \nadding property managers, dedicated leasing representatives and administrative staff to manage the growing \nportfolio. \n\n**Growth in Same Store**\n**Net Operating Income**\n\n2013 target Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013). \n\n 2013 Performance \n\nconsolidated same store noi decreased by 0.4% for the year ended December 31, 2013. this decrease was \ndriven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first \nquarter as well as another spike in pricing in new Brunswick in December 2013. this resulted in a 14.6% \nincrease in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net \nproperty revenues, as well the management of other property operating expenses at levels consistent with \n2012, helped to offset the impact of higher utility costs. \n\n**2014 Targets**\n\n**Consolidation of Multi‑family Residential Real Estate Market**\n**and Increase Investment New Properties** Complete a minimum of $75 million in acquisitions and continue to \ndevelop two current projects on schedule and within 5% of budget.", + "page_start": 26, + "page_end": 26, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Objective** **2013 Target** **2013 Performance**\n\n**Consolidation of**\n**the Multi-family**\n**Residential Real Estate**\n**Market**\n\nTo complete $75 million \nto $125 million in \nacquisitions. \n\nTarget achieved. $121 million in acquisitions \ncompleted in 2013, including $113 million in \napartment acquisitions, $7 million for three \nparcels of land for future development and $1 \nmillion for an MHC acquisition. \n\n**Increase Investment in**\n**New Properties**\n\nAcquire new properties \nas part of the acquisition \nprogram in 2013. \n\nTarget achieved. During 2013, 74% of the total \nunits added to the portfolio were constructed \nafter 2001. These acquisitions included three \nbuildings constructed in 2013, a 179-unit \nbuilding on Queen Street West in Toronto, an \n83-unit luxury building in Halifax, and a 48-unit \nbuilding in Moncton. \n\nComplete and lease- \nup Killam's four \ndevelopments and \ncommence two new \ndevelopment projects. \n\nTarget partially achieved. The Company \ncompleted the construction of four \ndevelopment projects totaling 282 units during \nthe first half of 2013. Two of the properties, \nBennett House and Brighton House, were \nfully leased within three months of opening, \nwhile S2 and The Plaza are expected to be \nsubstantially leased by the middle of 2014. \nKillam began two new developments during \nthe second half of the year, a 101-unit building \nin St. John’s, Newfoundland, and a 122-unit \nbuilding in Cambridge, Ontario. \n\n**Geographic**\n**Diversification**\n\n2013 acquisition \nprogram to include \ninvestments in Ontario. \n\nTarget achieved. Killam acquired $55 million in \nOntario real estate in 2013, representing 45% \nof its acquisition program in the year. Assets \nacquired included a 102-unit property in \nOttawa, a newly built, 179-unit, mixed-used \nproperty in downtown Toronto and a 5.2 acre \nparcel of land for development in Cambridge, \nOntario. \n\n**Growth in Same Store**\n**Net Operating Income**\n**(NOI)**\n\nSame store NOI growth \nof 2% to 4% in 2013. \n\nTarget not achieved. Despite generating 1.8% \ngrowth in same store revenue, high natural gas \nprices in Atlantic Canada caused total same \nstore utility and fuel expenses to increase 13.8% \nduring the year, which resulted in a decrease in \nsame store NOI of 0.4% for the year.", + "page_start": 7, + "page_end": 7, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Continued Geographic Expansion in Ontario**\n\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \n\n**Reduced Cap‑Rate Compression in 2013**\n\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance. \n\n**Dividend Increase**\n\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014. \n\n**Performance Compared to 2013 Key Objectives**\n\n**Consolidation of Multi‑family Residential Real Estate Market**\n\n2013 target Complete approximately $75‑$125 million in acquisitions. \n\n2013 Performance \nKillam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments. \n\n**Increase Investment in New Properties**\n\n2013 target \nFocus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n\n2013 Performance \n\nDuring 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \n\nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \n\nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.", + "page_start": 25, + "page_end": 25, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Summary of 2013 Results and Operations**\n\n**Acquisitions and Developments Drive Revenue Growth of 5.6%**\n\nKillam completed $114.2 million in property acquisitions throughout 2013 and also completed $69.6 million of development projects in the first \nhalf of 2013, adding 1,025 apartment units and 65 MHC sites to the portfolio. $84.8 million of acquisitions completed throughout 2012 also \ncontributed to revenue growth in 2013. This growth was partially offset by the disposition of ten MHC properties located in New Brunswick for \nproceeds of $69.0 million during the fourth quarter of 2013 and the disposition of twelve MHCs during 2012 for $72.9 million. The development \nprojects completed in 2013 located in Halifax and Fredericton are expected to be substantially leased by mid‑2014 and will generate additional \nrevenue growth for the company in 2014. \n\n**Consolidated Same Store Revenue Growth of 1.8%**\n\nKillam’s same store portfolio posted a 1.8% increase in revenue growth compared to 2012, driven by an increase of 1.3% in rental rates related \nto the apartment portfolio and a 3.7% increase in rental rates related to the MHC portfolio. These rental rate gains were partially offset by higher \nvacancy during the first half of 2013, compared to 2012, and higher rental incentives due to increased competition in certain of the Company’s \ncore markets in Atlantic Canada as a result of increased supply. \n\nThe Halifax market, which comprises approximately 50% of the Company’s same store apartments, contributed to the rental growth, posting a \n2.5% increase in residential rents. The improved top‑line growth in Halifax reflects the marketing and leasing changes implemented in 2013 and \nthe quality and location of the Company’s assets in the city. Growth in Halifax offset the Charlottetown and Saint John markets, which saw flat \nrevenues year‑over‑year and a decline of 2.4% in revenue, respectively. \n\n**14% Increase in Same Store Utility Costs Due to Pressure on Natural Gas Pricing**\n\nDuring the first quarter of 2013 the Company experienced high natural gas prices as a result of supply constraints and high demand from utilities \nin New England, which drove up pricing within Atlantic Canada. Unanticipated disruptions at the Sable Offshore Energy project and delays in the \nDeep Panuke Project coming on‑line created a regional supply deficit and forced distributors to purchase the commodity at higher prices from \nthe day markets in the Northeastern United States. During the fourth quarter of 2013 Killam also saw a spike in pricing, specifically in the New \nBrunswick market, as colder than normal weather increased demand from utilities in Northeast New England and placed added pressure on \nday pricing in a market with a shortage of gas pipeline capacity. Pricing was more stable during the fourth quarter in Nova Scotia as the region’s \nlargest supplier had previously entered into a number of fixed gas‑supply contracts for the 2013‑2014 heating season. \n\n**Stability in Controllable Operating Costs**\n\nExcluding energy and property taxes, Killam delivered an impressively modest 0.3% increase in same store operating expenses in 2013 compared \nto 2012. Killam managed operating costs by renegotiating key contracts, including garbage and elevator contracts, and reducing repair and \nmaintenance and property administrative expenses through a company‑wide focus on minimizing discretionary spending. In addition, the \nincrease in same store property tax expense was managed to 2.8% as a result of successful assessment appeals. \n\n**Interest Cost Savings on Refinancings**", + "page_start": 24, + "page_end": 24, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "We are increasing our geographic \ndiversification by expanding our \napartment ownership outside Atlantic \nCanada. Over the last four years we have \ninvested approximately $200 million in \napartments located in Ontario and at the \nend of 2013 owned 1,359 units in three \ncore Ontario markets: Ottawa, Toronto and \nSouthwestern Ontario. Our long-term goal \nis to have 50% of our earnings generated \noutside Atlantic Canada. We plan to \nachieve this by focusing future acquisition \nand development activity in Ontario, and \npotentially Western Canada. \n\n**Increasing Geographic**\n**Diversification** **Investing in**\n**newer properties**\n\nWe are expanding our portfolio with a \nfocus on acquiring newer properties \nand through development. We believe \nthat newer buildings often generate \nhigher total returns due to limited \ndeferred maintenance requirements, \nlower operating costs and a preference \nfor renters to live in newer buildings. \nWith 35% of Killam’s apartment portfolio \nconstructed since the year 2000, Killam has \none of the newest multi-family real estate \nportfolios in Canada. \n\n**apartment Value by Year**\n**of Construction**\n\n**annual apartment net operating**\n**and equity Income from**\n**atlantic Canada and ontario**\n$ millions \n\nAtlantic Canada ontario \n$80 \n\n$70 \n\n$60 \n\n$50 \n\n**2000 + | 35%**\n**1990 - 99 | 10%**\n**1980 - 89 | 6%**\n**1970 - 79 | 25%**\n**Pre 1970 | 24%**\n\n$40 \n\n$30 \n\n$20 \n\n$10 \n\n$0 \n 09 10 11 12 13", + "page_start": 4, + "page_end": 4, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "increasing Geographic \nDiversification \n\nWith a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada.", + "page_start": 16, + "page_end": 16, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "development program to a maximum of 5% of our balance sheet per year. We \nhave three other developments projects in various planning stages, but don’t \nexpect to begin construction on any additional new projects until late 2014 or \ninto 2015. \n\n**Geographic Diversification is a Priority**\n\nGeographic diversification is a priority for Killam. Our asset base in Atlantic \nCanada is the foundation of the Company; however, with Atlantic Canada \nrepresenting only 5% of the Canadian rental market, our growth opportunities \nincrease significantly by expanding our target markets outside of this region. \nWith its strong operating platform, Killam can support a larger and more \ngeographically diverse portfolio. We are actively growing a portfolio of \napartments in Ontario in three target markets: Ottawa, the Greater Toronto \nArea, and Southwestern Ontario. An increased investment outside Atlantic \nCanada will increase not only Killam’s growth potential, it will also expand the \nCompany’s diversification and exposure to higher growth markets. \n\nAcquisitions in Ontario represented 45% of acquisitions in 2013. In addition \nto 1,359 apartment units in the province, we also have 2,144 manufactured \nhome community sites, representing 29% of the MHC NOI last year. Based on \nour current portfolio, 15% of Killam’s 2014 NOI will be generated in Ontario, \ncompared to our longer-term goal of generating 50% of NOI outside Atlantic \nCanada. We expect to reach this goal by focusing acquisition activity in \nOntario, with the majority of future investment anticipated in the province over \nthe next few years. We will look for additional development opportunities in \nOntario and we are exploring opportunities in Western Canada, attracted by \nthe strong population growth trends in Alberta’s urban markets. \n\nI would like to thank all Killam employees for their contributions and \ncommitment over the last year and our board of directors for their governance. \nAlso, I would like to thank you, our shareholders, for your continued investment \nin Killam. I invite you to attend the Company’s annual meeting on May 7, 2014 \nat 2:00 pm Atlantic Time at the Halifax Marriott Harbourfront Hotel, either in \nperson or via webcast. \n\nYours truly,", + "page_start": 10, + "page_end": 10, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**Business Strategy**\n\n**Maximize NOI from Existing Portfolio**\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI \ngrowth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, \ninvesting in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes. \n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property \ngeneral and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam’s \napartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on \nKillam’s operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy \nusage. \n\n**Growth through Acquisitions**\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 \nmillion in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island. \n\n**Growth through Development**\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed \nfive properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, \nmaximizes the use of excess land and eliminates the seller’s profit, generating higher returns than through acquisitions. Management expects to \nlimit development projects to approximately 5% of the balance sheet on an annual basis. \n\n**Investment in New Properties**\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam’s ownership \nin new, high‑quality buildings will result in above‑market and long‑term demand for the Company’s assets from an aging population, reduce \nannual capital requirements for deferred maintenance, and transform Killam’s portfolio, over time, into one of the highest quality portfolios in \ncanada. \n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC’s Fall 2013 \nHalifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. \nThe average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of \n$976. \n\nThe new properties added to Killam’s portfolio are condo quality, providing tenants with features and amenities traditionally associated with \nownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners \nreaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new \nassets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount \nof annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally \nhigher in newer buildings. \n\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between \nolder and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a \nsignificant premium for quality assets. \n\n**Geographic Diversification**", + "page_start": 28, + "page_end": 28, + "source_file": "TSX_KMP_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv2_taclccby4_license.pdf", + "query": "What is the conventional workflow for BERT ?", + "target_page": 1, + "target_passage": "The conventional workflow for BERT consists of two stages: pre-training and fine-tuning. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Anna Rogers \nCenter for Social Data Science \nUniversity of Copenhagen \narogers@sodas.ku.dk Olga Kovaleva \nDept. of Computer Science \nUniversity of Massachusetts Lowell \nokovalev@cs.uml.edu Anna Rumshisky \nDept. of Computer Science \nUniversity of Massachusetts Lowell \narum@cs.uml.edu \n\nimprove BERT’s architecture, pre-training and fine- \ntuning. We conclude by discussing the issue of \noverparameterization, the approaches to compress- \ning BERT, and the nascent area of pruning as a \nmodel analysis technique. \n\nAbstract \n\nTransformer-based models have pushed state \nof the art in many areas of NLP, but our un- \nderstanding of what is behind their success \nis still limited. This paper is the first sur- \nvey of over 150 studies of the popular BERT \nmodel. We review the current state of knowl- \nedge about how BERT works, what kind \nof information it learns and how it is repre- \nsented, common modifications to its training \nobjectives and architecture, the overparame- \nterization issue and approaches to compres- \nsion. We then outline directions for future \nresearch. \n\n0 \n2 \n0 \n2 \n\nv \no \nN \n9 \n\n] \nL \nC \n. \ns \nc \n[ \n\n3 \nv \n7 \n2 \n3 \n2 \n1 \n. \n2 \n0 \n0 \n2 \n: \nv \ni \nX \nr \na \n\nFundamentally, BERT is a stack of Transformer \nencoder layers (Vaswani et al., 2017) which consist \nof multiple self-attention \"heads\". For every input \ntoken in a sequence, each head computes key, value \nand query vectors, used to create a weighted repre- \nsentation. The outputs of all heads in the same layer \nare combined and run through a fully-connected \nlayer. Each layer is wrapped with a skip connection \nand followed by layer normalization. \n\nThe conventional workflow for BERT consists \nof two stages: pre-training and fine-tuning. Pre- \ntraining uses two self-supervised tasks: masked \nlanguage modeling (MLM, prediction of randomly \nmasked input tokens) and next sentence prediction \n(NSP, predicting if two input sentences are adjacent \nto each other). In fine-tuning for downstream ap- \nplications, one or more fully-connected layers are \ntypically added on top of the final encoder layer. \n\nThe input representations are computed as fol- \nlows: each word in the input is first tokenized into \nwordpieces (Wu et al., 2016), and then three em- \nbedding layers (token, position, and segment) are \ncombined to obtain a fixed-length vector. Special \ntoken [CLS] is used for classification predictions, \nand [SEP] separates input segments. \n\nGoogle1 and HuggingFace (Wolf et al., 2020) \nprovide many variants of BERT, including the orig- \ninal \"base\" and \"large\" versions. They vary in the \nnumber of heads, layers, and hidden state size. \n\n1https://github.com/ \ngoogle-research/bert \n\nSince their introduction in 2017, Transformers \n(Vaswani et al., 2017) have taken NLP by storm, \noffering enhanced parallelization and better model- \ning of long-range dependencies. The best known \nTransformer-based model is BERT (Devlin et al., \n2019); it obtained state-of-the-art results in numer- \nous benchmarks and is still a must-have baseline. \nWhile it is clear that BERT works remarkably \nwell, it is less clear why, which limits further \nhypothesis-driven improvement of the architecture. \nUnlike CNNs, the Transformers have little cogni- \ntive motivation, and the size of these models limits \nour ability to experiment with pre-training and per- \nform ablation studies. This explains a large number \nof studies over the past year that attempted to un- \nderstand the reasons behind BERT’s performance. \nIn this paper, we provide an overview of what \nhas been learned to date, highlighting the questions \nwhich are still unresolved. We first consider the \nlinguistic aspects of it, i.e., the current evidence \nregarding the types of linguistic and world knowl- \nedge learned by BERT, as well as where and how \nthis knowledge may be stored in the model. We \nthen turn to the technical aspects of the model and \nprovide an overview of the current proposals to", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Stochastic Parrots \n\nmBERT across 29 tasks. Either way, these models do not address \nthe inclusion problems raised by [65], who note that over 90% of \nthe world’s languages used by more than a billion people currently \nhave little to no support in terms of language technology. \n\nAlongside work investigating what information the models re- \ntain from the data, we see a trend in reducing the size of these \nmodels using various techniques such as knowledge distillation \n[26, 58], quantization [118, 153], factorized embedding parame- \nterization and cross-layer parameter sharing [70], and progressive \nmodule replacing [146]. Rogers et al. [110] provide a comprehensive \ncomparison of models derived from BERT using these techniques, \nsuch as DistilBERT [113] and ALBERT [70]. While these models \nmaintain and sometimes exceed the performance of the original \nBERT model, despite their much smaller size, they ultimately still \nrely on large quantities of data and significant processing and stor- \nage capabilities to both hold and reduce the model. \n\nWe note that the change from n-gram LMs to word vectors dis- \ntilled from neural LMs to pretrained Transformer LMs is paralleled \nby an expansion and change in the types of tasks they are use- \nful for: n-gram LMs were initially typically deployed in selecting \namong the outputs of e.g. acoustical or translation models; the \nLSTM-derived word vectors were quickly picked up as more effec- \ntive representations of words (in place of bag of words features) \nin a variety of NLP tasks involving labeling and classification; and \nthe pretrained Transformer models can be retrained on very small \ndatasets (few-shot, one-shot or even zero-shot learning) to perform \napparently meaning-manipulating tasks such as summarization, \nquestion answering and the like. Nonetheless, all of these systems \nshare the property of being LMs in the sense we give above, that \nis, systems trained to predict sequences of words (or characters or \nsentences). Where they differ is in the size of the training datasets \nthey leverage and the spheres of influence they can possibly affect. \nBy scaling up in these two ways, modern very large LMs incur new \nkinds of risk, which we turn to in the following sections.", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "• Alternatives to masking. Raffel et al. (2019) \nexperiment with replacing and dropping spans, \nLewis et al. (2019) explore deletion, infilling, \nsentence permutation and document rotation, \nand Sun et al. (2019c) predict whether a to- \nken is capitalized and whether it occurs in \nother segments of the same document. Yang \net al. (2019) train on different permutations \nof word order in the input sequence, maximiz- \ning the probability of the original word order \n(cf. the n-gram word order reconstruction task \n(Wang et al., 2019a)). Clark et al. (2020) de- \ntect tokens that were replaced by a generator \nnetwork rather than masked. Although BERT is already actively used as a \nsource of world knowledge (see subsection 3.3), \nthere is also work on explicitly supplying struc- \nOne approach is entity- \ntured knowledge. \nenhanced models. For example, Peters et al. \n(2019a); Zhang et al. (2019) include entity em-", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "5.4 Fine-tuning BERT \n\nPre-training + fine-tuning workflow is a crucial \npart of BERT. The former is supposed to provide \ntask-independent knowledge, and the latter would \npresumably teach the model to rely more on the \nrepresentations useful for the task at hand. \n\nKovaleva et al. (2019) did not find that to be the \ncase for BERT fine-tuned on GLUE tasks5: dur- \ning fine-tuning, the most changes for 3 epochs oc- \ncurred in the last two layers of the models, but those \nchanges caused self-attention to focus on [SEP] \nrather than on linguistically interpretable patterns. \nIt is understandable why fine-tuning would increase \nthe attention to [CLS], but not [SEP]. If Clark \net al. (2019) are correct that [SEP] serves as \"no- \nop\" indicator, fine-tuning basically tells BERT what \nto ignore. \n\nFigure 5: Pre-trained weights help BERT find wider \noptima in fine-tuning on MRPC (right) than training \nfrom scratch (left) (Hao et al., 2019) \n\nbeddings as input for training BERT, while Po- \nerner et al. (2019) adapt entity vectors to BERT \nrepresentations. As mentioned above, Wang et al. \n(2020c) integrate knowledge not through entity em- \nbeddings, but through additional pre-training ob- \njective of knowledge base completion. Sun et al. \n(2019b,c) modify the standard MLM task to mask \nnamed entities rather than random words, and Yin \net al. (2020) train with MLM objective over both \ntext and linearized table data. Wang et al. (2020a) \nenhance RoBERTa with both linguistic and factual \nknowledge with task-specific adapters. \n\nSeveral studies explored the possibilities of im- \n\nproving the fine-tuning of BERT: \n\n• Taking more layers into account: learning \na complementary representation of the infor- \nmation in deep and output layers (Yang and \nZhao, 2019), using a weighted combination \nof all layers instead of the final one (Su and \nCheng, 2019; Kondratyuk and Straka, 2019), \nand layer dropout (Kondratyuk and Straka, \n2019). \n\n• Two-stage fine-tuning introduces an inter- \nmediate supervised training stage between \npre-training and fine-tuning (Phang et al., \n2019; Garg et al., 2020; Arase and Tsujii, \n2019; Pruksachatkun et al., 2020; Glavaš and \nVuli´c, 2020). Ben-David et al. (2020) propose \na pivot-based variant of MLM to fine-tune \nBERT for domain adaptation. \n\n• Adversarial token perturbations improve \nrobustness of the model (Zhu et al., 2019). \n• Adversarial regularization in combination \nwith Bregman Proximal Point Optimization \nhelps alleviate pre-trained knowledge forget- \nting and therefore prevents BERT from overfit- \nting to downstream tasks (Jiang et al., 2019a). \n• Mixout regularization improves the stability \nof BERT fine-tuning even for a small number \nof training examples (Lee et al., 2019). \n\nPre-training is the most expensive part of train- \ning BERT, and it would be informative to know \nhow much benefit it provides. On some tasks, a \nrandomly initialized and fine-tuned BERT obtains \ncompetitive or higher results than the pre-trained \nBERT with the task classifier and frozen weights \n(Kovaleva et al., 2019). The consensus in the com- \nmunity is that pre-training does help in most situa- \ntions, but the degree and its exact contribution re- \nquires further investigation. Prasanna et al. (2020) \nfound that most weights of pre-trained BERT are \nuseful in fine-tuning, although there are \"better\" \nand \"worse\" subnetworks. One explanation is that \npre-trained weights help the fine-tuned BERT find \nwider and flatter areas with smaller generalization \nerror, which makes the model more robust to over- \nfitting (see Figure 5 from Hao et al. (2019)). \n\nGiven the large number and variety of proposed \nmodifications, one would wish to know how much \nimpact each of them has. However, due to the \noverall trend towards large model sizes, systematic \nablations have become expensive. Most new mod- \nels claim superiority on standard benchmarks, but \ngains are often marginal, and estimates of model \nstability and significance testing are very rare.", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "be successfully approximated with adapter mod- \nules. They achieve competitive performance on \n26 classification tasks at a fraction of the computa- \ntional cost. Adapters in BERT were also used for \nmulti-task learning (Stickland and Murray, 2019) \nand cross-lingual transfer (Artetxe et al., 2019). An \nalternative to fine-tuning is extracting features from \nfrozen representations, but fine-tuning works better \nfor BERT (Peters et al., 2019b). \n\nDepending on the task, some BERT heads/layers \nare not only redundant (Kao et al., 2020), but also \nharmful to the downstream task performance. Pos- \nitive effect from head disabling was reported for \nmachine translation (Michel et al., 2019), abstrac- \ntive summarization (Baan et al., 2019), and GLUE \ntasks (Kovaleva et al., 2019). Additionally, Ten- \nney et al. (2019a) examine the cumulative gains of \ntheir structural probing classifier, observing that in \n5 out of 8 probing tasks some layers cause a drop \nin scores (typically in the final layers). Gordon \net al. (2020) find that 30–40% of the weights can \nbe pruned without impact on downstream tasks. \n\nA big methodological challenge in the current \nNLP is that the reported performance improve- \nments of new models may well be within varia- \ntion induced by environment factors (Crane, 2018). \nBERT is not an exception. Dodge et al. (2020) \nreport significant variation for BERT fine-tuned \non GLUE tasks due to both weight initialization \nand training data order. They also propose early \nstopping on the less-promising seeds. \n\nIn general, larger BERT models perform better \n(Liu et al., 2019a; Roberts et al., 2020), but not \nalways: BERT-base outperformed BERT-large on \nsubject-verb agreement (Goldberg, 2019) and sen- \ntence subject detection (Lin et al., 2019). Given \nthe complexity of language, and amounts of pre- \ntraining data, it is not clear why BERT ends up with \nredundant heads and layers. Clark et al. (2019) sug- \ngest that one possible reason is the use of attention \ndropouts, which causes some attention weights to \nbe zeroed-out during training. \n\nAlthough we hope that the above observations \nmay be useful for the practitioners, this section \ndoes not exhaust the current research on fine-tuning \nand its alternatives. For example, we do not cover \nsuch topics as Siamese architectures, policy gradi- \nent training, automated curriculum learning, and \nothers. \n\nGiven the above evidence of overparameteriza- \ntion, it does not come as a surprise that BERT \ncan be efficiently compressed with minimal ac- \ncuracy loss, which would be highly desirable for \nreal-world applications. Such efforts to date are \nsummarized in Table 1. The main approaches are \nknowledge distillation, quantization, and pruning. \nThe studies in the knowledge distillation \nframework (Hinton et al., 2014) use a smaller \nstudent-network trained to mimic the behavior of \na larger teacher-network. For BERT, this has been \nachieved through experiments with loss functions \n(Sanh et al., 2019b; Jiao et al., 2019), mimicking \nthe activation patterns of individual portions of the \nteacher network (Sun et al., 2019a), and knowledge \ntransfer at the pre-training (Turc et al., 2019; Jiao \net al., 2019; Sun et al., 2020) or fine-tuning stage \n(Jiao et al., 2019). McCarley et al. (2020) suggest \nthat distillation has so far worked better for GLUE \nthan for reading comprehension, and report good \nresults for QA from a combination of structured \npruning and task-specific distillation. \n\n6.1 Overparameterization \n\nTransformer-based models keep growing by or- \nders of magnitude: the 110M parameters of base \nBERT are now dwarfed by 17B parameters of \nTuring-NLG (Microsoft, 2020), which is dwarfed \nby 175B of GPT-3 (Brown et al., 2020). This trend \nraises concerns about computational complexity \nof self-attention (Wu et al., 2019a), environmental \nissues (Strubell et al., 2019; Schwartz et al., 2019), \nfair comparison of architectures (Aßenmacher and \nHeumann, 2020), and reproducibility.", + "page_start": 9, + "page_end": 9, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "5.3 Pre-training BERT \n\nThe original BERT is a bidirectional Transformer \npre-trained on two tasks: next sentence prediction \n(NSP) and masked language model (MLM) (sec- \ntion 2). Multiple studies have come up with alter- \nnative training objectives to improve on BERT, \nwhich could be categorized as follows: \n\n• NSP alternatives. Removing NSP does not \nhurt or slightly improves performance (Liu \net al., 2019b; Joshi et al., 2020; Clinchant \net al., 2019). Wang et al. (2019a) and Cheng \net al. (2019) replace NSP with the task of \npredicting both the next and the previous sen- \ntences. Lan et al. (2020a) replace the negative \nNSP examples by swapped sentences from \npositive examples, rather than sentences from \ndifferent documents. ERNIE 2.0 includes sen- \ntence reordering and sentence distance pre- \ndiction. Bai et al. (2020) replace both NSP \nand token position embeddings by a combina- \ntion of paragraph, sentence, and token index \nembeddings. Li and Choi (2020) experiment \nwith utterance order prediction task for multi- \nparty dialogue (and also MLM at the level of \nutterances and the whole dialogue). \n\n• How to mask. Raffel et al. (2019) systemati- \ncally experiment with corruption rate and cor- \nrupted span length. Liu et al. (2019b) propose \ndiverse masks for training examples within \nan epoch, while Baevski et al. (2019) mask \nevery token in a sequence instead of a random \nselection. Clinchant et al. (2019) replace the \nMASK token with [UNK] token, to help the \nmodel learn a representation for unknowns \nthat could be useful for translation. Song et al. \n(2020) maximize the amount of information \navailable to the model by conditioning on both \nmasked and unmasked tokens, and letting the \nmodel see how many tokens are missing. \n• What to mask. Masks can be applied to full \nwords instead of word-pieces (Devlin et al., \n2019; Cui et al., 2019). Similarly, we can \nmask spans rather than single tokens (Joshi \net al., 2020), predicting how many are missing \n(Lewis et al., 2019). Masking phrases and \nnamed entities (Sun et al., 2019b) improves \nrepresentation of structured knowledge. \n\n• Other tasks. Sun et al. (2019c) propose si- \nmultaneous learning of 7 tasks, including dis- \ncourse relation classification and predicting \nwhether a segment is relevant for IR. Guu \net al. (2020) include a latent knowledge re- \ntriever in language model pretraining. Wang \net al. (2020c) combine MLM with knowledge \nbase completion objective. Glass et al. (2020) \nreplace MLM with span prediction task (as \nin extractive question answering), where the \nmodel is expected to provide the answer not \nfrom its own weights, but from a different pas- \nsage containing the correct answer (a relevant \nsearch engine query snippet). \n\n• Where to mask. Lample and Conneau (2019) \nuse arbitrary text streams instead of sentence \npairs and subsample frequent outputs similar \nto Mikolov et al. (2013). Bao et al. (2020) \ncombine the standard autoencoding MLM \nwith partially autoregressive LM objective us- \ning special pseudo mask tokens. \n\nAnother obvious source of improvement is pre- \ntraining data. Several studies explored the ben- \nefits of increasing the corpus volume (Liu et al., \n2019b; Conneau et al., 2019; Baevski et al., 2019) \nand longer training (Liu et al., 2019b). The data \nalso does not have to be raw text: there is a num- \nber efforts to incorporate explicit linguistic in- \nformation, both syntactic (Sundararaman et al., \n2019) and semantic (Zhang et al., 2020). Wu et al. \n(2019b) and Kumar et al. (2020) include the label \nfor a given sequence from an annotated task dataset. \nSchick and Schütze (2020) separately learn repre- \nsentations for rare words.", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "He Bai, Peng Shi, \n\nJimmy Lin, Luchen \nTan, Kun Xiong, Wen Gao, and Ming Li. \n2020. SegaBERT: Pre-training of Segment- \naware BERT for Language Understanding. \narXiv:2004.14996 [cs]. \nGustavo Aguilar, Yuan Ling, Yu Zhang, Benjamin \nYao, Xing Fan, and Edward Guo. 2019. Knowl- \nedge Distillation from Internal Representations. \narXiv preprint arXiv:1910.03723. \n\nSriram Balasubramanian, Naman Jain, Gaurav Jin- \ndal, Abhijeet Awasthi, and Sunita Sarawagi. \n2020. What’s in a Name? Are BERT Named En- \ntity Representations just as Good for any other \nName? In Proceedings of the 5th Workshop on \nRepresentation Learning for NLP, pages 205– \n214, Online. Association for Computational Lin- \nguistics. \n\nAlan Akbik, Tanja Bergmann, and Roland Voll- \ngraf. 2019. Pooled Contextualized Embeddings \nfor Named Entity Recognition. In Proceedings \nof the 2019 Conference of the North Ameri- \ncan Chapter of the Association for Computa- \ntional Linguistics: Human Language Technolo- \ngies, Volume 1 (Long and Short Papers), pages \n724–728, Minneapolis, Minnesota. Association \nfor Computational Linguistics. \n\nHangbo Bao, Li Dong, Furu Wei, Wenhui Wang, \nNan Yang, Xiaodong Liu, Yu Wang, Songhao \nPiao, Jianfeng Gao, Ming Zhou, and Hsiao- \nWuen Hon. 2020. UniLMv2: Pseudo-Masked \nLanguage Models for Unified Language Model \nPre-Training. arXiv:2002.12804 [cs]. \n\nYuki Arase and Jun’ichi Tsujii. 2019. Transfer \nFine-Tuning: A BERT Case Study. 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On the Cross-lingual Trans- \nferability of Monolingual Representations. \narXiv:1911.03310 [cs]. \n\nRishi Bommasani, Kelly Davis, and Claire Cardie. \n2020. \nInterpreting Pretrained Contextualized \nRepresentations via Reductions to Static Em- \nbeddings. In Proceedings of the 58th Annual \nMeeting of the Association for Computational \nLinguistics, pages 4758–4781. \nMatthias Aßenmacher and Christian Heumann. \n2020. On the comparability of Pre-Trained Lan- \nguage Models. arXiv:2001.00781 [cs, stat]. \n\nZied Bouraoui, Jose Camacho-Collados, and \nSteven Schockaert. 2019. Inducing Relational \narXiv:1911.12753 \nKnowledge from BERT. \n[cs]. \n\nJoris Baan, Maartje ter Hoeve, Marlies van der \nWees, Anne Schuth, and Maarten de Rijke. \n2019. Understanding Multi-Head Attention \nin Abstractive Summarization. arXiv preprint \narXiv:1911.03898. Samuel Broscheit. 2019. \n\nInvestigating Entity \nKnowledge in BERT with Simple Neural End- \nTo-End Entity Linking. 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FreeLB: En- \nhanced Adversarial Training for Language Un- \nderstanding. arXiv:1909.11764 [cs]. \n\nAli Hadi Zadeh and Andreas Moshovos. 2020. \nGOBO: Quantizing Attention-Based NLP Mod- \nels for Low Latency and Energy Efficient Infer- \nence. arXiv:2005.03842 [cs, stat]. \n\nOfir Zafrir, Guy Boudoukh, Peter Izsak, and Moshe \nWasserblat. 2019. Q8BERT: Quantized 8bit \nBERT. arXiv preprint arXiv:1910.06188. \n\nRowan Zellers, Ari Holtzman, Yonatan Bisk, Ali \nFarhadi, and Yejin Choi. 2019. HellaSwag: Can \na Machine Really Finish Your Sentence? In Pro- \nceedings of the 57th Annual Meeting of the As- \nsociation for Computational Linguistics, pages \n4791–4800. \n\nZhengyan Zhang, Xu Han, Zhiyuan Liu, Xin Jiang, \nMaosong Sun, and Qun Liu. 2019. ERNIE: En- \nhanced Language Representation with Informa- \ntive Entities. In Proceedings of the 57th Annual \nMeeting of the Association for Computational \nLinguistics, pages 1441–1451, Florence, Italy. \nAssociation for Computational Linguistics. \n\nZhuosheng Zhang, Yuwei Wu, Hai Zhao, Zuchao \nLi, Shuailiang Zhang, Xi Zhou, and Xiang Zhou. \n2020. Semantics-aware BERT for Language \nUnderstanding. In AAAI 2020. \n\nSanqiang Zhao, Raghav Gupta, Yang Song, \nand Denny Zhou. 2019. \nExtreme Lan- \nguage Model Compression with Optimal Sub- \nwords and Shared Projections. arXiv preprint \narXiv:1909.11687.", + "page_start": 22, + "page_end": 22, + "source_file": "arxiv2_taclccby4_license.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv2_taclccby4_license.pdf", + "query": "Is syntaxis encoded with Bert model ?", + "target_page": 2, + "target_passage": " As far as how syntaxis represented, it seems that syntactic structure is not directly encoded in self-attention weights.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "The above claims of syntactic knowledge are be- \nlied by the evidence that BERT does not \"under- \nstand\" negation and is insensitive to malformed \ninput. In particular, its predictions were not al- \ntered2 even with shuffled word order, truncated \nsentences, removed subjects and objects (Ettinger, \n2019). This could mean that either BERT’s syn- \ntactic knowledge is incomplete, or it does not \nneed to rely on it for solving its tasks. The latter \nseems more likely, since Glavaš and Vuli´c (2020) \n\n2See also the recent findings on adversarial triggers, which \nget the model to produce a certain output even though they \nare not well-formed from the point of view of a human reader \n(Wallace et al., 2019a). \n\nHowever, syntactic information can be recov- \nered from BERT token representations. Hewitt \nand Manning (2019) were able to learn transfor- \nmation matrices that successfully recovered syn- \ntactic dependencies in PennTreebank data from \nBERT’s token embeddings (see also Manning et al., \n2020). Jawahar et al. (2019) experimented with \ntransformations of the [CLS] token using Tensor \nProduct Decomposition Networks (McCoy et al., \n2019a), concluding that dependency trees are the \nbest match among 5 decomposition schemes (al- \nthough the reported MSE differences are very \nsmall). Miaschi and Dell’Orletta (2020) performs \na range of syntactic probing experiments with con- \ncatenated token representations as input. \n\nNote that all these approaches look for the \nevidence of gold-standard linguistic structures, \nand add some amount of extra knowledge to the \nprobe. Most recently, Wu et al. (2020) proposed a", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Model \nbert-base-multilingual-cased \nbert-base-multilingual-uncased \ncamembert-base \ncamembert-large \nsentence-camembert-base \nsentence-camembert-large \nsentence-flaubert-base \nembed-multilingual-light-v3.0 \nembed-multilingual-v3.0 \nflaubert-base-cased \nflaubert-base-uncased \nflaubert-large-cased \ndistilbert-base-25lang-cased \ndistilbert-base-en-fr-cased \ndistilbert-base-fr-cased \nmultilingual-e5-base \nmultilingual-e5-large \nmultilingual-e5-small \ne5-mistral-7b-instruct \nudever-bloom-1b1 \nudever-bloom-560m \nlaser2 \nall-MiniLM-L12-v2 \nall-MiniLM-L6-v2 \ndistiluse-base-multilingual-cased-v2 \nLaBSE \nmulti-qa-MiniLM-L6-cos-v1 \nparaphrase-multilingual-MiniLM-L12-v2 \nsentence-t5-base \nsentence-t5-large \nsentence-t5-xl \nsentence-t5-xxl \ntext2vec-base-multilingual \ntext-embedding-ada-002 \ntext-embedding-3-small \ntext-embedding-3-large \nmistral-embed \nuniversal-sentence-encoder-multilingual-3 \nuniversal-sentence-encoder-multilingual-large-3 \nxlm-roberta-base \nxlm-roberta-large \nsentence-croissant-llm-base \nparaphrase-multilingual-mpnet-base-v2 \nvoyage-2 \nvoyage-code-2 \nSolon-embeddings-large-0.1 \nSolon-embeddings-base-0.1 \nsentence-croissant-alpha-v0.3 \nsentence-croissant-alpha-v0.2 \nbge-m3 \nbge-m3-custom-fr \n\nFinetuned \nNo \nNo \nNo \nNo \nYes \nYes \nYes \nN/A \nN/A \nNo \nNo \nNo \nNo \nNo \nNo \nNo \nNo \nNo \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nYes \nN/A \nN/A \nN/A \nN/A \nYes \nYes \nNo \nNo \nYes \nNo \nN/A \nN/A \nYes \nYes \nYes \nYes \nYes \nYes Language \nmultilingual \nmultilingual \nfrench \nfrench \nfrench \nfrench \nfrench \nmultilingual \nmultilingual \nfrench \nfrench \nfrench \nmultilingual \nbilingual \nfrench \nmultilingual \nmultilingual \nmultilingual \nenglish-plus \nmultilingual \nmultilingual \nmultilingual \nenglish-plus \nenglish-plus \nmultilingual \nmultilingual \nenglish \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nmultilingual \nfrench \nmultilingual \nenglish \nenglish \nfrench \nfrench \nfrench \nfrench \nmultilingual \nmultilingual \n\n# params \n1,78e+08 \n1,67e+08 \n1,11e+08 \n3,37e+08 \n1,11e+08 \n3,37e+08 \n1,37e+08 \nN/A \nN/A \n1,38e+08 \n1,37e+08 \n3,73e+08 \n1,08e+08 \n6,86e+07 \n6,17e+07 \n2,78e+08 \n5,60e+08 \n1,18e+08 \n7,11e+09 \n1,07e+09 \n5,59e+08 \n4,46e+07 \n3,34e+07 \n2,27e+07 \n1,35e+08 \n4,72e+08 \n2,27e+07 \n1,18e+08 \n1,10e+08 \n3,36e+08 \n1,24e+09 \n4,87e+09 \n1,18e+08 \nN/A \nN/A \nN/A \nN/A \n6,89e+07 \n8,52e+07 \n2,78e+08 \n5,60e+08 \n1,28e+09 \n2,78e+08 \nN/A \nN/A \n5.60e+08 \n2.78e+08 \n1.28e+09 \n1.28e+09 \n5.68e+08 \n5.68e+08 \n\nSize (Gb) \n0.71 \n0.67 \n0.44 \n1.35 \n0.44 \n1.35 \n0.55 \nN/A \nN/A \n0.55 \n0.55 \n1.49 \n0.43 \n0.27 \n0.25 \n1.11 \n2.24 \n0.47 \n28.44 \n4.26 \n2.24 \n0.18 \n0.13 \n0.09 \n0.54 \n1.89 \n0.09 \n0.47 \n0.44 \n1.34 \n4.97 \n19.46 \n0.47 \nN/A \nN/A \nN/A \nN/A \n0.28 \n0.34 \n1.11 \n2.24 \n5.12 \n1.11 \nN/A \nN/A \n2.239561728 \n1.112174592 \n5.11954944 \n5.11954944 \n2.271019008 \n2.271019008 \n\nSeq. Len. Emb. dim. \n\n512 \n512 \n514 \n514 \n128 \n514 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n512 \n32768 \n2048 \n2048 \nN/A \n128 \n256 \n128 \n256 \n512 \n128 \n256 \n256 \n256 \n256 \n256 \n8191 \n8191 \n8191 \n16384 \nN/A \nN/A \n514 \n514 \n256 \n128 \n4000 \n16000 \n512.0 \n512.0 \n1024.0 \n1024.0 \n8192.0 \n8192.0", + "page_start": 19, + "page_end": 19, + "source_file": "arxiv4.pdf" + }, + { + "text": "David Vilares, Michalina Strzyz, Anders Søgaard, \nand Carlos Gómez-Rodríguez. 2020. Parsing as \npretraining. In Thirty-Fourth AAAI Conference \non Artificial Intelligence (AAAI-20). Wei Wang, Bin Bi, Ming Yan, Chen Wu, Zuyi \nBao, Liwei Peng, and Luo Si. 2019a. Struct- \nBERT: Incorporating Language Structures into", + "page_start": 20, + "page_end": 20, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "ies) insufficient (Warstadt et al., 2019). A given \nmethod might also favor one model over another, \ne.g., RoBERTa trails BERT with one tree extraction \nmethod, but leads with another (Htut et al., 2019). \nThe choice of linguistic formalism also matters \n(Kuznetsov and Gurevych, 2020). \n\nSeveral studies reported that distilled contex- \ntualized embeddings better encode lexical se- \nmantic information (i.e. \nthey are better at tra- \nditional word-level tasks such as word similarity). \nThe methods to distill a contextualized represen- \ntation into static include aggregating the informa- \ntion across multiple contexts (Akbik et al., 2019; \nBommasani et al., 2020), encoding \"semantically \nbleached\" sentences that rely almost exclusively on \nthe meaning of a given word (e.g. \"This is <>\") \n(May et al., 2019), and even using contextualized \nembeddings to train static embeddings (Wang et al., \n2020d). \n\nIn view of all that, the alternative is to focus on \nidentifying what BERT actually relies on at infer- \nence time. This direction is currently pursued both \nat the level of architecture blocks (to be discussed \nin detail in subsection 6.3), and at the level of in- \nformation encoded in model weights. Amnesic \nprobing (Elazar et al., 2020) aims to specifically \nremove certain information from the model and see \nhow it changes performance, finding, for example, \nthat language modeling does rely on part-of-speech \ninformation. \n\nBut this is not to say that there is no room for \nimprovement. Ethayarajh (2019) measure how \nsimilar the embeddings for identical words are in \nevery layer, reporting that later BERT layers pro- \nduce more context-specific representations3. They \nalso find that BERT embeddings occupy a narrow \ncone in the vector space, and this effect increases \nfrom the earlier to later layers. That is, two ran- \ndom words will on average have a much higher \ncosine similarity than expected if embeddings \nwere directionally uniform (isotropic). Since \nisotropy was shown to be beneficial for static word \nembeddings (Mu and Viswanath, 2018), this might \nbe a fruitful direction to explore for BERT. \n\nAnother direction is information-theoretic prob- \ning. Pimentel et al. (2020) operationalize prob- \ning as estimating mutual information between the \nlearned representation and a given linguistic prop- \nerty, which highlights that the focus should be not \non the amount of information contained in a rep- \nresentation, but rather on how easily it can be ex- \ntracted from it. Voita and Titov (2020) quantify \nthe amount of effort needed to extract information \nfrom a given representation as minimum descrip- \ntion length needed to communicate both the probe \nsize and the amount of data required for it to do \nwell on a task. \n\nSince BERT embeddings are contextualized, an \ninteresting question is to what extent they cap- \nture phenomena like polysemy and homonymy. \nThere is indeed evidence that BERT’s contextu- \nalized embeddings form distinct clusters corre- \nsponding to word senses (Wiedemann et al., 2019; \nSchmidt and Hofmann, 2020), making BERT suc- \ncessful at word sense disambiguation task. How- \never, Mickus et al. (2019) note that the representa- \ntions of the same word depend on the position \nof the sentence in which it occurs, likely due to \nthe NSP objective. This is not desirable from the \nlinguistic point of view, and could be a promising \n\n3Voita et al. (2019a) look at the evolution of token embed- \ndings, showing that in the earlier Transformer layers, MLM \nforces the acquisition of contextual information at the expense \nof the token identity, which gets recreated in later layers. \n\n4 Localizing linguistic knowledge \n\n4.1 BERT embeddings", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Anna Rogers \nCenter for Social Data Science \nUniversity of Copenhagen \narogers@sodas.ku.dk Olga Kovaleva \nDept. of Computer Science \nUniversity of Massachusetts Lowell \nokovalev@cs.uml.edu Anna Rumshisky \nDept. of Computer Science \nUniversity of Massachusetts Lowell \narum@cs.uml.edu \n\nimprove BERT’s architecture, pre-training and fine- \ntuning. We conclude by discussing the issue of \noverparameterization, the approaches to compress- \ning BERT, and the nascent area of pruning as a \nmodel analysis technique. \n\nAbstract \n\nTransformer-based models have pushed state \nof the art in many areas of NLP, but our un- \nderstanding of what is behind their success \nis still limited. This paper is the first sur- \nvey of over 150 studies of the popular BERT \nmodel. We review the current state of knowl- \nedge about how BERT works, what kind \nof information it learns and how it is repre- \nsented, common modifications to its training \nobjectives and architecture, the overparame- \nterization issue and approaches to compres- \nsion. We then outline directions for future \nresearch. \n\n0 \n2 \n0 \n2 \n\nv \no \nN \n9 \n\n] \nL \nC \n. \ns \nc \n[ \n\n3 \nv \n7 \n2 \n3 \n2 \n1 \n. \n2 \n0 \n0 \n2 \n: \nv \ni \nX \nr \na \n\nFundamentally, BERT is a stack of Transformer \nencoder layers (Vaswani et al., 2017) which consist \nof multiple self-attention \"heads\". For every input \ntoken in a sequence, each head computes key, value \nand query vectors, used to create a weighted repre- \nsentation. The outputs of all heads in the same layer \nare combined and run through a fully-connected \nlayer. Each layer is wrapped with a skip connection \nand followed by layer normalization. \n\nThe conventional workflow for BERT consists \nof two stages: pre-training and fine-tuning. Pre- \ntraining uses two self-supervised tasks: masked \nlanguage modeling (MLM, prediction of randomly \nmasked input tokens) and next sentence prediction \n(NSP, predicting if two input sentences are adjacent \nto each other). In fine-tuning for downstream ap- \nplications, one or more fully-connected layers are \ntypically added on top of the final encoder layer. \n\nThe input representations are computed as fol- \nlows: each word in the input is first tokenized into \nwordpieces (Wu et al., 2016), and then three em- \nbedding layers (token, position, and segment) are \ncombined to obtain a fixed-length vector. Special \ntoken [CLS] is used for classification predictions, \nand [SEP] separates input segments. \n\nGoogle1 and HuggingFace (Wolf et al., 2020) \nprovide many variants of BERT, including the orig- \ninal \"base\" and \"large\" versions. They vary in the \nnumber of heads, layers, and hidden state size. \n\n1https://github.com/ \ngoogle-research/bert \n\nSince their introduction in 2017, Transformers \n(Vaswani et al., 2017) have taken NLP by storm, \noffering enhanced parallelization and better model- \ning of long-range dependencies. The best known \nTransformer-based model is BERT (Devlin et al., \n2019); it obtained state-of-the-art results in numer- \nous benchmarks and is still a must-have baseline. \nWhile it is clear that BERT works remarkably \nwell, it is less clear why, which limits further \nhypothesis-driven improvement of the architecture. \nUnlike CNNs, the Transformers have little cogni- \ntive motivation, and the size of these models limits \nour ability to experiment with pre-training and per- \nform ablation studies. This explains a large number \nof studies over the past year that attempted to un- \nderstand the reasons behind BERT’s performance. \nIn this paper, we provide an overview of what \nhas been learned to date, highlighting the questions \nwhich are still unresolved. We first consider the \nlinguistic aspects of it, i.e., the current evidence \nregarding the types of linguistic and world knowl- \nedge learned by BERT, as well as where and how \nthis knowledge may be stored in the model. We \nthen turn to the technical aspects of the model and \nprovide an overview of the current proposals to", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "4.2.2 Attention to special tokens \nKovaleva et al. (2019) show that most self- \nattention heads do not directly encode any non- \ntrivial linguistic information, at least when fine- \ntuned on GLUE (Wang et al., 2018), since only less \nthan 50% of heads exhibit the \"heterogeneous\" pat- \ntern. Much of the model produced the vertical pat- \ntern (attention to [CLS], [SEP], and punctuation \ntokens), consistent with the observations by Clark \net al. (2019). This redundancy is likely related to \nthe overparameterization issue (see section 6). Both Clark et al. (2019) and Htut et al. (2019) \nconclude that no single head has the complete \nsyntactic tree information, in line with evidence \nof partial knowledge of syntax (cf. subsection 3.1). \nHowever, Clark et al. (2019) identify a BERT head", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Sofia Serrano and Noah A. Smith. 2019. Is Atten- \ntion Interpretable? arXiv:1906.03731 [cs]. \n\nYu Sun, Shuohuan Wang, Yukun Li, Shikun \nFeng, Hao Tian, Hua Wu, and Haifeng Wang. \n2019c. \nERNIE 2.0: A Continual Pre- \nTraining Framework for Language Understand- \ning. arXiv:1907.12412 [cs]. \n\nSheng Shen, Zhen Dong, Jiayu Ye, Linjian Ma, \nZhewei Yao, Amir Gholami, Michael W Ma- \nhoney, and Kurt Keutzer. 2019. Q-BERT: Hes- \nsian Based Ultra Low Precision Quantization of \nBERT. arXiv preprint arXiv:1909.05840. \n\nZhiqing Sun, Hongkun Yu, Xiaodan Song, Ren- \njie Liu, Yiming Yang, and Denny Zhou. 2020. \nMobileBERT: Task-Agnostic Compression of \nBERT for Resource Limited Devices. \n\nChenglei Si, Shuohang Wang, Min-Yen Kan, and \nJing Jiang. 2019a. What does BERT learn \nfrom multiple-choice reading comprehension \ndatasets? arXiv preprint arXiv:1910.12391. \n\nDhanasekar Sundararaman, Vivek Subramanian, \nGuoyin Wang, Shijing Si, Dinghan Shen, Dong \nWang, and Lawrence Carin. 2019. Syntax- \nInfused Transformer and BERT models for Ma- \nchine Translation and Natural Language Under- \nstanding. arXiv:1911.06156 [cs, stat]. \nChenglei Si, Shuohang Wang, Min-Yen Kan, and \nJing Jiang. 2019b. What does BERT Learn \nfrom Multiple-Choice Reading Comprehension \nDatasets? arXiv:1910.12391 [cs]. \n\nAlon Talmor, Yanai Elazar, Yoav Goldberg, \nand Jonathan Berant. 2019. oLMpics – On \nwhat Language Model Pre-Training Captures. \narXiv:1912.13283 [cs]. \nKaitao Song, Xu Tan, Tao Qin, Jianfeng Lu, and \nTie-Yan Liu. 2020. MPNet: Masked and Per- \nmuted Pre-training for Language Understanding. \narXiv:2004.09297 [cs]. \n\nAsa Cooper Stickland and Iain Murray. 2019. \nBERT and PALs: Projected Attention Layers for \nEfficient Adaptation in Multi-Task Learning. In \nInternational Conference on Machine Learning, \npages 5986–5995. \n\nHirotaka Tanaka, Hiroyuki Shinnou, Rui Cao, Jing \nBai, and Wen Ma. 2020. Document Classifica- \ntion by Word Embeddings of BERT. In Compu- \ntational Linguistics, Communications in Com- \nputer and Information Science, pages 145–154, \nSingapore. Springer. \n\nEmma Strubell, Ananya Ganesh, and Andrew Mc- \nCallum. 2019. Energy and Policy Considera- \ntions for Deep Learning in NLP. In ACL 2019. \n\nRaphael Tang, Yao Lu, Linqing Liu, Lili Mou, \nOlga Vechtomova, and Jimmy Lin. 2019. Dis- \ntilling Task-Specific Knowledge from BERT \ninto Simple Neural Networks. arXiv preprint \narXiv:1903.12136. \nTa-Chun Su and Hsiang-Chih Cheng. 2019. \nfor Anywhere. \n\nSesameBERT: Attention \narXiv:1910.03176 [cs]. \n\nIan Tenney, Dipanjan Das, and Ellie Pavlick. 2019a. \nBERT Rediscovers the Classical NLP Pipeline. \nIn Proceedings of the 57th Annual Meeting of \nthe Association for Computational Linguistics, \npages 4593–4601. \nSaku Sugawara, Pontus Stenetorp, Kentaro Inui, \nand Akiko Aizawa. 2020. Assessing the Bench- \nmarking Capacity of Machine Reading Compre- \nhension Datasets. In AAAI. \n\nSiqi Sun, Yu Cheng, Zhe Gan, and Jingjing Liu. \n2019a. Patient Knowledge Distillation for BERT \nModel Compression. In Proceedings of the 2019 \nConference on Empirical Methods in Natural \nLanguage Processing and the 9th International \nJoint Conference on Natural Language Process- \ning (EMNLP-IJCNLP), pages 4314–4323. \n\nIan Tenney, Patrick Xia, Berlin Chen, Alex Wang, \nAdam Poliak, R. Thomas McCoy, Najoung Kim, \nBenjamin Van Durme, Samuel R. Bowman, Di- \npanjan Das, and Ellie Pavlick. 2019b. What do \nyou learn from context? Probing for sentence \nstructure in contextualized word representations. \nIn International Conference on Learning Repre- \nsentations. \n\nYu Sun, Shuohuan Wang, Yukun Li, Shikun Feng, \nXuyi Chen, Han Zhang, Xin Tian, Danxiang \nZhu, Hao Tian, and Hua Wu. 2019b. ERNIE: \nEnhanced Representation through Knowledge \nIntegration. arXiv:1904.09223 [cs]. James Yi Tian, Alexander P Kreuzer, Pai-Hung \nChen, and Hans-Martin Will. 2019. WaL- \nDORf: Wasteless Language-model Distillation", + "page_start": 19, + "page_end": 19, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "The original BERT paper [39] showed the effectiveness of the \narchitecture and the pretraining technique by evaluating on the \nGeneral Language Understanding Evaluation (GLUE) benchmark \n[138], the Stanford Question Answering Datasets (SQuAD 1.1 and \n2.0) [108], and the Situations With Adversarial Generations bench- \nmark (SWAG) [155], all datasets designed to test language under- \nstanding and/or commonsense reasoning. BERT posted state of \nthe art results on all of these tasks, and the authors conclude by \nsaying that “unsupervised pre-training is an integral part of many \nlanguage understanding systems.” [39, p.4179]. Even before [39] \nwas published, BERT was picked up by the NLP community and \napplied with great success to a wide variety of tasks [e.g. 2, 149]. \nHowever, no actual language understanding is taking place in \nLM-driven approaches to these tasks, as can be shown by careful \nmanipulation of the test data to remove spurious cues the systems \nare leveraging [21, 93]. Furthermore, as Bender and Koller [14] \nargue from a theoretical perspective, languages are systems of \nsigns [37], i.e. pairings of form and meaning. But the training data \nfor LMs is only form; they do not have access to meaning. Therefore, \nclaims about model abilities must be carefully characterized. \n\nAs the late Karen Spärck Jones pointed out: the use of LMs \nties us to certain (usually unstated) epistemological and method- \nological commitments [124]. Either i) we commit ourselves to a \nnoisy-channel interpretation of the task (which rarely makes sense \noutside of ASR), ii) we abandon any goals of theoretical insight into \ntasks and treat LMs as “just some convenient technology” [p.7], or \niii) we implicitly assume a certain statistical relationship — known \nto be invalid — between inputs, outputs and meanings.20 Although \n\n4.4 Curation, Documentation & Accountability \nIn summary, LMs trained on large, uncurated, static datasets from \nthe Web encode hegemonic views that are harmful to marginalized \npopulations. We thus emphasize the need to invest significant re- \nsources into curating and documenting LM training data. In this, \nwe follow Jo et al. [62], who cite archival history data collection \nmethods as an example of the amount of resources that should be \ndedicated to this process, and Birhane and Prabhu [18], who call for \na more justice-oriented data collection methodology. Birhane and \nPrabhu note, echoing Ruha Benjamin [15], “Feeding AI systems on \nthe world’s beauty, ugliness, and cruelty, but expecting it to reflect \nonly the beauty is a fantasy.” [p.1541] \n\nWhen we rely on ever larger datasets we risk incurring doc- \numentation debt,18 i.e. putting ourselves in a situation where the \ndatasets are both undocumented and too large to document post hoc. \nWhile documentation allows for potential accountability [13, 52, 86], \nundocumented training data perpetuates harm without recourse. \nWithout documentation, one cannot try to understand training data \ncharacteristics in order to mitigate some of these attested issues \nor even unknown ones. The solution, we propose, is to budget for \n\n19~26% of papers sampled from ACL, NAACL and EMNLP since 2018 cite [39]. \n20Specifically, that the mutual information between the input and the meaning given \nthe output is zero — what Spärck Jones calls “the model of ignorance”.", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "Benchmarks that require verbal reasoning. \nWhile BERT enabled breakthroughs on many NLP \nbenchmarks, a growing list of analysis papers are \nshowing that its language skills are not as impres- \nsive as it seems. In particular, it was shown to rely \non shallow heuristics in natural language inference \n(McCoy et al., 2019b; Zellers et al., 2019; Jin et al., \n2020), reading comprehension (Si et al., 2019a; \nRogers et al., 2020; Sugawara et al., 2020; Si et al., \n2019b; Yogatama et al., 2019), argument reason- \ning comprehension (Niven and Kao, 2019), and \ntext classification (Jin et al., 2020). Such heuristics \ncan even be used to reconstruct a non-publicly- \navailable model (Krishna et al., 2020). As with \nany optimization method, if there is a shortcut in \n\n8 Conclusion \n\nIn a little over a year, BERT has become a ubiq- \nuitous baseline in NLP experiments and inspired \nnumerous studies analyzing the model and propos- \ning various improvements. The stream of papers \nseems to be accelerating rather than slowing down, \nand we hope that this survey helps the community \nto focus on the biggest unresolved questions. \n\n9 Acknowledgements \n\nWe thank the anonymous reviewers for their valu- \nable feedback. This work is funded in part by \nthe NSF award number IIS-1844740 to Anna \nRumshisky.", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "then check which of them survive the pruning, find- \ning that the syntactic and positional heads are the \nlast ones to go. For BERT, Prasanna et al. (2020) \ngo in the opposite direction: pruning on the basis of \nimportance scores, and interpreting the remaining \n\"good\" subnetwork. With respect to self-attention \nheads specifically, it does not seem to be the case \nthat only the heads that potentially encode non- \ntrivial linguistic patterns survive the pruning. \n\nthe data, we have no reason to expect BERT to not \nlearn it. But harder datasets that cannot be resolved \nwith shallow heuristics are unlikely to emerge if \ntheir development is not as valued as modeling \nwork. \n\nBenchmarks for the full range of linguistic \ncompetence. While the language models seem to \nacquire a great deal of knowledge about language, \nwe do not currently have comprehensive stress tests \nfor different aspects of linguistic knowledge. A \nstep in this direction is the \"Checklist\" behavioral \ntesting (Ribeiro et al., 2020), the best paper at ACL \n2020. Ideally, such tests would measure not only \nerrors, but also sensitivity (Ettinger, 2019). \n\nThe models and methodology in these studies \ndiffer, so the evidence is inconclusive. In particular, \nVoita et al. (2019b) find that before pruning the \nmajority of heads are syntactic, and Prasanna et al. \n(2020) – that the majority of heads do not have \npotentially non-trivial attention patterns. \n\nDeveloping methods \nto \"teach\" reasoning. \nWhile large pre-trained models have a lot of knowl- \nedge, they often fail if any reasoning needs to be \nperformed on top of the facts they possess (Tal- \nmor et al., 2019, see also subsection 3.3). For in- \nstance, Richardson et al. (2020) propose a method \nto \"teach\" BERT quantification, conditionals, com- \nparatives, and boolean coordination. \n\nAn important limitation of the current head and \nlayer ablation studies (Michel et al., 2019; Koval- \neva et al., 2019) is that they inherently assume \nthat certain knowledge is contained in heads/layers. \nHowever, there is evidence of more diffuse rep- \nresentations spread across the full network, such \nas the gradual increase in accuracy on difficult se- \nmantic parsing tasks (Tenney et al., 2019a) or the \nabsence of heads that would perform parsing \"in \ngeneral\" (Clark et al., 2019; Htut et al., 2019). If so, \nablating individual components harms the weight- \nsharing mechanism. Conclusions from component \nablations are also problematic if the same informa- \ntion is duplicated elsewhere in the network. \n\ninference time. \nLearning what happens at \nMost BERT analysis papers focus on different \nprobes of the model, with the goal to find what \nthe language model \"knows\". However, probing \nstudies have limitations (subsection 3.4), and to this \npoint, far fewer papers have focused on discovering \nwhat knowledge actually gets used. Several promis- \ning directions are the \"amnesic probing\" (Elazar \net al., 2020), identifying features important for pre- \ndiction for a given task (Arkhangelskaia and Dutta, \n2019), and pruning the model to remove the non- \nimportant components (Voita et al., 2019b; Michel \net al., 2019; Prasanna et al., 2020). \n\n7 Directions for further research \n\nBERTology has clearly come a long way, but it \nis fair to say we still have more questions than \nanswers about how BERT works. In this section, \nwe list what we believe to be the most promising \ndirections for further research.", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv2_taclccby4_license.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv2_taclccby4_license.pdf", + "query": "Is BERT good with numbers representations ?", + "target_page": 3, + "target_passage": " BERTstruggles with representations of numbers. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "3.2 Semantic knowledge \n\nTo date, more studies have been devoted to BERT’s \nknowledge of syntactic rather than semantic phe- \nnomena. However, we do have evidence from an \nMLM probing study that BERT has some knowl- \nedge of semantic roles (Ettinger, 2019). BERT \neven displays some preference for the incorrect \nfillers for semantic roles that are semantically re- \nlated to the correct ones, as opposed to those that \nare unrelated (e.g. \"to tip a chef\" is better than \"to \ntip a robin\", but worse than \"to tip a waiter\"). \n\nFigure 2: BERT world knowledge (Petroni et al., 2019) \n\nblanks (e.g. \"Cats like to chase [___]\"). Petroni \net al. (2019) showed that, for some relation types, \nvanilla BERT is competitive with methods rely- \ning on knowledge bases (Figure 2), and Roberts \net al. (2020) show the same for open-domain QA \nusing T5 model (Raffel et al., 2019). Davison et al. \n(2019) suggest that it generalizes better to unseen \ndata. In order to retrieve BERT’s knowledge, we \nneed good template sentences, and there is work \non their automatic extraction and augmentation \n(Bouraoui et al., 2019; Jiang et al., 2019b). \nTenney et al. (2019b) showed that BERT en- \ncodes information about entity types, relations, \nsemantic roles, and proto-roles, since this infor- \nmation can be detected with probing classifiers. \n\nBERT struggles with representations of num- \nbers. Addition and number decoding tasks showed \nthat BERT does not form good representations for \nfloating point numbers and fails to generalize away \nfrom the training data (Wallace et al., 2019b). A \npart of the problem is BERT’s wordpiece tokeniza- \ntion, since numbers of similar values can be divided \nup into substantially different word chunks. \n\nHowever, BERT cannot reason based on its \nworld knowledge. Forbes et al. (2019) show that \nBERT can \"guess\" the affordances and properties of \nmany objects, but can not reason about the relation- \nship between properties and affordances. For ex- \nample, it “knows\" that people can walk into houses, \nand that houses are big, but it cannot infer that \nhouses are bigger than people. Zhou et al. (2020) \nand Richardson and Sabharwal (2019) also show \nthat the performance drops with the number of nec- \nessary inference steps. Some of BERT’s world \nknowledge success comes from learning stereotypi- \ncal associations (Poerner et al., 2019), e.g., a person \nwith an Italian-sounding name is predicted to be \nItalian, even when it is incorrect. \n\nOut-of-the-box BERT is surprisingly brittle to \nnamed entity replacements: e.g. replacing names \nin the coreference task changes 85% of predictions \n(Balasubramanian et al., 2020). This suggests that \nthe model does not actually form a generic idea of \nnamed entities, although its F1 scores on NER prob- \ning tasks are high (Tenney et al., 2019a). Broscheit \n(2019) find that fine-tuning BERT on Wikipedia \nentity linking \"teaches\" it additional entity knowl- \nedge, which would suggest that it did not absorb all \nthe relevant entity information during pre-training \non Wikipedia. \n\n3.4 Limitations \n\nMultiple probing studies in section 3 and section 4 \nreport that BERT possesses a surprising amount of \nsyntactic, semantic, and world knowledge. How- \never, Tenney et al. (2019a) remarks, “the fact that \na linguistic pattern is not observed by our probing \nclassifier does not guarantee that it is not there, and \nthe observation of a pattern does not tell us how it \nis used.\" There is also the issue of how complex a \nprobe should be allowed to be (Liu et al., 2019a). If \na more complex probe recovers more information, \nto what extent are we still relying on the original \nmodel? \n\n3.3 World knowledge", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Anna Rogers \nCenter for Social Data Science \nUniversity of Copenhagen \narogers@sodas.ku.dk Olga Kovaleva \nDept. of Computer Science \nUniversity of Massachusetts Lowell \nokovalev@cs.uml.edu Anna Rumshisky \nDept. of Computer Science \nUniversity of Massachusetts Lowell \narum@cs.uml.edu \n\nimprove BERT’s architecture, pre-training and fine- \ntuning. We conclude by discussing the issue of \noverparameterization, the approaches to compress- \ning BERT, and the nascent area of pruning as a \nmodel analysis technique. \n\nAbstract \n\nTransformer-based models have pushed state \nof the art in many areas of NLP, but our un- \nderstanding of what is behind their success \nis still limited. This paper is the first sur- \nvey of over 150 studies of the popular BERT \nmodel. We review the current state of knowl- \nedge about how BERT works, what kind \nof information it learns and how it is repre- \nsented, common modifications to its training \nobjectives and architecture, the overparame- \nterization issue and approaches to compres- \nsion. We then outline directions for future \nresearch. \n\n0 \n2 \n0 \n2 \n\nv \no \nN \n9 \n\n] \nL \nC \n. \ns \nc \n[ \n\n3 \nv \n7 \n2 \n3 \n2 \n1 \n. \n2 \n0 \n0 \n2 \n: \nv \ni \nX \nr \na \n\nFundamentally, BERT is a stack of Transformer \nencoder layers (Vaswani et al., 2017) which consist \nof multiple self-attention \"heads\". For every input \ntoken in a sequence, each head computes key, value \nand query vectors, used to create a weighted repre- \nsentation. The outputs of all heads in the same layer \nare combined and run through a fully-connected \nlayer. Each layer is wrapped with a skip connection \nand followed by layer normalization. \n\nThe conventional workflow for BERT consists \nof two stages: pre-training and fine-tuning. Pre- \ntraining uses two self-supervised tasks: masked \nlanguage modeling (MLM, prediction of randomly \nmasked input tokens) and next sentence prediction \n(NSP, predicting if two input sentences are adjacent \nto each other). In fine-tuning for downstream ap- \nplications, one or more fully-connected layers are \ntypically added on top of the final encoder layer. \n\nThe input representations are computed as fol- \nlows: each word in the input is first tokenized into \nwordpieces (Wu et al., 2016), and then three em- \nbedding layers (token, position, and segment) are \ncombined to obtain a fixed-length vector. Special \ntoken [CLS] is used for classification predictions, \nand [SEP] separates input segments. \n\nGoogle1 and HuggingFace (Wolf et al., 2020) \nprovide many variants of BERT, including the orig- \ninal \"base\" and \"large\" versions. They vary in the \nnumber of heads, layers, and hidden state size. \n\n1https://github.com/ \ngoogle-research/bert \n\nSince their introduction in 2017, Transformers \n(Vaswani et al., 2017) have taken NLP by storm, \noffering enhanced parallelization and better model- \ning of long-range dependencies. The best known \nTransformer-based model is BERT (Devlin et al., \n2019); it obtained state-of-the-art results in numer- \nous benchmarks and is still a must-have baseline. \nWhile it is clear that BERT works remarkably \nwell, it is less clear why, which limits further \nhypothesis-driven improvement of the architecture. \nUnlike CNNs, the Transformers have little cogni- \ntive motivation, and the size of these models limits \nour ability to experiment with pre-training and per- \nform ablation studies. This explains a large number \nof studies over the past year that attempted to un- \nderstand the reasons behind BERT’s performance. \nIn this paper, we provide an overview of what \nhas been learned to date, highlighting the questions \nwhich are still unresolved. We first consider the \nlinguistic aspects of it, i.e., the current evidence \nregarding the types of linguistic and world knowl- \nedge learned by BERT, as well as where and how \nthis knowledge may be stored in the model. We \nthen turn to the technical aspects of the model and \nprovide an overview of the current proposals to", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "avenue for future work. \n\nThe above discussion concerns token embed- \ndings, but BERT is typically used as a sentence or \ntext encoder. The standard way to generate sen- \ntence or text representations for classification is \nto use the [CLS] token, but alternatives are also \nbeing discussed, including concatenation of token \nrepresentations (Tanaka et al., 2020), normalized \nmean (Tanaka et al., 2020), and layer activations \n(Ma et al., 2019). See Toshniwal et al. (2020) for a \nsystematic comparison of several methods across \ntasks and sentence encoders. \n\nLin et al. (2019) present evidence that atten- \ntion weights are weak indicators of subject- \nverb agreement and reflexive anaphora. Instead \nof serving as strong pointers between tokens that \nshould be related, BERT’s self-attention weights \nwere close to a uniform attention baseline, but there \nwas some sensitivity to different types of distrac- \ntors coherent with psycholinguistic data. This is \nconsistent with conclusions by Ettinger (2019). \n4.2 Self-attention heads \n\nTo our knowledge, morphological information \nin BERT heads has not been addressed, but with \nthe sparse attention variant by Correia et al. (2019) \nin the base Transformer, some attention heads ap- \npear to merge BPE-tokenized words. For semantic \nrelations, there are reports of self-attention heads \nencoding core frame-semantic relations (Kovaleva \net al., 2019), as well as lexicographic and common- \nsense relations (Cui et al., 2020). Several studies proposed classification of attention \nhead types. Raganato and Tiedemann (2018) dis- \ncuss attending to the token itself, previous/next \ntokens and the sentence end. Clark et al. (2019) \ndistinguish between attending to previous/next to- \nkens, [CLS], [SEP], punctuation, and \"attending \nbroadly\" over the sequence. Kovaleva et al. (2019) \npropose 5 patterns shown in Figure 3. \n\nThe overall popularity of self-attention as an in- \nterpretability mechanism is due to the idea that \n\"attention weight has a clear meaning: how much \na particular word will be weighted when comput- \ning the next representation for the current word\" \n(Clark et al., 2019). This view is currently debated \n(Jain and Wallace, 2019; Serrano and Smith, 2019; \nWiegreffe and Pinter, 2019; Brunner et al., 2020), \nand in a multi-layer model where attention is fol- \nlowed by non-linear transformations, the patterns \nin individual heads do not provide a full picture. \nAlso, while many current papers are accompanied \nby attention visualizations, and there is a growing \nnumber of visualization tools (Vig, 2019; Hoover \net al., 2019), the visualization is typically limited \nto qualitative analysis (often with cherry-picked \nexamples) (Belinkov and Glass, 2019), and should \nnot be interpreted as definitive evidence. \n\n4.2.1 Heads with linguistic functions \nThe \"heterogeneous\" attention pattern shown in \nFigure 3 could potentially be linguistically inter- \npretable, and a number of studies focused on iden- \nIn \ntifying the functions of self-attention heads. \nparticular, some BERT heads seem to specialize \nin certain types of syntactic relations. Htut et al. \n(2019) and Clark et al. (2019) report that there \nare BERT heads that attended significantly more \nthan a random baseline to words in certain syntac- \ntic positions. The datasets and methods used in \nthese studies differ, but they both find that there are \nheads that attend to words in obj role more than \nthe positional baseline. The evidence for nsubj, \nadvmod, and amod varies between these two stud- \nies. The overall conclusion is also supported by \nVoita et al. (2019b)’s study of the base Transformer \nin machine translation context. Hoover et al. (2019) \nhypothesize that even complex dependencies like \ndobj are encoded by a combination of heads \nrather than a single head, but this work is limited \nto qualitative analysis. Zhao and Bethard (2020) \nlooked specifically for the heads encoding negation \nscope.", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "layers are more transferable (Liu et al., 2019a). In \nfine-tuning, it explains why the final layers change \nthe most (Kovaleva et al., 2019), and why restoring \nthe weights of lower layers of fine-tuned BERT to \ntheir original values does not dramatically hurt the \nmodel performance (Hao et al., 2019). \n\nsistently better, but the gains varied by setting. \n\nAll in all, changes in the number of heads \nand layers appear to perform different func- \ntions. The issue of model depth must be related to \nthe information flow from the most task-specific \nlayers closer to the classifier (Liu et al., 2019a), \nto the initial layers which appear to be the most \ntask-invariant (Hao et al., 2019), and where the \ntokens resemble the input tokens the most (Brun- \nner et al., 2020) (see subsection 4.3). If that is the \ncase, a deeper model has more capacity to encode \ninformation that is not task-specific. \n\nTenney et al. (2019a) suggest that while syntactic \ninformation appears early in the model and can be \nlocalized, semantics is spread across the entire \nmodel, which explains why certain non-trivial ex- \namples get solved incorrectly at first but correctly \nat the later layers. This is rather to be expected: \nsemantics permeates all language, and linguists de- \nbate whether meaningless structures can exist at \nall (Goldberg, 2006, p.166-182). But this raises \nthe question of what stacking more Transformer \nlayers in BERT actually achieves in terms of the \nspread of semantic knowledge, and whether that \nis beneficial. Tenney et al. compared BERT-base \nand BERT-large, and found that the overall pattern \nof cumulative score gains is the same, only more \nspread out in the larger model. \n\nOn the other head, many self-attention heads \nin vanilla BERT seem to naturally learn the same \npatterns (Kovaleva et al., 2019). This explains \nwhy pruning them does not have too much impact. \nThe question that arises from this is how far we \ncould get with intentionally encouraging diverse \nself-attention patterns: \ntheoretically, this would \nmean increasing the amount of information in the \nmodel with the same number of weights. Raganato \net al. (2020) show for Transformer-based machine \ntranslation we can simply pre-set the patterns that \nwe already know the model would learn, instead of \nlearning them from scratch. \n\nNote that Tenney et al. (2019a)’s experiments \nconcern sentence-level semantic relations; Cui et al. \n(2020) report that the encoding of ConceptNet se- \nmantic relations is the worst in the early layers and \nincreases towards the top. Jawahar et al. (2019) \nplace \"surface features in lower layers, syntactic \nfeatures in middle layers and semantic features in \nhigher layers\", but their conclusion is surprising, \ngiven that only one semantic task in this study actu- \nally topped at the last layer, and three others peaked \naround the middle and then considerably degraded \nby the final layers. \n\nVanilla BERT is symmetric and balanced in \nterms of self-attention and feed-forward layers, but \nit may not have to be. For the base Transformer, \nPress et al. (2020) report benefits from more self- \nattention sublayers at the bottom and more feedfor- \nward sublayers at the top. \n\n5.2 Improvements to the training regime \n\nLiu et al. (2019b) demonstrate the benefits of \nlarge-batch training: with 8k examples both the \nlanguage model perplexity and downstream task \nperformance are improved. They also publish their \nrecommendations for other parameters. You et al. \n(2019) report that with a batch size of 32k BERT’s \ntraining time can be significantly reduced with no \ndegradation in performance. Zhou et al. (2019) ob- \nserve that the normalization of the trained [CLS] \ntoken stabilizes the training and slightly improves \nperformance on text classification tasks. \n\n5 Training BERT \n\nThis section reviews the proposals to optimize the \ntraining and architecture of the original BERT.", + "page_start": 6, + "page_end": 6, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "be successfully approximated with adapter mod- \nules. They achieve competitive performance on \n26 classification tasks at a fraction of the computa- \ntional cost. Adapters in BERT were also used for \nmulti-task learning (Stickland and Murray, 2019) \nand cross-lingual transfer (Artetxe et al., 2019). An \nalternative to fine-tuning is extracting features from \nfrozen representations, but fine-tuning works better \nfor BERT (Peters et al., 2019b). \n\nDepending on the task, some BERT heads/layers \nare not only redundant (Kao et al., 2020), but also \nharmful to the downstream task performance. Pos- \nitive effect from head disabling was reported for \nmachine translation (Michel et al., 2019), abstrac- \ntive summarization (Baan et al., 2019), and GLUE \ntasks (Kovaleva et al., 2019). Additionally, Ten- \nney et al. (2019a) examine the cumulative gains of \ntheir structural probing classifier, observing that in \n5 out of 8 probing tasks some layers cause a drop \nin scores (typically in the final layers). Gordon \net al. (2020) find that 30–40% of the weights can \nbe pruned without impact on downstream tasks. \n\nA big methodological challenge in the current \nNLP is that the reported performance improve- \nments of new models may well be within varia- \ntion induced by environment factors (Crane, 2018). \nBERT is not an exception. Dodge et al. (2020) \nreport significant variation for BERT fine-tuned \non GLUE tasks due to both weight initialization \nand training data order. They also propose early \nstopping on the less-promising seeds. \n\nIn general, larger BERT models perform better \n(Liu et al., 2019a; Roberts et al., 2020), but not \nalways: BERT-base outperformed BERT-large on \nsubject-verb agreement (Goldberg, 2019) and sen- \ntence subject detection (Lin et al., 2019). Given \nthe complexity of language, and amounts of pre- \ntraining data, it is not clear why BERT ends up with \nredundant heads and layers. Clark et al. (2019) sug- \ngest that one possible reason is the use of attention \ndropouts, which causes some attention weights to \nbe zeroed-out during training. \n\nAlthough we hope that the above observations \nmay be useful for the practitioners, this section \ndoes not exhaust the current research on fine-tuning \nand its alternatives. For example, we do not cover \nsuch topics as Siamese architectures, policy gradi- \nent training, automated curriculum learning, and \nothers. \n\nGiven the above evidence of overparameteriza- \ntion, it does not come as a surprise that BERT \ncan be efficiently compressed with minimal ac- \ncuracy loss, which would be highly desirable for \nreal-world applications. Such efforts to date are \nsummarized in Table 1. The main approaches are \nknowledge distillation, quantization, and pruning. \nThe studies in the knowledge distillation \nframework (Hinton et al., 2014) use a smaller \nstudent-network trained to mimic the behavior of \na larger teacher-network. For BERT, this has been \nachieved through experiments with loss functions \n(Sanh et al., 2019b; Jiao et al., 2019), mimicking \nthe activation patterns of individual portions of the \nteacher network (Sun et al., 2019a), and knowledge \ntransfer at the pre-training (Turc et al., 2019; Jiao \net al., 2019; Sun et al., 2020) or fine-tuning stage \n(Jiao et al., 2019). McCarley et al. (2020) suggest \nthat distillation has so far worked better for GLUE \nthan for reading comprehension, and report good \nresults for QA from a combination of structured \npruning and task-specific distillation. \n\n6.1 Overparameterization \n\nTransformer-based models keep growing by or- \nders of magnitude: the 110M parameters of base \nBERT are now dwarfed by 17B parameters of \nTuring-NLG (Microsoft, 2020), which is dwarfed \nby 175B of GPT-3 (Brown et al., 2020). This trend \nraises concerns about computational complexity \nof self-attention (Wu et al., 2019a), environmental \nissues (Strubell et al., 2019; Schwartz et al., 2019), \nfair comparison of architectures (Aßenmacher and \nHeumann, 2020), and reproducibility.", + "page_start": 9, + "page_end": 9, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Benchmarks that require verbal reasoning. \nWhile BERT enabled breakthroughs on many NLP \nbenchmarks, a growing list of analysis papers are \nshowing that its language skills are not as impres- \nsive as it seems. In particular, it was shown to rely \non shallow heuristics in natural language inference \n(McCoy et al., 2019b; Zellers et al., 2019; Jin et al., \n2020), reading comprehension (Si et al., 2019a; \nRogers et al., 2020; Sugawara et al., 2020; Si et al., \n2019b; Yogatama et al., 2019), argument reason- \ning comprehension (Niven and Kao, 2019), and \ntext classification (Jin et al., 2020). Such heuristics \ncan even be used to reconstruct a non-publicly- \navailable model (Krishna et al., 2020). As with \nany optimization method, if there is a shortcut in \n\n8 Conclusion \n\nIn a little over a year, BERT has become a ubiq- \nuitous baseline in NLP experiments and inspired \nnumerous studies analyzing the model and propos- \ning various improvements. The stream of papers \nseems to be accelerating rather than slowing down, \nand we hope that this survey helps the community \nto focus on the biggest unresolved questions. \n\n9 Acknowledgements \n\nWe thank the anonymous reviewers for their valu- \nable feedback. This work is funded in part by \nthe NSF award number IIS-1844740 to Anna \nRumshisky.", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "The above claims of syntactic knowledge are be- \nlied by the evidence that BERT does not \"under- \nstand\" negation and is insensitive to malformed \ninput. In particular, its predictions were not al- \ntered2 even with shuffled word order, truncated \nsentences, removed subjects and objects (Ettinger, \n2019). This could mean that either BERT’s syn- \ntactic knowledge is incomplete, or it does not \nneed to rely on it for solving its tasks. The latter \nseems more likely, since Glavaš and Vuli´c (2020) \n\n2See also the recent findings on adversarial triggers, which \nget the model to produce a certain output even though they \nare not well-formed from the point of view of a human reader \n(Wallace et al., 2019a). \n\nHowever, syntactic information can be recov- \nered from BERT token representations. Hewitt \nand Manning (2019) were able to learn transfor- \nmation matrices that successfully recovered syn- \ntactic dependencies in PennTreebank data from \nBERT’s token embeddings (see also Manning et al., \n2020). Jawahar et al. (2019) experimented with \ntransformations of the [CLS] token using Tensor \nProduct Decomposition Networks (McCoy et al., \n2019a), concluding that dependency trees are the \nbest match among 5 decomposition schemes (al- \nthough the reported MSE differences are very \nsmall). Miaschi and Dell’Orletta (2020) performs \na range of syntactic probing experiments with con- \ncatenated token representations as input. \n\nNote that all these approaches look for the \nevidence of gold-standard linguistic structures, \nand add some amount of extra knowledge to the \nprobe. Most recently, Wu et al. (2020) proposed a", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "R-1a \n0.494 R-2a \n0.322 R-La \n0.391 \nSummary type BERT-p \nLLM-generated 0.859 \nPhysician-written 0.251 0.088 0.154 0.796 \n\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; \nSCALE, source chunking approach for large-scale inconsistency evaluation. \n\na R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 6/12", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed8.pdf" + }, + { + "text": "Stochastic Parrots \n\nmBERT across 29 tasks. Either way, these models do not address \nthe inclusion problems raised by [65], who note that over 90% of \nthe world’s languages used by more than a billion people currently \nhave little to no support in terms of language technology. \n\nAlongside work investigating what information the models re- \ntain from the data, we see a trend in reducing the size of these \nmodels using various techniques such as knowledge distillation \n[26, 58], quantization [118, 153], factorized embedding parame- \nterization and cross-layer parameter sharing [70], and progressive \nmodule replacing [146]. Rogers et al. [110] provide a comprehensive \ncomparison of models derived from BERT using these techniques, \nsuch as DistilBERT [113] and ALBERT [70]. While these models \nmaintain and sometimes exceed the performance of the original \nBERT model, despite their much smaller size, they ultimately still \nrely on large quantities of data and significant processing and stor- \nage capabilities to both hold and reduce the model. \n\nWe note that the change from n-gram LMs to word vectors dis- \ntilled from neural LMs to pretrained Transformer LMs is paralleled \nby an expansion and change in the types of tasks they are use- \nful for: n-gram LMs were initially typically deployed in selecting \namong the outputs of e.g. acoustical or translation models; the \nLSTM-derived word vectors were quickly picked up as more effec- \ntive representations of words (in place of bag of words features) \nin a variety of NLP tasks involving labeling and classification; and \nthe pretrained Transformer models can be retrained on very small \ndatasets (few-shot, one-shot or even zero-shot learning) to perform \napparently meaning-manipulating tasks such as summarization, \nquestion answering and the like. Nonetheless, all of these systems \nshare the property of being LMs in the sense we give above, that \nis, systems trained to predict sequences of words (or characters or \nsentences). Where they differ is in the size of the training datasets \nthey leverage and the spheres of influence they can possibly affect. \nBy scaling up in these two ways, modern very large LMs incur new \nkinds of risk, which we turn to in the following sections.", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "5 Training BERT \n\nThis section reviews the proposals to optimize the \ntraining and architecture of the original BERT. \n\nTo date, the most systematic study of BERT archi- \ntecture was performed by Wang et al. (2019b), who \nexperimented with the number of layers, heads, and \nmodel parameters, varying one option and freez- \ning the others. They concluded that the number \nof heads was not as significant as the number \nof layers. That is consistent with the findings \nof Voita et al. (2019b) and Michel et al. (2019) \n(section 6), and also the observation by Liu et al. \n(2019a) that the middle layers were the most trans- \nferable. Larger hidden representation size was con- \n\nGong et al. (2019) note that, since self-attention \npatterns in higher and lower layers are similar, the \nmodel training can be done in a recursive man- \nner, where the shallower version is trained first and \nthen the trained parameters are copied to deeper \nlayers. Such a \"warm-start\" can lead to a 25% faster \ntraining without sacrificing performance.", + "page_start": 6, + "page_end": 6, + "source_file": "arxiv2_taclccby4_license.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_FFIN_2002.pdf", + "query": "How many affiliate banks has First Financial Bankshares ?", + "target_page": 4, + "target_passage": "The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "First Financial Bankshares, Inc. is a financial holding company \n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion \n\nas of December 31, 2002. The corporation has 10 affiliate banks, \n\nwhich provide services from 28 full-service locations in the Central, West \n\nand High Plains regions of Texas. The common stock of First Financial \n\nBankshares, Inc. is held by more than 3,500 shareholders and is listed \n\non The NASDAQ Stock Market® under the symbol FFIN.", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**First Financial Bankshares, Inc.**\n\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables \nthem to improve or expand their banking services while continuing their local activity and identity. Each of our \nsubsidiary banks operates under the day-to-day management of its own board of directors and officers, with \nsubstantial authority in making decisions concerning their own investments, loan policies, interest rates, and service \ncharges. We provide resources and policy direction in, among other things, the following areas: \n\n• \n• \n• \n• \n\nasset and liability management; \n\naccounting, budgeting, planning and insurance; \n\ncapitalization; and \n\nregulatory compliance. \n\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital \nexpenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and \nappointment of officers and directors and their compensation. We also perform, through corporate staff groups or \nby outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National \nBank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing, \nadvertising, public relations, and computer services. \n\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we \nperiodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate \npotential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be \nprovided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of \ncredit and future debt or equity offerings. \n\n**Services Offered by Our Subsidiary Banks**\n\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own \nboard of directors and officers. Each of our subsidiary banks provides general commercial banking services, which \ninclude accepting and holding checking, savings and time deposits, making loans, automated teller machines, drive- \nin and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial \nbanking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other \nemployee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and \nTrust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", + "page_start": 29, + "page_end": 29, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT AUDITORS**\n\nTo the Board of Directors and Shareholders of \nFirst Financial Bankshares, Inc. \n\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas \ncorporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings, \ncomprehensive earnings, shareholders’ equity, and cash flows for the year then ended. These financial statements \nare the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial \nstatements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and \nsubsidiaries as of December 31, 2001 and for each of the two years then ended, were audited by other auditors who \nhave ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those \nstatements. \n\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those \nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial \nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the \namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used \nand significant estimates made by management, as well as evaluating the overall financial statement presentation. \nWe believe that our audit provides a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position \nof First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their \noperations and their cash flows for the year then ended in conformity with accounting principles generally accepted \nin the United States. \n\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the \ntwo years then ended were audited by other auditors who have ceased operations. As described in Note 1, these \nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial \nAccounting Standards No. 142,*Goodwill and Other Intangible Assets*, which was adopted by the Company as of \nJanuary 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000 \nincluded (a) agreeing the previously reported net income to the previously issued financial statements and the \nadjustments to reported net income representing amortization expense including related tax effects recognized in \nthose periods related to goodwill to the Company’s underlying records obtained from management, and (b) testing \nthe mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related \nearnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were \nnot engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company \nother than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of \nassurance on the 2001 and 2000 financial statements taken as a whole.", + "page_start": 64, + "page_end": 64, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n17. BUSINESS COMBINATION: \n\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. (“City”) and its \nsubsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market \nvalue of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an \nidentifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible \nasset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized \nover seven years utilizing a method that approximates the expected attrition of the deposits. \n\nThe primary purpose of the acquisition was to expand the Company’s market share in areas with close proximity to \nDallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City’s \nhistorically stable record of earnings, capable management and its geographic location, which complements the \nCompany’s existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and \nCity National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are \nincluded in the consolidated earnings of the Company commencing July 1, 2001. \n\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts \nassigned to the major asset and liability captions at the acquisition date. \n\nASSETS \n\nCash and cash equivalents \nInvestment securities \nLoans, net \nGoodwill \nIdentifiable intangible asset \nOther assets $ 9,651,769 \n29,717,834 \n51,061,735 \n6,891,959 \n946,073 \n 1,465,727 \n\nTotal assets $ 99,735,097 \n\nLIABILITIES AND SHAREHOLDER’S EQUITY \n\nNoninterest-bearing deposits \nInterest-bearing deposits \nOther liabilities \nShareholders' equity $ 11,949,766 \n70,575,256 \n710,075 \n 16,500,000 \n\nTotal liabilities and shareholder’s equity $ 99,735,097 \n\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142. \nAccordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and \nidentifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of \nCity is insignificant to the Company's financial statements. \n\nCash flow information relative to the acquisition of City is, as follows:", + "page_start": 92, + "page_end": 92, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES: \n\nNature of Operations \n\nFirst Financial Bankshares, Inc. (a Texas corporation) (“Bankshares”) is a financial holding company which owns \n(through its wholly-owned Delaware subsidiary) all of the capital stock of ten banks located in Texas as of \nDecember 31, 2002. Those subsidiary banks are First National Bank of Abilene; Hereford State Bank; First \nNational Bank, Sweetwater; Eastland National Bank; First Financial Bank, National Association, Cleburne; \nStephenville Bank & Trust Co.; San Angelo National Bank; Weatherford National Bank; First Financial Bank, \nNational Association, Southlake and City National Bank, Mineral Wells. Each subsidiary bank’s primary source of \nrevenue is providing loans and banking services to consumers and commercial customers in the market area in \nwhich the subsidiary is located. \n\nA summary of significant accounting policies of Bankshares and subsidiaries (collectively, the “Company”) applied \nin the preparation of the accompanying consolidated financial statements follows. The accounting principles \nfollowed by the Company and the methods of applying them are in conformity with both accounting principles \ngenerally accepted in the United States of America and prevailing practices of the banking industry. \n\nUse of Estimates in Preparation of Financial Statements \n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United \nStates of America requires management to make estimates and assumptions that affect the reported amounts of \nassets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and \nreported amounts of revenues and expenses during the reporting period. Actual results could differ from those \nestimates. Material estimates that are particularly susceptible to significant change in the near term relate to the \ndetermination of the allowance for loan losses, the valuations of foreclosed real estate, deferred income tax assets, \nand the fair value of financial instruments. \n\nConsolidation \n\nThe accompanying consolidated financial statements include the accounts of Bankshares and its subsidiaries, all of \nwhich are wholly-owned. All significant intercompany accounts and transactions have been eliminated. \n\nInvestment Securities \n\nManagement classifies debt and equity securities as held-to-maturity, available-for-sale, or trading based on its \nintent. Debt securities that management has the positive intent and ability to hold to maturity are classified as held- \nto-maturity and recorded at cost, adjusted for amortization of premiums and accretion of discounts, which are \nrecognized as adjustments to interest income using the interest method. Securities not classified as held-to-maturity \nor trading are classified as available-for-sale and recorded at estimated fair value, with unrealized gains and losses, \nnet of deferred income taxes, excluded from earnings and reported in a separate component of shareholders’ equity. \nSecurities classified as trading are recorded at estimated fair value, with unrealized gains and losses included in \nearnings. The Company had no trading securities at December 31, 2002, 2001, or 2000. \n\nLoans and Allowance for Loan Losses", + "page_start": 72, + "page_end": 72, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\nOn January 1, 2002, goodwill amounting to $23,765,896 was not subject to further amortization as a result of SFAS \nNo. 142. The Company conducted its initial impairment test in 2002, with no reduction of recorded goodwill \nresulting from the test. A reconciliation adjusting comparative net earnings and earnings per share for the years \nended December 31, 2001 and 2000, to show the effect of no longer amortizing the Company’s goodwill, follows: \n\n 2001 2000 \n\nReported net earnings \nAdd back: goodwill amortization \n$ 29,354,505 $ 28,316,047 \n\nGoodwill amortization, before income tax \nIncome tax benefit \nAdjusted net earnings 1,641,367 \n1,641,367 \n (420,000) \n (420,000) \n $ 30,575,872 $ 29,537,414 \n\nBasic earnings per share: \nReported net earnings \nGoodwill amortization, net of income tax benefit \n$ 2.38 \n .10 \n $ 2.48 $ 2.28 \n .10 \n$ 2.38 Adjusted net earnings \n\nEarnings per share, assuming dilution: \n\nReported net earnings \nGoodwill amortization, net of income tax benefit \n$ 2.37 \n .10 \n $ 2.47 $ 2.27 \n .10 \n $ 2.37 Adjusted net earnings \n\nGoodwill arising from acquisitions of assets and liabilities, rather than acquisitions of stock, amounting to \n$13,000,000, is deductible for federal income tax purposes. \n\nOther identifiable intangible assets recorded by the Company represent the future benefit associated with the \nacquisition of the core deposits of City Bancshares, Inc. (Note 17) and is being amortized over seven years utilizing \na method that approximates the expected attrition of the deposits. \n\nSecurities Sold Under Agreements To Repurchase \n\nSecurities sold under agreements to repurchase, which are classified as secured borrowings, generally mature within \none to four days from the transaction date. Securities sold under agreements to repurchase are reflected at the \namount of the cash received in connection with the transaction. The Company may be required to provide additional \ncollateral based on the estimated fair value of the underlying securities. \n\nSegment Reporting \n\nThe Company has determined that it operates one line of business (community banking) located in a single \ngeographic area (Texas). \n\nStatements of Cash Flows \n\nFor purposes of reporting cash flows, cash and cash equivalents include cash on hand, amounts due from banks, and \nfederal funds sold. \n\nAccounting for Income Taxes \n\nThe Company’s provision for income taxes is based on income before income taxes adjusted for permanent \ndifferences between financial reporting and taxable income. Deferred tax assets and liabilities are determined using \nthe liability (or balance sheet) method. Under this method, the net deferred tax asset or liability is determined based \non the tax effects of the temporary differences between the book and tax bases of the various balance sheet assets \nand liabilities and gives current recognition to changes in tax rates and laws.", + "page_start": 74, + "page_end": 74, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\nCondensed Statements of Cash Flows- \n For the Years Ended December 31, 2002, 2001, and 2000 \n\n 2002 2001 \nCash flows from operating activities: \n\nNet earnings \nAdjustments to reconcile net earnings to net \n$33,952,550 $29,354,505 \n\ncash provided by operating activities: \n\nExcess of earnings over \n dividends of subsidiary banks \nDepreciation \nDiscount accretion, net of premium amortization \nAmortization of excess of cost over fair value \n of assets acquired \nGain on sale of securities \n(Increase) decrease in other assets \n(Decrease) increase in liabilities \n\n(8,479,939) \n54,219 \n- \n\n- \n- \n(215,435) \n (1,041,688) 55,576 \n- \n559,515 \n 186,391 \n\nNet cash provided by operating activities 24,269,707 25,600,985 \n\nCash flows from investing activities: \n\nPurchases of bank premises and equipment \nActivity in available-for-sale securities: \n(50,481) \n\nSales \nMaturities \nPurchases \n- \n- \n- \n - \n- \n10,000,000 \n- \nCash payment for stock acquisition (16,500,000) \n\n (50,481) (6,657,291) \n\nNet cash used in investing activities \n\nCash flows from financing activities: \n\nProceeds of stock issuances \nAcquisition of treasury stock \nCash dividends paid \n\n Net cash used in financing activities \n\nNet increase (decrease) in cash and cash equivalents \n\nCash and cash equivalents, beginning of year \n\nCash and cash equivalents, end of year \n\n573,116 \n- \n(16,052,983) 356,670 \n(315,050) \n(13,921,211) 161,919 \n(3,925,069) \n(12,543,863) \n\n(15,479,867) (13,879,591) (16,307,013) \n\n8,739,359 5,064,103 (5,020,150) \n\n 14,376,024 9,311,921 14,332,071 \n\n$23,115,383 $14,376,024 $ 9,311,921", + "page_start": 91, + "page_end": 91, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| Robert S. Patterson First National Bank of Abilene | | | | |\n\n\nDavid Byrd \n*San Angelo*\n*National Bank*\n\n\n\n\n\nPlans for the formation of a First Financial Bankshares \n\ntrust company are moving forward with regulatory approval \n\nanticipated in late Spring or early Summer. This will permit \n\nyour Company to provide quality, locally delivered trust \n\nservices to additional markets. \n\nWith skilled trust professionals offering a complete range \n\nof financial products and services, the future of our trust \n\ndepartments look bright. Through dedication to individu- \n\nalized portfolio design and personalized service, our trust \n\ndepartments stand ready to meet the needs of our pres- \n\nent and future clients. \n\n\nRobert S. Patterson \nSenior Vice President, Trust Services \n\nTRUST FEES in millions \n\n9 \n8 \n. \n5 \n$ 3 \n8 \n. \n5 \n$ \n$6 \n0 \n5 \n. \n5 \n$ \n0 \n1 \n. \n5 \n$ \n5 \n7 \n. \n4 \n$ $5 \n\nAssets managed by the Trust Departments at First National \n\nBank of Abilene, San Angelo National Bank, Stephenville \n\nBank & Trust Co. and First National Bank, Sweetwater, \n\nincreased $27.3 million during the past year to a \n\nDecember 31, 2002 book value of $986.2 million. However, \n\ndue to depressed stock market values and volumes, trust \n\ndepartment revenue declined in 2002. Trust combined \n\nrevenues for the year were down slightly from $5.89 mil- \n\nlion in 2001 to $5.83 million for 2002. In 2003, we anticipate \n\na return to improved income growth. \n\nThe performance of the stock market the past three years \n\nhas been a challenge that our trust investment profes- \n\nsionals have managed well. Not since 1939-1941 have \n\nwe seen the S&P 500 drop 35% in a three-year period. Our \n\nportfolio managers outperformed their indices in Large \n\nCap stocks by 83 basis points and Fixed Income securi- \n\nties by 168 basis points. This performance bodes well for \n\nthe present and future of our client accounts. \n\nDuring 2002, we saw a successful conversion of \n\nStephenville Bank & Trust to the SEI Corporation account- \n\ning system. In March 2003, we will be converting First \n\nNational Bank, Sweetwater, to this system as well. This will \n\nTRUST ASSETS in millions \nprovide all First Financial Bankshares trust clients with the \n\nstrength and advantages of a uniform accounting system. \n6 \n8 \n9 \n$ \n9 \n5 \n9 \n$ \n$1000 \nOther operational systems have been examined and con- \n1 \n1 \n9 \n$ \n5 \n4 \n8 \n$ \nsistent practices and procedures have been implemented. \n$900 \n\n4 \n7 \n7 \n$ $800 \nTo further enhance our risk management assessments in \n$700 \n2003, we will be introducing an Operational Peer Review \n\n$600 \nTeam similar to the successful peer review teams used in \n\nthe Personal Trust areas of our four locations. $500", + "page_start": 14, + "page_end": 14, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n4. BANK PREMISES AND EQUIPMENT: \n\nThe following is a summary of bank premises and equipment: \n\n Useful Life \n December 31, \n 2001 \n 2002 \n\nLand \nBuildings \nFurniture and equipment \nLeasehold improvements – \n20 to 40 years \n3 to 10 years \nLesser of lease term or 5 to 15 years $ 7,362,814 \n50,560,723 \n26,347,819 \n 4,385,288 $ 7,104,759 \n49,885,954 \n27,249,965 \n 4,105,350 \n\n88,656,644 88,346,028 \n\nLess- accumulated depreciation and amortization (48,051,243) (46,333,597) \n\n$40,605,401 $42,012,431 \n\nDepreciation expense for the years ended December 31, 2002, 2001 and 2000 amounted to $4,284,473, $3,755,878, \nand $3,700,474, respectively and is included in the captions net occupancy expense and equipment expense in the \naccompanying consolidated statements of earnings. \n\nThe Company is lessor for portions of its banking premises. Total rental income for all leases included in net \noccupancy expense is approximately $1,578,000, $1,432,000 and $1,387,000, for the years ended December 31, \n2002, 2001, and 2000, respectively. \n\n5. TIME DEPOSITS \n\nTime deposits of $100,000 or more totaled approximately $195,754,000 and $196,905,000 at December 31, 2002 \nand 2001, respectively. Interest expense on these deposits was approximately $11,559,000, $10,163,000, and \n$10,022,000 during 2002, 2001, and 2000, respectively. \n\nAt December 31, 2002, the scheduled maturities of time deposits were, as follows: \n\nYear ending December 31, \n\n2003 \n2004 \n2005 \n2006 \n2007 $466,285,411 \n42,007,875 \n12,232,334 \n2,222,764 \n 10,878,020 \n\n$533,626,404 \n\n6. LINE OF CREDIT \n\nThe Company has a line of credit with a nonaffiliated bank under which it could borrow up to $25,000,000. The \nline of credit is unsecured and matures on June 30, 2003. Bankshares paid no fee to secure the unused line of credit \nand, accordingly, did not estimate a fair value of the unused line of credit at December 31, 2002 and 2001. The line \nof credit carries an interest rate of the London Interbank Offering Rate plus 1.0%. There was no outstanding balance \nunder the line of credit as of December 31, 2002 and 2001.", + "page_start": 80, + "page_end": 80, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS**\n\nTo the Board of Directors and Shareholders of \nFirst Financial Bankshares, Inc. \n\nWe have audited the accompanying consolidated balance sheets of First Financial Bankshares, Inc. (a Texas \ncorporation) and subsidiaries as of December 31, 2001 and 2000, and the related consolidated statements of \nearnings, comprehensive earnings, shareholders’ equity, and cash flows for each of the three years in the period \nended December 31, 2001. These financial statements are the responsibility of the Company’s management. Our \nresponsibility is to express an opinion on these financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those \nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial \nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the \namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used \nand significant estimates made by management, as well as evaluating the overall financial statement presentation. \nWe believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position \nof First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and 2000, and the results of their \noperations and their cash flows for each of the three years in the period ended December 31, 2001, in conformity \nwith accounting principles generally accepted in the United States. \n\nNOTE: THIS IS A COPY OF A REPORT PREVIOUSLY ISSUED BY ARTHUR \n\nANDERSEN LLP WHICH CEASED OPERATIONS. THIS REPORT \n\nADDRESSES CERTAIN FINANCIAL STATEMENTS FOR PERIODS \n\nTHAT ARE NOT OTHERWISE REQUIRED TO BE INCLUDED IN THIS \n\nFORM 10-K.", + "page_start": 65, + "page_end": 65, + "source_file": "NASDAQ_FFIN_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_FFIN_2002.pdf", + "query": "What was the net income of First Financial Bankshares in 1995 ?", + "target_page": 14, + "target_passage": " 16,355", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n17. BUSINESS COMBINATION: \n\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. (“City”) and its \nsubsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market \nvalue of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an \nidentifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible \nasset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized \nover seven years utilizing a method that approximates the expected attrition of the deposits. \n\nThe primary purpose of the acquisition was to expand the Company’s market share in areas with close proximity to \nDallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City’s \nhistorically stable record of earnings, capable management and its geographic location, which complements the \nCompany’s existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and \nCity National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are \nincluded in the consolidated earnings of the Company commencing July 1, 2001. \n\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts \nassigned to the major asset and liability captions at the acquisition date. \n\nASSETS \n\nCash and cash equivalents \nInvestment securities \nLoans, net \nGoodwill \nIdentifiable intangible asset \nOther assets $ 9,651,769 \n29,717,834 \n51,061,735 \n6,891,959 \n946,073 \n 1,465,727 \n\nTotal assets $ 99,735,097 \n\nLIABILITIES AND SHAREHOLDER’S EQUITY \n\nNoninterest-bearing deposits \nInterest-bearing deposits \nOther liabilities \nShareholders' equity $ 11,949,766 \n70,575,256 \n710,075 \n 16,500,000 \n\nTotal liabilities and shareholder’s equity $ 99,735,097 \n\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142. \nAccordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and \nidentifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of \nCity is insignificant to the Company's financial statements. \n\nCash flow information relative to the acquisition of City is, as follows:", + "page_start": 92, + "page_end": 92, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\nCondensed Statements of Cash Flows- \n For the Years Ended December 31, 2002, 2001, and 2000 \n\n 2002 2001 \nCash flows from operating activities: \n\nNet earnings \nAdjustments to reconcile net earnings to net \n$33,952,550 $29,354,505 \n\ncash provided by operating activities: \n\nExcess of earnings over \n dividends of subsidiary banks \nDepreciation \nDiscount accretion, net of premium amortization \nAmortization of excess of cost over fair value \n of assets acquired \nGain on sale of securities \n(Increase) decrease in other assets \n(Decrease) increase in liabilities \n\n(8,479,939) \n54,219 \n- \n\n- \n- \n(215,435) \n (1,041,688) 55,576 \n- \n559,515 \n 186,391 \n\nNet cash provided by operating activities 24,269,707 25,600,985 \n\nCash flows from investing activities: \n\nPurchases of bank premises and equipment \nActivity in available-for-sale securities: \n(50,481) \n\nSales \nMaturities \nPurchases \n- \n- \n- \n - \n- \n10,000,000 \n- \nCash payment for stock acquisition (16,500,000) \n\n (50,481) (6,657,291) \n\nNet cash used in investing activities \n\nCash flows from financing activities: \n\nProceeds of stock issuances \nAcquisition of treasury stock \nCash dividends paid \n\n Net cash used in financing activities \n\nNet increase (decrease) in cash and cash equivalents \n\nCash and cash equivalents, beginning of year \n\nCash and cash equivalents, end of year \n\n573,116 \n- \n(16,052,983) 356,670 \n(315,050) \n(13,921,211) 161,919 \n(3,925,069) \n(12,543,863) \n\n(15,479,867) (13,879,591) (16,307,013) \n\n8,739,359 5,064,103 (5,020,150) \n\n 14,376,024 9,311,921 14,332,071 \n\n$23,115,383 $14,376,024 $ 9,311,921", + "page_start": 91, + "page_end": 91, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "First Financial Bankshares, Inc. is a financial holding company \n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion \n\nas of December 31, 2002. The corporation has 10 affiliate banks, \n\nwhich provide services from 28 full-service locations in the Central, West \n\nand High Plains regions of Texas. The common stock of First Financial \n\nBankshares, Inc. is held by more than 3,500 shareholders and is listed \n\non The NASDAQ Stock Market® under the symbol FFIN.", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "| | | IN THOUSANDS EXCEPT PER SHARE DATA |\n|---|---|---|\n| | | IN THOUSANDS EXCEPT PER SHARE DATA |\n\n\nBasic \nEarnings \nper Share(2) Cash \nDividends \nper Share(2) Stock \nDividends \nand Splits Year-End \nBook Value \nper Share(2) Year-End \nMarket Value \nper Share(2) Shareholders’ \nEquity(1) Net \nIncome(1) Year-End Total Assets(1) \n\n2002 $1,993,183 $238,768 $33,953 $2.75 $1.35 – $19.31 $38.00 \n\n2001 1,929,694 213,654 29,355 2.38 1.16 5/4 split 17.32 30.10 \n\n2000 1,753,814 196,121 28,316 2.28 1.03 – 15.92 25.15 \n\n1999 1,723,369 178,663 25,690 2.06 0.90 – 14.33 24.60 \n\n1.87 0.80 10% dividend 13.62 28.00 \n\n1.70 0.70 5/4 split 12.46 31.18 \n\n1.58 0.63 5/4 split 11.36 23.27 \n\n1.52 0.56 – 10.66 15.59 \n\n1.22 0.51 5/4 split 9.67 12.44 \n\n1.31 0.45 10% dividend 8.99 15.46 \n\n1998 1,686,647 \n\n1997 1,573,509 \n\n1996 1,262,041 \n\n1995 1,062,325 \n\n1994 1,001,906 \n\n1993 924,630 \n\nTen-Year \nCompound \nGrowth Rate \n\n(1) As originally reported at the close of each year and prior to restatements for pooling-of-interests. \n(2) Adjusted for stock dividends and splits. \n\n“The value of our stock rose as we \nachieved higher earnings for the \n16th year in a row.”", + "page_start": 13, + "page_end": 13, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\nOn January 1, 2002, goodwill amounting to $23,765,896 was not subject to further amortization as a result of SFAS \nNo. 142. The Company conducted its initial impairment test in 2002, with no reduction of recorded goodwill \nresulting from the test. A reconciliation adjusting comparative net earnings and earnings per share for the years \nended December 31, 2001 and 2000, to show the effect of no longer amortizing the Company’s goodwill, follows: \n\n 2001 2000 \n\nReported net earnings \nAdd back: goodwill amortization \n$ 29,354,505 $ 28,316,047 \n\nGoodwill amortization, before income tax \nIncome tax benefit \nAdjusted net earnings 1,641,367 \n1,641,367 \n (420,000) \n (420,000) \n $ 30,575,872 $ 29,537,414 \n\nBasic earnings per share: \nReported net earnings \nGoodwill amortization, net of income tax benefit \n$ 2.38 \n .10 \n $ 2.48 $ 2.28 \n .10 \n$ 2.38 Adjusted net earnings \n\nEarnings per share, assuming dilution: \n\nReported net earnings \nGoodwill amortization, net of income tax benefit \n$ 2.37 \n .10 \n $ 2.47 $ 2.27 \n .10 \n $ 2.37 Adjusted net earnings \n\nGoodwill arising from acquisitions of assets and liabilities, rather than acquisitions of stock, amounting to \n$13,000,000, is deductible for federal income tax purposes. \n\nOther identifiable intangible assets recorded by the Company represent the future benefit associated with the \nacquisition of the core deposits of City Bancshares, Inc. (Note 17) and is being amortized over seven years utilizing \na method that approximates the expected attrition of the deposits. \n\nSecurities Sold Under Agreements To Repurchase \n\nSecurities sold under agreements to repurchase, which are classified as secured borrowings, generally mature within \none to four days from the transaction date. Securities sold under agreements to repurchase are reflected at the \namount of the cash received in connection with the transaction. The Company may be required to provide additional \ncollateral based on the estimated fair value of the underlying securities. \n\nSegment Reporting \n\nThe Company has determined that it operates one line of business (community banking) located in a single \ngeographic area (Texas). \n\nStatements of Cash Flows \n\nFor purposes of reporting cash flows, cash and cash equivalents include cash on hand, amounts due from banks, and \nfederal funds sold. \n\nAccounting for Income Taxes \n\nThe Company’s provision for income taxes is based on income before income taxes adjusted for permanent \ndifferences between financial reporting and taxable income. Deferred tax assets and liabilities are determined using \nthe liability (or balance sheet) method. Under this method, the net deferred tax asset or liability is determined based \non the tax effects of the temporary differences between the book and tax bases of the various balance sheet assets \nand liabilities and gives current recognition to changes in tax rates and laws.", + "page_start": 74, + "page_end": 74, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": ". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.43 Net income per share . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 2.85 | | | | | | | | | | | | | | | | | | | | | | | | | $ 2,037,514 833,272 757,278 255,995 180,935 210,772 4,275,766 (413,023) 3,862,743 1,040,948 234,693 436,754 183,012 115,123 130,698 12,570 583,599 61,541 29,266 6,597 (18,941) 400,766 3,216,626 53,612 699,729 4,078 (337,586) (10,401) (12,160) (356,069) 343,660 (113,387) 230,273 16,075 (2,651) 13,424 $ 243,697 $ 1.55 0.09 $ 1.64 $ 1.52 0.09 $ 1.61 | | | | | | $ 2,012,840 796,861 706,153 251,488 170,537 215,600 4,153,479 (396,551 3,756,928 1,007,968 211,401 393,166 181,403 108,325 114,431 27,675 560,909 43,856 14,141 (17,021 14,712 381,785 3,042,751 32,361 746,538 4,071 (283,736 (1,335 (7,611 (288,611 457,927 (168,451 289,476 7,883 (4,924 2,959 $ 292,435 $ 1.83 0.02 $ 1.85 $ 1.81 0.02 $ 1.83 | | | | | |", + "page_start": 52, + "page_end": 52, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT AUDITORS**\n\nTo the Board of Directors and Shareholders of \nFirst Financial Bankshares, Inc. \n\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas \ncorporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings, \ncomprehensive earnings, shareholders’ equity, and cash flows for the year then ended. These financial statements \nare the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial \nstatements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and \nsubsidiaries as of December 31, 2001 and for each of the two years then ended, were audited by other auditors who \nhave ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those \nstatements. \n\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those \nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial \nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the \namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used \nand significant estimates made by management, as well as evaluating the overall financial statement presentation. \nWe believe that our audit provides a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position \nof First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their \noperations and their cash flows for the year then ended in conformity with accounting principles generally accepted \nin the United States. \n\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the \ntwo years then ended were audited by other auditors who have ceased operations. As described in Note 1, these \nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial \nAccounting Standards No. 142,*Goodwill and Other Intangible Assets*, which was adopted by the Company as of \nJanuary 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000 \nincluded (a) agreeing the previously reported net income to the previously issued financial statements and the \nadjustments to reported net income representing amortization expense including related tax effects recognized in \nthose periods related to goodwill to the Company’s underlying records obtained from management, and (b) testing \nthe mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related \nearnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were \nnot engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company \nother than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of \nassurance on the 2001 and 2000 financial statements taken as a whole.", + "page_start": 64, + "page_end": 64, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n16. CONDENSED FINANCIAL INFORMATION - PARENT COMPANY: \n\nCondensed Balance Sheets-December 31, 2002 and 2001 \n\nASSETS 2002 \n\nCash in subsidiary bank \nInterest-bearing deposits in subsidiary banks $ 903,319 \n 22,212,064 \n\n Total cash and cash equivalents 23,115,383 \n\nInvestment in subsidiaries, at equity \nIntangible assets \nOther assets 219,947,550 \n917,350 \n 950,708 \n\n Total assets $244,930,991 \n\nLIABILITIES AND SHAREHOLDERS’ EQUITY \n\nTotal liabilities \nShareholders’ equity: \nCommon stock \nCapital surplus \nRetained earnings \nAccumulated other comprehensive earnings \n\n$ 6,163,346 \n\n123,642,010 \n58,087,687 \n45,647,522 \n 11,390,426 \n\n Total shareholders’ equity 238,767,645 \n\n Total liabilities and shareholders’ equity $244,930,991 \n\n 2002 2001 \n\n$ 26,550,000 $ 25,500,000 \n\n8,479,939 4,582,993 \n\n- \n 944,911 - \n 1,092,375 \n\n 35,974,850 31,175,368 \n\n1,451,136 \n 1,142,832 1,160,903 \n 1,015,184 \n\n 2,593,968 2,176,087 \n\n33,380,882 28,999,281 \n\n 571,668 355,224 \n\n$33,952,550 $29,354,505 \n\n 2000 \n\n$ 21,000,000 \n\n7,383,516 \n\n530,097 \n 1,325,613 \n\n 30,239,226 \n\n1,067,664 \n 1,288,508 \n\n 2,356,172 \n\n27,883,054 \n\n 432,993 \n\n$28,316,047", + "page_start": 90, + "page_end": 90, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS**\n\nTo the Board of Directors and Shareholders of \nFirst Financial Bankshares, Inc. \n\nWe have audited the accompanying consolidated balance sheets of First Financial Bankshares, Inc. (a Texas \ncorporation) and subsidiaries as of December 31, 2001 and 2000, and the related consolidated statements of \nearnings, comprehensive earnings, shareholders’ equity, and cash flows for each of the three years in the period \nended December 31, 2001. These financial statements are the responsibility of the Company’s management. Our \nresponsibility is to express an opinion on these financial statements based on our audits. \n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those \nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial \nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the \namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used \nand significant estimates made by management, as well as evaluating the overall financial statement presentation. \nWe believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position \nof First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and 2000, and the results of their \noperations and their cash flows for each of the three years in the period ended December 31, 2001, in conformity \nwith accounting principles generally accepted in the United States. \n\nNOTE: THIS IS A COPY OF A REPORT PREVIOUSLY ISSUED BY ARTHUR \n\nANDERSEN LLP WHICH CEASED OPERATIONS. THIS REPORT \n\nADDRESSES CERTAIN FINANCIAL STATEMENTS FOR PERIODS \n\nTHAT ARE NOT OTHERWISE REQUIRED TO BE INCLUDED IN THIS \n\nFORM 10-K.", + "page_start": 65, + "page_end": 65, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES \nNotes to Consolidated Financial Statements \nDecember 31, 2002, 2001 and 2000 \n\n4. BANK PREMISES AND EQUIPMENT: \n\nThe following is a summary of bank premises and equipment: \n\n Useful Life \n December 31, \n 2001 \n 2002 \n\nLand \nBuildings \nFurniture and equipment \nLeasehold improvements – \n20 to 40 years \n3 to 10 years \nLesser of lease term or 5 to 15 years $ 7,362,814 \n50,560,723 \n26,347,819 \n 4,385,288 $ 7,104,759 \n49,885,954 \n27,249,965 \n 4,105,350 \n\n88,656,644 88,346,028 \n\nLess- accumulated depreciation and amortization (48,051,243) (46,333,597) \n\n$40,605,401 $42,012,431 \n\nDepreciation expense for the years ended December 31, 2002, 2001 and 2000 amounted to $4,284,473, $3,755,878, \nand $3,700,474, respectively and is included in the captions net occupancy expense and equipment expense in the \naccompanying consolidated statements of earnings. \n\nThe Company is lessor for portions of its banking premises. Total rental income for all leases included in net \noccupancy expense is approximately $1,578,000, $1,432,000 and $1,387,000, for the years ended December 31, \n2002, 2001, and 2000, respectively. \n\n5. TIME DEPOSITS \n\nTime deposits of $100,000 or more totaled approximately $195,754,000 and $196,905,000 at December 31, 2002 \nand 2001, respectively. Interest expense on these deposits was approximately $11,559,000, $10,163,000, and \n$10,022,000 during 2002, 2001, and 2000, respectively. \n\nAt December 31, 2002, the scheduled maturities of time deposits were, as follows: \n\nYear ending December 31, \n\n2003 \n2004 \n2005 \n2006 \n2007 $466,285,411 \n42,007,875 \n12,232,334 \n2,222,764 \n 10,878,020 \n\n$533,626,404 \n\n6. LINE OF CREDIT \n\nThe Company has a line of credit with a nonaffiliated bank under which it could borrow up to $25,000,000. The \nline of credit is unsecured and matures on June 30, 2003. Bankshares paid no fee to secure the unused line of credit \nand, accordingly, did not estimate a fair value of the unused line of credit at December 31, 2002 and 2001. The line \nof credit carries an interest rate of the London Interbank Offering Rate plus 1.0%. There was no outstanding balance \nunder the line of credit as of December 31, 2002 and 2001.", + "page_start": 80, + "page_end": 80, + "source_file": "NASDAQ_FFIN_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_FFIN_2002.pdf", + "query": "What is the address of the San Angelo National Bank main office ?", + "target_page": 21, + "target_passage": "Main Office 301 W. Beauregard San Angelo, Texas 76903 Chartered 1997 ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "San Angelo National Bank \n\nMain Office \n301 W. Beauregard \nSan Angelo, Texas 76903 \n*Chartered 1997*\nBranch \n3471 Knickerbocker \nSan Angelo, Texas 76904 \n\nDirectors \nDal DeWees \n*Chairman of the Board*\nGeorge Alexander \n*Partner, Alexander Construction Company*\nMichael L. Boyd \n*President and Chief Executive Officer*\nW. Dan Cravy, M.D. \n*Physician*\nDavid B. Drake \n*Investment Advisor*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nDoug Eakman \n*Owner, Pecos Street Pharmacy*\nJoe Henderson \n*President, Porter Henderson Implement*\n*Company, Inc.*\n\nSenior Officers \nMichael L. Boyd \n*President and Chief Executive Officer*\nDavid Byrd \n*Executive Vice President and Trust Officer*\nRobert Pate \n*Executive Vice President*\nKatherine Reeves \n*Executive Vice President and Cashier*\n\nRobert D. Housley \n*President and Owner,*\n*Housley Communications*\nJim Johnson \n*Shannon, Porter, Johnson, Pfluger,*\n*Davis & Joynton, LLP*\nDavid F. Lupton \n*President, Angelo Glass & Mirror*\n*Company, Inc.*\nKenneth T. Murphy \n*First Financial Bankshares, Inc.*\nBill Pfluger \n*Rancher*\nRichard W. Salmon \n*Investments*\nJohn E. Schwartz, Sr. \n*Farmer/Rancher*\nF.L. (Steve) Stephens \n*Retired Chairman and Chief Executive Officer,*\n*Town & Country Food Stores, Inc.*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, 200 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, 200 |\n\n\nAssets $303,124 $299,808 \n\nLoans 115,450 110,685 \n\nDeposits 251,931 257,212 \n\nEquity 30,634 27,986 \n\nNet Income 4,917 4,167 \n\nMichael L. Boyd \n*President and*\n*Chief Executive Officer*\nTrust Assets 144,047 129,471 \n\nReturn on Average Assets 1.70% 1.46% \n\nReturn on Average Equity 16.48 15.13 \n\n**24%**\nSan Angelo \n\nTom Green County Deposit Market Share", + "page_start": 20, + "page_end": 20, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| Robert S. Patterson First National Bank of Abilene | | | | |\n\n\nDavid Byrd \n*San Angelo*\n*National Bank*\n\n\n\n\n\nPlans for the formation of a First Financial Bankshares \n\ntrust company are moving forward with regulatory approval \n\nanticipated in late Spring or early Summer. This will permit \n\nyour Company to provide quality, locally delivered trust \n\nservices to additional markets. \n\nWith skilled trust professionals offering a complete range \n\nof financial products and services, the future of our trust \n\ndepartments look bright. Through dedication to individu- \n\nalized portfolio design and personalized service, our trust \n\ndepartments stand ready to meet the needs of our pres- \n\nent and future clients. \n\n\nRobert S. Patterson \nSenior Vice President, Trust Services \n\nTRUST FEES in millions \n\n9 \n8 \n. \n5 \n$ 3 \n8 \n. \n5 \n$ \n$6 \n0 \n5 \n. \n5 \n$ \n0 \n1 \n. \n5 \n$ \n5 \n7 \n. \n4 \n$ $5 \n\nAssets managed by the Trust Departments at First National \n\nBank of Abilene, San Angelo National Bank, Stephenville \n\nBank & Trust Co. and First National Bank, Sweetwater, \n\nincreased $27.3 million during the past year to a \n\nDecember 31, 2002 book value of $986.2 million. However, \n\ndue to depressed stock market values and volumes, trust \n\ndepartment revenue declined in 2002. Trust combined \n\nrevenues for the year were down slightly from $5.89 mil- \n\nlion in 2001 to $5.83 million for 2002. In 2003, we anticipate \n\na return to improved income growth. \n\nThe performance of the stock market the past three years \n\nhas been a challenge that our trust investment profes- \n\nsionals have managed well. Not since 1939-1941 have \n\nwe seen the S&P 500 drop 35% in a three-year period. Our \n\nportfolio managers outperformed their indices in Large \n\nCap stocks by 83 basis points and Fixed Income securi- \n\nties by 168 basis points. This performance bodes well for \n\nthe present and future of our client accounts. \n\nDuring 2002, we saw a successful conversion of \n\nStephenville Bank & Trust to the SEI Corporation account- \n\ning system. In March 2003, we will be converting First \n\nNational Bank, Sweetwater, to this system as well. This will \n\nTRUST ASSETS in millions \nprovide all First Financial Bankshares trust clients with the \n\nstrength and advantages of a uniform accounting system. \n6 \n8 \n9 \n$ \n9 \n5 \n9 \n$ \n$1000 \nOther operational systems have been examined and con- \n1 \n1 \n9 \n$ \n5 \n4 \n8 \n$ \nsistent practices and procedures have been implemented. \n$900 \n\n4 \n7 \n7 \n$ $800 \nTo further enhance our risk management assessments in \n$700 \n2003, we will be introducing an Operational Peer Review \n\n$600 \nTeam similar to the successful peer review teams used in \n\nthe Personal Trust areas of our four locations. $500", + "page_start": 14, + "page_end": 14, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**First Financial Bankshares, Inc.**\n\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables \nthem to improve or expand their banking services while continuing their local activity and identity. Each of our \nsubsidiary banks operates under the day-to-day management of its own board of directors and officers, with \nsubstantial authority in making decisions concerning their own investments, loan policies, interest rates, and service \ncharges. We provide resources and policy direction in, among other things, the following areas: \n\n• \n• \n• \n• \n\nasset and liability management; \n\naccounting, budgeting, planning and insurance; \n\ncapitalization; and \n\nregulatory compliance. \n\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital \nexpenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and \nappointment of officers and directors and their compensation. We also perform, through corporate staff groups or \nby outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National \nBank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing, \nadvertising, public relations, and computer services. \n\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we \nperiodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate \npotential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be \nprovided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of \ncredit and future debt or equity offerings. \n\n**Services Offered by Our Subsidiary Banks**\n\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own \nboard of directors and officers. Each of our subsidiary banks provides general commercial banking services, which \ninclude accepting and holding checking, savings and time deposits, making loans, automated teller machines, drive- \nin and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial \nbanking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other \nemployee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and \nTrust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", + "page_start": 29, + "page_end": 29, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "First Financial Bank, \nNational Association, Cleburne \n\nMain Office \n403 N. Main \nCleburne, Texas 76033 \n*Chartered 1927*\nBranches \n200 N. Ridgeway \nCleburne, Texas 76033 \n1900 S.W. Wilshire \nBurleson, Texas 76028 \n201 E. Highway 67 \nAlvarado, Texas 76009 \n\nHomer S. Pittman, Jr. \n*Senior Vice President and Cashier*\nCraig Beskow \n*Senior Vice President*\nDerek Schmidt \n*Senior Vice President*\n\nJim Easdon \n*Investments*\nCurtis R. Harvey \n*First Financial Bankshares, Inc.*\nHollis E. (Gene) Joslin \n*Investments*\nBrent D. Magers \n*Chief Executive Officer and Administrator,*\n*Walls Regional Hospital*\nGeorge Marti \n*Marti Enterprises*\n\nDirectors \nRonald E. Schneider \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nAlbert A. Archer \n*Chairman of the Board, Walls Industries, Inc.*\nGary Bennett \n*Bennett Printing & Office Supply*\nRobert T. Childress \n*Investments*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\n\nSenior Officers \nRonald E. Schneider \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nPerry Ginn \n*Executive Vice President*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n\n\nAssets $205,591 $209,159 \n\nLoans 106,755 108,607 \n\nDeposits 182,715 189,597 \n\nEquity 20,364 18,040 \n\nNet Income 3,451 3,120 \n\nRonald E. Schneider \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nReturn on Average Assets 1.72% 1.62% \n\nReturn on Average Equity 17.66 17.08 \n\n**22%**\nCleburne \n\nJohnson County Deposit Market Share", + "page_start": 16, + "page_end": 16, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "City National Bank, Mineral Wells \n\nOffice \n1800 E. Hubbard \nMineral Wells, Texas 76068 \n*Chartered 1925*\n\nDirectors \nKen A. Williamson \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nTerry L. Murphy \n*President and Chief Executive Officer,*\n*Murphy and Murphy, Inc.*\nDon O’Neal \n*Don O’Neal Distributing Company, Inc.,*\n*O’Neal Enterprises, Inc.*\nDavid Ramsey, M.D. \n*Family Practice Center*\n\nBrad Seay \n*Executive Vice President*\nJimmy Seay \n*Investments and Ranching*\nWalter Joe Thomas, D.D.S. \n*Dentist*\n\nSenior Officers \nKen A. Williamson \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nBrad Seay \n*Executive Vice President, Lending*\nEddie Gregory \n*Vice President*\nKay Hudspeth \n*Cashier*\nMike Mearse \n*Vice President*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n\n\nAssets $93,969 $91,252 \n\nLoans 51,224 48,838 \n\nDeposits 84,043 82,339 \n\nEquity 9,538 8,433 \n\nNet Income 1,659 574 \n\nKen A. Williamson \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nReturn on Average Assets 1.79% 1.25% \n\nReturn on Average Equity 18.02 13.22 \n\n**26%**\n\nPalo Pinto County Deposit Market Share \n\nMineral Wells", + "page_start": 19, + "page_end": 19, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "First Financial Bank, \nNational Association, Southlake \n\nMain Office \n3205 E. Highway 114 \nSouthlake, Texas 76092 \n*Chartered 1985*\nBranches \n95 Trophy Club Drive \nTrophy Club, Texas 76262 \n891 E. Keller Parkway \nSuite 100 \nKeller, Texas 76248 \n\nSenior Officers \nPerry D. Elliott \n*Chairman of the Board*\nMark L. Jones \n*President and Chief Executive Officer*\nF. Mills Shallene \n*Senior Vice President*\nJ. Sean Shope \n*Senior Vice President*\nMichele P. Stevens \n*Senior Vice President and Cashier*\n\nJack Dortch \n*Jack Dortch Insurance Agency*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nDerrell Johnson \n*President, American Council of Engineering*\n*Companies Life Health Trust*\nMark L. Jones \n*President and Chief Executive Officer*\nK. Wayne Lee \n*President, DDFW Properties*\nRobert S. Mundlin \n*Owner, Lifetime Benefits Insurance*\nJim Ridenour \n*President, Sunbelt Station Service*\n\nDirectors \nPerry D. Elliott \n*Chairman of the Board*\nJames E. Burger \n*Burger Construction*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31 |\n\n\n| Assets $67,750 $ | 65,554\n42,366\n59,672\n5,845\n652\n1.07%\n10.97 |\n|---|---|\n| Assets $67,750 $ | 65,554 42,366 59,672 5,845 652 1.07% 10.97 |\n| Loans 45,132 | |\n| Deposits 61,532 | |\n| Equity 6,295 | |\n| Net Income 412 | |\n| Return on Average Assets 0.62% | |\n| Return on Average Equity 6.74 | |\n| Cities of Southlake, Keller and Roanoke | |\n| | % |\n| 9 Deposit Market Share thlake | |", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "Weatherford National Bank \n\nMain Office \n101 N. Main Street \nWeatherford, Texas 76086 \n*Chartered 1984*\nBranches \n101 College Park Drive \nWeatherford, Texas 76086 \n1214 N. Main Street \nWeatherford, Texas 76086 \n505 Farm Road 1187 \nAledo, Texas 76008 \n\nSenior Officers \nDoyle Lee \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nBob Bradberry \n*Executive Vice President*\nJay Gibbs \n*Executive Vice President*\nPaul Baker \n*Senior Vice President*\nJean Bryan \n*Senior Vice President*\nLarry Mangrem \n*Senior Vice President and Cashier*\nLouis Sneed \n*Senior Vice President*\n\nDirectors \nDoyle Lee \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nStephen G. Brogdon, D.D.S. \n*General and Cosmetic Dentistry*\nMac A. Coalson \n*Real Estate and Ranching*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nBob Kingsley \n*Host and Producer, American Country*\n*Countdown*\nDave Lang \n*President, Dralco, Inc.*\nKenneth T. Murphy \n*First Financial Bankshares, Inc.*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n\n\nAssets $211,235 $201,768 \n\nLoans 96,660 91,096 \n\nDeposits 189,630 182,696 \n\nEquity 20,526 18,595 \n\nNet Income 3,862 3,721 \n\nDoyle Lee \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nReturn on Average Assets 1.97% 1.99% \n\nReturn on Average Equity 19.43 20.83 \n\n**26%**\nWeatherford \n\nParker County Deposit Market Share", + "page_start": 24, + "page_end": 24, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "range of services to individuals, associations, and corporations. These services include administering estates, \ntestamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene, \nFirst Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association, \nSouthlake, Texas provide securities brokerage services through arrangements with various third parties. \n\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose \nnational bank under which we will consolidate the management of our current trust departments. The new entity \nwill operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We \nbelieve that with this structure we can more effectively manage our current trust operations and provide trust \nservices to customers of our banks that do not currently have trust departments. We anticipate that the new trust \ncompany will begin operations in the latter part of 2003. \n\n**Competition**\n\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state’s deposits, \nwe represent only a minor segment of the industry. To succeed in this industry, our management believes that our \nbanks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services \noffered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas \nagainst highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions, \nmortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and \nsome of which are larger than our subsidiary banks in terms of capital, resources and personnel. \n\nOur business does not depend on any single customer or any few customers, the loss of any one of which would \nhave a materially adverse effect upon our business. Although we have a broad base of customers that are not related \nto us, our customers also occasionally include our officers and directors, as well as other entities with which we are \naffiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are \naffiliated, in the ordinary course of business. We make these loans on substantially the same terms, including \ninterest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to \ndirectors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws \nwhich we describe in greater detail below. \n\n**Employees**\n\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003. \nOur management believes that our employee relations have been and will continue to be good. \n\n**Supervision and Regulation**\n\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and \nbanks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the \ndeposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also \nbenefit. The following information describes particular laws and regulatory provisions relating to financial holding \ncompanies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory \nprovisions. A change in any of these laws or regulations may have a material effect on our business and the \nbusiness of our subsidiary banks. \n\n*Bank Holding Companies and Financial Holding Companies*", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "Stephenville Bank & Trust Co. \n\nMain Office \n2201 W. South Loop \nStephenville, Texas 76401 \n*Chartered 1923*\nBranches \n1875 Lingleville Road \nStephenville, Texas 76401 \n199 N. Columbia \nStephenville, Texas 76401 \n\nTerry McCoy \n*Senior Vice President*\nRobert Reeves \n*Senior Vice President*\n\nBill Parham \n*Parham & Parham, CPAs*\nJerry Parham \n*Investments*\nJack Parks \n*Farmer*\nRonald E. Schneider \n*First Financial Bank, Cleburne*\nFrank Terrell, M.D. \n*Ophthalmologist*\nJohn Terrill \n*Attorney*\n\nDirectors \nJames C. Terrell, Jr., M.D. \n*Chairman of the Board*\nPerry D. Elliott \n*Vice Chairman*\nRon Butler \n*President and Chief Executive Officer*\nWilliam L. Corbin \n*Investments*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nCharles P. Gillespie, Jr. \n*Engineer*\nCurtis R. Harvey \n*First Financial Bankshares, Inc.*\nWilliam H. Oxford \n*Attorney*\n\nSenior Officers \nRon Butler \n*President and Chief Executive Officer*\nPerry D. Elliott \n*Vice Chairman*\nKen Luker \n*Executive Vice President*\nMonty Bedwell \n*Senior Vice President*\nDereece Howell \n*Senior Vice President and Cashier*\n\nAdvisory \nW.L. Nix \n*Investments*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, 2 |\n\n\nAssets $138,260 $130,186 \n\nLoans 75,454 71,367 \n\nDeposits 125,226 118,903 \n\nEquity 12,755 10,954 \n\nNet Income 2,313 2,151 \n\nRon Butler \n*President and Chief*\n*Executive Officer*\nTrust Assets 36,578 40,859 \n\nReturn on Average Assets 1.75% 1.79% \n\nReturn on Average Equity 19.06 19.88 \n\n**31%**\nStephenville \n\nErath County Deposit Market Share", + "page_start": 22, + "page_end": 22, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "First National Bank, Sweetwater \n\nMain Office \n201 Elm Street \nSweetwater, Texas 79556 \n*Chartered 1948*\nBranches \n123 N. Concho \nRoby, Texas 79543 \n117 N. Main \nTrent, Texas 79561 \n\nRodney Foster \n*Senior Vice President, Lending*\nJanis McDowell \n*Senior Vice President, Trust Officer*\nDonnie Ruppert \n*Senior Vice President and Controller*\n\nBill W. Burns \n*President, Bill Burns Oil Co., Inc.*\nRonnie Cox \n*Owner, Cox Jewelry*\nF. Scott Dueser \n*First Financial Bankshares, Inc.*\nCecil J. King \n*Retired President, Citizens State Bank, Roby*\nThomas L. Rees, Sr. \n*Rees and Rees, Attorneys*\n\nDirectors \nJ.V. Martin \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nGlenn D. Bennett \n*Bennett & Associates*\nLouis Brooks, Jr. \n*Ranching, Brooks-Maberry, Inc.*\nSenior Officers \nJ.V. Martin \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nKirby Andrews \n*Senior Vice President, Lending*\n\n\n\n| | IN THOUSANDS December 31, 2002 December 31, |\n|---|---|\n| | IN THOUSANDS December 31, 2002 December 31, |\n\n\nAssets $112,079 $104,968 \n\nLoans 49,487 46,666 \n\nDeposits 100,306 90,100 \n\nEquity 11,114 10,204 \n\nNet Income 2,078 1,605 \n\nJ.V. Martin \n*Chairman of the Board, President and*\n*Chief Executive Officer*\nTrust Assets 64,854 66,118 \n\nReturn on Average Assets 1.99% 1.53% \n\nReturn on Average Equity 19.15 15.82 \n\n**38%**\n\nNolan and Fisher Counties \nDeposit Market Share \n\nSweetwater \n22", + "page_start": 23, + "page_end": 23, + "source_file": "NASDAQ_FFIN_2002.pdf" + } + ] + }, + { + "references": { + "source_file": "news3.pdf", + "query": "What kind of scholarship programs are available to start a financial career?", + "target_page": 1, + "target_passage": "Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| | | Log in |\n|---|---|---|\n| | | Log in |\n| | |  |\n| | | Home / Money / 3 Great Resources to Kick-Start Your Financial Planning Career |\n| | | |\n| | | |\n\n\n| | | |\n|---|---|---|\n| | | |\n| RELATED ARTICLES | | |", + "page_start": 0, + "page_end": 0, + "source_file": "news3.pdf" + }, + { + "text": "to selected students pursuing careers in finance, economics, accounting, \nmarketing, business administration, computer science and information \ntechnology. In addition, scholars will take part in a Chesapeake Presiden- \ntial Leadership Course facilitated by faculty members in coordination with \ndesignated Chesapeake leadership coaches, including a Chesapeake senior \nvice president and OCU alumni. \n\nvolunteer program in which employees roll up their sleeves in the com- \nmunities they call home. \n\nChesapeake’s contributions take many forms: financial and equipment \ndonations, volunteerism and scholarships. Last year, we made numerous \nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and \nsubsidized office space. These contributions provide essential operating \ntools as nonprofit organizations across the nation attempt to serve more \npeople — often with lower budgets — in tough economic times. \n\nFor example, in Louisiana we donated 12 vehicles in 2010, including \none to the Panola College Oil and Natural Gas Technology Program, which \nteaches students about the natural gas industry and provides them with \nhands-on technical training. Across many of the company’s operating \nareas, we’ve donated computers to deserving students, schools and \norganizations through Chesapeake’s Discovering Tomorrow’s Leaders \nprogram. In 2010 the company equipped 14 students with laptops and \ndonated 70 computers to schools or supporting nonprofit organizations. \n\nIn 2007 Chesapeake launched a scholarship program in Texas with an \ninitial $1.25 million contribution, challenging the cities of Fort Worth and Dal- \nlas to match its gift within a year. The cities responded and matched the gift, \nso Chesapeake in 2008 added another $1.25 million to the fund, bringing the \ntotal to $3.75 million. The Chesapeake Scholarship Fund currently funds the \ncost of higher education for 48 minority students. The fund provides each \nstudent $20,000 a year for up to four years at the school of their choice. To \ndate more than $1.0 million has been distributed to deserving local students. \nTo help ensure the training of qualified geologists, engineers, land- \nmen and energy lawyers in the next generation, we award scholarships \nto students pursuing energy-related degrees. We also help mentor them \nthrough Chesapeake’s Peak Program. Junior- and senior-level scholarship \nrecipients are paired with Chesapeake employee mentors who help devel- \nop students’ knowledge and provide career advice. There are currently 25 \nmentors and 40 scholarship recipients participating in the Peak Program. \n\nChesapeake partners with other companies and organizations to meet \nbasic, practical needs in hundreds of communities. An example is our \n\n\n\nOur recruiting team also initiated a strategic military recruitment \neffort during the past two years to hire former military personnel to \nwork in a variety of leadership and crew positions. This effort earned \nChesapeake an honor from G.I. JOBS magazine when we were named a \n2011 Top 100 Military-Friendly Employer. Chesapeake currently employs \n37 men and women who formerly served as junior military officers and \nmore than 100 former servicemen and servicewomen who joined the \ncompany through a program called Troops 2 Roughnecks. \n\nIn addition to our specific scholarship programs, one-time educational \ndonations and recruitment efforts, in 2010 we gave more than $1.8 million \nto fund higher education for nearly 400 other students in 12 states through \nour Chesapeake Scholars program. Chesapeake’s scholarships help recruit \nthe best and brightest students and provide educational opportunities in \ncommunities where we operate. In Oklahoma City, more than 400 em- \nployees volunteer for up to an hour a week on company time at four local \npublic schools. Chesapeake’s program has grown to become the largest \ncorporate mentoring program in Oklahoma.", + "page_start": 26, + "page_end": 26, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**Choice of vesting patterns.**Under SFAS 123(R), awards with graded vesting, as all \nof our awards have, may be expensed in one of two time patterns: 1) On a straight- \nline basis over the complete vesting period (as though the entire award was one \ngrant); or 2) On an accelerated basis, treating each vesting layer as a separate grant \nand amortizing each layer on a straight-line basis. For disclosure purposes under \nSFAS 123, we used the accelerated basis. We have preliminarily concluded that we \nwill use the straight-line method for future grants under SFAS 123(R). As discussed \nbelow under transition methods, such policy will only apply to future grants. \nExpense recognized under SFAS 123(R) for previously granted options will be \nrecorded on the accelerated basis. \n\n**Estimating forfeitures.**Under SFAS 123, we could choose whether to estimate \nforfeitures at the grant date or recognize actual forfeitures as they occur. Under \nSFAS 123(R), we must estimate forfeitures as of the grant date. \n\n**Presentation of excess tax benefits in the statement of cash flows.**Under SFAS \n123(R), the excess of tax benefits realized from the exercise of employee stock \noptions over the tax benefit associated with the financial reporting expense is shown \nas a financing cash inflow in the statement of cash flows. Previously, these excess \nbenefits were shown as an operating cash inflow. \n\n2002 (Actual, included in our pro forma disclosures) \n\n2003 (Actual, included in our pro forma disclosures) \n\n2004 (Actual, included in our pro forma disclosures) \n\n2005, through June 30 (Estimated, for pro forma disclosures) \n\n2005, July 1 through December 31 (Estimated, to be recorded as expense) \n\nbe the same as under the modified-prospective transition. We would also restate the \nstatement of cash flows for the change in classification of excess tax benefits. In \naddition, we would be required under the modified-retrospective transition method to \nestimate forfeitures for options outstanding as of July 1, 2005 and recognize a cumula- \ntive effect of change in accounting principle to reverse such previously recognized \ncompensation. We have not yet determined which transition method we will apply. \n\n**Disclosures.**There are additional disclosure requirements under SFAS 123(R), \nwhich will not have a material impact on us. \n\nThe impact of adopting SFAS 123(R) on our operating results will depend in part \non the amount of stock options or other share-based payments we grant in the \nfuture. The following table shows compensation expense related to options granted \nthrough December 31, 2004, based on the options’ vesting schedules: \n\n(In thousands) \n\n$47,761 \n\n43,310 \n\n22,963 \n\n10,299 \n\n10,032 \n\nWe do not believe the adoption of SFAS 123(R) will have a material impact on our \ncash flows or financial position. \n\n**Market Risk**\nMarket risk is the risk of loss arising from adverse changes in market rates and \nprices, such as interest rates, foreign currency exchange rates and commodity prices. \nOur primary exposure to market risk is interest rate risk associated with our \n\n**Transition alternatives.**There are two allowable transition alternatives – the modified- \nprospective transition or the modified-retrospective transition. Under the modified- \nprospective transition, we would begin applying the valuation and other criteria to \nstock options granted beginning July 1, 2005. We would begin recognizing expense for \nthe unvested portion of previously issued grants at the same time, based on the valua- \ntion and attribution methods originally used to calculate the disclosures. Under the \nmodified-retrospective transition, we would restate prior periods to reflect the previous- \nly calculated amounts in the pro forma disclosures as actual expenses of the prior \nperiod (with no change in valuation or attribution methods). Future accounting would", + "page_start": 46, + "page_end": 46, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**Providing work**\n**experience to students**\nSMBC \ns Hanoi Branch provided \nSMBC’s Hanoi Branch provided \ninternational school students \ninternational school students \nwith vocational experiences. \nwith vocational experiences. \n\n**International cooperation begins at home**\n\n**Thailand**\n**5**\n\n**Supporting farming**\n**villages in the northeast**\nSMBC \ns Bangkok Branch assisted \nSMBC’s Bangkok Branch assisted \nfarmers by donating underground \nfarmers by donating underground \nwater storage tanks and assisting \nwater storage tanks and assisting \nwith vegetable planting and \nwith vegetable planting and \nharvesting. \nharvesting. \n\nPerforming a Japanese-language drama \n\n\n\n**China**\n**2**\n\n**Scholarships at major universities**\n\nSumitomo Mitsui Banking Corporation (China) Limited \nSumitomo Mitsui Banking Corporation (China) Limited \nestablished a scholarship program for students of Zhejiang \nestablished a scholarship program for students of Zhejiang \nUniversity, Shanghai Inter \nUniversity, Shanghai Inter- \nnational Studies University, \nnational Studies University, \nSun Yat-sen University, \nSun Yat-sen University, \nand other universities. \nand other universities. \n\n\n\n**Employees put school meals on the table**\n**through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing \nSMBC and Sumitomo Mitsui Finance and Leasing \nhave a program that provides donations to the non \nhave a program that provides donations to the non- \nprofit organization TABLE FOR TWO International to \nprofit organization TABLE FOR TWO International to \nfund school meals in developing \nfund school meals in developing \ncountries, for every low-calorie \ncountries, for every low-calorie \nmeal ordered for lunch. SMBC \nmeal ordered for lunch. SMBC \nF r i e n d S e c u r i t i e s h a s a l s o \nF r i e n d S e c u r i t i e s h a s a l s o \nins t alled vending machines \nins t alled vending machines \nselling healthy drinks, donating \nselling healthy drinks, donating \npart of their sales to TABLE FOR \npart of their sales to TABLE FOR \nTWO International. \nTWO International. \n\n**Donation boxes for foreign currency coins**\nSMBC places donation boxes for foreign currency \nSMBC places donation boxes for foreign currency \ncoins at the entrances of all manned branches and \ncoins at the entrances of all manned branches and \noffices in Japan, and sorts such collected coins by \noffices in Japan, and sorts such collected coins by \ncurrency for delivery to UNICEF. \ncurrency for delivery to UNICEF. \n\n\n\n**Malaysia**\n**6**\n\n**Donating furniture to**\n**welfare facilities**\n\nS M B C \ns L a b u a n B r a n c h i n \nS M B C ’ s L a b u a n B r a n c h i n \nMalaysia, following its relocation, \nMalaysia, following its relocation, \nd o na t e d de s k s , cha ir s a n d \nd o na t e d de s k s , cha ir s a n d \ncabinets to occupational training \ncabinets to occupational training \ncenters for the disabled. \ncenters for the disabled.", + "page_start": 14, + "page_end": 14, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Providing Profit and Supporting Sales**\n\n\n\n“Sales finance is a core business in the auto world. Automotive financing supports car \n\nsales and provides additional income, which translates into increased profit for the Group. \n\nAll Nissan finance companies operate under strict risk management control policies and \n\nmust balance the drive for profit with active sales support. \n\nIn Japan, about fifty percent of customers use cash when buying a car. Corporate \n\nsales account for another 20 percent of the total, while the remaining 30 percent of \n\ncustomers use automotive financing. Therefore, we focus on capturing that 30 percent \n\nmarket, in addition to penetrating the cash customer segment. Nissan Financial Services, \n\nNAOTOMO UCHIMURA \nPresident \nNissan Financial Services \nor NFS, has the highest level of market penetration in Japan, and our centralized \n\ncustomer center gives us a clear advantage over other finance companies. \n\nA sales finance company is exposed to various forms of risk. One risk is interest rate fluctuation. \n\nNFS mitigates this risk by matching interest as much as possible. Almost seventy percent of our \n\nportfolio is on a match-funding basis. Another risk is credit risk. Fortunately, our portfolio is \n\nimproving. The economy is getting better, and we’ve had success with a low-interest, 2.9 percent \n\nAPR program. Because this is a competitive rate, it has attracted customers with good credit \n\nratings who otherwise would have opted for bank financing. \n\nWe have also improved our scoring system for credit analysis. We have a new system that \n\ncan automatically process 60 percent of all credit applications. Turnaround time for the credit \n\ndecision used to take three to four hours, but with continuous improvement of our system it \n\ntakes just 14 minutes. If the dealer submits the data online, turnaround is reduced to four \n\nminutes. This has really increased customer satisfaction. In addition, having a centralized system \n\nensures that our credit standards are consistently applied. \n\nThe above improvements have reduced our loss ratio to below 0.3 percent. More importantly, 95 \n\npercent of applicants are approved for financing. The challenge is to reduce the loss ratio and rejection \n\nrate at the same time. We want to support sales by providing financing, and keep the loss ratio low. \n\nIn the past, NFS depended on the parent company for funding. Since Nissan and NFS had \n\ntheir financial ratings upgraded, we issued our first public bond in September 2003. We have also \n\nissued commercial paper and diversified our funding sources. As a result, our reliance on the parent \n\ncompany for funding has been reduced to almost zero. \n\nSales finance became actively involved in sales support during NISSAN 180. We have always \n\nbeen a source of profit, but now we are aiming to enhance the value chain as well. We have the \n\nlargest number of business lines of any finance company, including credit loans, corporate and \n\nprivate leasing, car rentals, credit cards, insurance, maintenance and much more. Because we have \n\nmore touch points with the customer, we have a great opportunity to easily cross-sell our products. \n\nNissan is allocating more resources to light commercial vehicles, which is a perfect platform for us \n\nas well. And two years ago we created a fleet division with Nissan that provides both vehicles and \n\na full range of services including total outsourcing of fleet management. \n\nThe Alliance with Renault has played a central role in our development over the past few years.", + "page_start": 29, + "page_end": 29, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "qualifications]. I did not go to university, \nqualifications]. I did not go to university, scope of operations in Asia, Europe and \nscope of operations in Asia, Europe and \n\nnor receive any professional training. \nnor receive any professional training. the Americas. In that regard, we need to \nthe Americas. In that regard, we need to \n\nNonet heless, I wa nted to become a n \nNonet heless, I wa nted to become a n consider ou r g loba l com mu n icat ion \nconsider ou r g loba l com mu n icat ion \n\nof 10 years. I was hoping to persuade \nof 10 years. I was hoping to persuade \n\n10,000 people to pay ¥10,000 each year \n10,000 people to pay ¥10,000 each year \n\nfor 10 years, and about 150 people have \nfor 10 years, and about 150 people have \n\nbeen sig n i ng up ever y day. However, \nbeen sig n i ng up ever y day. However, \n\nmost of them are people over 60. People \nmost of them are people over 60. People \n\nof that generat ion st i l l th i nk f irst of \nof that generat ion st i l l th i nk f irst of \n\nf a m i ly a nd cou nt r y, a nd t he n a bout \nf a m i ly a nd cou nt r y, a nd t he n a bout \n\ns what people used to \nthemselves. That’s what people used to \nthemselves. That \n\nbe like. We have to consider how we can \nbe like. We have to consider how we can \n\ninduce people in their thirties today to \ninduce people in their thirties today to \n\narchitect and set up shop in Osaka. I \narchitect and set up shop in Osaka. I capabilities. That is to say, mastering \ncapabilities. That is to say, mastering \n\nfound an entrepreneur willing to take a \nfound an entrepreneur willing to take a languages such as English and Chinese, \nlanguages such as English and Chinese, \n\nchance on someone like me, and here I \nchance on someone like me, and here I and acquiring an international perspective, \nand acquiring an international perspective, \n\nam today. But this leeway has now grown \nam today. But this leeway has now grown so we ca n ex press a nd advocate ou r \nso we ca n ex press a nd advocate ou r \n\nmuch narrower. I think we must review \nmuch narrower. I think we must review opi n ions more clea rly. I t h i nk t hese \nopi n ions more clea rly. I t h i nk t hese \n\nwhere we stand now. I think we must view \nwhere we stand now. I think we must view things will be important. I do not think \nthings will be important. I do not think \n\nJa p a n a nd A s i a a s for m i ng a s i ng le \nJa p a n a nd A s i a a s for m i ng a s i ng le \n\nwe will be able to achieve our vision of \nwe will be able to achieve our vision of \n\neconomic bloc in the world. \neconomic bloc in the world. becoming a global corporation unless we \nbecoming a global corporation unless we \n\n**Kunibe**: For SMBC to continue growing \n: For SMBC to continue growing can work effectively in foreign languages \ncan work effectively in foreign languages \n\nin the longer term, I think we do indeed \nin the longer term, I think we do indeed as we expand operations. For this reason, \nas we expand operations. For this reason, \n\nh a ve to foc u s on t he g loba l m a rket, \nh a ve to foc u s on t he g loba l m a rket, we are strengthening our foreign language \nwe are strengthening our foreign language \n\ni n p a r t i c u l a r t h e A s i a n m a r k e t . \ni n p a r t i c u l a r t h e A s i a n m a r k e t . programs and increasing the number of \nprograms and increasing the number of \n\nGeographically and culturally, Asia is \nGeographically and culturally, Asia is employees capable of working around the \nemployees capable of working around the \n\n\n\nhave this kind of mentality. \nhave this kind of mentality. \n\n**Kunibe**: I bel ie ve “hu m a n t ie s” a re \n: I bel ie ve “hu ma n t ie s” a re \n\nimportant not only in the reconstruction \nimportant not only in the reconstruction \n\nof the areas affected by the disaster, but \nof the areas affected by the disaster, but \n\nalso in the issue of our shrinking, aging \nalso in the issue of our shrinking, aging \n\npopulation. \npopulation.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**First Financial Bankshares, Inc.**\n\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables \nthem to improve or expand their banking services while continuing their local activity and identity. Each of our \nsubsidiary banks operates under the day-to-day management of its own board of directors and officers, with \nsubstantial authority in making decisions concerning their own investments, loan policies, interest rates, and service \ncharges. We provide resources and policy direction in, among other things, the following areas: \n\n• \n• \n• \n• \n\nasset and liability management; \n\naccounting, budgeting, planning and insurance; \n\ncapitalization; and \n\nregulatory compliance. \n\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital \nexpenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and \nappointment of officers and directors and their compensation. We also perform, through corporate staff groups or \nby outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National \nBank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing, \nadvertising, public relations, and computer services. \n\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we \nperiodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate \npotential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be \nprovided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of \ncredit and future debt or equity offerings. \n\n**Services Offered by Our Subsidiary Banks**\n\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own \nboard of directors and officers. Each of our subsidiary banks provides general commercial banking services, which \ninclude accepting and holding checking, savings and time deposits, making loans, automated teller machines, drive- \nin and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial \nbanking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other \nemployee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and \nTrust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", + "page_start": 29, + "page_end": 29, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "range of services to individuals, associations, and corporations. These services include administering estates, \ntestamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene, \nFirst Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association, \nSouthlake, Texas provide securities brokerage services through arrangements with various third parties. \n\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose \nnational bank under which we will consolidate the management of our current trust departments. The new entity \nwill operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We \nbelieve that with this structure we can more effectively manage our current trust operations and provide trust \nservices to customers of our banks that do not currently have trust departments. We anticipate that the new trust \ncompany will begin operations in the latter part of 2003. \n\n**Competition**\n\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state’s deposits, \nwe represent only a minor segment of the industry. To succeed in this industry, our management believes that our \nbanks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services \noffered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas \nagainst highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions, \nmortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and \nsome of which are larger than our subsidiary banks in terms of capital, resources and personnel. \n\nOur business does not depend on any single customer or any few customers, the loss of any one of which would \nhave a materially adverse effect upon our business. Although we have a broad base of customers that are not related \nto us, our customers also occasionally include our officers and directors, as well as other entities with which we are \naffiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are \naffiliated, in the ordinary course of business. We make these loans on substantially the same terms, including \ninterest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to \ndirectors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws \nwhich we describe in greater detail below. \n\n**Employees**\n\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003. \nOur management believes that our employee relations have been and will continue to be good. \n\n**Supervision and Regulation**\n\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and \nbanks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the \ndeposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also \nbenefit. The following information describes particular laws and regulatory provisions relating to financial holding \ncompanies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory \nprovisions. A change in any of these laws or regulations may have a material effect on our business and the \nbusiness of our subsidiary banks. \n\n*Bank Holding Companies and Financial Holding Companies*", + "page_start": 30, + "page_end": 30, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "**LIQUIDITY AND CAPITAL RESOURCES**\nWe strive to maintain a level of liquidity sufficient to allow us to cover our seasonal cash needs and to maintain appropriate levels of short- \nterm borrowings. We believe that our operating cash flows, available credit facilities and potential future borrowings are sufficient to finance \nour cash requirements for the next 12 months and beyond. \n\nOver the long term, we manage our cash and capital structure to maximize shareholder return, maintain our financial position, manage \nrefinancing risk and allow flexibility for strategic initiatives. We regularly assess our debt and leverage levels, capital expenditure \nrequirements, debt service payments, dividend payouts, potential share repurchases and other future investments. We believe that as of \nJanuary 31, 2015, our existing cash and cash equivalents on-hand of $827, available credit facilities of $800 and potential future operating \ncash flows and borrowings will be sufficient to fund these scheduled future payments and potential long-term initiatives. Additionally, if an \nagreement is reached and a transaction is consummated in regards to our credit card receivables, it could result in additional cash flows to \nfurther support our capital requirements and strategic initiatives. \n\n**Operating Activities**\nNet cash provided by operating activities was $1,220 in 2014, $1,320 in 2013 and $1,110 in 2012. The majority of our operating cash inflows \nare derived from sales. We also receive cash payments for property incentives from developers. Our operating cash outflows generally \nconsist of payments to our merchandise vendors (net of vendor allowances), payments to our employees for wages, salaries and other \nemployee benefits and payments to our landlords for rent. Operating cash outflows also include payments for income taxes and interest \npayments on our short-term and long-term borrowings. \n\nCash provided by operating activities decreased in 2014 compared with 2013, which was primarily due to higher state tax payments made in \n2014 compared with 2013, as well as changes in working capital in 2014. \n\nCash provided by operating activities increased in 2013 compared with 2012, resulting from less state tax payments made in 2013 due to \nadditional payments made in 2012 as a result of the 53rd week, along with increased property incentives received from developers and \nchanges in working capital. \n\n**Investing Activities**\nNet cash used in investing activities was $889 in 2014, $822 in 2013 and $369 in 2012. Our investing cash flows primarily consist of capital \nexpenditures, changes in restricted cash accumulated for debt maturities and changes in credit card receivables associated with cardholder \npurchases outside of Nordstrom using our Nordstrom Visa credit cards. \n\nCapital Expenditures \nOur capital expenditures over the last three years totaled $2,177, with $861 in 2014, $803 in 2013 and $513 in 2012. Capital expenditures \nincreased in 2014 compared with 2013 primarily due to ongoing store expansion and increased technology investments. \n\nCapital expenditures increased in 2013 compared with 2012 as we continued to make progress executing our customer strategy through \nincreased investments in technology, ecommerce, remodels and new stores, including Nordstrom Rack and our Manhattan full-line store. \n\nThe following table summarizes our store count and square footage activity: \n\n**Store count** **Square footage**\n\n**2014** **2014**\n\n| Total, beginning of year | | 260 | | 240 | | 225 | | 26.0 | | 25.3 | | 24.7 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Total, beginning of year | | 260 | | 240 | | 225 | | 26.0 | | 25.3 | | 24.7 |\n\n\nStore openings: \n\n| Nordstrom full-line stores - U.S. | | 2 | | — | | 1 | | 0.3 | | — | | 0.1 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Nordstrom full-line stores - U.S. | | 2 | | — | | 1 | | 0.3 | | — | | 0.1 |", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "The Foundation has a program of awarding grants to support chapters, affiliates, user groups, and \nindividuals in projects that further the mission of the Foundation. Chapters are independent organizations \nthat share the goals of the Foundation and support the goals within a specified geographical region. In \naddition to this work, which is reflected above in the awards and grants line, an overwhelming majority of \nthe Foundation’s project activities are carried out by an international network of volunteers, whose activity \nis not reflected in the tables above.", + "page_start": 16, + "page_end": 16, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + } + ] + }, + { + "references": { + "source_file": "news3.pdf", + "query": "what are career fairs for?", + "target_page": 1, + "target_passage": " In-person and virtual career fairs provide valuable opportunities to connect with prospective employers.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "When we think about our careers, and what we need to do to establish them, we \noften forget about the need to develop an essential skill: communication. If you \nstart reading through the job descriptions in a industry, you will find that the vast \nmajority of jobs require one or more of the following: \n\nIn a career context, good language skills can also: \n\n• Affect your credibility. Poor grammar indicates to a prospective \n\nemployer that you are sloppy, while flawless grammar indicates that \n\nyou pay attention to detail. \n\nImprove your relationships with your co- workers. If you are able \nto express yourself clearly, you can eliminate the confusion and \nmisunderstanding that often leads to conflict. \n\n• \n\nIncrease your chances of being promoted. \n• \n\n• Help you to create a good impression. \n\nImprove your ability to persuade others (which is a valuable skill in the \nworking world). \n\n• \n\n• Develop your basic English language skills. \n\n• Improve your English grammar. \n\n Apply your language and communication skills in a business contexT. \n(www.oxbridgeacademy.co.za/find-a- course/business-administration- \ncourses/)", + "page_start": 4, + "page_end": 4, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "If you’ve ever applied for a job, you’ll know that writing \nthe cover letter is the most difficult part of almost any job \napplication. Your cover letter creates the first impression, and \noften determines whether an employer will even look at your CV. \n\nYou need to use this opportunity to introduce yourself and your \nskills, and to set yourself apart from all the other candidates. \nYou can also use this opportunity to explain any gaps in your CV, \nand to motivate why you are the right person for the job.", + "page_start": 44, + "page_end": 44, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**Environmental**\n**Activities**\n\n\n\n**Committed to supporting environmental businesses, a CSR priority,**\n**through our core businesses**\n\n**A new venue for confabs:**\n**SMFG Environmental**\n**Business Forum**\n**at Eco-Products**\n\n\n\n**The eco japan cup:**\n**“A Contest for Unearthing**\n**and Growing Seeds of**\n**New Businesses”**\n\n\n\nSMBC jointly organizes the “eco japan cup,” an \nSMBC jointly organizes the “eco japan cup,” an \n\nenvironmental business contest, together with \nenvironmental business contest, together with \n\nthe Ministry of the Environment, the Ministry \nthe Ministry of the Environment, the Ministry \n\nof Internal Affairs and Communi \nof Internal Affairs and cations, \n Communications, \n\n Trans- \nhe Ministry of Land, Infrastructure, Trans \nthe Ministry of Land, Infrastructure, \n\nport and Tourism, Development Bank of \nport and Tourism, Development Bank of \n\nJapan Inc. and Environmental Business \nJapan Inc. and Environmental Business \n\nWomen. The competition has four major \nWomen. The competition has four major \n\ncategories – business, culture, lifestyle, and \ncategories – business, culture, lifestyle, and \n\npolicy-making. \npolicy-making. \n\nIn eco japan cup 2010, the “SMBC Eco-Banking \nIn eco japan cup 2010, the “SMBC Eco-Banking \n\nOffice Prize” was launched in the cultural \nOffice Prize” was launched in the cultural \n\ndivision. Entries were solicited on creating \ndivision. Entries were solicited on creating \n\neco-friendly bank branches through envi- \neco-friendly bank branches through envi \n\nThe Eco-Products exhibition, held each \nThe Eco-Products exhibition, held each \n\ns largest envi- \nDecember, is one of Japan’s largest envi \nDecember, is one of Japan \n\nronmental exhibitions. Under it, SMFG held \nronmental exhibitions. Under it, SMFG held \n\nthe SMFG Environmental Business Forum, \nthe SMFG Environmental Business Forum, \n\na unique event to which the whole SMFG \na unique event to which the whole SMFG \n\nGroup contributed. \nGroup contributed. \n\nThe SMFG Environmental Business Forum \nThe SMFG Environmental Business Forum \n\nenables encounters and information \nenables encounters and information \n\nexchange in the field of environmental \nexchange in the field of environmental \n\nbusiness. SMFG and its Group companies \nbusiness. SMFG and its Group companies \n\nprovide various platforms, including business \nprovide various platforms, including business \n\n**Sumitomo Mitsui**\n**Finance & Leasing:**\n**Promoting recycling**\n**and reuse**\n\nmatching events, stands and catalogue \nmatching events, stands and catalogue \n\nexhibitions, and lectures and seminars, \nexhibitions, and lectures and seminars, \n\nwith the aim of giving new business \nwith the aim of giving new business \n\nopportunities to companies and other \nopportunities to companies and other \n\norganizations that are considering entering \norganizations that are considering entering \n\nAs part of its core leasing operations, \nAs part of its core leasing operations, \n\nSumitomo Mitsui Finance & Leasing is \nSumitomo Mitsui Finance & Leasing is \n\nhelping reduce customers’ environmental \nhelping reduce customers’ environmental \n\nronment protection measures including \nronment protection measures including \n\nadvanced energy initiatives and reduction \nadvanced energy initiatives and reduction \n\nof carbon dioxide. Some of the prize-winning \nof carbon dioxide. Some of the prize-winning \n\nproposals (for example, efficient use of \nproposals (for example, efficient use of \n\ntimber from forest thinning) have been \ntimber from forest thinning) have been \n\nadopted at environment-friendly model \nadopted at environment-friendly model \n\nbranches that the bank is developing. \nbranches that the bank is developing. \n\nfrom cards without IC chips. Both types are \nfrom cards without IC chips. Both types are \n\ns Shimura Center \npulverized at the company’s Shimura Center \npulverized at the company \n\nin Tokyo and sealed separately in recycling \nin Tokyo and sealed separately in recycling", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "The benefits of using mind maps include the following: \n\n• They help you to see how the different bits of information fit into the \n\nbigger picture. \n\n• They help you to understand the relationships between concepts. \n\n• They help you to memorise information more quickly (by engaging \n\nboth hemispheres of your brain). \n\nTips for making mind maps: \n\n• Use different colours to distinguish between concepts. \n\n• Use key words and phrases, instead of writing in full sentences. \n\n• Include images/drawings that are relevant to the topic(s). \n\n• Use arrows to show how different concepts are related. \n\n**HR Manager’s Duties**\n\nContracts Training \n\n• Establish staff training \n• Pay salaries on time • Draft employment \n\nneeds \n• Make necessary contracts \n\n• Establish skills gaps \ndeductions • Ensure safekeeping of \n\n• Take responsibility for \n• Calculate overtime employment contracts \n\nsuccession planning", + "page_start": 29, + "page_end": 29, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**Next Steps**\n\n**Share knowledge**\n\nYou will**get the most out of Teams**when you get to truly connect with your team and \ncollaborate together. Keep practicing until each step of your workflow feels natural. \n\nTeamwork is all about collaboration!**Share with your team**\n**best practices**you learn along the way, tips and tricks for \nhow you can best organize your workflows and ask for their \nown advice to define how you can best use Teams together. \n\n**Test meetings**\n\n**Keep learning**\n1. \n\nUse the Meet now button in the \nCalendar tab \n\nNo matter how you like to learn and practice, we've got \nresources to support and inspire you: \n\nThen select “Start meeting” 2. \n\n3. And then \"Join now” \n\n• \n\nVirtual classes: We have instructors to answer your \nquestions and walk you through all the details. \n\nHere you can try to share your screen, \nstart a whiteboard or even record \nyourself while you are practicing a \npresentation. This is your safe space \nto test everything out! \n\n• \n\nSupport articles and step-by-step guides: To get answers to \nyour most common questions.", + "page_start": 5, + "page_end": 5, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "| HUMA | | N R | E | SOURCES | |\n|---|---|---|---|---|---|\n| HUMA | | N R | E | SOURCES | |\n| | | | | | |\n| Dynamism and Diversity | | | | | |\n\n\nH I T O S H I K A W A G U C H I \nSenior Vice President \n\n“Once perceived as bureaucratic and slow to change, \n\nHuman Resources changed dramatically during the \n\nNISSAN 180 period. Now, in fact, people occasionally \n\nsay that we’re changing too rapidly. That may be true, \n\nbut a positive dynamism is emerging as a result, and \n\nNissan is stronger because of it. \n\nThe impetus for many of the modifications comes \n\nfrom top management. Mr. Ghosn, for one, takes a \n\ndirect and abiding interest in this area of operations. \n\nThere is also a cross-functional team dedicated to \n\norganizational issues that recommends changes to \n\nHR policy. And because half the people on our HR \n\nstaff come from other companies, many suggestions \n\nare coming from within as well. The latter is very \n\nunusual for a major Japanese company such as \n\nNissan, and is a direct result of a new policy we call \n\nMid-Career Scouting, which actively seeks talent \n\nfrom outside Nissan. All of these activities are \n\nindicative of the dynamism that is creating such \n\ndiversity at the Company. \n\nwe had many foreign executives working at Nissan \n\nheadquarters, and the majority of communications were in \n\nEnglish as well as Japanese. As a result, more employees, \n\nincluding non-management staff, are being assigned to \n\nwork outside of Japan. In addition, proficiency in English is \n\nnow a prerequisite for all managers at Nissan. These efforts \n\nto promote diversity are transforming our corporate culture. \n\nOne of the most interesting developments of NISSAN \n\n180 was the advent of the Career Coach system, which we \n\nimported from our Alliance partner, Renault. In a modern \n\nbusiness structure, HR is in charge of structural and \n\nsystem functions such as compensation. The Career Coach \n\nsystem provides career development for the individual \n\nemployee. There are five career coaches at this time, one \n\nfor each of the major functions. Their collective task is to \n\nidentify people of high potential and create career plans for \n\nthem. In a sense, they work outside of HR, although they \n\nreport to me. The coaches gather once a month for the \n\nNissan Assignment Committee, headed by Mr. Ghosn, to \n\nreport on their activities. \n\nEmployees at Nissan also have the chance to control \n\ntheir career paths through our internal “self-career” system \n\non the Company’s intranet. Managers can search for \n\nemployees registered on the system for open positions \n\nthey have and proactively post job vacancies on the open- \n\nentry system portal. Although the open-entry system has a \n\nlonger history, the self-career system began in early fiscal \n\n2005 in Japan. We plan to expand both these programs on \n\na global basis. \n\n\n\nThere is no doubt that diversity is a key theme in our HR \n\nevolution. We are currently focusing on three areas in \n\nparticular: women in the workforce, Mid-Career Scouting, \n\nand embracing other cultures. We are working to provide \n\nmore opportunities for our female employees (please see \n\nthe Diversity feature on p. 57). Renault, which has a number \n\nof female executives—including many with families—has \n\nserved as a great example for us. Unfortunately, that kind \n\nof work-home balance is still rare for women both inside \n\nand outside the executive ranks in Japan. \n\nThe second area mentioned, Mid-Career Scouting, is \n\nstill an uncommon practice at Japanese companies. We \n\nhave found great value, though, in the insights people who \n\nhave experience in other corporate cultures bring to \n\nNissan, and we are able to learn to take advantage of \n\nthose insights. \n\nThe third area, embracing other cultures, became a \n\nmore pressing consideration after the Alliance. Suddenly", + "page_start": 57, + "page_end": 57, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "When we saw Get SetTM it was love at first \n\nsight. Then we got to know everything else \n\nyou have to offer, and realized you’re more \n\nthan just a pretty face — you’re a brand with a \n\nhead for business and uplifting products that \n\nset the standard for functionality, durability, \n\nand style. Of course we know we Fortune 500 \n\ntypes are not the only ones in your life — \n\ncorporate, government, and institutional \n\ncustomers are excited about you, too, since \n\nyou match everyone’s workplace furniture \n\nand service needs with energy, confidence, \n\nand great customer relationships. That’s ok, \n\nAllsteel; you’re worth sharing. \n\n\n\nP E R F E C T M A T C H # 1 \n\n\n\nT H E F O R T U N E 5 0 0 \n\nA N D A L L S T E E L", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_HNI_2003.pdf" + }, + { + "text": "Second Paragraph \nMention your qualifications, skills and experience, and relate them to the \nneeds of the company. Give relevant examples of how you have used \nyour skills in the past to perform similar tasks and responsibilities to \nthose set out in the job description. \n\nThird Paragraph \nExplain why you want to work for this organisation in particular. Where \nrelevant, explain any gaps in your CV. If you don’t have the required \nacademic qualifications, for example, you can explain how your practical \nwork experience makes up for it. \n\nClose \nThank the recipient for taking the time to read your letter, and sign off \nwith a professional greeting, such as “Yours sincerely” or “Kind regards”, \nfollowed by your full name, telephone number and e-mail address.", + "page_start": 46, + "page_end": 46, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that \n\nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next \n\nparagraph. For example, visualization techniques like those used by ABC News to show the effects \n\nof the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before \n\nand after the earthquake is to move a slider, should be routinely used to explain proposals about \n\nurban planning, zoning and related topics. \n\n**4.6. Focus on local, specific issues to raise interest for Open**\n**Data**\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens \n\nto use Open Data in their political, economic and professional decisions, one of the final \n\nrecommendations of the Open Data, Open Society report confirms its importance and needs to be \n\nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of \n\ncitizens that demand and use Open Data in the shortest possible time, to practice all the \n\nrecommendations of this report*at the local level*, \n\nMost people encounter their local governments much more often then their national ones. When \n\nworking within a single city or region it is much easier to inform citizens, raise their interest and \n\ninvolve them, because they would be searching*local*solutions to improve*local*services and/or \n\nsave*local*money. There may also be much more opportunities to do so, especially in this period of \n\nfinancial crisis that will see substantial decreases both in credit by financial institutions and in \n\nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" \n\nmust be the keys for local activists and public employees working on local Open Data: \n\n• work on specific issues and with precise objectives \n\n• focus on immediate usefulness \n\n• work on demand, on the*services*that people want. Required services define what data must \n\nbe open, not the contrary \n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \n\n*\"how do we get people to use the data that we publish?\"*. The right question, instead, is \"what data \n\ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, \n\nor that what they need can be done more quickly and cheaply by releasing some information in that \n\nway. \n\nA great example of what all this means is the Great British Public Toilet Map: a public participation \n\n*31/34*\n\n*Copyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)*", + "page_start": 30, + "page_end": 30, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "| Meeting essentials | | | | | | | |\n|---|---|---|---|---|---|---|---|\n| Create meetings 1. Select + New meeting or double-click on a time in your calendar to create a new meeting. | | | | | | | |\n| | | 1 2 3 4 5 | | 6 | | | |\n| 2. Add people, a location and any notes. 3. Send your invite. | | | | | | | |\n| | | | | | | | |\n| | | | | | | | |\n| | | Participants 1 Click to see who has been invited to the meeting, or to add new people. 2 Chat Use chat to share files, ideas, and notes. 3 Reactions Stay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak. 4 Microphone Mute and unmute your microphone when you want to speak. 5 Video Turn your camera on or off. You can also select the … button near the camera to access audio and video settings. Share content 6 Use this to share your screen with others. | | | | | |", + "page_start": 2, + "page_end": 2, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + } + ] + }, + { + "references": { + "source_file": "news3.pdf", + "query": "What are the priorities for job seekers ?", + "target_page": 1, + "target_passage": " Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "*8.5 By 2030, achieve full and productive employment and decent work for all women and men,*\n*including for young people and persons with disabilities, and equal pay for work of equal value*\n\n*8.7 Take immediate and effective measures to eradicate forced labour, end modern slavery and*\n*human trafficking and secure the prohibition and elimination of the worst forms of child labour,*\n*including recruitment and use of child soldiers, and by 2025 end child labour in all its forms*\n\n*8.8 Protect labour rights and promote safe and secure working environments for all workers,*\n*including migrant workers, in particular women migrants, and those in precarious employment*", + "page_start": 115, + "page_end": 115, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "When we think about our careers, and what we need to do to establish them, we \noften forget about the need to develop an essential skill: communication. If you \nstart reading through the job descriptions in a industry, you will find that the vast \nmajority of jobs require one or more of the following: \n\nIn a career context, good language skills can also: \n\n• Affect your credibility. Poor grammar indicates to a prospective \n\nemployer that you are sloppy, while flawless grammar indicates that \n\nyou pay attention to detail. \n\nImprove your relationships with your co- workers. If you are able \nto express yourself clearly, you can eliminate the confusion and \nmisunderstanding that often leads to conflict. \n\n• \n\nIncrease your chances of being promoted. \n• \n\n• Help you to create a good impression. \n\nImprove your ability to persuade others (which is a valuable skill in the \nworking world). \n\n• \n\n• Develop your basic English language skills. \n\n• Improve your English grammar. \n\n Apply your language and communication skills in a business contexT. \n(www.oxbridgeacademy.co.za/find-a- course/business-administration- \ncourses/)", + "page_start": 4, + "page_end": 4, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Only include this if you are sincere, and don’t make any promises \nthat you won’t be able to keep. You could, for example, assure your \nemployer that you will finish your current projects or hand them over to \na colleague. You could also offer to train the person who will be replacing \nyou. \n\n6. \nA suitable closing. \nIt is important to use a closing that is appropriate in the circumstances. \nIf you have a good relationship with your employer, you may want to \nwish him/her well for the future, and provide contact details that he/she \ncan use to get in touch with you once you have left the organisation. You \ncan then end your letter with a greeting such as “Kind regards,” followed \nby your signature.", + "page_start": 49, + "page_end": 49, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**E-mail address**\nPlease provide a valid e-mail address that you check on a regular \nbasis, as we’ll be using this address to communicate with you \nthroughout your studies. \n**Occupation**\nRefers to your current job (if you are employed). If you are \nunemployed, you can simply write “unemployed” or “not applicable”. \n**Delivery address**\nRefers to the address at which you want your study material to be \ndelivered. The reason why we prefer you to select your work address \nis so that there will always be someone available to receive your \nstudy material, even if you are not there when the courier arrives.", + "page_start": 22, + "page_end": 22, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that \n\nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next \n\nparagraph. For example, visualization techniques like those used by ABC News to show the effects \n\nof the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before \n\nand after the earthquake is to move a slider, should be routinely used to explain proposals about \n\nurban planning, zoning and related topics. \n\n**4.6. Focus on local, specific issues to raise interest for Open**\n**Data**\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens \n\nto use Open Data in their political, economic and professional decisions, one of the final \n\nrecommendations of the Open Data, Open Society report confirms its importance and needs to be \n\nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of \n\ncitizens that demand and use Open Data in the shortest possible time, to practice all the \n\nrecommendations of this report*at the local level*, \n\nMost people encounter their local governments much more often then their national ones. When \n\nworking within a single city or region it is much easier to inform citizens, raise their interest and \n\ninvolve them, because they would be searching*local*solutions to improve*local*services and/or \n\nsave*local*money. There may also be much more opportunities to do so, especially in this period of \n\nfinancial crisis that will see substantial decreases both in credit by financial institutions and in \n\nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" \n\nmust be the keys for local activists and public employees working on local Open Data: \n\n• work on specific issues and with precise objectives \n\n• focus on immediate usefulness \n\n• work on demand, on the*services*that people want. Required services define what data must \n\nbe open, not the contrary \n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \n\n*\"how do we get people to use the data that we publish?\"*. The right question, instead, is \"what data \n\ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, \n\nor that what they need can be done more quickly and cheaply by releasing some information in that \n\nway. \n\nA great example of what all this means is the Great British Public Toilet Map: a public participation \n\n*31/34*\n\n*Copyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)*", + "page_start": 30, + "page_end": 30, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "*Development Activities.*We seek to identify opportunities to further our position as an integrated \nservice provider in markets where we provide services for a portion of the waste stream. Where \nappropriate, we seek to obtain permits to build transfer stations and/or landÑlls that would provide", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "qualifications]. I did not go to university, \nqualifications]. I did not go to university, scope of operations in Asia, Europe and \nscope of operations in Asia, Europe and \n\nnor receive any professional training. \nnor receive any professional training. the Americas. In that regard, we need to \nthe Americas. In that regard, we need to \n\nNonet heless, I wa nted to become a n \nNonet heless, I wa nted to become a n consider ou r g loba l com mu n icat ion \nconsider ou r g loba l com mu n icat ion \n\nof 10 years. I was hoping to persuade \nof 10 years. I was hoping to persuade \n\n10,000 people to pay ¥10,000 each year \n10,000 people to pay ¥10,000 each year \n\nfor 10 years, and about 150 people have \nfor 10 years, and about 150 people have \n\nbeen sig n i ng up ever y day. However, \nbeen sig n i ng up ever y day. However, \n\nmost of them are people over 60. People \nmost of them are people over 60. People \n\nof that generat ion st i l l th i nk f irst of \nof that generat ion st i l l th i nk f irst of \n\nf a m i ly a nd cou nt r y, a nd t he n a bout \nf a m i ly a nd cou nt r y, a nd t he n a bout \n\ns what people used to \nthemselves. That’s what people used to \nthemselves. That \n\nbe like. We have to consider how we can \nbe like. We have to consider how we can \n\ninduce people in their thirties today to \ninduce people in their thirties today to \n\narchitect and set up shop in Osaka. I \narchitect and set up shop in Osaka. I capabilities. That is to say, mastering \ncapabilities. That is to say, mastering \n\nfound an entrepreneur willing to take a \nfound an entrepreneur willing to take a languages such as English and Chinese, \nlanguages such as English and Chinese, \n\nchance on someone like me, and here I \nchance on someone like me, and here I and acquiring an international perspective, \nand acquiring an international perspective, \n\nam today. But this leeway has now grown \nam today. But this leeway has now grown so we ca n ex press a nd advocate ou r \nso we ca n ex press a nd advocate ou r \n\nmuch narrower. I think we must review \nmuch narrower. I think we must review opi n ions more clea rly. I t h i nk t hese \nopi n ions more clea rly. I t h i nk t hese \n\nwhere we stand now. I think we must view \nwhere we stand now. I think we must view things will be important. I do not think \nthings will be important. I do not think \n\nJa p a n a nd A s i a a s for m i ng a s i ng le \nJa p a n a nd A s i a a s for m i ng a s i ng le \n\nwe will be able to achieve our vision of \nwe will be able to achieve our vision of \n\neconomic bloc in the world. \neconomic bloc in the world. becoming a global corporation unless we \nbecoming a global corporation unless we \n\n**Kunibe**: For SMBC to continue growing \n: For SMBC to continue growing can work effectively in foreign languages \ncan work effectively in foreign languages \n\nin the longer term, I think we do indeed \nin the longer term, I think we do indeed as we expand operations. For this reason, \nas we expand operations. For this reason, \n\nh a ve to foc u s on t he g loba l m a rket, \nh a ve to foc u s on t he g loba l m a rket, we are strengthening our foreign language \nwe are strengthening our foreign language \n\ni n p a r t i c u l a r t h e A s i a n m a r k e t . \ni n p a r t i c u l a r t h e A s i a n m a r k e t . programs and increasing the number of \nprograms and increasing the number of \n\nGeographically and culturally, Asia is \nGeographically and culturally, Asia is employees capable of working around the \nemployees capable of working around the \n\n\n\nhave this kind of mentality. \nhave this kind of mentality. \n\n**Kunibe**: I bel ie ve “hu m a n t ie s” a re \n: I bel ie ve “hu ma n t ie s” a re \n\nimportant not only in the reconstruction \nimportant not only in the reconstruction \n\nof the areas affected by the disaster, but \nof the areas affected by the disaster, but \n\nalso in the issue of our shrinking, aging \nalso in the issue of our shrinking, aging \n\npopulation. \npopulation.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "***4.3.4 Working life perspective – health***\nThis EWCS 2015 question on the**working life perspective**(*‘Will you be able to do this or a similar job*\n*at 60 years of age?’*) gives quite a good hint to the individual long-term prospects, which might even be \nmore valuable than the question on currently affected health because it is a personal assessment of the \noverall status of health. \n\n**Differences between countries are significant but not as significant as between other categories,**\n**for example, between sectors and occupations**. The EU average of ‘No’ responses to the question \n*‘Do you think you will be able to do your current job or a similar one until you are 60 years old?’*is at \n27%; the eight countries with the highest rates of ‘No’ responses (between 44% and 33%) are France, \nSlovenia, Poland, Slovakia, Croatia, Belgium, Malta and Bulgaria. Under 25% of ‘No’ responses were \ngiven in eight countries, starting from Portugal (16%) over Germany, Denmark, Ireland, Sweden, Italy, \nEstonia and Lithuania (24%).263 \n\n**Figure 35: Opinion on work until the age of 60 – EWCS 2015**\n\n\n\n**Young workers under 35 are much more sceptic**than those over 50; 38% say that they will not be \nable, a much higher percentage than the 22% of workers aged over 50. The employment status is also \nvery important; 26% of the permanently employed respond with a ‘No’ compared to 39% of those with \n‘Other arrangements’. Remarkably, only 19% of the self-employed do not believe that they will be able \nto do their job at 60 years. \n\n**Large differences can be seen between occupation levels.**37% per cent of the low-skilled manual \nworkers respond with ‘No’, and 30% of the highly skilled manual workers respond ‘No’, as do 27% of \nthe low-skilled clerical workers and only 21% of the high-skilled clerical workers, a 16% difference \nbetween high-skilled clerical workers and low-skilled manual workers. In some countries only 10% to \n15% of the highly skilled clerical workers respond with ‘No’ while in a number of countries more than \n50% of the low-skilled manual workers respond with ‘No’, for example, in Slovenia, Croatia, Slovakia \nand Czechia. \n\nThe authors of the Senior Working Life study describe these differences as follows:264 \n\n*‘For ISCO groups 1–4 (seated work) main expected reasons for retiring were freedom to choose and*\n*desire for more leisure time, but many would consider staying longer if there were better possibilities for*\n*additional senior days, longer vacations and flexible working hours. For ISCO groups 5–9 (physical*\n*work), poor physical health and not being capable of doing the job were common expected reasons for*\n*retiring, but many would consider staying longer if the work were less physically demanding and there*\n*were more senior days. Possibility for pension was a general expected reason for retiring. Expected*\n*reasons differed to a less extent between genders than between ISCO groups, e.g. economic factors*\n*were more important for men and high work demands more important for women.*", + "page_start": 95, + "page_end": 95, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "Second Paragraph \nMention your qualifications, skills and experience, and relate them to the \nneeds of the company. Give relevant examples of how you have used \nyour skills in the past to perform similar tasks and responsibilities to \nthose set out in the job description. \n\nThird Paragraph \nExplain why you want to work for this organisation in particular. Where \nrelevant, explain any gaps in your CV. If you don’t have the required \nacademic qualifications, for example, you can explain how your practical \nwork experience makes up for it. \n\nClose \nThank the recipient for taking the time to read your letter, and sign off \nwith a professional greeting, such as “Yours sincerely” or “Kind regards”, \nfollowed by your full name, telephone number and e-mail address.", + "page_start": 46, + "page_end": 46, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "| | Skills and Experience | | | | |\n|---|---|---|---|---|---|\n| | Skills and Experience | | | | |\n| Industry experience • Resources including oil & gas/minerals • Infrastructure • Engineering or science qualification • Membership of industry related organisations • Major projects (including mergers & acquisitions) | | | 5 | | |\n| Executive leadership/management • Outside directorships • Senior management positions | | | 5 | | |\n| Financial acumen • Financial literacy • Accounting or finance qualification | | | 2 | | |\n| Health safety and environment • Experience related to managing HS&E issues in an organisation | | | 2 | | |\n| Governance and regulation • Experience in the governance of organisations • Membership of governance industry bodies or organisations | | | 2 | | |\n| Strategy • Experience to analyse information, think strategically and review and challenge management in order to make informed decisions and assess performance against strategy | | | 5 | | |\n| International experience • Experience in a global organisation • Experience with international assets, business partners, cultures and communities | | | 5 | | |\n| Risk • Experience in risk management and oversight | | | 3 | | |", + "page_start": 50, + "page_end": 50, + "source_file": "ASX_SEA_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", + "query": "What does ShareAlike mean in terms of licencing ?", + "target_page": 1, + "target_passage": "adaptations based on this work must be licensed under the same license.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "I am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] \nconcerning intellectual property rights and exploitation of the results and I confirm that I \ntransferred all the relevant rights to [*insert name of contractor or other intermediary right*\n*holder*]. \n\nI declare that [I have received full remuneration] [I agreed to receive remuneration by \n[*insert date*]]. \n\n[As creator, I also confirm that I do not object to the following: \n\n(a) that my name be mentioned or not mentioned when the results are presented to \n\nthe public; \n\n(b) that the results be divulged or not after they have been delivered in their final \n\nversion to the contracting authority; \n\n(c) that the results be adapted, provided that this is done in a manner which is not \nprejudicial to my honour or reputation.] \n\nDate, place, signature", + "page_start": 48, + "page_end": 48, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "| Share Rights | | | | | | |\n|---|---|---|---|---|---|---|\n| Share Rights | | | | | | |\n| Financial year that rights may vest | Number granted | Fair value per right at grant date5 $ | Total fair value at grant date5 $ | Maximum value yet to vest2 $ | Value at vesting date3 $ | Value at lapse date4 $ |\n\n\nAuditors \n\nPricewaterhouseCoopers continues in office in \naccordance with section 327 of the*Corporations*\n*Act 2001*. \n\nThis report is made in accordance with a resolu- \ntion of Directors. \n\nNon-audit services \nDetails of amounts paid or payable to the \nauditor for non-audit services provided during \nthe year are detailed in Note 30: Auditors \nRemuneration. The Directors are satisfied that \nthe provision of non-audit services during the \nperiod by the auditor is compatible with the \ngeneral standard of independence for auditors \nimposed by the*Corporations Act 2001*. \n\nThe Directors are of the opinion that the services \ndisclosed in Note 30: Auditors Remuneration to \nthe financial statements do not compromise the \nexternal auditor’s independence, based on the \nAuditor’s representations and advice received \nfrom the Audit Committee, for the following \nreasons: \n\n〉〉 \n\nall non-audit services have been reviewed to \nensure they do not impact the integrity and \nobjectivity of the auditor; and \n\nRoss Smyth-Kirk \nDirector \n\n〉〉 none of the services undermine the general \nprinciples relating to auditor independence \nas set out in Code of Conduct APES 110 \nCode of Ethics for Professional Accountants \nissued by the Accounting Professional and \nEthical Standards Board, including reviewing \nor auditing the auditor’s own work, acting in \na management or decision-making capacity \nfor the Company, acting as advocate for the \nCompany or jointly sharing economic risks \nand rewards. \n\nSydney \n23 September 2013", + "page_start": 61, + "page_end": 61, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "For one assessment of the difficulties of complying with the CC licenses in this context, to the extent \n18 \nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming,*Journal of the Copyright Society*2024. \nhttps://doi.org/10.2139/ssrn.4523551.", + "page_start": 9, + "page_end": 9, + "source_file": "creative_common_ai.pdf" + }, + { + "text": " modifying the content, the dimensions; \n\n making technical changes to the content (necessary correction of technical errors), \nadding new parts or functionalities, changing functionalities, providing third parties \nwith additional information concerning the*result*(e.g. source code) with a view to \nmaking modifications; \n\n addition of new elements, paragraphs, titles, leads, bolds, legend, table of content, \nsummary, graphics, subtitles, sound; \n\n addition of metadata, for text and data-mining purposes; addition of right- \nmanagement information; addition of technological protection measures; \n\n preparation in audio form, preparation as a presentation, animation, pictograms \nstory, slide-show, public presentation; \n\n extracting a part or dividing into parts; \n\n \nincorporating, including by cropping and cutting, the*results*or parts thereof in other \nworks, such as on websites and webpages; \n\n translating, inserting subtitles, dubbing in different language versions: \n\nEnglish, French, German; \nall official languages of EU; \nlanguages used within EU; \nlanguages of candidate countries; \n\n- \n- \n- \n- \n- \n\n(f)rights to authorise or license the modes of exploitation set out in any of the points (a) \nto (e) to third parties, provided however that this does not apply to*pre-existing rights*and \n*pre-existing materials*, if they are only licensed to the Agency, except as foreseen by \nArticle II.13.2.; \n\n(g) other adaptations which the parties may later agree; in such case, the following rules \napply: the contracting authority must consult the contractor. If necessary, the contractor \nmust in turn seek the agreement of any*creator*or other right holder and must reply to the \ncontracting authority within one month by providing its agreement, including any \nsuggestions of modifications, free of charge. The contractor may refuse the intended \nmodification only if a*creator*can demonstrate that the intended modification may harm \nhis/her honour or reputation, thereby violating his/her moral rights. \n\nThe modes of exploitation may be defined in more details in the specific contract. \n\nThe list above is in addition to whatever rights already accrue to the contracting authority \non the basis of existing exceptions in the applicable legislation, such as the copyright \nexception to ensure the proper performance or reporting of administrative proceedings, in \ncases where such exceptions apply. \n\n**I.10.2. Licence or transfer of pre-existing rights**\n\nAll*pre-existing rights*incorporated in the*results*, if any, are licensed to the Agency as set \nout in Article II.13.2.", + "page_start": 9, + "page_end": 9, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "‚***Share Repurchases.***\n\nIf we are unable to identify opportunities that satisfy our growth strategy, we \nintend to continue to use our free cash Öow to repurchase shares of our common stock at prices that \nprovide value to our stockholders. As of December 31, 2004, we had repurchased a total of 35.2 million \nshares, or approximately 20% of our common stock outstanding at the commencement of our share \nrepurchase program in 2000, for $750.4 million. In October 2004, our board of directors authorized the \nrepurchase of up to an additional $275.0 million of our common stock, of which $274.6 million \nremained available at December 31, 2004. We believe that our share repurchase program will continue \nto enhance stockholder value. \n\n‚***Dividends.***\n\nIn July 2003, our board of directors initiated a quarterly cash dividend of $.06 per share. \nEÅective October 2004, our quarterly cash dividend was increased to $.12 per share. We may consider \nincreasing our quarterly cash dividend if we believe it will enhance stockholder value. \n\n‚***Minimize Borrowings.***To the extent that the opportunities to enhance stockholder value mentioned \nabove are not available, we also intend to continue to use our free cash Öow to minimize our \nborrowings. \n\nAnother key component of our Ñnancial strategy includes maintaining an investment grade rating on our \nsenior debt. This has allowed us to secure favorable, long-term, Ñxed-rate Ñnancing that reduces our exposure \nto changing interest rates. This has also allowed us, and will continue to allow us, to readily access capital \nmarkets. \n\nFor certain risks related to our Ñnancial strategy, see \"\"Risk Factors.'' \n\n**Operating Strategy**\n\nWe seek to leverage existing assets and revenue growth to increase operating margins and enhance \nstockholder value. Our operating strategy to accomplish this goal is to: \n\n‚ utilize the extensive industry knowledge and experience of our executive management, \n\n‚ utilize a decentralized management structure in overseeing day-to-day operations, \n\n‚ integrate waste operations, \n\n‚ improve operating margins through economies of scale, cost eÇciencies and asset utilization, \n\n‚ achieve high levels of customer satisfaction, and \n\n‚ utilize systems to improve consistency in Ñnancial and operational performance. \n\nFor certain risks related to our operating strategy, see \"\"Risk Factors.'' \n\n‚***Experienced Executive Management Team.***We believe that we have one of the most experienced \nexecutive management teams in the solid waste industry. \n\nJames E. O'Connor, who has served as our Chief Executive OÇcer since December 1998, also \nbecame our Chairman in January 2003. He worked at Waste Management, Inc. from 1972 to 1978 and \nfrom 1982 to 1998. During that time, he served in various management positions, including Senior Vice \nPresident in 1997 and 1998, and Area President of Waste Management of Florida, Inc. from 1992 to \n1997. Mr. O'Connor has over 30 years of experience in the solid waste industry. \n\nMichael J. Cordesman, who has served as our Chief Operating OÇcer since March 2002 and also as \nour President since February 2003, has over 24 years of experience in the solid waste industry. He \njoined us in June 2001 as our Eastern Region Vice President. From 1999 to 2001, Mr. Cordesman \nserved as Vice President of the Central Region for Superior Services Inc. From 1980 to 1999, he served \nin various positions with Waste Management, including Vice President of the Mid-Atlantic Region \nfrom 1992 to 1999. \n\n3", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "(i) where the*results*are or include logos or subject-matter which could be registered as \na trademark: the right to register such logo or subject-matter as a trademark and to \nfurther exploit and use it; \n\n(j) where the*results*are or include know-how: the right to use such know-how as is \nnecessary to make use of the*results*to the full extent provided for by this FWC, and \nthe right to make it available to contractors or subcontractors acting on behalf of the \ncontracting authority, subject to their signing of adequate confidentiality undertakings \nwhere necessary; \n\n(k) where the*results*are documents: \n\n(i) \n\nthe right to authorise the reuse of the documents in conformity with the \nCommission Decision of 12 December 2011 on the reuse of Commission \ndocuments (2011/833/EU), to the extent it is applicable and the documents fall \nwithin its scope and are not excluded by any of its provisions; for the sake of this \nprovision, \"reuse\" and \"document\" have the meaning given to them by this \nDecision; \nthe right to store and archive the*results*in line with the document management \nrules applicable to the contracting authority, including digitisation or converting \nthe format for preservation or new use purposes; \n\n(ii) \n\n(l) where the*results*are or incorporate software, including source code, object code and, \nwhere relevant, documentation, preparatory materials and manuals, in addition to the \nother rights mentioned in this Article: \n\n(i) \n\nend-user rights, for all uses by the contracting authority or by subcontractors \nwhich result from this FWC and from the intention of the parties; \nthe rights to receive both the source code and the object code; (ii) \n\n(m) the right to license to third parties any of the exclusive rights or of the modes of \nexploitation set out in this FWC; however, for*pre-existing materials*which are only \nlicensed to the contracting authority, the right to sub-license does not apply, except \nin the two cases foreseen by Article II.13.2.; \n\n(n) to the extent that the contractor may invoke moral rights, the right for the contracting \nauthority, except where otherwise provided in this FWC, to publish the*results*with or \nwithout mentioning the*creator*(s)’ name(s), and the right to decide when and whether \nthe*results*may be disclosed and published. \n\nThe contractor warrants that the exclusive rights and the modes of exploitation may be \nexercised by the contracting authority on all parts of the*results*, be it via a transfer of \nownership of the rights, on those parts which were specifically created by the contractor, \nor via a licence of the pre-existing rights, on those parts consisting of*pre-existing*\n*materials*. \n\nWhere*pre-existing materials*are inserted in the*results*, the contracting authority may \naccept reasonable restrictions impacting on the above list, provided that the said materials \nare easily identifiable and separable from the rest, that they do not correspond to \nsubstantial elements of the*results*, and that, should the need arise, satisfactory \nreplacement solutions exist, at no additional costs to the contracting authority. In such \ncase, the contractor will have to clearly inform the contracting authority before making \nsuch choice and the contracting authority has the right to refuse it. \n\n**II.13.4. Identification of pre-existing rights**\n\nWhen delivering the*results*, the contractor must warrant that, for any use that the \ncontracting authority may envisage within the limits set in this FWC, the newly created \nparts and the*pre-existing material*incorporated in the*results*are free of claims from", + "page_start": 24, + "page_end": 24, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "advantage to a competitor. Annual \ninvestments in new capabilities, \neducation and continuous improvement help to maintain and improve \nRCI’s security posture. These are focused on protection and prevention, \nrobust detection and advance preparation and planning to help prevent \na potential breach from turning into a crisis. Risk management \nresources continue to be focused in this area. services may be increased from time-to-time as a result of compliance \nwith industry or legislative initiatives to address consumer protection \nconcerns or such Internet-related issues as copyright infringement, \nunsolicited commercial e-mail, cybercrime and lawful access. Our cable, \nwireless and broadcasting licences may not generally be transferred \nwithout regulatory approval. \n\nGenerally, our licences are granted for a specified term and are subject \nto conditions on the maintenance of these licences. These licencing \nconditions may be modified at any time by the regulators. The \nregulators may decide not to renew a licence when it expires, and any \nfailure by us to comply with the conditions on the maintenance of a \nlicence could result in a revocation or forfeiture of any of our licences or \nthe imposition of fines. \n\nWe use standard industry practices for network and information \ntechnology security, survivability and disaster recovery. Our ongoing \nsuccess partly depends on protecting our corporate business-sensitive \ninformation about our customers and \ndata, \nemployees. We treat this information as intellectual property and \nprotect it from unauthorized access and compromise. We rely on our \npolicies and procedures and information technology systems to protect \nthis information. If we do not secure our data and the privacy of our \ncustomer information, we may not be in compliance with regulatory \nstandards and it could result in negative publicity, litigation and damage \nto our \nthese outcomes can cause us to lose \ncustomers or public confidence, or experience financial losses. \n\nincluding personal \n\nThe licences include conditions requiring us to comply with Canadian \nownership restrictions of the applicable legislation. We are currently in \ncompliance with all of \nthese Canadian ownership and control \nrequirements. However, if these requirements are violated, we would \nbe subject to various penalties, possibly including, in the extreme case, \nthe loss of a licence. \n\nreputation. Any of \n\n**Impact of Network Failures on Revenue and Customer Service**\nIf our networks or key network components fail, it could, in some \ncircumstances, result in a loss of service for our customers for an \nindefinite period and have an adverse effect on our results and financial \nposition. We rely on business partners to carry some traffic for some of \nour customers. If one of these carriers has a service failure, it might also \ncause a service interruption for our customers that would last until we \ncould reroute the traffic to another carrier. \n\n**The Wireless Code**\nThe CRTC’s decision to implement its wireless consumer code of \nconduct, among other things, effectively requires Canadian wireless \ncarriers to move away from offering three-year service contracts and \ninstead offer two-year contracts, and this could change our customer \nacquisition and retention costs and subscriber churn. The Wireless Code \nalso sets billing caps on data roaming and domestic data overage \ncharges, creates a prohibition on requiring customers to provide 30- \ndays’ notice of cancellation, and requires the payment of interest on \nsecurity deposits, which could also reduce our results of operations. \n\n**Unauthorized Access to Digital Boxes or Internet Modems**\nWe use encryption technology developed and supported by our vendors \nto protect our cable signals from unauthorized access and to control \naccess to programming based on subscription packages. We also use \nencryption and security technologies to prevent unauthorized access to \nour Internet service.", + "page_start": 78, + "page_end": 78, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "entities working for it or cooperating with it, including contractors and subcontractors, \nwhether legal or natural persons, but only for the purpose of their mission for the \ncontracting authority; \n\n(b) if the*result*is a \"document\" such as a report or a study, and it is meant to be published, \nthe existence of*pre-existing materials*in the*result*may not prevent the publication of the \ndocument, its translation or its \"reuse\", it being understood however that the \"reuse\" may \nonly be made of the*result*as a whole and not of the*pre-existing materials*taken separately \nfrom the*result*; for the sake of this provision, \"reuse\" and \"document\" have the meaning \ngiven by the Commission Decision of 12 December 2011 on the reuse of Commission \ndocuments (2011/833/EU). \n\nAll*pre-existing rights*are licensed to the contracting authority from the moment the*results*\nare delivered and approved by the contracting authority. \n\nThe licensing of*pre-existing rights*to the contracting authority under this FWC covers all \nterritories worldwide and is valid for the duration of intellectual property rights protection. \n\nThe payment of the price as set out in the specific contracts is deemed to also include any \nfees payable to the contractor in relation to the licensing of*pre-existing rights*to the \ncontracting authority, including for all forms of exploitation and of use of the*results*. \n\nWhere*implementation of the FWC*requires that the contractor uses*pre-existing materials*\nbelonging to the contracting authority, the contracting authority may request that the \ncontractor signs an adequate licence agreement. Such use by the contractor will not entail \nany transfer of rights to the contractor and is limited to the needs of this FWC. \n\n**II.13.3. Exclusive rights**\n\nThe Contracting Authority acquires the following exclusive rights: \n\n(a) reproduction: the right to authorise or prohibit direct or indirect, temporary or \npermanent reproduction of the*results*by any means (mechanical, digital or other) and \nin any form, in whole or in part; \n\n(b) communication to the public: the exclusive right to authorise or prohibit any display, \nperformance or communication to the public, by wire or wireless means, including the \nmaking available to the public of the*results*in such a way that members of the public \nmay access them from a place and at a time individually chosen by them; this also \nincludes the communication on Internet and broadcasting by cable or by satellite; \n(c) distribution: the exclusive right to authorise or prohibit any form of distribution of \n\n*results*or copies of the*results*to the public, by sale or otherwise; \n\n(d) rental: the exclusive right to authorise or prohibit rental or lending of the*results*or of \n\ncopies of the*results*; \n\n(e) adaptation: the exclusive right to authorise or prohibit any modification of the*results*; \n(f) translation: the exclusive right to authorise or prohibit any translation, adaptation, \narrangement, creation of derivative works based on the*results*, and any other \nalteration of the*results*, subject to the respect of moral rights of authors, where \napplicable; \n\n(g) where the*results*are or include a database: the exclusive right to authorise or prohibit \nthe extraction of all or a substantial part of the contents of the database to another \nmedium by any means or in any form; and the exclusive right to authorise or prohibit \nthe re-utilization of all or a substantial part of the contents of the database by the \ndistribution of copies, by renting, by on-line or other forms of transmission; \n\n(h) where the*results*are or include a patentable subject-matter: the right to register them \n\nas a patent and to further exploit such patent to the fullest extent;", + "page_start": 23, + "page_end": 23, + "source_file": "EN-Draft FWC for services 0142.pdf" + }, + { + "text": "In April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the \nC o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s \ntook place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the \nexemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s \nto the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in \nthe private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of \n$12.50, expiring in each case on the one year anniversary date of the subscription agreement. \n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s \nw e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and \nRegulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was \n$6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between \n8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the \nConsolidated Financial Statements - Leases.) \n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company \nintends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This \nstrategy should reduce the Company’s reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and \ncapital lease payments for 2001 are expected to be approximately $6.2 million in the Company’s existing markets, notably We s t e rn and Central \nE u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company’s strategy may re q u i re additional \ncapital expenditures. \n\nBased on the Company’s current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash \nused in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M \nnetwork will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its \nATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t \noperating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m \ncommenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The \nCompany believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it \nachieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements. \n\nBA L A N C E SH E E T IT E M S", + "page_start": 21, + "page_end": 21, + "source_file": "NASDAQ_EEFT_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", + "query": "What is the most restricive Creative Common licence ?", + "target_page": 1, + "target_passage": "CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "For one assessment of the difficulties of complying with the CC licenses in this context, to the extent \n18 \nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming,*Journal of the Copyright Society*2024. \nhttps://doi.org/10.2139/ssrn.4523551.", + "page_start": 9, + "page_end": 9, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "***6. Cross-cutting design questions***\n\nThe workshops briefly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \n\n*Would authors, publishers, and other relevant rightsholders*\n*and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \n\nWhile a system that required affirmative “opt-in” consent would limit utility significantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so significant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \n\nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. \n Opt-outs might be more granular, by focusing on allowing or forbidding particular \nuses or other categories of users, given that rights holders have many different sets of \npreferences. \n\n38 \n\nAnother question is about*who*can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n\n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the \n38 \nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.", + "page_start": 17, + "page_end": 17, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "© Crown copyright 2016 \n\nThis publication is licensed under the terms of the Open Government Licence v3.0 \nexcept where otherwise stated. To view this licence, visit \nnationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the \nInformation Policy Team, The National Archives, Kew, London TW9 4DU, or email: \npsi@nationalarchives.gsi.gov.uk. \n\nWhere we have identified any third party copyright information you will need to obtain \npermission from the copyright holders concerned.", + "page_start": 44, + "page_end": 44, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn \nOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open \nand public domain works. View full licensing and attribution information about all works included in the \nvideo on Flickr.", + "page_start": 11, + "page_end": 11, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \n\nBy clicking on the**licence name**(here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", + "page_start": 33, + "page_end": 33, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "**About this**\n**Open Work**\n\n\"Kaleidoscope\" by \ndocoverachiever is \nlicensed under CC \nBY 2.0.", + "page_start": 0, + "page_end": 0, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + } + ] + }, + { + "references": { + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", + "query": "In which case CC licence can't be used ?", + "target_page": 1, + "target_passage": "fair use, fair dealing, or some other limitation and exception to copyright applies the the work.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "For one assessment of the difficulties of complying with the CC licenses in this context, to the extent \n18 \nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming,*Journal of the Copyright Society*2024. \nhttps://doi.org/10.2139/ssrn.4523551.", + "page_start": 9, + "page_end": 9, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \n\nBy clicking on the**licence name**(here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", + "page_start": 33, + "page_end": 33, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**Training in how to use CC Licenses is**\n**key to their adoption.**\n\nWe offer a ten-week**CC Certificate**program that is now tailored not only to the \neducation and library sectors, but also galleries, archives, libraries, and museums \nand**available in 10 languages**. \n\n**In 2023, we greatly expanded our CC Licenses**\n**training and education offerings:**\n\n**19 Workshops & Trainings**\nwith institutions like ALA, Connecticut Humanities & State University of New York, \nDigital Research Alliance of Canada, and WikiConf North America. \n\n**2 Week-Long CC Certificate Bootcamps**\nfor California Community Colleges. \n\n**27 Webinars**\non topics like the basics of Open Culture, the possibilties of Open Educational \nResources (OER) for business-university cooperation, and the future of CC Licenses \nin digital and online education. \n\n**12 CC Legal Open Office Hours**\nhosted by our legal team, providing a personalized opportunity for the CC \ncommunity to ask questions about CC Licenses, open access, and sharing.", + "page_start": 4, + "page_end": 4, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "advantage to a competitor. Annual \ninvestments in new capabilities, \neducation and continuous improvement help to maintain and improve \nRCI’s security posture. These are focused on protection and prevention, \nrobust detection and advance preparation and planning to help prevent \na potential breach from turning into a crisis. Risk management \nresources continue to be focused in this area. services may be increased from time-to-time as a result of compliance \nwith industry or legislative initiatives to address consumer protection \nconcerns or such Internet-related issues as copyright infringement, \nunsolicited commercial e-mail, cybercrime and lawful access. Our cable, \nwireless and broadcasting licences may not generally be transferred \nwithout regulatory approval. \n\nGenerally, our licences are granted for a specified term and are subject \nto conditions on the maintenance of these licences. These licencing \nconditions may be modified at any time by the regulators. The \nregulators may decide not to renew a licence when it expires, and any \nfailure by us to comply with the conditions on the maintenance of a \nlicence could result in a revocation or forfeiture of any of our licences or \nthe imposition of fines. \n\nWe use standard industry practices for network and information \ntechnology security, survivability and disaster recovery. Our ongoing \nsuccess partly depends on protecting our corporate business-sensitive \ninformation about our customers and \ndata, \nemployees. We treat this information as intellectual property and \nprotect it from unauthorized access and compromise. We rely on our \npolicies and procedures and information technology systems to protect \nthis information. If we do not secure our data and the privacy of our \ncustomer information, we may not be in compliance with regulatory \nstandards and it could result in negative publicity, litigation and damage \nto our \nthese outcomes can cause us to lose \ncustomers or public confidence, or experience financial losses. \n\nincluding personal \n\nThe licences include conditions requiring us to comply with Canadian \nownership restrictions of the applicable legislation. We are currently in \ncompliance with all of \nthese Canadian ownership and control \nrequirements. However, if these requirements are violated, we would \nbe subject to various penalties, possibly including, in the extreme case, \nthe loss of a licence. \n\nreputation. Any of \n\n**Impact of Network Failures on Revenue and Customer Service**\nIf our networks or key network components fail, it could, in some \ncircumstances, result in a loss of service for our customers for an \nindefinite period and have an adverse effect on our results and financial \nposition. We rely on business partners to carry some traffic for some of \nour customers. If one of these carriers has a service failure, it might also \ncause a service interruption for our customers that would last until we \ncould reroute the traffic to another carrier. \n\n**The Wireless Code**\nThe CRTC’s decision to implement its wireless consumer code of \nconduct, among other things, effectively requires Canadian wireless \ncarriers to move away from offering three-year service contracts and \ninstead offer two-year contracts, and this could change our customer \nacquisition and retention costs and subscriber churn. The Wireless Code \nalso sets billing caps on data roaming and domestic data overage \ncharges, creates a prohibition on requiring customers to provide 30- \ndays’ notice of cancellation, and requires the payment of interest on \nsecurity deposits, which could also reduce our results of operations. \n\n**Unauthorized Access to Digital Boxes or Internet Modems**\nWe use encryption technology developed and supported by our vendors \nto protect our cable signals from unauthorized access and to control \naccess to programming based on subscription packages. We also use \nencryption and security technologies to prevent unauthorized access to \nour Internet service.", + "page_start": 78, + "page_end": 78, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "8. Select whether the encryption feature was purchased for this system. In this example, it is \nassumed encryption was not purchased, as shown in Figure 4-14. Click**Next**. \n\n**Note:**If you purchased the encryption feature, you are prompted to activate your \nencryption license manually or automatically. For more information about how to \nactivate your encryption license during the system setup wizard, see Chapter 12, \n“Encryption” on page 603.", + "page_start": 121, + "page_end": 121, + "source_file": "sg247938.pdf" + }, + { + "text": "No trial licenses for encryption exist on the basis that when the trial runs out, the access to \nthe data is lost. Therefore, you must purchase an encryption license before you activate \nencryption. Licenses are generated by IBM Data storage feature activation (DSFA) based on \nthe serial number (S/N) and the machine type and model (MTM) of the control enclosure. \n\nYou can activate an encryption license during the initial system setup (on the Encryption \nwindow of the initial setup wizard) or later on, in the running environment. \n\nContact your IBM marketing representative or IBM Business Partner to purchase an \nencryption license. \n\n**12.3 Activating encryption**\n\nEncryption is enabled at a system level and all of the following prerequisites must be met to \nuse encryption: \n\n(cid:2) You must purchase an encryption license before you activate the function. \n\nIf you did not purchase a license, contact an IBM marketing representative or IBM \nBusiness Partner to purchase an encryption license. \n\n(cid:2) At least three USB flash drives are required if you plan to*not*use a key management \nserver. They are available as a feature code from IBM. \n\n(cid:2) You must activate the license that you purchased. \n\n(cid:2) Encryption must be enabled. \n\nActivation of the license can be performed in one of two ways: \n\n(cid:2) Automatic activation: Used when you have the authorization code and the workstation that \nis being used to activate the license has access to external network. In this case, you must \nenter only the authorization code. The license key is automatically obtained from the \ninternet and activated in the IBM Spectrum Virtualize system. \n\n(cid:2) Manual activation: If you cannot activate the license automatically because any of the \n\nrequirements are not met, you can follow the instructions that are provided in the GUI to \nobtain the license key from the web and activate in the IBM Spectrum Virtualize system. \n\nBoth methods are available during the initial system setup and when the system is in use. \n\n**12.3.1 Obtaining an encryption license**\n\nYou must purchase an encryption license before you activate encryption. If you did not \npurchase a license, contact an IBM marketing representative or IBM Business Partner to \npurchase an encryption license. \n\nWhen you purchase a license, you receive a function authorization document with an \nauthorization code printed on it. This code allows you to proceed using the automatic \nactivation process. \n\nIf the automatic activation process fails or if you prefer the use of the manual activation \nprocess, see this web page to retrieve your license keys. \n\nEnsure that you have the following information: \n\n(cid:2) Machine type (MT) \n(cid:2) Serial number (S/N) \n(cid:2) Machine signature \n\n**609** Chapter 12. Encryption", + "page_start": 630, + "page_end": 630, + "source_file": "sg247938.pdf" + }, + { + "text": "Our business, except for the non-broadcasting operations of Media, is \nregulated by two groups: \n(cid:129) the Canadian Federal Department of Industry on behalf of the \ncan and do, however, affect the terms and conditions under which we \noffer these services. \n\n**Spectrum Licences**\nIndustry Canada sets technical standards for telecommunications under \nthe*Radiocommunication Act (Canada)*(Radiocommunication Act) and \nthe Telecommunications Act. It licences and oversees: \n(cid:129) the technical aspects of the operation of radio and television stations \n(cid:129) the frequency-related operations of cable television networks \n(cid:129) awarding and supervising spectrum for wireless communications \n\nMinister of Industry (Canada) (together, Industry Canada) \n*Telecommunications Act*\n(Telecommunications Act) and the*Broadcasting Act*\n(Broadcasting Act). \n\n(cid:129) the CRTC, under the \n\nRegulation relates to the following, among other things: \n(cid:129) wireless spectrum and broadcasting licensing \n(cid:129) competition \n(cid:129) the cable television programming services we must, and can, \nsystems in Canada. \n\ndistribute \n\n(cid:129) wireless and wireline interconnection agreements \n(cid:129) rates we can charge third parties for access to our network \n(cid:129) the resale of our networks \n(cid:129) roaming on our networks \n(cid:129) ownership and operation of our communications systems \n(cid:129) our ability to acquire an interest in other communications systems. \n\nOur costs of providing services may increase from time to time as we \ncomply with industry or legislative initiatives to address consumer \nprotection \ncopyright \ninfringement, unsolicited commercial e-mail, cybercrime and lawful \naccess. \n\nconcerns or Internet-related issues like \n\n**Royalties**\nThe Copyright Board of Canada (Copyright Board) oversees the \nadministration of copyright royalties in Canada and establishes the \nroyalties to be paid for the use of certain copyrighted works. It sets the \ncopyright \nroyalties that Canadian broadcasting undertakings, \nincluding cable, radio, television and specialty services, pay to copyright \ncollectives. \n\ntariff \n\nRegulatory changes or decisions can adversely affect our consolidated \nresults of operations. \n\n**Billing and Contracts**\nThe Quebec Consumer Protection Act amendments, effective June \n2010, introduced new provisions applicable to wireless, wireline and \nInternet service contracts. These amendments include new rules on the \ncontent of such contracts, the determination of the early cancellation \nfees that can be charged to customers, the use of security deposits and \nthe cancellation and renewal rights of the consumers. The amendments \nalso established new provisions on the sale of prepaid cards and the \ndisclosure of related costs. \n\nGenerally, our spectrum and broadcast licences are granted for a \nspecified term and are subject to conditions for maintaining these \nlicences. The regulators can modify these licensing conditions at any \ntime, and they can decide not to renew a licence when it expires. If we \ndo not comply with the conditions, a licence may be forfeited or \nrevoked, or we may be fined. \n\nAmendments to the Manitoba Consumer Protection Act took effect in \nSeptember 2012 and parallel the changes to the Quebec Consumer \nProtection Act. Similar legislation also came into effect in September \n2012 in Newfoundland and Labrador and has been tabled in Nova \nScotia. A private member’s bill proposing similar legislation has been \nintroduced in New Brunswick. \n\nThe licences have conditions that require us, amongst other things, to \nthe applicable \ncomply with Canadian ownership restrictions of \nlegislation, and we are currently in compliance with them. If we violate \nthe requirements, we would be subject to various penalties and it could \ninclude losing a licence in extreme cases.", + "page_start": 70, + "page_end": 70, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RSG_2004.pdf", + "query": "In how many regions the Republic Services operations are organized ?", + "target_page": 9, + "target_passage": "As of December 31, 2004, our operations were organized into five regions whose boundaries may change from time to time: Eastern, Central, Southern, Southwestern and Western.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**Depreciation,**\n**Amortization,**\n**Depletion and Operating**\n**Accretion(c)** **Gross**\n**Revenue** **Intercompany**\n**Revenue(b)** **Net**\n**Revenue** **Capital**\n**Expenditures(d)** **Total**\n**Assets** **2003** **Income**\n\nEastern Region ÏÏÏÏÏÏÏÏÏ $ 600.2 \n671.7 \nCentral Region ÏÏÏÏÏÏÏÏÏ \n680.3 \nSouthern RegionÏÏÏÏÏÏÏÏ \n332.6 \nSouthwestern Region ÏÏÏÏ \n729.4 \nWestern Region ÏÏÏÏÏÏÏÏ \n.2 \nCorporate Entities(a)ÏÏÏÏ \n\n$ (93.0) \n(151.6) \n(76.9) \n(31.2) \n(143.9) \n\n$ 507.2 \n520.1 \n603.4 \n301.4 \n585.5 \n.2 $ 36.4 \n74.0 \n62.8 \n28.7 \n46.2 \n3.7 $ 71.3 \n106.6 \n107.5 \n50.2 \n148.8 \n(71.7) $ 40.7 \n75.7 \n69.9 \n28.9 \n51.4 \n6.6 $ 826.9 \n960.5 \n865.6 \n409.4 \n813.2 \n678.5 Ì \n\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 $(496.6) $2,517.8 $251.8 $412.7 $273.2 $4,554.1 \n\n**2002**\n\nEastern Region ÏÏÏÏÏÏÏÏ $ 564.1 \n589.6 \nCentral Region ÏÏÏÏÏÏÏÏ \n643.1 \nSouthern Region ÏÏÏÏÏÏÏ \n311.8 \nSouthwestern Region ÏÏÏ \n690.0 \nWestern Region ÏÏÏÏÏÏÏ \n.2 \nCorporate Entities(a)ÏÏÏ $ (79.7) $ 484.4 \n469.4 \n577.6 \n282.7 \n550.9 \n.1 $ 32.0 \n53.6 \n52.7 \n22.8 \n41.3 \n(2.8) $(4.1) $ 87.0 \n105.3 \n(1.5) \nÌ 118.3 \nÌ \n41.9 \nÌ 145.5 \nÌ (38.5) (120.2) \n(65.5) \n(29.1) \n(139.1) \n(.1) \n\n**Depreciation,**\n**Amortization,**\n**and**\n**Depletion(c)** **Other**\n**Charges Operating**\n**Income**\n**(Income)** **Gross**\n**Revenue** **Intercompany**\n**Revenue(b)** **Net**\n**Revenue** **Capital**\n**Expenditures(d)** **Total**\n**Assets**\n\n$ 39.2 \n77.1 \n58.0 \n30.6 \n47.3 \n6.4 $ 822.2 \n950.9 \n830.7 \n374.6 \n826.7 \n404.0 \n\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,798.8 $(433.7) $2,365.1 $199.6 $(5.6) $459.5 $258.6 $4,209.1 \n\n(a) Corporate functions include legal, tax, treasury, information technology, risk management, human \nresources, national accounts and other typical administrative functions. The increase in operating income \nfor Corporate Entities from 2003 to 2004 is due primarily to higher self-insurance expense recorded \nduring 2003. \n(b) Intercompany operating revenue reÖects transactions within and between segments and are generally \nmade on a basis intended to reÖect the market value of such services. \n(c) EÅective January 1, 2003, the Company adopted SFAS 143. (See Note 1, Basis of Presentation, for \nfurther information.) \n\n(d) Capital expenditures for 2002 exclude $72.6 million used to purchase equipment consisting primarily of \nrevenue-producing vehicles originally placed into service pursuant to an operating lease. \n\nGoodwill is the cost of acquired businesses in excess of the fair value of net assets acquired. The activity \nin goodwill, net of accumulated amortization, during 2004 and 2003 is as follows: \n\n**Balance as of**\n**December 31,**\n**2003** **Balance as of**\n**December 31,**\n**2004** **Acquisitions** **Transfers**\n\nEastern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nCentral Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSouthern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSouthwestern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nWestern RegionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 2.6 \n10.7 \n2.0 \n.2 \n(2.3) $(2.1) \n(3.6) \n(1.3) \n(1.6) \nÌ $ 436.4 \n357.6 \n326.5 \n133.6 \n308.6 \n\n$13.2 $(8.6) $1,562.7 \n\n$ 435.9 \n350.5 \n325.8 \n135.0 \n310.9 \n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,558.1 \n\n81", + "page_start": 88, + "page_end": 88, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**Cumulative EÅect**\n**of Changes in**\n**Accounting**\n**Principles** **Balance as of**\n**December 31,**\n**2002** **Balance as of**\n**December 31,**\n**2003** **Acquisitions** **Divestitures**\n\nEastern Region ÏÏÏÏÏÏÏÏ \nCentral Region ÏÏÏÏÏÏÏÏ \nSouthern Region ÏÏÏÏÏÏÏ \nSouthwestern Region ÏÏÏ \nWestern RegionÏÏÏÏÏÏÏÏ $ 429.0 \n343.0 \n323.2 \n134.7 \n314.3 $ 7.2 \n7.5 \n2.6 \n.3 \n3.6 $(.3) \nÌ \nÌ \nÌ \nÌ $ Ì \nÌ \nÌ \nÌ \n(7.0) $ 435.9 \n350.5 \n325.8 \n135.0 \n310.9 \n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $21.2 $(.3) $(7.0) $1,558.1 \n\n$1,544.2 \n\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as \nfollows: \n\n**Years Ended December 31,**\n**2003** **2002**\n\n**2004**\n\nCollection: \n\nResidential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 655.2 $ 601.2 $ 530.7 \n\nCommercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 737.9 706.0 696.7 \n\nIndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 523.0 501.6 \n\n50.9 50.8 \n\nOther ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nTotal collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n558.1 \n\n62.2 \n\n2,013.4 1,881.1 1,779.8 \n\nTransfer and disposal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,031.0 967.5 854.1 \n\nLess: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (519.8) (493.7) (428.5) \n\nTransfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 511.2 473.8 425.6 \n\n183.5 162.9 159.7 \n\n$2,708.1 $2,517.8 $2,365.1 \n\nOther ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n**11. FUEL HEDGE**\n\nDuring June 2001, the Company entered into option agreements for approximately 14.3 million gallons of \nheating oil. Under SFAS 133, the options qualiÑed for and were designated as eÅective hedges of changes in \nthe prices of forecasted diesel fuel purchases. These option agreements settled each month in equal notional \namounts through December 2002. The option agreements were structured as zero-cost collars indexed to the \nprice of heating oil. These option agreements expired in December 2002. In accordance with SFAS 133, \n$1.6 million representing the eÅective portion of the change in fair value for the year ended December 31, \n2002, net of tax, has been recorded in stockholders' equity as a component of accumulated other comprehen- \nsive income. The ineÅective portion of the change in fair value was a gain of approximately $.1 million for the \nyear ended December 31, 2002, and has been included in other income (expense), net in the accompanying \nConsolidated Statements of Income. Realized losses of $.8 million related to these option agreements are \nincluded in cost of operations in the Company's Consolidated Statements of Income for the year ended \nDecember 31, 2002.", + "page_start": 89, + "page_end": 89, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data)**\n\n**1. BASIS OF PRESENTATION**\n\nThe accompanying Consolidated Financial Statements include the accounts of Republic Services, Inc. (a \nDelaware corporation) and its subsidiaries (the \"\"Company''). The Company provides non-hazardous solid \nwaste collection and disposal services in the United States. All intercompany transactions have been \neliminated in consolidation. \n\nAs of January 1, 2003, the Company adopted Statement of Financial Accounting Standards No. 143, \n\"\"Accounting for Asset Retirement Obligations'' (\"\"SFAS 143''). SFAS 143 required the Company to change \nthe methodology it used to record Ñnal capping, closure and post-closure costs relating to its landÑlls. As of \nJanuary 1, 2003, the Company recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax \nbasis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In \naddition, the Company also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, \nas a cumulative eÅect of a change in accounting principle for its methane gas collection systems. This change \nin accounting for methane gas collection systems was prompted by a thorough evaluation of the Company's \nlandÑll accounting policies in connection with the adoption of SFAS 143 and is consistent with the \nmethodology used by other participants in the waste industry. \n\nThe following table summarizes the adjustments to net income and earnings per share for the year ended \nDecember 31, 2002 as if SFAS 143 and the Company's change in accounting principle relating to its methane \ngas collection systems were eÅective January 1, 2002: \n\n**Year Ended**\n**December 31, 2002**\n\n**Net**\n**Income** **Diluted Earnings**\n**Per Share**\n\nReported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nSFAS 143: \n\n$239.6 $1.44 \n\nReversal of closure and post-closure expense previously reported ÏÏÏÏ \nReversal of landÑll purchase price amortization previously reportedÏÏ \nAccretion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nLandÑll amortizationÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .10 \nÌ \n(.04) \n(.07) \n\n(.01) \n\n16.2 \n.8 \n(6.5) \n(10.9) \n\nTotal adjustments for SFAS 143 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (.4) \n\nMethane Gas Collection Systems: \n\nReversal of depreciation previously reported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nDepletion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .3 \n(2.3) \n\nTotal adjustment for methane gas collection systems ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n(2.0) \n\nAdjusted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $237.2", + "page_start": 64, + "page_end": 64, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\nThe unaudited pro forma results of operations are presented for informational purposes only and may not \nnecessarily reÖect the future results of operations of the Company or what the results of operations would have \nbeen had the Company owned and operated these businesses as of the beginning of the periods presented. \n\n**5. DEBT**\n\nNotes payable and long-term debt are as follows: \n\n**December 31,**\n**2004** **2003**\n\n$225.0 million unsecured notes, net of unamortized discount $.1 million \nand including a $3.3 million adjustment to fair market value as of \nDecember 31, 2003; interest payable semi-annually in May and \nNovember at 65/8%; principal due at maturity in May 2004 ÏÏÏÏÏÏÏÏÏÏÏÏ $ Ì $ 228.2 \n\n$375.0 million unsecured notes, net of unamortized discount of $.3 million \nand $.4 million as of December 31, 2004 and 2003, respectively; interest \npayable semi-annually in May and November at 71/8%; principal due at \nmaturity in 2009ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n$450.0 million unsecured notes, net of unamortized discount of $1.9 million \nand $2.2 million, and including $.5 million and $0 million adjustments to \nfair value as of December 31, 2004 and 2003, respectively; interest \npayable semi-annually in February and August at 63/4%; principal due at \nmaturity in 2011ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n$750.0 million unsecured revolving credit facility; interest payable using \nLIBOR based rates (2.4% at December 31, 2004); $300.0 million \nmatures June 2005 and $450.0 million matures July 2007 ÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nTax-exempt bonds and other tax-exempt Ñnancing; Ñxed and Öoating \ninterest rates (ranging from 2% to 51/4% at December 31, 2004); \nmaturities ranging from 2005 to 2037 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nOther notes including unsecured and secured by real property, equipment \nand other assets; Ñxed and Öoating interest rates ranging from 4% to \n12%; maturing through 2010ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nLess: Current portionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n2005ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2006ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2007ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2008ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2009ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nThereafter ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n3.7 6.5 \n\n1,354.3 \n2.4 1,520.3 \n231.1 \n\nLong-term portion ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,351.9 $1,289.2 \n\nAggregate maturities of notes payable, capital leases and other long-term debt as of December 31, 2004 \n(excluding discounts and adjustments to fair market value from hedging transactions) are as follows: \n\n**Years Ending December 31,**\n\n$ \n\n2.4 \n2.2 \n1.6 \n1.2 \n376.1 \n972.0 \n\n$1,355.5 \n\nAs of December 31, 2004, the Company had approximately $373.4 million of availability under its \nrevolving credit facility.", + "page_start": 82, + "page_end": 82, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "contribute. Republic truly has one of the best management and operations teams in America. \n\nOn behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in \n\nus. We are a Company that cares about you, and we pledge to continue working hard to serve you in \n\n2005 and beyond. \n\nSincerely, \n\n\n\nAs I thought about these achievements, I realized they result from the environment that we work to \n\ncreate for both our customers and our people. We care about our customers and the communities we \n\nserve. About our people. About the environment. And, of course, we care about you -- our \n\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme \n\nfor 2005 is “Republic Services…A Company that cares”. \n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we \n\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way \n\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to \n\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year \n\nwill be no different. We will continue to concentrate on these fundamentals. \n\nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the \n\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we \n\ntake this responsibility very seriously. \n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 \n\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers, \n\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or \n\nher business and community. Our goal is to remain flexible and to tailor our services to each \n\ncustomer.", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**12. COMMITMENTS AND CONTINGENCIES**\n\n**Legal Proceedings**\n\nThe Company is a party to various general legal proceedings which have arisen in the ordinary course of \nbusiness. While the results of these matters cannot be predicted with certainty, the Company believes that \nlosses, if any, resulting from the ultimate resolution of these matters will not have a material adverse eÅect on \nthe Company's consolidated Ñnancial position, results of operations or cash Öows. However, unfavorable \nresolution could aÅect the consolidated Ñnancial position, results of operations or cash Öows for the quarterly \nperiods in which they are resolved. \n\n**Lease Commitments**\n\nDuring December 1999, the Company entered into a $100.0 million operating lease facility established to \nÑnance the acquisition of operating equipment (primarily revenue-producing vehicles). In July 2002, the \nCompany exercised its right to purchase the equipment underlying this facility by paying $72.6 million. In \naddition, the Company and its subsidiaries lease real property, equipment and software under various other \noperating leases with terms from one to twenty-Ñve years. Rent expense during the years ended December 31, \n2004, 2003 and 2002 was approximately $11.4 million, $11.4 million and $20.0 million, respectively. \n\n2007 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n2008 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n2009 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nThereafter ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n2005 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 4.1 \n\n2006 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.1 \n\n2.8 \n\n1.6 \n\n1.3 \n\n5.6 \n\n$18.5 \n\n**Unconditional Purchase Commitments**\n\n2005 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2006 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2007 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2008 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n2009 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nThereafter ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\nFuture minimum payments under unconditional purchase commitments at December 31, 2004 are as \nfollows: \n\n**Years Ending**\n**December 31,**\n\n$27.6 \n9.9 \n2.0 \n1.4 \n1.4 \n11.8 \n\n$54.1 \n\n83", + "page_start": 90, + "page_end": 90, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**\n**ON THE FINANCIAL STATEMENTS**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.: \n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and \nsubsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, \nstockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits \nalso included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements \nand schedule are the responsibility of the Company's management. Our responsibility is to express an opinion \non these Ñnancial statements and schedule based on our audits. \n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight \nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable \nassurance about whether the Ñnancial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An \naudit also includes assessing the accounting principles used and signiÑcant estimates made by management, as \nwell as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable \nbasis for our opinion. \n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the \nconsolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and \nthe consolidated results of their operations and their cash Öows for each of the three years in the period ended \nDecember 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the \nrelated Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a \nwhole, presents fairly in all material respects the information set forth therein. \n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of \naccounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas \ncollection systems. \n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight \nBoard (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting \nas of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by \nthe Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, \n2005, expressed an unqualiÑed opinion thereon.", + "page_start": 58, + "page_end": 58, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "| | Operations Report |\n| | u |", + "page_start": 20, + "page_end": 20, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\nUnconditional purchase commitments consist primarily of commitments to purchase collection vehicles \nand long-term disposal agreements that require the Company to dispose of a minimum number of tons at third \nparty facilities. \n\n**Liability Insurance**\n\nThe Company carries general liability, vehicle liability, employment practices liability, pollution liability, \ndirectors and oÇcers liability, worker's compensation and employer's liability coverage, as well as umbrella \nliability policies to provide excess coverage over the underlying limits contained in these primary policies. The \nCompany also carries property insurance. \n\nThe Company's insurance programs for worker's compensation, general liability, vehicle liability and \nemployee-related health care beneÑts are eÅectively self-insured. Claims in excess of self-insurance levels are \nfully insured subject to policy limits. Accruals are based on claims Ñled and estimates of claims incurred but \nnot reported. \n\nDuring 2003, the Company experienced an increase in expense associated with self-insurance. This \nincrease was attributable to the expansion of the Company's operations and various changes in estimates as a \nresult of continued negative trends through the 2003 policy year, based upon recent actuarial claims \nexperience, expected claims development and medical cost inÖation. \n\nThe Company's liabilities for unpaid and incurred but not reported claims at December 31, 2004 was \n$143.8 million under its current risk management program and are included in other current and other \nliabilities in the accompanying Consolidated Balance Sheets. While the ultimate amount of claims incurred \nare dependent on future developments, in management's opinion, recorded reserves are adequate to cover the \nfuture payment of claims. However, it is reasonably possible that recorded reserves may not be adequate to \ncover the future payment of claims. Adjustments, if any, to estimates recorded resulting from ultimate claim \npayments will be reÖected in results of operations in the periods in which such adjustments are known. \n\n**Guarantees of Subsidiary Debt**\n\nThe Company has guaranteed the tax-exempt bonds of its subsidiaries. If a subsidiary fails to meet its \nobligations associated with tax-exempt bonds as they come due, the Company will be required to perform \nunder the related guarantee agreement. No additional liability has been recorded for these guarantees because \nthe underlying obligations are reÖected in the Company's Consolidated Balance Sheets. (For further \ninformation, see Note 5, Debt). \n\n**Restricted Cash and Marketable Securities, and Other Financial Guarantees**\n\nIn the normal course of business, the Company is required by regulatory agencies, governmental entities \nand contract parties to post performance bonds, letters of credit and/or cash deposits as Ñnancial guarantees of \nthe Company's performance. At December 31, 2004, letters of credit totaling $489.8 million were outstanding, \nand surety bonds totaling $392.2 million were outstanding, which will expire on various dates through 2015.", + "page_start": 91, + "page_end": 91, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\n**Prepaid Expenses and Other Current Assets**\n\nA summary of prepaid expenses and other current assets is as follows: \n\nInventory ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nPrepaid expenses ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther non-trade receivables ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nIncome taxes receivable ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nNote receivable ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \nOther assets ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n**December 31,**\n**2003** **2004**\n\n$19.1 \n17.8 \n17.4 \n19.7 \nÌ \n2.4 $ 17.7 \n20.5 \n27.9 \n87.6 \n23.0 \n5.4 \n\n$76.4 $182.1 \n\nInventories consist primarily of compost, mulch, and soil materials, equipment parts and fuel that are \nvalued under a method that approximates the lower of cost (Ñrst-in, Ñrst-out) or market. \n\nThe Company expenses substantially all advertising expenditures as incurred. \n\n**Property and Equipment**\n\nProperty and equipment are recorded at cost. Expenditures for major additions and improvements to \nfacilities are capitalized, while maintenance and repairs are charged to expense as incurred. When property is \nretired or otherwise disposed of, the related cost and accumulated depreciation are removed from the accounts \nand any resulting gain or loss is reÖected in the Consolidated Statements of Income. \n\nThe Company revises the estimated useful lives of property and equipment acquired through business \nacquisitions to conform with its policies regarding property and equipment. Depreciation is provided over the \nestimated useful lives of the assets involved using the straight-line method. The estimated useful lives are \nseven to forty years for buildings and improvements, Ñve to twelve years for vehicles, seven to ten years for \nmost landÑll equipment, three to Ñfteen years for all other equipment, and Ñve to twelve years for furniture and \nÑxtures. \n\nLandÑlls and landÑll improvements are stated at cost and are amortized or depleted based on consumed \nairspace. LandÑll improvements include direct costs incurred to obtain landÑll permits and direct costs \nincurred to acquire, construct and develop sites. These costs are amortized or depleted based on consumed \nairspace. All indirect landÑll development costs are expensed as incurred. (For further information, see \nNote 3, Accrued LandÑll and Environmental Costs.) \n\nThe Company capitalizes interest on landÑll cell construction and other construction projects in \naccordance with Statement of Financial Accounting Standards No. 34, \"\"Capitalization of Interest Cost.'' \nConstruction projects must meet the following criteria before interest is capitalized: \n\n1. Total construction costs are $50,000 or greater, \n\n2. The construction phase is one month or longer, and \n\n3. The assets have a useful life of one year or longer. \n\nInterest is capitalized on qualiÑed assets while they undergo activities to ready them for their intended \nuse. Capitalization of interest ceases once an asset is placed into service or if construction activity is suspended \nfor more than a brief period of time. The interest capitalization rate is based upon the Company's weighted", + "page_start": 66, + "page_end": 66, + "source_file": "NYSE_RSG_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_MGM_2004.pdf", + "query": "What was one of the seminal moment of 2004 for MGM MIRAGE ?", + "target_page": 12, + "target_passage": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "U S I N G O U R S T R E N G T H... \n\n\n\n\n\n\n\nThe announcement of \nthe merger between \nMGM MIRAGE and \nMandalay Resort Group \nwas one of the seminal \nmoments of 2004.", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| FINANCIAL OVERVIEW | A C H I E V I N G M O M E N T O U S R E S U LT S | |\n|---|---|---|\n| FINANCIAL OVERVIEW | A C H I E V I N G M O M E N T O U S R E S U LT S | |\n| JAMES J. MURREN President, CFO & Treasurer | | T o some, momentum is intangible – a product of fortune, a power that cannot be harnessed, and typically a short-lived sensation. Others wonder how they lost their momentum. At MGM MIRAGE, we are con- stantly thinking of better ways to maximize it. We believe momentum is a product of effort and excellence, a force which can be observed and measured, and something that can be a lasting and defining quality of a great company. Our 2004 results are a clear reminder of the power of moving forward. Our financial policies have long been designed to create and maintain momentum. By investing in our best assets and thinking of new ways to add value to our shareholders, we are able to redefine our Company’s place in history every year – and 2004 was a defin- ing time even by our exacting standards. So how did we get here? Last year, we discussed the importance of focus, and the laser-like precision with which we operated our resorts in 2004 affirms the power of our single-minded dedication to excellence. The hard work of our 40,000 employees resulted in a record year in almost every regard. Net revenues increased 10% over 2003 to a record $4.2 billion, with 12% REVPAR growth at our Las Vegas resorts; property-level EBITDA was an all-time record, nearly $1.5 billion, and 23% higher than the prior year. We exceeded the expectations of every market observer, and significantly beat our forecasts. And 2004 will not be a zenith year for your company – rather, we expect to continue our excellent operating performance, re-invest the resulting cash flow to stimulate future growth and move forward to new defining moments. How do we re-define a company that is already at the top of its industry? First, we continue to execute on our vision for our existing resorts – to continually evolve and increase the “Wow!” factor for our guests. This strategy requires investment, and we will ensure that our resorts are not only world-class, but best-in-class. Examples include the beautiful Spa Tower at Bellagio and KÀ, the latest spectacular creation in collaboration with Cirque du Soleil. |\n| GAMAL AZIZ President, MGM Grand GLENN BONNER Senior VP & CIO, GEORGE R. BOYER III President, JOSEPH BRUNINI President, JEFF DAHL President, Beau Rivage MGM MIRAGE Information Systems MGM Grand Detroit MGM Grand Resorts National Marketing | | |", + "page_start": 23, + "page_end": 23, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| S E T T I N G T H E F U T U R E I N M O T I O N | |\n|---|---|\n| S E T T I N G T H E F U T U R E I N M O T I O N | |\n| W hile the international opportunities for growth remain to be fully defined, in 2004 MGM MIRAGE entered into a joint venture agreement with Pansy Ho Chiu-king to develop, build and operate a major hotel-casino resort in Macau S.A.R. No other international market has shown its ability to sustain improved growth even as the government takes important steps to modernize its regu- latory structure. We have methodically moved through the regulatory process and look forward to initiating construction in 2005 and opening in 2007. We continue to monitor and pursue opportunities as they arise in the United Kingdom. The bill modernizing British gaming law has moved steadily through the legislative process throughout the year. Several key issues are yet to be resolved, but we remain hopeful that Great Britain will become one of the world’s leading jurisdictions with significant growth opportunities for decades to come. We are also excited about the emergence of possible new jurisdictions in the Far East. We plan to pursue additional development opportunities as they become avail- able, as we believe that the Far East holds considerable promise as a growing gaming market. Domestically, we are selectively expanding our presence as well, moving into mar- THE RESIDENCES kets and business lines where our superior brands and assets can provide the best AT MGM GRAND Our joint returns. In Las Vegas we will maximize the use of our vast land holdings, beginning venture with Turnberry Associates to build luxury condo/hotels ignited with The Residences at MGM Grand. This unique venture is a breakthrough combina- a flurry of development in Las Vegas. tion of a hotel and condominiums – the first of its kind in Las Vegas. In Atlantic City, we own an exceptional site for future development. The already successful Borgata is pre- MGM GRAND MACAU Our joint venture has secured a prime location to develop and construct an exciting pared to grow bigger and better. Expansion plans include more casino space, a new hotel addition to this dynamic gaming destination. tower, more restaurants, retail outlets and an expanded spa. | |", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE | |\n|---|---|---|---|---|\n| wide array of community needs. From homeless shelters to after-school programs, MGM MIRAGE employees have generously donated more than $8 million since 2001. Your company also sets aside a portion of its profits each year to be given to important programs intended to build stronger communities. Since 2001, your company has given more than $18 million to support such programs. Defining Momentum in Our Family Our momentum is driven from within by acknowledging the contributions of each and every one of our employees, business partners and customers. Our commitment to diversity is recognition of the fact that in today’s ever- changing marketplace, we must reflect that which we see in the world around us. This commitment should be seen as a common- (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC; J. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; sense business decision. That said, we are proud of GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE the recognition our Diversity program has received, including accolades from prestigious media such as Fortune and DiversityInc. magazines. Defining Momentum in the Future As exciting as 2004 was, our momentum will carry us Since formalizing our program only four years ago, Your company achieved many business goals in 2004 to even greater achievements in 2005 and beyond. we’ve made enormous strides. There is still progress to and set in motion plans for future growth. These initiatives be made and your company has the momentum to will provide unmatched returns. We have also created unri- remain at the forefront on diversity initiatives, provid- valed opportunities for our employees and will continue J. TERRENCE LANNI ing yet another advantage for sustaining performance in our rich history of strengthening the communities in which Chairman of the Board & Chief Executive Officer the long term. we do business. March 31, 2005 | | | (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC; J. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE | |\n| | | (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC; J. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE | (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC; J. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE | |", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| wide array of community needs. From homeless shelters to\nafter-school programs, MGM MIRAGE employees have\ngenerously donated more than $8 million since 2001.\nYour company also sets aside a portion of its profits\neach year to be given to important programs intended to\nbuild stronger communities. Since 2001, your company has\ngiven more than $18 million to support such programs.\nDefining Momentum in Our Family\nOur momentum is driven from within by acknowledging\nthe contributions of each and every one of our employees,\nbusiness partners and customers. Our commitment to\ndiversity is recognition of the fact that in today’s ever-\nchanging marketplace, we must reflect that which we see\nin the world around us.\nThis commitment should be seen as a common- (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC;\nJ. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter;\nsense business decision. That said, we are proud of\nGARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE\nthe recognition our Diversity program has received,\nincluding accolades from prestigious media such as\nFortune and DiversityInc. magazines. Defining Momentum in the Future As exciting as 2004 was, our momentum will carry us\nSince formalizing our program only four years ago, Your company achieved many business goals in 2004 to even greater achievements in 2005 and beyond.\nwe’ve made enormous strides. There is still progress to and set in motion plans for future growth. These initiatives\nbe made and your company has the momentum to will provide unmatched returns. We have also created unri-\nremain at the forefront on diversity initiatives, provid- valed opportunities for our employees and will continue\nJ. TERRENCE LANNI\ning yet another advantage for sustaining performance in our rich history of strengthening the communities in which\nChairman of the Board & Chief Executive Officer\nthe long term. we do business. March 31, 2005 | | | (from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC;\nJ. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter;\nGARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE | |\n|---|---|---|---|---|", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "But the bricks and mortar tell only part of the story \nof this transaction. At the heart of Mandalay is its people. \nMandalay employees at all levels are energetic and talented \nand will be a tremendous asset to us. Together, we will become \na family in excess of 70,000 people committed to delivering \nthe best possible experiences for our guests. The transaction \nalso will create unparalleled opportunities for our entire family \nof employees. \n\nIn short, this groundbreaking transaction creates \n\nunstoppable momentum for all stakeholders in the \nMGM MIRAGE family. \n\nDefining Momentum in our Properties \n\nIn 2004, your company invested over $690 million of \ncapital in the creation of new restaurants, clubs, shows and \nnightspots as well as the development of strategic enhance- \nments to existing amenities. These investments generated \nexceptional returns in a time when competition for the \nentertainment dollar has never been higher. \n\nDefining Momentum for Our Industry \n\nThe gaming industry in America is maturing, and \ninternational expansion, while exciting in select markets, \nremains challenging. As a result, your company has \npursued a growth strategy that calls for maximizing the \nassets we currently own and seeking prudent development \nopportunities and strategic acquisitions. \n\nUpon completion of our merger with Mandalay, \nMGM MIRAGE will be the world’s leading gaming and \nleisure company. The combination will result in a well- \ncapitalized company uniquely situated to invest in its \ncurrent portfolio in addition to creating new projects \nin the United States and around the world. \nWe believe this is an outstanding \n\ntransaction for the shareholders of \nboth companies. With this \nacquisition, we will own, \noperate and have investments \nin 28 properties throughout Nevada, Mississippi, \nIllinois, Michigan, and New Jersey. \n\nThe combined company will have an asset portfolio \nwhich includes some of the most widely recognized brand \nnames in the world. These properties cater to a broad \ncustomer base, ranging from value-oriented to the ultra- \nhigh end. Each resort provides a unique customer experience \nthrough its specific personality and combination of amenities. \n\n\n\n**FIX**BELLAGIO Classic \nAmerican fare using the \nfreshest fish, meat, and \npoultry cooked to order on \na wood-burning grill. Costa \nRican Padouk wood inspires \na warm environment in a \nunique, vibrant design. \n\nE \nR \nA \nH \nS \n**2 0 0 4** $2.85 \n\nR \nE \nP $1.61 **2 0 0 3**\n\nS \nG \nN \n**2 0 0 2**\nI \n\nN \nR \nA \nE 0 \n5 0 \n0 0 \n5 0 \n0 0 \n5 0 \n0 0 \n0 \n. . . . . . . \n0 \n$ 1 \n$ 1 \n$ 2 \n$ 2 \n$ 3 \n$ 0 \n$ \n\n\n\nWe also will have at Mandalay Bay the fifth largest \nconvention center in the United States, providing the com- \npany with a great resource to further develop the business \ntravel and convention market.", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| P O I N T S I N T I M E | D E F I N I N G M O M E N T S O F M G M M I R A G E |\n|---|---|\n| P O I N T S I N T I M E | D E F I N I N G M O M E N T S O F M G M M I R A G E |\n| 19 96 THE NEW YORK-NEW YORK SKYLINE BECOMES 19 A TOWERING PRESENCE IN THE PORTFOLIO. 93 We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses. IT ALL BEGINS WITH MGM GRAND. MGM Grand, the largest hotel-casino in the world, opened to great fanfare. “The City of Entertainment” redefined the urban resort and provided the foundation for our company’s momentous growth. | |", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER. Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States. 20 04 BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN. The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth. 20 00 20 09 BORGATA CHANGES THE FACE OF ATLANTIC CITY. Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market. 20 SOON, A SPECTACULAR NEW CITY WILL RISE. 03 Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance. | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**To the Board of Directors and Stockholders of MGM MIRAGE**\n\nWe have audited the accompanying consolidated balance sheets of MGM MIRAGE (a Delaware corporation) and subsidiaries (the “Company”) as of December 31, 2004 and \n2003, and the related consolidated statements of income, stockholders’ equity, and cash flows for each of the three years in the period ended December 31, 2004. These \nfinancial statements are the responsibility of the Company’s management. Our responsibility is to express an opinion on the financial statements based on our audits. \n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and \nperform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, \nevidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made \nby management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. \n\nIn our opinion, such consolidated financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2004 and 2003, and \nthe results of its operations and its cash flows for each of the three years in the period ended December 31, 2004, in conformity with accounting principles generally accepted \nin the United States of America. \n\nWe have also audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the effectiveness of the Company’s internal \ncontrol over financial reporting as of December 31, 2004, based on the criteria established in Internal Control—Integrated Framework issued by the Committee of Sponsoring \nOrganizations of the Treadway Commission and our report dated March 10, 2005 expressed an unqualified opinion on management’s assessment of the effectiveness of the \nCompany’s internal control over financial reporting and an unqualified opinion on the effectiveness of the Company’s internal control over financial reporting.", + "page_start": 50, + "page_end": 50, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| | S\nN\nI\nG\nR\nM G G 22.4% A\nM\nG\nM B G 21.8% N\nI\nT\nA\nH E T 17.4% R\nE\nP\nO\nC Z R 14.8% 4\n0\n0\n2\n10.0% 15.0% 20.0% 25.0% |\n|---|---|\n| | S N I G R M G G 22.4% A M G M B G 21.8% N I T A H E T 17.4% R E P O C Z R 14.8% 4 0 0 2 10.0% 15.0% 20.0% 25.0% |\n| Recently, we opened the SKYLOFTS, a new level of luxury Project CityCenter will literally redefine the Las Vegas Strip convention center. Our casino marketing people will be able for guests atop MGM Grand Las Vegas. and change the face of Las Vegas forever. to offer their customers wonderful new amenities to expand We’ll follow the success of these new resort features our market reach. And our development people will be able with a category-defining new nightclub at The Mirage, two Mandalay in Motion to maximize the potential of priceless Las Vegas Strip land. fabulous restaurants by Joël Robuchon at MGM Grand Las We are incredibly excited to begin our journey with the The Mandalay merger represents another defining Vegas and gaming upgrades company-wide. Second, we are talented people of Mandalay, as we work to maximize the moment for MGM MIRAGE, much like the Mirage Resorts doubling down on Las Vegas by merging with Mandalay, value of Mandalay’s instantly recognized brands and world- transaction in 2000, at a time when Las Vegas is in a state of a company we have long admired. The Mandalay merger class resorts. Long a fixture in Las Vegas, Mandalay’s resorts astounding metamorphosis. No company is better positioned represents a tremendous opportunity to build on the mo- will add to our premium portfolio and allow us to accelerate to help shape the future of Las Vegas than MGM MIRAGE. mentum established by Mike Ensign and his team. And the pace of our growth. Our hotel people will be able to mar- We employ more people, invest more money and hold more third, we are dreaming of a not-so-distant future, when ket a wider range of rooms and benefit from a world-class prime real estate than any other company in Las Vegas. The | |\n| AL FACCINTO President, MGM MIRAGE ALAN FELDMAN Senior VP Public Affairs, BRUCE GEBHARDT Senior VP, WILLIAM J. HORNBUCKLE President & PHYLLIS JAMES Senior VP & Senior International Marketing MGM MIRAGE MGM MIRAGE Global Security COO, MGM MIRAGE Europe Counsel, MGM MIRAGE | |", + "page_start": 24, + "page_end": 24, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_MGM_2004.pdf", + "query": " What are the most significant piece of undeveloped land remaining on the Las Vegas Strip ?", + "target_page": 21, + "target_passage": "W RESIDENTIAL In lofts, brown stones and high-rise buildings, residential options abound to populate the new city and ener gize the surrounding areas. e have been working for some time on con ceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "The ability to construct the permanent casino facility is currently subject to resolu- \ntion of the Lac Vieux litigation. The 6th Circuit Court of Appeals has issued an \ninjunction prohibiting the City and the developers from commencing construction \npending further action of the 6th Circuit Court. Therefore, we do not know when \nwe will be able to commence construction of, or complete, the permanent facility.", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| | PROJECT CITYCENTER | | | Interstate 15 | |\n|---|---|---|---|---|---|\n| | PROJECT CITYCENTER | | | Interstate 15 | |\n| Tropicana | MONTE CARLO NY/NY | BELLAGIO | | Flamingo THE MIRAGE Mountain TI Spring N | |\n| | | | | | |\n| | | | | | |\n| | Las Vegas Blvd. MGM GRAND THE RESIDENCES AT MGM GRAND | | | | |\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n| RESIDENTIAL In lofts, brown-\nstones and high-rise buildings,\nresidential options abound to\npopulate the new city and ener-\ngize the surrounding areas. | ENTERTAINMENT\nFrom street performers\nto Broadway shows,\nour entertainment will\nevoke the best of New\nYork or London. | THE SITE Located in the heart of the Las Vegas Strip, Project\nCityCenter will dwarf every development that preceded it. Its 66 acres\nwill include a 4,000-room hotel-casino and three boutique hotels. |\n|---|---|---|\n| RESIDENTIAL In lofts, brown- stones and high-rise buildings, residential options abound to populate the new city and ener- gize the surrounding areas. | ENTERTAINMENT From street performers to Broadway shows, our entertainment will evoke the best of New York or London. | THE SITE Located in the heart of the Las Vegas Strip, Project CityCenter will dwarf every development that preceded it. Its 66 acres will include a 4,000-room hotel-casino and three boutique hotels. |\n| W e have been working for some time on con- Project CityCenter represents a new era of the ceiving the best use of the 66 acres between urban complex, one that encompasses tourism, Monte Carlo and Bellagio, the most signifi- entertainment, gaming, retail and residential elements. cant piece of undeveloped land remaining on the Las Only MGM MIRAGE has the momentum – financially, Vegas Strip. We certainly could have come up with a intellectually and professionally – to effectively develop spectacular casino-hotel. But, the truth is, Las Vegas is such a project. ready for so much more. The signature building within Project CityCenter As the city eclipses two million residents on its way is the 4,000-room hotel-casino. The internationally to passing three million by the end of the decade, and acclaimed architect Cesar Pelli has been commissioned with land prices on the Strip soaring, it has become to design this iconic structure. Pelli’s initial concept clear that there is a much better and higher use drawing defines a new generation of urban landscape for for this location. As Las Vegas marks its Centennial, the Las Vegas Strip, one which includes gaming at its Project CityCenter stands as a defining moment for economic center but not as an emotional centerpiece. development in this fabled city. Project CityCenter will provide the momentum for the next era of amazing growth for your company and Las Vegas. | | |\n| | | PROJECT CITYCENTER Interstate 15 Tropicana Flamingo MONTE CARLO BELLAGIO THE MIRAGE Mountain NY/NY Las Vegas Blvd. TI Spring N MGM GRAND THE RESIDENCES AT MGM GRAND |", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "will be some impact on these resorts from Wynn Las Vegas, but also believe that the \nbreadth of amenities in our portfolio of resorts and our loyalty and other marketing \nprograms will help minimize these competitive pressures. The proximity of Wynn \nLas Vegas to TI and The Mirage, along with pedestrian bridges linking TI with the \nFashion Show Mall and Venetian, will also benefit these resorts. \n\n**Overall Outlook**\nWe have invested heavily in our existing operations in 2003 and 2004, and expect \nto continue to do so on a targeted basis in 2005. Our Las Vegas Strip resorts require \nongoing capital investment to maintain their competitive advantages. We believe \nthe investments in additional non-gaming amenities we made in 2003 and 2004 \nhave enhanced our ability to generate increased visitor volume and allowed us to \ncharge premium prices for our amenities. \n\nThe most likely significant factors affecting operating results at our existing resorts \nin 2005 will be the expected continued strength of the leisure and convention travel \nsegments, the expansion of Bellagio and the opening of*KÀ*and other amenities at \nMGM Grand Las Vegas, and new competition from Wynn Las Vegas on the Las \nVegas Strip. Various lodging market observers, such as PricewaterhouseCoopers \nand Smith Travel Research, are forecasting mid-single digit percentage growth in \nREVPAR in 2005, with greater REVPAR gains in full service hotels. Our REVPAR \ngrowth, and REVPAR growth in Las Vegas in general, has outpaced that of the \nnational market, and we expect that trend to continue. \n\nThe Bellagio expansion opened in late 2004 and added over 30% to the resort’s \nroom base. In addition, we added new meeting, retail and dining space and signifi- \ncantly expanded the spa and salon.*KÀ*opened in late November 2004 at MGM \nGrand Las Vegas, which had been without a featured production show for almost \ntwo years. Along with the numerous restaurant and other entertainment additions \nat MGM Grand Las Vegas,*KÀ*will enhance our ability to generate visitor traffic \nand capture a greater share of our guests’ spending. \n\n**Mandalay Merger**\nOn June 16, 2004, we announced that we had entered into a definitive merger \nagreement with Mandalay Resort Group (“Mandalay”), a publicly traded company, \nunder which we will acquire Mandalay for $71.00 in cash for each share of \ncommon stock of Mandalay. Mandalay owns and operates eleven properties in \nNevada, including Mandalay Bay, Luxor, Excalibur, Circus Circus, and Slots-A-Fun \nin Las Vegas, Circus Circus-Reno in Reno, Colorado Belle and Edgewater in \nLaughlin, Gold Strike and Nevada Landing in Jean, and Railroad Pass in \nHenderson. Mandalay also owns and operates Gold Strike, a hotel/casino in Tunica \nCounty, Mississippi. In addition, Mandalay owns a 50% interest in Silver Legacy in \nReno, a 50% interest in Monte Carlo in Las Vegas, a 50% interest in Grand \nVictoria, a riverboat in Elgin, Illinois, and a 53.5% interest in MotorCity in \nDetroit, Michigan. The total consideration is approximately $8.1 billion, including \nequity value of approximately $4.8 billion, convertible debentures with a redemp- \ntion value of approximately $574 million, the assumption or repayment of other \noutstanding Mandalay debt with a fair value of approximately $2.6 billion as of \nDecember 31, 2004, and $100 million of estimated transaction costs. The transac- \ntion is structured as a merger of one of our wholly-owned subsidiaries with and into \nMandalay. The transaction will be accounted for as a purchase and is anticipated to \nclose during the first quarter of 2005. \n\nWynn Las Vegas will add room capacity to the Las Vegas market, with its 2,700 \nrooms representing a 2% increase in Las Vegas room supply. Wynn Las Vegas will \nalso feature numerous upscale restaurants and generally target customers who might \notherwise choose Bellagio, MGM Grand Las Vegas or The Mirage. We believe there", + "page_start": 30, + "page_end": 30, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "In 2004, there were no material unusual property transactions. In 2003, we sold 315 \nacres of land in North Las Vegas, Nevada near Shadow Creek for approximately \n$55 million, resulting in the $37 million gain reflected above. Prior to 2003, we \nclassified gains and losses on routine assets sales or disposals as a non-operating item at \nsome resorts and as an operating item at other resorts. We believe the preferable pres- \nentation of these items is as an element of operating income. Prior period statements \nhave not been reclassified as such transactions were not material in periods prior to \n2003. Until 2003, demolition costs were typically capitalized as part of new construc- \ntion. We began expensing demolition costs on major construction projects as incurred \non January 1, 2003, and are accounting for this change in policy prospectively. \nDemolition costs were not material in periods prior to 2003. Demolition costs in \n2004 and 2003 related primarily to preparation for the Bellagio standard room \nremodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments \nof assets to be disposed of in 2003 consisted primarily of assets related to the former \nEFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.", + "page_start": 34, + "page_end": 34, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "The people of Las Vegas today have great aspirations and entertainment components. We will partner with boutique |\n|---|---|---|\n| (from left to right) ROBERT C. SELWOOD Senior Vice President— Accounting; JAMES J. MURREN President, CFO & Treasurer; BRYAN L. WRIGHT Senior Vice President — Assistant General Counsel & Assistant Secretary; DANIEL J. D'ARRIGO Senior Vice President—Finance | | combination of Mandalay’s assets with our financial strength expect and demand more of our community. We are a city and industry-leading financial discipline will yield significant without a proper city, and that is about to change. Ambitious returns for all of our stakeholders. plans are underway to revitalize Downtown Las Vegas, centered We are currently planning the integration of the two around a beautiful performing arts center and an academic companies, and over time, we expect to realize the full poten- medical center; UNLV is in the midst of a major capital cam- tial of cost and revenue synergies. We will report on our paign to enhance the Midtown section of Las Vegas; and your progress throughout the coming year. company has embarked on the most comprehensive project to date – Project CityCenter, at the heart of the Las Vegas Strip. The Next Moment – A City is Born The Las Vegas Strip has no sense of city now – but we What makes a great city? Las Vegas has long been believe it can. The future of Las Vegas is centered around our recognized as the leisure capital of the world. The resorts in great resorts and our future development. There are many our valley have been the innovative leaders in the hospitality reasons we believe Project CityCenter is the right project for industry and have driven the tremendous growth in visitor our Las Vegas Strip development. We believe there is a social volume, high occupancy rates and surging food, beverage, imperative that Las Vegas mature as a city, not just a con- entertainment and gaming volumes. But there is another glomeration of suburbs. A city deserves a center – a center Las Vegas – a community of two million residents on its for living, working and playing. We want to be an integral way to three million by the end of the decade. Las Vegas is part in defining the Las Vegas of the future. leading the U.S. migration to the Southwest. Our newcom- And there is a business motivation. Companies in the ers are attracted by the lifestyle, weather, cost of living and gaming industry have historically not been valued on par with economic opportunity. Many have come from cities in the other hospitality companies and mixed-use real estate compa- East, West and Midwest and take elements of established nies. We plan to break out of the gaming mold, and define a communities for granted, such as medical, educational and company based on extensive holdings in multiple businesses. cultural excellence and diversity. Project CityCenter will include major residential, retail and The people of Las Vegas today have great aspirations and entertainment components. We will partner with boutique |\n| | (from left to right) ROBERT C. SELWOOD Senior Vice President— Accounting; JAMES J. MURREN President, CFO & Treasurer; BRYAN L. WRIGHT Senior Vice President — Assistant General Counsel & Assistant Secretary; DANIEL J. D'ARRIGO Senior Vice President—Finance | |\n| | No company is better positioned to help shape the future of Las Vegas than MGM MIRAGE. | |\n| CYNTHIA KISER MURPHEY Senior PUNAM MATHUR Senior VP, WILLIAM MCBEATH President, ROBERT V. MOON Chairman, FELIX D. RAPPAPORT President, SCOTT SIBELLA President, TI VP, MGM MIRAGE Human Resources MGM MIRAGE Diversity/Community The Mirage MGM MIRAGE Marketing New York-New York Relations | | |", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER. Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States. 20 04 BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN. The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth. 20 00 20 09 BORGATA CHANGES THE FACE OF ATLANTIC CITY. Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market. 20 SOON, A SPECTACULAR NEW CITY WILL RISE. 03 Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance. | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| Our growth strategy calls\nfor prudent and strategic\ndevelopment of our real\nestate assets to maximize\nshareholder value. | KÀTM by Cirque du Soleil® |\n|---|---|\n| Our growth strategy calls for prudent and strategic development of our real estate assets to maximize shareholder value. | KÀTM by Cirque du Soleil® |\n| ATLANTIC CITY LAND/BORGATA EXPANSION Our prime real estate in Atlantic City, in a location we defined as Renaissance Pointe, holds spectacular promise to expand MGM MIRAGE’s market presence on the East Coast. | |", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| S E T T I N G T H E F U T U R E I N M O T I O N | |\n|---|---|\n| S E T T I N G T H E F U T U R E I N M O T I O N | |\n| W hile the international opportunities for growth remain to be fully defined, in 2004 MGM MIRAGE entered into a joint venture agreement with Pansy Ho Chiu-king to develop, build and operate a major hotel-casino resort in Macau S.A.R. No other international market has shown its ability to sustain improved growth even as the government takes important steps to modernize its regu- latory structure. We have methodically moved through the regulatory process and look forward to initiating construction in 2005 and opening in 2007. We continue to monitor and pursue opportunities as they arise in the United Kingdom. The bill modernizing British gaming law has moved steadily through the legislative process throughout the year. Several key issues are yet to be resolved, but we remain hopeful that Great Britain will become one of the world’s leading jurisdictions with significant growth opportunities for decades to come. We are also excited about the emergence of possible new jurisdictions in the Far East. We plan to pursue additional development opportunities as they become avail- able, as we believe that the Far East holds considerable promise as a growing gaming market. Domestically, we are selectively expanding our presence as well, moving into mar- THE RESIDENCES kets and business lines where our superior brands and assets can provide the best AT MGM GRAND Our joint returns. In Las Vegas we will maximize the use of our vast land holdings, beginning venture with Turnberry Associates to build luxury condo/hotels ignited with The Residences at MGM Grand. This unique venture is a breakthrough combina- a flurry of development in Las Vegas. tion of a hotel and condominiums – the first of its kind in Las Vegas. In Atlantic City, we own an exceptional site for future development. The already successful Borgata is pre- MGM GRAND MACAU Our joint venture has secured a prime location to develop and construct an exciting pared to grow bigger and better. Expansion plans include more casino space, a new hotel addition to this dynamic gaming destination. tower, more restaurants, retail outlets and an expanded spa. | |", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "of Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of \nBorgata and also operates the resort. Borgata opened in July 2003. The Company \nowns approximately 95 developable acres adjacent to Borgata, a portion of which \nconsists of common roads, landscaping and master plan improvements which the \nCompany designed and developed as required under the agreement with Boyd. \n\nUntil July 2004, the Company owned and operated MGM Grand Australia and \nuntil January 2004, the Company owned and operated the Golden Nugget Las \nVegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, \nNevada (the “Golden Nugget Subsidiaries”). Until June 2003, the Company \noperated PLAYMGMMIRAGE.com, the Company’s online gaming website based \nin the Isle of Man. See Note 3 for further information regarding these discontinued \noperations. In the second quarter of 2002, the Company received proceeds of $11 \nmillion upon termination of management agreements covering four casinos in the \nRepublic of South Africa. Prior to the termination, the Company managed three \npermanent casinos and one interim casino and received management fees from its \npartner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as \npart of other revenues in the accompanying consolidated statements of income. \n\n**NOTE 1 — ORGANIZATION**\nMGM MIRAGE (the “Company”), formerly MGM Grand, Inc., is a Delaware \ncorporation, incorporated on January 29, 1986. As of December 31, 2004 \napproximately 58% of the outstanding shares of the Company's common stock \nwere owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk \nKerkorian. MGM MIRAGE acts largely as a holding company and, through \nwholly-owned subsidiaries, owns and/or operates casino resorts. \n\nThe Company owns and operates the following casino resorts on the Las Vegas \nStrip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure \nIsland (“TI”), New York-New York and the Boardwalk Hotel and Casino. The \nCompany owns a 50% interest in the joint venture that owns and operates the \nMonte Carlo Resort & Casino, also located on the Las Vegas Strip. \n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state \nline – Whiskey Pete’s, Buffalo Bill’s and the Primm Valley Resort – as well as two \nchampionship golf courses located near the resorts. The Company also owns \nShadow Creek, an exclusive world-class golf course located approximately ten miles \nnorth of its Las Vegas Strip resorts. \n\nThe Company is actively seeking future development opportunities in the United \nKingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos \nLimited, a United Kingdom gaming company which operates a casino in Bristol. \nSee Note 10 for discussion of other potential developments in the United Kingdom. \n\nIn June 2004, the Company entered into a joint venture agreement to develop, \nbuild and operate a hotel-casino resort in Macau S.A.R. The agreement is subject \nto, among other things, the approval of the government of Macau S.A.R., and other \nregulatory approvals, as well as the entry into a subconcession agreement with the \nholder of one of the existing concessions. \n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., \nand its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino \nand entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC \noperates a casino in an interim facility in downtown Detroit. See Note 10 for \ndiscussion of the revised development agreement with the City of Detroit and \nplans for a permanent casino resort. \n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, \nMississippi. The Company also owns a 50% interest in a limited liability company \nthat owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area", + "page_start": 55, + "page_end": 55, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| | Yea | r E | nde | d | Dec | em | be | r 3 | 1 (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | Yea | r E | nde | d | Dec | em | be | r 3 | 1 (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n\n\nGain on sale of North Las Vegas land . . . . . . . . . . . . . $ $ (36,776) $ — \n\n1,408 — \n\n— 7,824 \n\n— 4,754 \n\n5,764 2,134 \n\n6,614 — \n\n4,049 — \n\n$ (18,941) $ 14,712 \n\n**—**\n\nSiegfried & Roy theatre write-down – The Mirage . . . . **—**\n\nStorm damage – Beau Rivage . . . . . . . . . . . . . . . . . . **—**\n\nWrite-off of Detroit development costs. . . . . . . . . . . . . **—**\n\nImpairment of assets to be disposed of. . . . . . . . . . . . **473**\n\nDemolition costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **7,057**\n\nOther net losses on asset sales or disposals . . . . . . . . **1,135**\n\n**$** **8,665**\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 \nmillion, including clean-up costs. The amount of the write-down for damaged assets \nwas determined based on the net book value of the assets and engineering estimates. \nIn connection with the revised development agreement in Detroit, the Company \nwrote off $5 million, which was the net book value of previously incurred develop- \nment costs associated with the riverfront permanent casino site ($9 million), offset by \npreviously accrued obligations no longer required under the revised development \nagreement ($4 million). Also in 2002, the Company recorded write-downs and \nimpairments of assets abandoned or replaced with new construction. \n\n**NOTE 15 — RELATED PARTY TRANSACTIONS**\nThe Company’s related party transactions consisted of the following revenues (expenses): \n\n| | Yea | r E | nde | d | Dec | em | be | r 31 | (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | Yea | r E | nde | d | Dec | em | be | r 31 | (I | n th | ou | san | ds | ) | | | | | | | 200 | 4 | | | | | 200 | 3 | | | | | 20 | 02 |\n\n\nHotel and other revenue from related parties . . . . . . .**$** $ 871 $ 764 \n\nIn 2004, there were no material unusual property transactions. In 2003 the \nCompany sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek \nfor approximately $55 million, which resulted in a pretax gain of approximately \n$37 million. Also in 2003, the Company recorded write-downs and impairments of \nassets abandoned or replaced with new construction, primarily at MGM Grand Las \nVegas in preparation for new restaurants and the new theatre. Prior to 2003, the \nCompany classified gains and losses on routine asset sales or disposals as a \nnon-operating item at some resorts and as an operating item at other resorts. \nManagement believes the preferable presentation of these items is as an element of \noperating income. Prior period statements have not been reclassified as such \ntransactions were not material in the prior periods. Until 2003, demolition costs \nwere typically capitalized as part of new construction. The Company began \nexpensing demolition costs on major construction projects as incurred on January 1, \n2003, and is accounting for this change in policy prospectively. Demolition costs \nwere not material in prior periods. Demolition costs in 2004 and 2003 relate \nprimarily to preparation for the Bellagio standard room remodel, Bellagio expansion \nand new theatre at MGM Grand Las Vegas. \n\n**416**\n\nLicense fees to entities under common ownership . . . (1,000) (1,000) **(1,000)**\n\nProfessional fees to directors or firms", + "page_start": 74, + "page_end": 74, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_MGM_2004.pdf", + "query": "Which events negatively impacted leisure travel and MCM Mirage high-end gaming business in late 2002 and early 2003 ?", + "target_page": 32, + "target_passage": "The war with Iraq and the outbreak of SARS in Asia, both of which negatively impacted leisure travel and our high-end gaming business in late 2002 and early 2003", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "U S I N G O U R S T R E N G T H... \n\n\n\n\n\n\n\nThe announcement of \nthe merger between \nMGM MIRAGE and \nMandalay Resort Group \nwas one of the seminal \nmoments of 2004.", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "| Y | ear | En | ded | D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Y | ear | En | ded | D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n\n\nContract termination costs . . . . . . . . . . . . . . . . . . . .**$ 3,693** $ 4,049 $ 3,257 \n\nSlot revenues increased substantially in both 2003 and 2004. Improvements were \nthe result of strong customer visitation, enhanced marketing programs, the impact \nof our Players Club rewards program, and the implementation of cashless gaming \ntechnology in 2003. Slot win percentages were consistent among all three periods. \n\nNon-casino revenue increased in 2004 primarily due to the enhanced amenities at \nour resorts. In addition, we were able to increase the pricing for our rooms and \nother non-gaming amenities. Our hotel results began to improve notably in the \nlatter half of 2003, particularly at our Las Vegas Strip resorts. For the year ended \nDecember 31, 2004 REVPAR at our Las Vegas Strip resorts was $141 compared to \n$126 in 2003, an increase of 12%. Company-wide REVPAR was $121, an increase \nof 10% over 2003. This increase was largely rate driven, as occupancy increased \nfrom 91% to 92% and ADR increased from $121 to $132. In 2003, company-wide \nREVPAR increased 6% from $104 to $110, with most of the gains coming in the \nsecond half of the year. \n\n| Y | ear | En | ded | D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Y | ear | En | ded | D | ece | mb | er | 31 | (In | th | ous | an | ds) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n\n\nBellagio expansion . . . . . . . . . . . . . . . . . . . . . . . . .**$ 3,805** $ — $ — \n\nKÀ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **3,655**\n\nBorgata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **—**\n\nNew York-New York (Zumanity, Nine Fine Irishmen) **—**\n\nPlayers Club . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **—**\n\nOther . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . **2,816**\n\n**$ 10,276**\n\n— — \n\n19,326 7,757 \n\n4,310 — \n\n3,051 5,117 \n\n2,579 1,267 \n\n$ 29,266 $ 14,141 \n\nPre-opening and start-up expenses related to Borgata represent our share of the \noperating results of Borgata prior to its July 2003 opening. \n\nReversal of certain September 11 charges . . . . . . . . — (10,421) **—**\n\nSiegfried & Roy show closure – The Mirage . . . . . . . 1,623 — **—**\n\nReversal of 2000 contract termination costs . . . . . . — (9,857) **—**\n\nOther . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 925 — **1,932**\n\n$ 6,597 $ (17,021) **$ 5,625**\n\nIn 2004, restructuring costs include $3 million for contract termination costs \nrelated to the Aqua restaurant at Bellagio and $2 million of workforce reduction \ncosts at MGM Grand Detroit as a result of our efforts to minimize the impact of a \ngaming tax increase in Michigan. \n\nIn 2003, our primary restructuring activities included closing two marketing offices \nand terminating the related leases, terminating a lease agreement with a restaurant \ntenant at MGM Grand Las Vegas, and closing the Siegfried & Roy show, which \nresulted in a charge for employee severance costs.", + "page_start": 33, + "page_end": 33, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "Entertainment, retail \n\nand other . . . . . . . . . . 637,625 **696,117**\n\nNon-casino revenues . . . . **2,448,523**\n\n**4,672,488**\n\nLess: Promotional allowances . **(434,384)**\n\n**$ 4,238,104**\n\nTable games revenues increased as a result of the improvements in the U.S. econo- \nmy and the general economy worldwide, as well as increased attendance at targeted \nmarketing events, including the New Years period. Total table games volume for the \nyear was up 9%, with particular strength in baccarat volume, up 18%. These are the \nmost significant increases in table games volumes since 2000. Table games revenues \ndecreased in 2003, as a slightly lower hold percentage and the impact of the Iraq \nwar and SARS outbreak in early 2003 were not fully offset by strong volume levels \nover the latter half of 2003. Table games win percentages were within our normal \nrange for all periods presented.", + "page_start": 32, + "page_end": 32, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "In 2004, there were no material unusual property transactions. In 2003, we sold 315 \nacres of land in North Las Vegas, Nevada near Shadow Creek for approximately \n$55 million, resulting in the $37 million gain reflected above. Prior to 2003, we \nclassified gains and losses on routine assets sales or disposals as a non-operating item at \nsome resorts and as an operating item at other resorts. We believe the preferable pres- \nentation of these items is as an element of operating income. Prior period statements \nhave not been reclassified as such transactions were not material in periods prior to \n2003. Until 2003, demolition costs were typically capitalized as part of new construc- \ntion. We began expensing demolition costs on major construction projects as incurred \non January 1, 2003, and are accounting for this change in policy prospectively. \nDemolition costs were not material in periods prior to 2003. Demolition costs in \n2004 and 2003 related primarily to preparation for the Bellagio standard room \nremodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments \nof assets to be disposed of in 2003 consisted primarily of assets related to the former \nEFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.", + "page_start": 34, + "page_end": 34, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "In December 2002, we recorded a restructuring credit of $10 million related to a \nlease contract termination accrual originally recorded in June 2000 as we deter- \nmined that payment under this obligation was not probable. We recorded \n$3 million of restructuring charges in December 2002 related to contract termina- \ntion costs for a restaurant lease and the EFX! show at MGM Grand Las Vegas. In \n2001, management responded to a decline in business volumes caused by the \nSeptember 11 attacks by implementing cost containment strategies which included \na significant reduction in payroll and a refocusing of several of our marketing \nprograms. This resulted in a $22 million charge against earnings. As a result of \nimproving business levels and our success at re-hiring a substantial number of", + "page_start": 33, + "page_end": 33, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "(In thousands) \n\n| Y | ear | En | de | d D | ec | em | ber | 31 | | | | | 20 | 04 | | % | C | han | ge | | | | 2 | 00 | 3 | | % C | ha | ng | e | | | 2 | 002 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Y | ear | En | de | d D | ec | em | ber | 31 | | | | | 20 | 04 | | % | C | han | ge | | | | 2 | 00 | 3 | | % C | ha | ng | e | | | 2 | 002 |\n\n\nCasino revenues, net: \n\n$ 866,096 (3%) $ 893,836 **9%**\n\n1,115,029 5% 1,064,491 **9%**\n\n56,389 3% 54,513 **10%**\n\n2,037,514 1% 2,012,840 **9%**\n\n833,272 5% 796,861 \n\n757,278 7% 706,153 \n\n**Operating Results – Detailed Revenue Information**\nThe following table presents details of our net revenues: \n\n• The ongoing capital investments in upscale amenities at our resorts, which we \n\nbelieve is allowing us to market more effectively to visitors, capture a greater share \nof these visitors’ increased travel budgets, and generate premium pricing for our \nresorts’ rooms and other amenities. \n\nAs a result of the above trends, our net revenues increased 10% in 2004, while \nincreasing only 3% in 2003. Net revenues at MGM Grand Las Vegas increased \n14% in 2004, due to the addition of several new restaurants, bars and other \namenities, and in spite of fewer rooms in service due to room remodel activity. \nNet revenues at New York-New York increased 26% as the resort continues to \nbenefit from*Zumanity*and Nine Fine Irishmen, both of which opened in summer \n2003. Net revenues at The Mirage decreased 2% as the resort was without the \nSiegfried & Roy show and the buffet was closed for a portion of the year while \nCravings was constructed. \n\n**9%**\n\n**11%**\n\n647,702 2% **7%**\n\n2,238,252 5% 2,140,639 **9%**\n\n4,275,766 3% 4,153,479 **9%**\n\n(413,023) 4% (396,551) **5%**\n\n$ 3,862,743 3% $ 3,756,928 **10%**\n\nOur operating income in 2004 increased 36%, due primarily to the strong revenue \ntrends and a full year of Borgata’s results. The increase in income from unconsoli- \ndated affiliates is responsible for approximately one-third of the increase in \noperating income, while improvements at our operating resorts, particularly \nBellagio, MGM Grand Las Vegas and New York-New York, make up the rest of the \nincrease. Operating income at MGM Grand Detroit was essentially flat year-over- \nyear, despite an increase in the gaming tax rate from 18% to 24% effective \nSeptember 2004. Several other factors largely offset: Higher corporate expense due \nto increased development costs; lower bad debt expense due to improved collec- \ntions; lower preopening expenses due to Borgata preopening expenses in 2003; and \nhigher property transactions, net due to a $37 million gain on sale of land in 2003. \n\nIn 2003, our operating income decreased by 6%. While revenues grew especially in \nthe second half of 2003, expense growth, particularly in payroll, outpaced revenues. \n\nTable games . . . . . . . . . .**$** **943,343**\n\nSlots . . . . . . . . . . . . . . . . **1,218,589**\n\nOther . . . . . . . . . . . . . . . . **62,033**\n\nCasino revenues, net . . **2,223,965**\n\nNon-casino revenue: \n\nRooms . . . . . . . . . . . . . . **911,259**\n\nFood and beverage . . . . . **841,147**\n\nEntertainment, retail \n\nand other . . . . . . . . . . 637,625 **696,117**\n\nNon-casino revenues . . . . **2,448,523**\n\n**4,672,488**\n\nLess: Promotional allowances . **(434,384)**\n\n**$ 4,238,104**", + "page_start": 32, + "page_end": 32, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "**Key Performance Indicators**\nAs a resort-based company, our operating results are highly dependent on the \nvolume of customers at our resorts, which in turn impacts the price we can charge \nfor our hotel rooms and other amenities. We also generate a significant portion of \nour operating income from the high-end gaming segment, which can cause \nvariability in our results. Key performance indicators related to revenue are: \n\n• Gaming revenue indicators – table games drop and slot handle (volume \n\nindicators); “win” or “hold” percentage, which is not fully controllable by us. Our \nnormal table games win percentage is in the range of 18% to 22% of table games \ndrop and our normal slot win percentage is in the range of 6% to 7% of slot \nhandle; \n\n• Hotel revenue indicators – hotel occupancy (volume indicator); average daily rate \n(“ADR”, price indicator); revenue per available room (“REVPAR”), a summary \nmeasure of hotel results, combining ADR and occupancy rate. \n\nMost of our revenue is essentially cash-based, through customers wagering with cash \nor paying for non-gaming services with cash or credit cards. Our resorts, like many \nin the industry, generate significant operating cash flow. Our industry is capital \nintensive and we rely heavily on the ability of our resorts to generate \noperating cash flow to repay debt financing, fund maintenance capital \nexpenditures and provide excess cash for future development. \n\nOur results of operations do not tend to be seasonal in nature, though a variety of \nfactors can affect the results of any interim period, including the timing of major \nLas Vegas conventions, the amount and timing of marketing and special events for \nour high-end customers, and the level of play during major holidays, including New \nYear and Chinese New Year. \n\n**RESULTS OF OPERATIONS**\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts \nand 50% investments in two other casino resorts, including: \n\n**Las Vegas, Nevada:**Bellagio, MGM Grand Las Vegas, The Mirage, TI, New York- \n\nNew York, Boardwalk, and Monte Carlo (50% owned). \n\n**Other:**\n\nThe Primm Valley Resorts (Buffalo Bill’s, Primm Valley \nResort and Whiskey Pete’s) in Primm, Nevada; Beau Rivage \nin Biloxi, Mississippi; MGM Grand Detroit; Borgata (50% \nowned) in Atlantic City, New Jersey. \n\nWe operate in one segment, the operation of casino resorts, which includes offering \ngaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over \nhalf of our net revenues are derived from gaming activities, a lower percentage than \nmany of our competitors, as our operating philosophy is to provide a complete \nresort experience for our guests, including non-gaming amenities which command \npremium prices based on their quality. \n\nWe generate a majority of our net revenues and operating income from our Las \nVegas Strip resorts. In 2004, over 75% of our net revenues and operating income \nwas generated by wholly-owned Las Vegas Strip resorts. We believe that we own the \npremier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to \ncontinually reinvest in these resorts to maintain that competitive advantage. Our \nconcentration on the Las Vegas Strip exposes us to certain risks outside of our \ncontrol, such as competition from other Las Vegas Strip resorts as well as new or \nexpanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005, \nand the impact from potential expansion of gaming in California. This concentra- \ntion also exposes us to risks related to tourism and the general economy, including \nnational and global economic conditions and terrorist attacks or other global events.", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "of Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of \nBorgata and also operates the resort. Borgata opened in July 2003. The Company \nowns approximately 95 developable acres adjacent to Borgata, a portion of which \nconsists of common roads, landscaping and master plan improvements which the \nCompany designed and developed as required under the agreement with Boyd. \n\nUntil July 2004, the Company owned and operated MGM Grand Australia and \nuntil January 2004, the Company owned and operated the Golden Nugget Las \nVegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, \nNevada (the “Golden Nugget Subsidiaries”). Until June 2003, the Company \noperated PLAYMGMMIRAGE.com, the Company’s online gaming website based \nin the Isle of Man. See Note 3 for further information regarding these discontinued \noperations. In the second quarter of 2002, the Company received proceeds of $11 \nmillion upon termination of management agreements covering four casinos in the \nRepublic of South Africa. Prior to the termination, the Company managed three \npermanent casinos and one interim casino and received management fees from its \npartner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as \npart of other revenues in the accompanying consolidated statements of income. \n\n**NOTE 1 — ORGANIZATION**\nMGM MIRAGE (the “Company”), formerly MGM Grand, Inc., is a Delaware \ncorporation, incorporated on January 29, 1986. As of December 31, 2004 \napproximately 58% of the outstanding shares of the Company's common stock \nwere owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk \nKerkorian. MGM MIRAGE acts largely as a holding company and, through \nwholly-owned subsidiaries, owns and/or operates casino resorts. \n\nThe Company owns and operates the following casino resorts on the Las Vegas \nStrip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure \nIsland (“TI”), New York-New York and the Boardwalk Hotel and Casino. The \nCompany owns a 50% interest in the joint venture that owns and operates the \nMonte Carlo Resort & Casino, also located on the Las Vegas Strip. \n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state \nline – Whiskey Pete’s, Buffalo Bill’s and the Primm Valley Resort – as well as two \nchampionship golf courses located near the resorts. The Company also owns \nShadow Creek, an exclusive world-class golf course located approximately ten miles \nnorth of its Las Vegas Strip resorts. \n\nThe Company is actively seeking future development opportunities in the United \nKingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos \nLimited, a United Kingdom gaming company which operates a casino in Bristol. \nSee Note 10 for discussion of other potential developments in the United Kingdom. \n\nIn June 2004, the Company entered into a joint venture agreement to develop, \nbuild and operate a hotel-casino resort in Macau S.A.R. The agreement is subject \nto, among other things, the approval of the government of Macau S.A.R., and other \nregulatory approvals, as well as the entry into a subconcession agreement with the \nholder of one of the existing concessions. \n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., \nand its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino \nand entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC \noperates a casino in an interim facility in downtown Detroit. See Note 10 for \ndiscussion of the revised development agreement with the City of Detroit and \nplans for a permanent casino resort. \n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, \nMississippi. The Company also owns a 50% interest in a limited liability company \nthat owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area", + "page_start": 55, + "page_end": 55, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "Fiscal year 2002*(For the year ended Mar. 31, 2003)*\n\nOther foreign \ncountries \n*Millions of yen*\nJapan North America Europe \n\nSales to third parties .......................................... ¥2,554,374 ¥2,879,500 \nInter-area sales and transfers.............................. \n32,763 \nTotal sales................................................................... \n2,912,263 \nOperating expenses ........................................... \n2,607,699 \nOperating income................................................. ¥ 390,556 ¥ 304,564 \nTotal assets ............................................................... ¥4,881,842 ¥3,463,261 ¥963,440 \n26,765 \n990,205 \n968,253 \n¥ 21,952 \n¥502,028 ¥431,274 \n4,174 \n435,448 \n418,682 \n¥ 16,766 \n¥140,849 — ¥6,828,588 \n¥6,828,588 ¥ \n— \n1,829,804 \n6,828,588 \n8,658,392 \n6,091,358 \n7,924,554 \n¥ 733,838 ¥ \n3,392 ¥ 737,230 \n¥8,987,980 ¥(1,638,797) ¥7,349,183 \n\nOverseas sales \n\nOverseas sales, which include export sales of the Company and its domestic consolidated subsidiaries and sales (other than exports to Japan) of \nthe foreign consolidated subsidiaries, for the years ended March 31, 2005, 2004 and 2003 are summarized as follows: \n\nFiscal year 2004*(For the year ended Mar. 31, 2005)*\n\nOther foreign \ncountries North America Total \n*Millions of yen*\n\nOverseas sales.................................................................................................................................................... ¥3,662,436 \nConsolidated net sales................................................................................................................................. \n¥1,269,204 ¥1,401,592 \n¥6,333,232 \n8,576,277 \n\n*Thousands of U.S. dollars*\n\nOverseas sales................................................................................................................................................ $34,228,374 $11,861,720 $13,098,991 $59,189,085 \nConsolidated net sales............................................................................................................................. \n80,152,122 \nOverseas sales as a percentage of consolidated net sales ...................................... \n73.8% 42.7% 14.8% 16.3% \n\nFiscal year 2003*(For the year ended Mar. 31, 2004)*\n\nOther foreign \ncountries North America Europe Total \n*Millions of yen*\n\nOverseas sales.................................................................................................................................................... ¥3,222,497 \nConsolidated net sales................................................................................................................................. \nOverseas sales as a percentage of consolidated net sales .......................................... \n\n¥1,201,035 ¥773,248 \n\n¥5,196,780 \n7,429,219 \n70.0% 43.4% 16.2% 10.4% \n\nFiscal year 2002*(For the year ended Mar. 31, 2003)*\n\nOther foreign \ncountries Total \n*Millions of yen*\n\nOverseas sales.................................................................................................................................................... ¥2,785,334 \nConsolidated net sales................................................................................................................................. \nOverseas sales as a percentage of consolidated net sales .......................................... \n\n¥974,872 ¥763,368 \n\n¥4,523,574 \n6,828,588 \n66.2% 40.8% 14.3% 11.1%", + "page_start": 103, + "page_end": 103, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "| | | |\n|---|---|---|\n| | | |\n| MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER. Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States. 20 04 BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN. The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth. 20 00 20 09 BORGATA CHANGES THE FACE OF ATLANTIC CITY. Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market. 20 SOON, A SPECTACULAR NEW CITY WILL RISE. 03 Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance. | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_MGM_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "00-80T-80.pdf", + "query": "What possess all naval aviators ?", + "target_page": 5, + "target_passage": "All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. ", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**NA VAIR 00·801·80**\n\n**AERODYNAMICS FOR NAVAL**\n**AVIATORS**\n\n**BY**\n**H. H. HURT, JR.**\n**UNIVERSITY OF SOUTHERN CALIFORNIA**\n\n**PUBLISHED BY DIRECTION OF COMMANDER, NAVAL AIR SYSTEMS COMMAND**\n\n(cid:19)(cid:27)(cid:19)(cid:19)(cid:47)(cid:51)(cid:20)(cid:20)(cid:20)(cid:23)(cid:23)(cid:25)(cid:21) \n\n\n\nDISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited. \nDESTRUCTION NOTICE - For unclassified, limited documents, destroy by any method that will \nprevent disclosure of contents or reconstruction of the document. \n\n**REVISED JANUARY 1965**", + "page_start": 0, + "page_end": 0, + "source_file": "00-80T-80.pdf" + }, + { + "text": "to obtain \noperating limitations and insight \nthe design performance of his aircraft. The \nperformance section of the flight handbook \nprovides the specific information regarding the \ncapabilities and limitations of each airplane. \nEvery Naval Aviator must rely upon these \nhandbook data as the guide to safe and effec- \nrive operation of his aircraft. \n\nThe performance of an aircraft is. the most \nimportant feature which defines its suitability \nfor specific missions. The principal items of \nairplane performance deserve detailed consid- \neration \nin order to better understand and \nappreciate the capabilities of each airplane. \nKnowledge of the various items of airplane \nperformance will provide the Naval Aviator \nthe \nwith a more complete appreciation of \n\n95", + "page_start": 112, + "page_end": 112, + "source_file": "00-80T-80.pdf" + }, + { + "text": "The majority of aircraft accidents are due to some type of error of \nthe pilot. This fact has been true in the past and, unfortunately, most \nprobably will be true in the future. Each Naval Aviator should strive \nto arm himself with knowledge, training, and exacting, professional \nattitudes and techniques. The fundamentals of aerodynamics as pre- \nsented in this text will provide the knowledge and background for \nsafe and effective flying operations. The flight handbooks for the air- \ncraft will provide the particular techniques, procedures, and operating \ndata which are necessary for each aircraft. Diligent study and continu- \nous training are necessary to develop the professional skills and tech- \nniques for successful flying operations. \n\nThe author takes this opportunity to express appreciation to those \nwho have assisted in the preparation of the manuscript. \nIn particular, \nthe por- \nthanks are due to Mr. J. E. Fairchild for his assistance with \ntions dealing with helicopter aerodynamics and roll coupling phenom- \nena. Also, thanks are due to Mr. J. F. Detwiler and Mr. E. Dimitruk \nfor their review of the text material. \n\nHUGH HARRISON HURT, Jr. \n\n\n\nAugust 1959 \nUniversity of Southern California \nLos Angelesj Cnlif.", + "page_start": 5, + "page_end": 5, + "source_file": "00-80T-80.pdf" + }, + { + "text": "PREFACE \n\n\n\n\n\n\n\n\n\n\n\nThe purpose of this textbook is to present the elements of applied \nto \naerodynamics and aeronautical engineering which relate directly \nthe problems of flying operations. All Naval Aviators possess a natural \ninterest in the basic aerodynamic factors which affect the performance \nof all aircraft. Due .to the increasing complexity of modern aircraft, \nthis natural interest must be applied to develop a sound understanding \nof basic engineering principles and an appreciation of some of the more \nadvanced problems of aerodynamics and engineering. The safety and \neffectiveness of flying operations will depend greatly on the under- \nstanding and appreciation of how and why an airplane flies. The \nprinciples of aerodynamics will provide the foundations for developing \nexacting and precise flying techniques and operational procedures. \n\nThe content of this textbook has been arranged to provide as com- \nplete as possible a reference for all phases of flying in Naval Aviation. \nHence, the text material is applicable to the problems of flight train- \ntraining, and general flying operations. The manner \ning, transition \nof presentation throughout \nthe text has been designed to provide the \nelements of both theory and application and will allow either directed \nor unassisted study. As a result, the text material’will be applicable \nto supplement formal class Iectures and briefings and provide reading \nmaterial as a background for training and flying operations. \n\n\n\n\n\n\n\n\n\nMuch of the specialized mathematical detail of aerodynamics has \nbeen omitted wherever it was considered unnecessary in the field of \nflying operations. Also, many of the basic assumptions and limita- \ntions of certain parts of aerodynamic theory have been omitted for the \nIn order to contend with \nsake of simplicity and clarity of presentation. \nthese specific shortcomings, the Naval Aviator should rely on the \nassistance of certain specially qualified individuals within Naval Avia- \ntion. For example, graduate aeronautical engineers, graduates of the \nTest Pilot Training School at the Naval Air Test Center, graduates of \nthe Naval Aviation Safety Officers Course, and technical representatives \nof the manufacturers are qualified to assist in interpreting and applying \nthe more difficult parts of aerodynamics and aeronautical engineering. \nTo be sure, the specialized qualifications of these individuals should \nbe utilized wherever possible. \n\niii", + "page_start": 4, + "page_end": 4, + "source_file": "00-80T-80.pdf" + }, + { + "text": "Chapter 1 \n\nBASIC AERODYNAMKS \n\n\n\n\n\n\n\nWING AND AIRFOIL FORCES \n\n\n\nIn order to understand the characteristics of \nhis aircraft and develop precision flying tech- \nniques, the Naval Aviator must be familiar \nwith the fundamentals of aerodynamics. There \nare certain physical laws which describe the \nbehavior of airflow and define the various \naerodynamic forces and moments acting on a \nsurface. These principles of aerodynamics pro- \nvide the foundations for good, precise flying \ntechniques. \n\nPROPERTIES OF THE ATMOSPHERE \n\nThe aerodynamic forces and moments acting \non a surface are due in great part to the prop- \nerties of the air mass in which the surface is \noperating.~ The composition, of the earth’s \natmosphere by volume is approximately 78 \npercent. nitrogen, 21 percent oxygen, and 1", + "page_start": 18, + "page_end": 18, + "source_file": "00-80T-80.pdf" + }, + { + "text": "Chapter 6 \n\nAPPLICATION OF AERODYNAMICS TO SPECIFBC PROW \n\nOF FLYING \n\n\n\n\n\n\n\n\n\nPRIMARY CONTROL OF AIRSPEED AND \n\nWhile the previous chapters have presented \nthe detailed parts of the general field of aero- \ndynamics, there remain various problems of \nflying which require the application of princi- \nples from many parts of aerodynamics. The \napplication of aerodynamics to these various \nproblems of flying will assist the Naval Aviator \nin understanding these problems and develop- \ning good flying techniques. \n\nALTITUDE \n\nFor the conditions of steady flight, the air- \nplane must be in equilibrium. Equilibrium \nwill be achieved when there is no unbalance of \nforce’or moment acting on the airplane. \nIf it is \nassumed that the airplane is trimmed so that \nno unbalance of pitching, yawing, or rolling \nmoments exists, the principal concern is for \n\n349", + "page_start": 366, + "page_end": 366, + "source_file": "00-80T-80.pdf" + }, + { + "text": "Reproduction for non-military use of the information or illustrations contained in this \npublication is not permitted without specific approval of the issuing service (NA VAIR \nor USAF). The policy for use of Classified Publications is established for the Air Force \nin AFR 205-1 and for the Navy in Navy Regulations, Article 1509 • \n\n. . . - - - - - - - - - - - - - LIST OF CHANGED PAGES ISSUED \n\nINSEIf LATEST C_PAGES. DESTROY SUPERSEDED PAGES. \n\nNOTE: The portion of the tut .ff'ecr:ecl by the current change ia indicated by • vertical line in the OUter margins \nof the page. \n\n• The aateritlt indicate. pagel dwtged, added or deleted by the turrent change, \n\nADDITIONAL COPIES OF THIS PUBLICATION MAY BE OBTAINED AS FOLLOWS, \n\nUSAF AC'flVITlES-In accordance with Technical Order No. 00-5-1. \nNA VY ACTIVmE~UJe DO FORM U'\" and fllbmit in accordance with the inKruC:JiODi contained in NAVSUP PUB \n\nLICATION -4'7-Military Standard Requilitioning and Issue Procedures. \nFot information on othtl' available maurW Ind details of distribution refer to NAVSUP PUBLICATION 2002 \nSECTION VIII, PART c .. d NAVAIR OO·IOOA. \n' \n\n\n\nNAVAIR", + "page_start": 1, + "page_end": 1, + "source_file": "00-80T-80.pdf" + }, + { + "text": "TYPICAL GUILD-UP 0F tzci~m~ENTs \n\n\n\n,-WING+ FUSELAGE \n\nWING ONLY/. \n\n\n\n- - \n\n- \n\n\n\nC.G. @ 30% MAC \n\n\n\n\nEFFECT OF C.G. WsITION \n\n\n\n50% MAC \n\n\n\n40% MAC (NEUTRAL pOlNn \n---", + "page_start": 277, + "page_end": 277, + "source_file": "00-80T-80.pdf" + }, + { + "text": "SURFACE TUFT PHOTOGRAPHS \nFOR RECTANGULAR WING \nAR=2.31, k-l.0 \n\n\n\n\n\n\n\n\n\n8 \n\n\n\n\n\n\n\n\n18 \n\n\nFROM NACA TN 2674", + "page_start": 97, + "page_end": 97, + "source_file": "00-80T-80.pdf" + }, + { + "text": "For each mission type of aircraft \n\nthere is \na probable spectrum of loads which the air- \ncraft will encounter. That is, various loads \nwill be encountered with a frequency particular \nto the mission profile. The fighter or attack \ntype of aircraft usually experiences a pre- \ndominance of maneuver loads while the trans- \nport or patrol type usually encounters a pre- \ndominance of gust loads. Since fatigue damage", + "page_start": 345, + "page_end": 345, + "source_file": "00-80T-80.pdf" + } + ] + }, + { + "references": { + "source_file": "00-80T-80.pdf", + "query": "What is the static pressure of the aire at standard sea level ?", + "target_page": 20, + "target_passage": "At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "the proportion of the ambient air temperature \nand the standard sea level air temperature. \nThis temperature ratio is assigned the short- \nhand notation of 0 (theta). \nTemperature ratio \n\npercent water vapor, argon, carbon dioxide, \netc. For the majority of all aerodynamic con- \nis considered as a uniform \nsiderations air \nmixture of these gases. The usual quantities \nused to define the properties of an air mass are \nas follows: \n\nAmbient air temperature \n=Standard sea level air temperature \n\nSTATIC PRESSURE. The absolute static \npressure of the air is a property of primary \nimportance. The static pressure of the air \nat any altitude results from the mass of air \nsupported above that level. At standard sea \nlevel conditions the static pressure of the air \nis 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) \nand at 40,000 feet altitude this static pressure \ndecreases to approximately 19 percent of the \nsea level value. The shorthand notation for \nthe ambient static pressure is “p” \nand the \nstandard sea level static pressure is given the \nsubscript “a” \nfor zero altitude, pa. A more \nusual reference in aerodynamics and perform- \nance is the proportion of the ambient sta~tic \npressure and the standard sea level static \npressure. This static pressure ratio is assigned \nthe shorthand notation of 8 (delta). \n\n@=TITtl \n,+273 \n\n288 \n\nMany items of compressibility effects and jet \nengine performance involve consideration of \nthe temperature ratio. \n\n\n\n\n\n\n\ndensity ratio= \n\n\n\nDENSITY. The density of the air is a prop- \nerty of greatest importance in the study of \naerodynamics. The density of air is simply \nthe mass of air per~cubic foot of volume and \nis a direct measure of the quantity of matter \nin each cubic foot of air. Air at standard sea \nlcvcl conditions weighs 0.0765 pounds per cubic \nfoot and has a density of 0.002378 slugs per \ncubic foot. At an altitude of 40,000 feet the \nair density is approximately 25 percent of the \nsea level value. \n\nThe shorthand notation used for air density \nis p (rho) and the standard sea level air density \nis then pO. In many parts of aerodynamics it \nis very convenient to consider the proportion \nof the ambient air density and standard sea \nlevel air density. This density ratio is assigned \nthe shorthand notation of c (sigma). \n\nambient air density \nstandard sea level air density \n\na = PIP0 \n\nA general gas law defines the relationship of \npressure temperature, and density when there \nis no change of state or heat transfer. Simply \nstated this would be “density varies directly \nwith pressure, inversely with \ntemperature.” \nUsing the properties previously defined, \n\n\ndensity ratio= \nPressure rat’o. \ntemperature rat10 \n\n\n\nAltitude pressure ratio \n\nAmbient static pressure \n=Standard sea level static pressure \n\n6 = PIP0 \n\nMany items of gas turbine engine perform- \nance are directly related to some parameter \nthe altitude pressure ratio. \ninvolving \nTEMPERATURE. The absolute tempera- \ncure of the air is another important property. \nThe ordinary temperature measurement by the \nCentigrade scale has a/datum at the freezing \npoint of water but absolute zero temperature \nis obtained at a temperature of -273“ Centi- \ngrade. Thus, the standard sea level tcmpera- \nture of 15” C. is an absolute temperature of \n288”. This scale of absolute temperature using \nthe Centigrade increments is the Kelvin scale, \nfor the \ne.g., o K. The shorthand notation \nambient air temperature is “T” \nand the stand- \nard sea level air temperature of 288’ K. is \nsignified by Ta. The more usual reference is, \n\n2", + "page_start": 19, + "page_end": 19, + "source_file": "00-80T-80.pdf" + }, + { + "text": "NAVWEPS 00-801-80 \nBASIC AERODYNAMICS \n\nTABLE l-l. Effect of Speed and Altitvde on Dwzmnic Prerrure \n\n\n\n\n\nTrue air \nspeed \n(fr./scc.) \n\n\n\nm= \n\n169 \n338 \n507 \n616 \n845 \nI, 013 \n\n\n\n\n\n\n\nIf the potential energy is represented by the \nstatic pressure, p, the sum of the potential and \nkinetic energy is the total pressure of the air- \nstream. \n\nH=p+% P V’ \n\nwhere H=total pressure, psf (sometimes re- \n\nferred to as “head ’ pressure) \n\np=static pressure, psf. \np=density, siugs per cu. ft. \nV= velocity, ft./set. \n\nThis equation is the Bernoulli equation for \n‘incompressible flow. \nto ap- \nIt \npreciate that the term >$pV2 has the units of \npressure, psf. This term is one of the most \nimportant in all aerodynamics and appears so \nfrequently t&it \nis given the name “dynamic \npressure” and the shorthand notation “4”. \n\nis important \n\nq= dynamic pressure, psf \n\n= jgpv2 \n\nWith this definition it could be said that the \nsum of static and dynamic pressure in the flow \ntube remains constant. \n\n\n\n\n\n\n\n\n\n\n\n\n\nFigure 1.3 illustrates the variation of static, \nflowing \ndynamic, and total pressure of air \nthe total \nthrough a closed tube. Note that \npressure is con,stant throughout \nthe length \nand any change in dynamic pressure produces \nthe same magnitude change in static pressure. \nThe dynamic pressure of a free airstream is \nthe one ‘common denominator of all aero- \ndynamic forces and moments. Dynamic pres- \nsure represents the kinetic energy of the free \nairstream and is a factor relating the capability \nfor producing changes in static pressure on a \nsurface. As defined, the dynamic, pressure \nvaries directly as the density and the square of \nthe velocity. Typical values of dynamic pres- \nsure, 4, are shown in table l-1 for various true \nairspeeds in the standard atmosphere. Notice \nthat the dynamic pressure at some fixed veloc- \nity varies directly with the density ratio at any \naltitude. Also, appreciate the fact that at an \naltitude of 40,oM) feet (where the density ratio, \nb, is 0.2462) it is necessary to have a true air \ntwice that at sea level in order to \nvelocity \nproduct the same dynamic pressure. \n\nIf a sym- \nmetrically shaped object were placed in a \nmoving airstream, the flow pattern typical of \nfigure 1.4 would result. The airstream at the \nvery nose of the object would stagnate and the \nrelative flow velocity at this point would be \nzero. The airflow ahead of the object pos- \nsesses some certain dynamic pressure and \nambient static pressure. At the very nose of \nthe object the local velocity will drop to zero \nand the airstream dynamic pressure will be \nconverted into an increase in static pressure at \nthe stagnation point. \nIn other words, there \nwill exist a static pressure at the stagnation \npoint which \nis equal to the airstream total \npressure-ambient static pressure plus dynamic \npressure. \n\nAIRSPEED MEASUREMENT. \n\nAround the surface of the object the airflow \nwill divide and the local velocity will increase \nfrom zero at the stagnation point \nto some \nmaximum on the sides of the object. \nIf fric- \ntion and viscosity effects are neglected, the \n\n9", + "page_start": 26, + "page_end": 26, + "source_file": "00-80T-80.pdf" + }, + { + "text": "AFT STAGNATION \nPOINT \n\n\n\n\n\nAIRSTREAM AHEAD \nHAS AMBIENT STATIC \nPRESSURE AND DYNAMIC \nPRESSURE \nSTAGNATION PRESSURE \nIS AIRSTREAM TOTAL \nPRESSURE \n\nP+q \n\nFtgure 1.4. Flow Pattern on a Symmetrical Object \n\n\n\n\n\n\n\n\n\n\n\n\n\npressure, q. The pressure gauge is then cali- \nbrated to indicate flight speed in the standard \nsea level air mass. For example, a dynamic \npressure of 305 psf would be realized at a sea \nlevel flight ,speed of 300 knots. \n\nsurface anflow continues to the aft stagnation \npoint where the local velocity is again zero. \nThe important point of this example of aero- \ndynamic flow is existence of the stagnation \npoint. The change in airflow static pressure \nwhich takes place at the stagnation point IS \nequal to the free stream dynamic pressure, q. \nThe measurement of free stream dynamic \npressure is fundamental to the indication of \nIn fact, airspeed indicators are sim- \nairspeed. \nply pressure gauges which measure dynamic \npressure related to various airspeeds. Typical \nin \nairspeed measuring systems are illustrated \nfigure 1.5. The pitot head has no internal \nflow velocity and the pressure in the pitot tube \nis equal to the total pressure of the airstream. \nThe purpose of the static-ports is to sense the \ntrue static pressure of the free airstream. The \ntotal pressure and static pressure lines are \nattached to a differential pressure gauge and \nis the dynamic \nthe net pressure indicated \n\nthere can be many conditions of \nflight where the airspeed indicator does not \ntruly reflect the actual velocity through \nthe \nair mass. The corrections that must be applied \nare many and lisred in sequence below: \n(1) The indicated airspeed (IAS) \n\nActually \n\nis the \nactual instrument indication for some given \nflight condition. Factors such as an altitude \nother than standard sea level, errors of the \ninstrument and errors due to the installation, \ncompressibility, etc. may create great vari- \nance between this instrument indication and \nthe actual flight speed. \n\n(2) The calibrated airspeed (CM)", + "page_start": 27, + "page_end": 27, + "source_file": "00-80T-80.pdf" + }, + { + "text": "Thus, the airspeed indicator system measures \n\nthe inherent compensation is inadequate and \nadditional correction must be applied. The \nsubtractive corrections that must be applied \nto CA$ depend on pressure altitude and CAS \nand are shown on figure 1.6 for the subsonic \nflight range. The equivalent airspeed (EAS) \nis the flight speed in the standard sea level \nair mass which would produce the same free \nstream dynamic pressure as the actual flight \ncondition. \n\ndynamic pressure and will \nvelocity when instrument, position, compress- \nibility, and density corrections are applied. \nThese corrections are quite necessary for ac- \ncurate determination of \ntrue airspeed and \naccurate navigation. \n\nrelate true flight \n\nBernoulli’s principle and the concepts of \nstatic, dynamic, and total pressure are the basis \nof aerodynamic fundamentals. The pressure \ndistribution caused by the variation of local \nstack and dynamic pressures on a surface is \nthe source of the major aerodynamic forces \nand moment. \n\n(4) The true airspeed (TAS) results when \nthe &4X is corrected for density altitude. \nSince the airspeed indicator \nis calibrated \nfor the dynamic pressures corresponding to \nairspeeds at standard sea level conditions, \nvariations in air density must be accounted \nfor. To relate EAS and TAX requires con- \nsideration that the EAS coupled with stand- \n.ard sea level density produces the same dy- \nnamic pressure as the TAX Soupled with the \n^^_._^ 1 .:.. 2---:... \n,.f*L., bl:A.*rnrJ;r;m.. \ndCLUd, ‘all UcIIJIcy “I L11L “‘6°C C”IIUACI”L‘. \nFrom this reasoning, it can be shown that: \n\n\n(TAS)2p=(EAS)2 po \n\n- \n\nor, TAS=EAS 62 \nP d \n\n\n\n\n\nDEVELOPMENT OF AERODYNAMIC \n\nFORCES \n\nThe typical airflow patterns exemplify the \nrelationship of static pressure and velocity \ndefined by Bernoulli. Any object placed in an \nairstream will have the a& to impact or stag- \nnate at some point near the leading edge. The \npressure at this point of stagnation will be an \nabsolute static pressure equal to the total pres- \nsure of the airstream. \nIn other words, the \nstatic pressure at the stagnation point will be \ngreater than the atmospheric pressure by the \namount of the dynamic pressure of the air- \nstream. As the \nflow divides and proceeds \naround. the object, the increases in local ve- \nlocity produce decreases in static pressure. \nThis procedure of flow is best illustrated by the \nflow patterns and pressure distributions of \nfigure 1.7. \n\n\n\n\n\n\n\n\n\nTAS= EAS 2 \n4 \n\nwhere TAX= true airspeed \n\nEAS=equivalent airspeed \np=actual air density \nPO= standard sea level air density \nn=altitude density ratio, p/pa \n\nThe result shows that the TAX is a function \nof EAS and density altitude. Figure 1.6 shows \na chart of density altitude as a function of \npressure altitude and temperature. Each par- \nfixes the proportion \nticular density altitude \nbetween TAX and EAS. The use of a naviga- \ntion computer requires setting appropriate \nvalues of pressure altitude and temperature on \nthe scales which then fixes rhe proportion be- \ntween the scales of TAS and EAS (or TAS and \nCAS when compressibiliry corrections are \napplicable). \nSTREAMLINE PATTERN AND PRES- \nSURE DISTRIBUTION. \nThe flow pattern of \nthe cylinder of figure 1.7 is characterized by \nthe streamlines which denote the local flow \ndirection. Velocity distribution \nis noted by \nthe streamline pattern since the streamlines \neffect a boundary of flow, and the airflow \nbetween the streamlines is similar to flow in a \nclosed tube. When the streamlines contract \nand are close together, high local velocities \nexist; when the streamlines expand and are \nfar apart, low local velocities exist. At the", + "page_start": 31, + "page_end": 31, + "source_file": "00-80T-80.pdf" + }, + { + "text": "PITOT-STATIC SYSTEM \n\nPITOT WITH SEPARATE \nSTATIC SOURCE \n\n\n\n\n\n\n\n\n\n\n\nw / :% \n. I. q \n\nPRESSURE INDICATED BY GAUGE IS \nDIFFERENCE BETWEEN TOTAL AND \nSTATIC PRESSURE, H-p= q \n\nFigure. 1.5. Airspeed Measurement \n\n\n\n\n\n\n\n\n\n\n\n\n\n0.05 psi position error is an airspeed error \nof 10 knots. A typical variation of air- \nspeed system position error is illustrated in \nfigure 1.6. \n\n(3) The equivalent airspeed (PAS) is the \nresult of correcting the (CAS) for compressi- \nbility effects. At high \nflight speeds the \nstagnation pressure recovered in the pitot \ntube is not representative of the airstream \ndynamic pressure due to a magnification \nby compressibility. Compressibility of the \nairflow produces a stagnation pressure in \nthe pitot which is greater than if the flow \nwere incompressible. As a result, the air- \nspeed indication is given an erroneous mag- \nnihcation. The standard airspeed indicator \nis calibrated to read correct when at standard \nsea level conditions and thus has a com- \npressibility correction appropriate for these \nconditions. However, when the aircraft is \noperating above standard sea level altitude, \n\ninstrument and errors due to position or lo- \ncation of the installation. The instrument \nerror must be small by design of the equip- \nment and is usually negligible in equjpment \nwhich is properly maintained and cared for. \nThe position error of the installation must \nbe small in the range of airspeeds involving \ncritical performance conditions. Position \nerrors are most usually confine,d to the static \nsource in \nthe actual static pressure \nsensed at the static port may be different \nfrom \nfree airstream static pressure. \nWhen the .,aircraft is operated through a \nlarge range’ of angles of attack, the static \nvaries ‘quite greatly \npressure distribution \nto’minimize \nand it becomes quite difficult \nthe static source error. \nIn most instances a \ncompensating group of static sources may \nbe combined to reduce the position error. \nIn order to appreciate the magnitude of this \nproblem, at flight speed near 100 knots a \n\nthat \n\nthe", + "page_start": 28, + "page_end": 28, + "source_file": "00-80T-80.pdf" + }, + { + "text": "TABLE OF CONTENTS \n\n\n\n1 \n\n\n\n4 \n6 \n\n\n\n\n\n9 \n\nPREFACE.. ,., \n\nCHAPTER I: BASIC AERODYNAMICS \n\nWING AND AIRFOIL FORCES \n\nPROPERTIES OF THE ATMOSPHERE. \n\nStatic pressure \nTemperature \nDensity \nViscosity \nStandard atmosphere \nPressure altitude \nDensity altitude \n\nBERNOULLI’S PRINCIPLE AND SUBSONIC AIRFLOW.. \n\nBernoulli’s equation, \n\nIncompressible tlow \nVariation of static pressure and velocity \nKinetic and porcntial energy of flow \nStatic and dynamic prcssurc, 4 \nFactors affecting dynamic pressure \n\nAirspeed measurement.. \nStagnation prcssurc \nMeasurement of dynamic pressure \nPitot and static sources \nIndicated airspeed \n\n. . \n\n\n\n\n\n14 \n\n14 \n16 \n\n\n\n‘,: \n\n2 3 \n\nDEVELOPMENT OF AERODYNAMIC FORCES.. \n\nStreamline pattern and pressure distribution. \nGeneratioaoflift.......................................... \n\nCirculation \nPressure distribution \nterminology. \n\nAirfoil \nAerodynamic force coefficient \nBasic lift equation \nLift coefficient \nDynamic prcssurc and surface area \n\n. . \n\n”", + "page_start": 6, + "page_end": 6, + "source_file": "00-80T-80.pdf" + }, + { + "text": "be an unbalance of force to provide the ac- \nceleration. Since there is only air within the \ntube, the unbalance of force is provided by \nthe static pressure at station 1 being greater \nthan the static pressure at the constriction, \nstation 2. \n\n(2) The total energy of the air stream in \nthe tube is unchanged. However, the air- \n.’ stream energy may be in two forms. The \nairstream may have a potential energy which \nis related by the static pressure and a kimtic \nenergy by virtue of mass and motion. As \nthe total energy is unchanged, an increase in \nvelocity (kinetic energy) will be accompa- \nnied by a decrease in static pressure (poten- \ntial energy). This situation is analagous to \na ball rolling along-a smooth surface. As \nthe potential energy \nthe ball rolls downhill, \nis exchanged for kinetic \ndue to position \nenergy of motion. \nIf .friction- were negli- \ngibie, the change of potential energy would \nequal the change in ki,netic energy. This- is \nalso the case for the airflow within \nthe tube. \nThe relationship of static pressure and veloc- \nity is maintained throughout the length of the \ntube. As the flow moves past the constriction \ntoward station 3, the velocity decreases and \nthe static pressure increases. \n\n\n\nif the flow through \n\nthe pressure forces created on an aerodynamic \nsurface can be studied in a simple form which \nat first neglects the effect of friction and vis- \ncosity of the airflow. The most appropriate \nmeans of visualizing the effect of airflow and \nthe resulting aerodynamic pressures is to study \nthe fluid flow within a closed tube. \n\nSuppose a stream of air is flowing through \nthe tube shown in figure 1.2. The airflow at \nstation 1 in the tube has a certain velocity, \nstatic pressure, and density. As the airstream \napproaches the constriction at station 2 certain \nchanges must take place. Since the airflow \nthe tube, the mass flow at \nis enclosed within \nany point along the tube must be the same and \nthe velocity, pressure, or density must change \nto accommodate this continuity of flow. \n\ndistin- \nA \nis that \nguishing feature of submnic airflow \nchanges in pressure and velocity \ntake place \nwith sniall and negligible changes in density. \nFor this reason the study of subsonic airflow \ncan be simplified by neglecting the variation \nof density in the flow and assuming the flow \nto be incomprmiblc. Of course, at high flow \nspeeds whjch approach the speed of sound, the \nflow must be considered as compressible and \n“compressibility effects” taken into account. \nHowever, \nthe tube of \nfigure 1.2 is considered subsonic, the density of \nthe airstream is essentially constant at all sta- \ntions along the length. \n\nBERNOULLI’S EQUATION. \n\n\n\n\n\nthe same mass flow. As \n\n\n\nThe Bernoulli equation for incompressible \nflow is most readily explained ,by accounting \nfor the energy of the~airflow within \nthe tube. \nAs the airstream has no energy added or sub- \ntracted at any point, the sum of the potential \n+id kinetic energy must be constant. The \nkinetic energy of an object is found by: \n\nIf the density of the flow remains constant, \nstatic pressure and velocity are the variable \nquantities. As the flow approaches the con- \nstriction of station 2 the velocity must increase \nto maintain \nthe \nvelocity increases the static pressure will de- \ncrease and the decrease in static pressure which \naccompanies the increase in velocity can be \nverified in two ways: \n(I) Newton’s \n\n“KE. =%MV= \n\nwhere K;E. = kinetic energy, ft.-lbs. \nM = mass, slugs \nV’=velocity, ft./set. \n\nThe kinetic energy of a cubic foot of air is: \n\nK&x,, \n\nlaws of motion state the \nrequirement of an unbalanced force to pro- \nduce an acceleration (velocity change). \nIf \nthe airstream experiences an increase in veloc- \nity approaching the constriction, there must \n\n\n\nwhere g= kinetic energy per cu. ft., psf \n\np=air density, slugs per cu. ft. \nV=ait velocity, ft./set.", + "page_start": 23, + "page_end": 23, + "source_file": "00-80T-80.pdf" + }, + { + "text": "Thus, certain corrections must apply to the \ninstrumentation as well as the aircraft per- \nformance if the operating conditions do not \nfit the standard atmosphere. In order to prop- \nerly account for the nonstandard atmosphere \ncertain terms must be defined. Pressure .&itudc \nthe standard atmosphere \nis the altitude \ncorresponditrg to a particular pressure. The \nis essentially a sensitive \naircraft altimeter \nbarometer calibrated to \nin \nindicate altitude \nIf the altimeter is \nthe staotlard atmosphere. \nset for 29.92 in. Hg the altitude indicated is \nthe pressure altitude-the altitude in the stand- \nard atmosphere corresponding to the sensed \npressure. Of course, this indicated pressure \naltitude may not be the actual height above \nsea level due to variations \nin remperature, \nlapse rate; atniospheric pressure, and possible \nerrors in the sensed pressure. \n\nThis \nin \nrelationship has great application \naerodynamics and is quite fundamental and \nnecessary in certain parts of airplane perform- \nance. \n\nVISCOSITY. The viscosity of the air is \nin scale and friction effects. The \n\nimportant \ncoefficient of absolute viscosity is the propor- \ntion between the shearing stress and velocity \ngradient for a fluid flow. The viscosity of \ngases is unusual in that the viscosity is gen- \nerally a function of temperature alone and an \nincrease in temperature increases the viscosity. \nThe coefficient of absolute viscosity is assigned \nthe shorthand notation I, (mu). Since many \nparts of aerodynamics involve consideration of \nviscosity and density, a more usual form of \nviscosity measure is the proportion of the co- \nefficient of absolute viscosity and density. \nThis combination \nis termed the “kinematic \nviscosity” and is noted by Y (nu). \n\n\n\nkinematic viscosity \n\ncc coefficient of absolute viscosity \ndensity \n\nv=PlP \n\n\n\n\n\n\nfactors requiring con- \n\n\n\n\n\n\n\nThe more appropriate term for correlating \naerodynamic performance in the nonstandard \natmosphere is density &it&-the \naltitude in \nthe standard atmosphere corresponding to a \nparticular value of air density. The computa- \ntion of density altitude must certainly involve \nconsideration of pressure (pressure altitude) \nand temperature. Figure 1.6 illustrates \nthe \nmanner in which pressure altitude and tem- \nperature combine to produce a certain density \naltitude. This chart is quite standard in use \nand is usually included in the performance \nsection of the flight handbook. Many subject \nareas of aerodynamics and aircraft performance \nwill emphasize density altitude and temperature \nas the most important \nsideration. \n\nThe kinematic viscosity of air at standard sea \nlevel conditions is 0.0001576 square feet per \nsecond. At an altitude of 40,000 feet the \nkinematic viscosity is increased to 0.0005059 \nsquare foot per second. \n\nIn order to provide a common denominator \nfor comparison of various aircraft, a standard \natmosphere has been adopted. The standard \natmosphere actually represents the mean or \naverage properties of the atmosphere. Figure \n1.1 illustrates the variation of the most im- \nportant properties of the air throughout \nthe \nstandard atmosphere. Notice that the lapse \nrate is constant in the troposphere and the \nstratosphere begins with the isothermal region. \nSince all aircraft performance is compared \nand,evaluated in the environment of the stand- \nard atmosphere, all of the aircraft instrumenta- \ntion is calibrated for the standard atmosphere. \n\nBERNOULLI’S PRINCIPLE AND SUBSONIC \n\nAIRFLOW \n\nAll of the external aerodynamic forces on a \nsurface are the result of air pressure or air fric- \ntion. Friction effects are generally confined to \na thin layer of air in the immediate vicinity of \nthe surface and friction forces are not the pre- \ndominating aerodynamic forces. Therefore,", + "page_start": 21, + "page_end": 21, + "source_file": "00-80T-80.pdf" + }, + { + "text": "The overall \n\n(4) Due to the change in upwash, down- \nwash, and tip vortices, there will be a change \nin position error of the airspeed system, as- \nsociated with ground effect. In the majority \nof cases, ground effect will cause an increase \nin the local pressure at the static source and \nproduce a lower indication of airspeed and \naltitude. \nDuring the landing pha~c of flight, the effect \nto the ground plane must be \nof proximity \nunderstood and appreciated. \nIf the airplane \nis brought into ground effect with a constant \nangle of attack, the airplane will experience", + "page_start": 398, + "page_end": 398, + "source_file": "00-80T-80.pdf" + }, + { + "text": "LOAD \nFACTOR, \nn \n\n\nLIMIT \nLIMIT \nAIRSPEED \nAIRSPEED \nKNOTS \n575 KNOTS \n575 \n\n\n\n\n\n\n\nGROSS WEIGHT - 16.000 LBS \nCLEAN CONFIGURATION \nSEA LEVEL ALTITUDE \nSYMMETRICAL LOADING \n12- \nI ,.,/,,.~A~~‘~,, FACTOR i \n\nII- \n\nIO- \n\n9- \n\nB- ~/POSlT,VE LlMlT LOAD FACTOR i \n\n7- \n\n6- \n\n5- \n\n4- \n\n3 \n\n2- \n\nI-. \nINDICATED AIRSPEED \nINDICATED \nAIRSPEED - KNOTS \n- KNOTS \n-o-. \n300 \n300 400 \n400 500 \n500 200 600 \nI 600 \n-I- \n\n-2- \nNEGATIVE LIMIT LOAO FACTOR \n-3- \nSTALL \n-4- \n\nNEGATIVE ULTIMATE \n\\ \n\nLOAD FACTOR \n\n-5- \n\n\nFigure 5.3. Flight Strength Diagram", + "page_start": 352, + "page_end": 352, + "source_file": "00-80T-80.pdf" + } + ] + }, + { + "references": { + "source_file": "00-80T-80.pdf", + "query": "What is the phenomenon associated with the production of lift by an airfoil ?", + "target_page": 34, + "target_passage": "An important phenomenon associated with the production of lift by an airfoil is the “circulation” parted to the airstream. ", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "is capable of producing lift \n\nin figure 1.8. \n\n\n\n\n\n\n\non the upper surface with \n\n\n\nrotation will be quite a “curve ball artist” \nthe golfer that cannot control the lateral mo- \ntion of the club face striking the golf ball will \nimpart an uncontrollable spin and have trouble \nwith a “hook” or “slice.” \n\nWhile a rotating cylinder can produce a net \nfrom the circulatory flow, the method is \nlift \nrelatively \ninefficient and only serves to point \nout the relationship between lift and circula-, \ntion. An airfoil \nwith relatively high efficiency and the process \nis illustrated \nIf a symmetrical \nairfoil \nis placed at zero angle of attack to the \nairstream, the streamline pattern and pressure \ndistribution give evidence of zero lift. HOW- \never, if the airfoil \nis given a positive angle of \nattack, changes occur in the streamline pattern \nand pressure distribution similar to changes \ncaused by the addition of circulation \nto the \ncylinder. The positive angle of attack causes \nincreased velocity \nan increase in upper surface suction while the \ndecreased velocity on the lower surface causes \na decrease in \nlower surface suction. Also, \nthe \nupwash is generated ahead of the airfoil, \nforward stagnation point moves under the \nleading edge, and a downwash is evident aft \nThe pressure distribution 0” \nof the airfoil. \nthe airfoil now provides a net force perpendicu- \nlar to the airstream-lift. \n\n\n\n\n\nThe effect of free stream density and velocity \nis a necessary consideration when studying the \ndevelopment of the various aerodynamic forces. \nSuppose that a particular shape of airfoil \nis \nfixed at a particular angle to the airstream. \nThe relative velocity and pressure distribution \nwill be determined by the shape of the airfoil \nand the angle to the airstream. The effect of \nvarying the airfoil size, air density and air- \nspeed is shown in figure 1.9. \nIf the same air- \nfoil shape is placed at the same angle to an \nairstream with \ntwice as great a dynamic pres- \nsure the magnitude of the pressure distribution \nwill be twice as great but the r&rive shape of \nthe pressure distribution will be the same. \nWith \ntwice as great a pressure existing over \nthe surface, all aerodynamic forces and mo- \nib \nments will ~double. If a half-size airfoil \nplaced at the same angle to the original air- \nstream, the magnitude of the pressure distri- \nbution is the same as the origina! airfoi! and \nagain the relative shape of the pressure dis- \ntribution \nis identical. The same pressure act- \ning on the half-size surface would reduce all \naerodynamic forces to one-half that of the \noriginal. This similarity of \nflow patterns \nmeans that the stagnation point occurs at the \nsame place, the peak suction pressure occurs \nat the same place, and the actual magnitude of \nthe aerodynamic forces and moments depends \nupon the airstream dynamic pressure and the \nsurface area. This concept is extremely im- \nportant when attempting to separate and ana- \nlyze the most important factors affecting the \ndevelopment of aerodynamic forces. \n\n\n\n\n\nThe generation of lift by an airfoil is depend- \nent upon the airfoil being able to create circu- \nlation in the airstream and develop the lifting, \npressure distribution on the surface. \nIn all \ncases, the generated lift will be the net force \ncaused by the distribution of pressure over the \nupper and lower surfaces of the airfoil. At \nlow angles of attack, suction pressures usually \nwill exist on both upper and lower surfaces. \nbut the upper surface suction must be greater \nfor positive lift. At high angles of attack \nnear that for maximum lift, a positive pressure \nwill exist on the lower surface but this will \naccount for approximately one-third the net \nlift.", + "page_start": 37, + "page_end": 37, + "source_file": "00-80T-80.pdf" + }, + { + "text": "of the distributed \n\n\n\n\n\nand high power, the dynamic pressure in the \nshaded area can be much greater than the free \nstream and this causes considerably greater \nlift \nthan at zero thrust. At high power con- \nditions the induced flow also causes an effect \nsimilar to boundary layer control and increases \nthe maximum lift angle of attack. The typical \nfour-engine propeller driven airplane may have \n60 to 80 percent of the wing area affected by \nthe induced flow and power effects on stall \nspeeds may be considerable. Also, the lift of \nthe airplane at a given angle of attack and air- \nspeed will be greatly affected. Suppose the \nairplane shown is in the process of landing \nflare from a power-on approach. \nIf there is \na sharp, sudden reduction of power, the air- \nplane may drop suddenly because of the reduced \nlift. \n\nnet lift produced by the airfoil \nis difference \nbetween the lifts on the upper and lower sur- \nfaces. The point along the chord where the \nis effectively concentrated is \ndistributed \ntermed the “center of pressure, c.p.“ \nThe \ncenter of pressure is essentially the “center of \ngravity” \nlift pressure and \nthe location of the c.p. is a function of camber \nand section lift coe&cient \n\nlift \n\n\n\n\n\n\n\n\n\nAnother aerodynamic reference point is the \n“aerodynamic center, d.e.” The aerodynamic \ncenter is defmed as the point along the chord \nwhere all changes in lift effectively take place. \nTo visualize the existence of such a point, \nnotice the change in pressure distribution with \nthe symmetrical airfoil \nangle of attack \nthe upper \nof figure 1.21. When at zero lift, \nand lower surface lifts are equal and located \nat the same point. With an increase in angle \nof attack, the upper surface lift increases while \nthe lower surface lift decreases. The change \n,of lift has taken place with no change in the \ncenter of pressure-a characteristic of sym- \nmetrical airfoils. \n\nfor \n\nThe typical jet aircraft does not experience \nthe \ninduced flow velocities encountered in \npropeller driven airplanes, thus the only sig- \nnificant factor is the vertical component of \nthrust. Since this vertical component con- \ntributes to supporting the airplane, less aero- \nis required to hold the airplane \ndynamic lift \nIf the thrust is small and the thrust \nin flight. \ninclination \nis slight at maximum lift angle, \nre- \nonly negligible changes in stall speed will \nsult. On the other hand, if the thrust is very \ngreat and is given a large inclination at maxi- \nmum lift angle, the effect on stall speed can \nbe very large. One important \nrelationship \nremains-since there is very little induced flow \nfrom the jet, the angle of attack at stall is \nessentially the same power-on or power-off. \n\n\n\n\n\n\n\nthe cambered airfoil of \nNext, consider \nfigure 1.21 at zero lift. \nTo produce zero lift, \nthe upper and lower surface lifts must be equal. \nOne difference noted from the symmetrical air- \nfoil is that the upper and lower surface lifts are \nnot opposite one another. While no net lift \nthe couple produced by \nexists on the airfoil, \nthe upper and lower surface lifts creates a nose \ndown moment. As the angle of attack is in- \ncreased, the upper surface lift \nincreases while \nlower surface lift decreases. While a \nthe \nchange in lift has taken place, no change in \nmoment takes place about the point where \nthe lift change occurs. Since the moment \nabout the aerodynamic center is the product \nof a force (lift at the c.P.) and a lever arm \n(distance from c.9. to a.~.), an increase in lift \nmoves the center of pressure toward the aero- \ndynamic center. \n\nDEVELOPMENT OF AERODYNAMIC \n\nPITCHING MOMENTS", + "page_start": 64, + "page_end": 64, + "source_file": "00-80T-80.pdf" + }, + { + "text": "is one half \n\nvortex filaments which consist of the tip or \ntrailing vortices coupled with \nthe bound or \nline vortex. The tip vortices are coupled with \nthe bound vortex when circulation is induced \nwith \nlift. The effect of this vortex system is \nto create certain vertical velocity components \nin the vicinity of the wing. The illustration \nof these vertical velocities shows that ahead \nof the wing the bound vortex induces an up- \nwash. Behind the wing, \nthe coupled action \nof the bound vortex and the tip vortices in- \nduces a downwash. With \nthe action of tip \nand bound vortices coupled, a final vertical \nvelocity (220) is imparted to the airstream by \nthe wing producing lift. \nThis result is an \ninevitable consequence of a finite wing pro- \nducing lift. \nThe wing Producing lift applies \nthe equal and opposite force to the airstream \nand deflects it downward. One of the impor- \ntant factors in this system is that a downward \nvelocity is created at the aerodynamic center \n(w) which \nthe final downward \nvelocity imparted to the airstream (2~). \n\nage relative wind which is different from the \nremote free stream wind. Since the aerody- \nnamic forces created by the airfoil sections of a \nwing depend upon the immediate airstream in \nwhich \nthey operate, consideration must be \ngiven to the effect of the inclined average rela- \ntive wind. \n\nTo create a certain lift coefficient with \n\n\nwhere \n\n\n\n\n\nthe vertical,velocity \n\n\n\n\n\nthe \nairfoil section, a certain angle must exist be- \ntween the airfoil chord line and the avcragc \nrelative wind. This angle of attack is a,,, the \nsection angle of attack. However, as this lift \nis developed on the wing, downwash is in- \nis in- \ncurred and the average relative wind \nclined. Thus, the wing must be given some \nangle attack greater than the required section \nangle of attack to account for the inclination of \nthe average relative wind. Since the wing \nmust be given this additional angle of attack \nbecause of the induced flow, the angle between \nthe average reiative wind arid tlie remote fiCC \nstream is termed the induced angle of attack, \nai. From this influence, the wing angle of \nattack is the sum of the section and induced \nangles of attack. \n\nThe effect of the vertical velocities in the \nvicinity of the wing is best appreciated when \nthey are added vectorially \nto the airstream \nvelocity. The remote free stream well ahead \nof the wing is unaffected and its direction is \nopposite the flight path of the airplane. ‘Aft \nof the wing, the vertical velocity (2~) adds to \nthe airstream velocity to produce the down- \nwash angle e (epsilon). At the aerodynamic \ncenter of the wing, \n(w) \nadds to the airstream velocity to produce a \ndownward deflection of the airstream one-half \nIn other words, \nthat of the downwash angle. \nthe wing producing lift by the deflection of an \nairstream incurs a downward slant co the wind \nin the immediate vicinity of the wing. Hence, \nthe JeCtionJ of the wing operate in an average rela- \ntive wind which is inclined downward one-half the \nfinal dowraw& angle. This is one important \nfeature which distinguishes the aerodynamic \nproperties of a wing from \nthe aerodynamic \nproperties of an airfoil section. \n\na=ul)+a; \na= wing angle of attack \nOLD= section angle of attack \nOI;= induced angle of attack \n\n\n\nINDUCED DRAG", + "page_start": 83, + "page_end": 83, + "source_file": "00-80T-80.pdf" + }, + { + "text": "lift. \n\n\n\ncontrol speeds” set by these factors rather than \nsimple stall speeds based on C&,. \n\nWhen a wing of a given planform has various \nhigh lift devices added, the lift distribution and \nstall pattern can be greatly affected. Deflec- \ntion of trailing edge flaps increases the local \nlift coe5cients in the flapped areas and since \nthe stall angle of the flapped section is de- \ncreased, initial \nthe \nflapped area. The extension of slats simply \nallows the slatted areas to go to higher lift \ncoe5cients and angles of attack and generally \nAlso, power \nthat vicinity. \ndelays stall \neffects may adversely affect the stall pattern of \nthe propeller powered airplane. When the \npropeller powered airplane is at high power \nand low speed, the flow induced at the wing \nroot by the slipstream may cause considerable \ndelay in the stall of the root sections. Hence, \nthe propeller powered airplane may have its \nmost undesirable stall characteristics during the \npower-on stall rather than the power-off stall. \n\nstall usually begins in \n\n\n\nthe wing root boundary layer to be more easily \nseparated in the presence of an adverse pressure \ngradient. Since the upper wing surface has the \nmore critical pressure gradients, a low wing \nposition on a circular fuselage would create \ngreater interference drag than a high wing \nposition. Adequate filleting and control of \nlocal pressure gradients is necessary to mini- \nmize such additional drag due to interference. \nThe sum of all the drags due to form, fric- \ntion, leakage and momentum losses, and inter- \nference drag is termed “parasite” drag since \nthe develop- \nit is not directly associated with \nment of lift. While this parasite drag is not \nthe production of lift \ndirectly associated with \nThe variation of \nit \nis a variable with \nlift coef- \nparasite drag coefficient, C+, with \nficient, C,, is shown for a typical airplane in \nfigure 1.34. The minimum parasite drag co- \nefficient, CDpmi,, usually occurs at or near zero \nlift and parasite drag coefficient \nincreases \nabove this point,in a smooth curve. The in- \nduced drag coefficient is shown on the same \ngraph for purposes of comparison since the \ntotal drag of the airplane is a sum of the \nparasite and induced drag. \n\n\n\n\n\nIn many parts of airplane performance it is \nnecessary to completely distinguish between \ndrag due to lift and drag not due to lift. The \ntotal drag of an airplane is the sum of the para- \nsite and induced drags. \n\nG=c++cD; \n\nwhere \n\nC, = airplane drag coefficient \n\nC+=parasite drag coefficient \n\nC,,= induced drag coeaicient \n\n\n\n\n\n\n\nPARASITE DRAG \n\nIn addition to the drag caused by the de- \nvelopment of lift (induced drag) there is the \nobvious drag which is nor due to the develop \nment of lift. A wing surface even at zero lift \nwill have “profile” \ndrag due to skin friction \nand form. The other components of the air- \nplane such as the fuselage, tail, nacelles, etc., \ncontribute to drag because of their own form \nand skin friction. Any loss of momentum of \nthe airstream due to powerplant cooling, air \nconditioning, or leakage through construction \nor access gaps is, in effect, an additional drag. \nWhen the various components of the airplane \nare put together the total drag will be greater \nthan the sum of the individual components \nbecause of “interference” of one surface on the \nother. \n\nFrom inspection of figure 1.34 it is seen that \nboth CD, and CD, vary with \nlift coefticient. \nHowever, the usual variation of parasite drag \nallows a simple correlation with \nthe induced \nIn effect, the part of parasite drag \ndrag term. \nabove the minimum at zero lift can be “lumped” The most usual interference of importance \noccurs at the wing-body intersection where the \ngrowth of boundary layer on the fuselage re- \nduces the boundary layer velocities on the wing \nroot surface. This reduction in energy allows", + "page_start": 104, + "page_end": 104, + "source_file": "00-80T-80.pdf" + }, + { + "text": "airfoil do not ,necessarily occtir at the point of \nmaximum thickness. However, a similarity \ndoes exist in that the minimum pressure points \ncorrespond to the points where the streamlines \nare closest together and this condition exists \nwhen the streamlines are forced to the great- \nest curvature. \n\n\nis the “circulation” \n\nthe \n\n\n\n\n\n\n\n\n\nforward stagnation point \nthe local velocity \nis zero and the maximum positive pressure re- \nsults. As the flow proceeds from the forward \nstagnation point \nincreases as \nshown by the change in streamlines. The \nlocal velocities reach a maximum at the upper \nand lower extremities and a peak suction pres- \nsure is produced at these points on the cylinder. \n(NOTE: Positive pressures are pressures above \natmospheric and negative or .ruction pressures \nare less than atmospheric.) As \nflow \ncontinues aft from the peak suction pressure, \nthe diverging streamlines indicate decreasing \nlocal velocities and increasing local pressures. \nIf friction and compressibility effects are not \nconsidered, the velocity would decrease to zero \nat the aft stagnation point and the full stagna- \ntion pressure would be recovered. The pressure \ndistribution \nfor the cylinder in perfect fluid \nflow would be symmetrical and no net force \n(lift or dragj wvuid rcsuit. Of course, thr \nrelationship between static pressure and ~eloc- \nity along the surface is defined by Bernoulli’s \nequation. \n\nthe velocity \n\nGENERATION OF LIFT. An important \nthe production \nphenomenon associated with \nim- \nof lift by an airfoil \nparted to the airstream. The best practical \nillustration of this phenomenon is shown in \nfigure 1.8 by the streamlines and pressure dis- \ntributions existing on cylinders in an airstream. \nThe cylinder without circulation has a sym- \nmetrical streamline pattern and a pressure dis- \ntribution which creates n-0 n_et lift. \nIf the \nis given a clockwise rotation and \ncylinder \ninduces a rotational or circulatory flow, a dis- \ntinct change takes place in the streamline pat- \ntern and p’ess.~re &str~‘“u~~oii, The vriocitirs \ndue to the vortex of circulatory \nflow cause \nincreased 104 velocity on the upper surface \nof the cylinder and decreased local velocity on \nthe lower surface of the cylinder. Also, the \ncirculatory flow produces an upwash immedi- \nately ahead and downwash immediately be- \nhind the cylinder and both fore and aft stagna- \ntion points are lowered. \n\n\n\n\n\n\n\n\n\n\n\nThe flow pattern for the cylinder in an actual \nfluid demonstrates the effect of friction or \nviscosity. The viscosity of air produces a thin \nlayer of retarded flow immediately adjacent \nto the surface. The energy expended in this \n“boundary \nlayer” can alter the pressure dis- \ntribution and destroy the symmetry of the \npattern. The force unbalance caused by the \nchange in pressure distribution creates a drag \nforce which is in addition to the drag due to \nskin friction.", + "page_start": 33, + "page_end": 33, + "source_file": "00-80T-80.pdf" + }, + { + "text": "The effect of the addition of circulatory flow \nis appreciated by the change in the pressure \ndistribution on the cylinder. The increased \nlocal velocity on the upper surface causes an \nincrease in upper surface suction while \nthe \ndecreased local velocity on the lower surface \ncauses a decrease in lower surface suction. As \na result, the cylinder with circulation will \nproduce a net lift. This mechanically induced \ncirculation-called Magnus effect-illustrates \nthe relationship between circulation and lift \nand is important to golfers, baseball and tennis \nplayers as well as pilots and aerodynamicists. \nThe curvature of the flight path of a golf ball \nor baseball rcluites an unbalance df force \nwhich is created by rotation of the ball. The \npitcher that can accurately control a .powerful The streamline pattern for the symmetrical \nairfoil of figure 1.7 again provides the basis \nfor \nthe velocity and pressure distribution. \nAt the leading edge the streamlines are widely \ndiverged in the vicinity of the positive pres- \nsures. The maximum \nlocal velocities and \nsuction (or negative) pressures exist where the \nstreamlines are the closest together, One \nnotable difference between the flow on the \ncylinder and the airfoil \nis that the maximum \nvelocity and minimum pressure points on the", + "page_start": 33, + "page_end": 33, + "source_file": "00-80T-80.pdf" + }, + { + "text": "DEVELOPMENT OF AERODYNAMIC \n\nPITCHING MOMENTS \n\nThe distribution of pressure over a surface \nis the ,source of the aerodynamic moments as \nwell as the aerodynamic forces. A typical \nexample of this fact is the pressure distribution \nacting on the cambered airfoil of figure 1.21. \nThe upper surface has pressures distributed \nwhich produce the upper surface lift; the lower \nsurface has pressures distributed which pro- \nduce the lower surface lift. Of course, the It should be noted that the symmetrical air- \nfoil at zero lift has no pitching moment about \nthe aerodynamic center because the upper and", + "page_start": 64, + "page_end": 64, + "source_file": "00-80T-80.pdf" + }, + { + "text": ", \n\nexisting on the surface. Of course, the ve- \nlocity distribution, and resulting pressure dis- \ntribution, \nis determmed by the.shape or pro- \nfile of the surface and the angle of a’track. \nThus, any aerodynamic force can be repre- \nsented as the product df three major factors: \n\nthe surface area of the objects \nthe dynamic pressure of the airstream \nthe coefficient or index of force determined \n\nby the relative pressure distribution \n\nThis relationship is expressed by the following \nequation : \n\nF= C,qS \n\nwhere \n\nF = aerodynamic force, lbs. \nC,=coeflicient of aerodynamic force \n,iay;mic pressure, psf \n\nS=surface area, sq. ft. \n\nIn order to fully appreciate the importance \nof the aerodynamic force coe&cient, C,, the \nabove equation \nis rearranged to alternate \nforms : \n\n\n\n\n\n\n\n\n\n\n\nIt is derived from the relative pressure and \nvelocity distribution. \n\n(2) Influenced only by the shape of the \nsurface and angle of attack since these factors \ndetermine the pressure distribution. \n\n(3) An index which allows evaluation of \nthe effects of compressibility and viscosity. \nSince the effects of area, density, and velocity \nare obviated by the coefficient form, com- \npressibility and viscosity effects can be \nseparated for study. \nTHE BASIC LIFT EQUATION. \n\nLift has \nbeen dehned as the net force developed per- \npendicular to the relative wind. The aero- \ndynamic force of lift on an airplane results \nfrom the generation of a pressure distribution \nforce is described by \non the wing. This lift \nthe following equation: \nL=C& \n\nwhere \n\nL=lift, \nC, = lift coefficient. \nq= dy;:mic pressure, psf \n\nlbs. \n\n+p \n\nS= wing surface area, sq. ft. \nThe lift coefhcient used in this equation is the \nratio of the lift pressure and dynamic pressure \nand is a function of the shape of the wing and \nangle of attack. \nthe lift coefficient of a \nconventional airplane wing planfoi-m were \nplotted versus angle of attack, the result would \nbe typical of the graph of figure 1.11. Since \nthe effects of speed, density, area, weight, alti- \ntude, etc., are eliminated by the coefficient form, \nan indication of the true lift capability is ob- \ntained. Each angle of attack produces a par- \nticular lift coefficient since the angle of attack \nfactor in the pressure dis- \nis the controlling \ntribution. \nLift coeflicient increases with angle \nof attack up to the maximum lift coefficient, \nc L,,,~., and, as angle of attack is increased be- \nis \nyond the maximum lift angle, the airflow \nunable to adhere to the upper surface. The \nairflow then separates from the upper surface \nand stall occurs. \n\nIn this form, the aerodynamic force coefficient \nJs appreciared as the aerodynamic force per \nsurface area and dynamic pressure. In other \nwords, the force coefficient is a dimensionless \nratio between the average aerodynamic pres- \nsure (aerodynamic force.per ‘area) and the air- \nstream dynamic pressure. All the aerodynamic \nforces of lift and drag are studied on this basis- \nthe common denominator in each case being \nsurface area and dynamic pressure. By such a \ndefinition, a “lift \ncoefficient” would .be the \nratio between lift pressure and dynamic pres- \nsure; a “drag coefficient” would be the ratio \nbetween drag pressure and.:d.ynamic pressure. \nThe use of the coefficient form of an aero- \ndynamic force is necessary since the force \ncoellicient is: \n\n(1) An index 04 the aerodynamic force \nindependent of area, density, and velocity. \n\n23", + "page_start": 40, + "page_end": 40, + "source_file": "00-80T-80.pdf" + }, + { + "text": "exists. This situation creates an induced angle \nof attack at the root which is less than the \naverage for the wing and a local section angle \nof attack higher than the average for the wing. \nThe result is shown by the graph of figure 1.32 \nwhich depicts a local lift coefficient at the root \nlift \nalmost 20 percent greater than the wing \ncoefficient. \n\nmatched with a planformwhose chord is dis- \ntributed in an elliptical fashion (the elliptical \nwing), each square foot of area along the span \nproduces exactly the same lift pressure. The \nelliptical wing planform then has each section \nof the wing working at exactly the same local \nlift coefhcient and the induced downflow at \nthe wing is uniform throughout the span. \nIn \nthe aerodynamic sense, the elliptical. wing is \nthe most efficient planform because the uni- \nformity of lift coefficient and downwash incurs \nrbt iea$t induced drag for a given aspect ratio. \nThe merit of any wing @anform is then meas- \nured by the closeness with which the distribu- \ntion of lift coefficient and downwash approach \nthat of the elliptical planform. \n\n\nThe effect of the elliptical planform is illus- \ntrated in figure 1.32 by the plot of local lift \n\ncoefficient to wing \n\n,4;..t,or, \n\n\n\n-11:. -!-~I -L. \n\n\n\n\n\nis not capable of holding \n\n\n\n\n\n\n\nThe effect of the rectangular planform may \nbe appreciated by matching a near elliptical \na \nlift distribution with a planform with \nconstant chord. \ntip \nThe chords near ‘the \ndevelop less lift pressure than the root and \nconsequently have lower section lift coe&- \ncients. The great nonuniformity of local lift \ncoefficient along the span implies that some \nsections carry .more than their share of the \nload while others carry less than their share \nof the load. Hence, for a given aspect ratio, \nthe rectangular planform will be less efficient \n-t-- \nFor exampie, a \nLlLill UK C‘lqJLlCal wing. \nrectangular wing of AR=6 would have 16 \npercent higher induced angle of attack for the \nwing and 5 percent higher induced drag than \nan elliptical wing of the same aspect ratio. \n\nversus \n\nlift coefficient, f! \nG’ \nTbac e!liptical wing p*\nscm:spnn L.“CY.ICG. \n\nduces a constant value of$=J.O throughout \n\nAt the other extreme of taper is the pointed \nwing which has a taper ratio of zero. The \nextremely small parcel of area at the pointed \ntip \nthe main tip \nvortex at the tip and a drastic change in down- \nwash distribution \nresults. The pointed wing \nhas greatest downwash at the root and this \ndownwash decreases toward the tip. \nIn the \ntip, an \nimmediate vicinity of the pointed \nindicates that \nupwash is encountered which \nnegative induced angles of attack exist in this \narea. The resulting variation of local \nlift \ncoefficient shows low cr at the root and very \nhigh c, at the tip. This effect may be appre- \nciated by realizing that the wide chords at \nthe root produce low lift pressures while the \nvery narrow chords toward the tip are sub- \nlift pressures.. The varia- \nject to very high", + "page_start": 93, + "page_end": 93, + "source_file": "00-80T-80.pdf" + }, + { + "text": "thus, a constant dynamic pressure and equiva- \nlent airspeed. As the airplane descends into \nground effect, the following. effects will \ntake \nplace: \n\n(1) Because of the reduced induced angle \nof attack and change in lift distribution, a \nsmaller wing angle of attack will be required \nIf a \nto produce the same lift coefficient. \nis maintained as \nconstant pitch attitude \nground effect is encountered, an increase in \nlift coefficient will be incurred. \n\n(2) The reduction in induced flow due to \nground effect causes a significant reduction \nin induced drag but causes no direct effect on \nparasite drag. As a result of the reduction \nin induced drag, the thrust required at low \nspeeds will be reduced. \n\n(3) The reduction in downwash due to \nground effect will produce a change in longi- \ntudinal stability and trim. Generally, the \nreduction in downwash at the horizontal \ntail increases the contribution to static longi- \nIn addition, the reduction \ntudinal stability. \nof downwash at the tail usually requires \na greater up elevator to trim the airplane at \na specific lift coefficient. For the conven- \ntional airplane configuration, encountering \nground effect will produce a nose-down \nchange in pitching moment. Of course, the \nincrease in stability and trim change associ- \nated with ground effect provide a critical re- \nquirement of adequate longitudinal control \npower for landing and takeoff. \n\n\n\n\n\npercent and, when the wing \nequal to one-tenth the span (h/b=O.l), \nreduction \nThus, a large reduction in induced drag will \ntake place only when the wing is very close \nto \nthe ground. Because of this variation, \nground effect is most usually recognized during \nthe liftoff of takeoff or prior to touchdown on \nlanding. \n\nis at a height \nthe \ninduced drag is 47.6 percent. in \n\nThe reduction of the tip or trailing vortices \ndue to ground effect alters the spanwise lift \ndistribution and reduces the induced angle of \nrequire \nIn this case, the wing will \nattack. \na lower angle of attack in ground effect to \nproduce the same lift coefficient. This effect \nis illustrated by the lift curves of figure 6.9 \nwhich show that the airplane in ground effect \nwill develop a greater slope of the lift curve. \nFor the wing in ground effect, a lower angle of \nattack is necessary to produce the same lift \ncoefficient or, if a constant angle of attack is \nmaintained, an increase in lift coefficient will \nresult. \n\nFigure 6.9 illustrates the manner in which \nground effect will alter the curve of thrust re- \nquired versus velocity. Since induced drag \npredominates at low speeds, the reduction of \ninduced drag due to ground effect will cause \nthe most significant reduction of thrust re- \nquired (parasite plus induced drag) only at \nlow speeds. At high speeds where parasite \ndrag predominates, the induced drag is but \na small part of the total drag and ground \neffect causes no significant change in thrust re- \nquired. Because ground effect involves the \ninduced effects of airplane when in close prox- \nimity to the ground, its effects are of greatest \nconcern during the takeoff and landing. Ordi- \nnarily, \nin \nwhich the airplane would be in close proximity \nto the ground. \n\nthese are the only phases of flight \n\n\n\n\nGROUND EFFECT ON SPECIFIC FLIGHT \nCONDITIONS. \ninfluence of \nground effect is best realized by assuming that \nthe airplane descends into ground effect while \nmaintaining a constant lift coefficient and, \n\nThe overall", + "page_start": 398, + "page_end": 398, + "source_file": "00-80T-80.pdf" + } + ] + }, + { + "references": { + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", + "query": "What are the recyclable waste ?", + "target_page": 3, + "target_passage": "All types of paper and cardboard, Metal packaging, even the smallest ones, Plastic bottles and flasks, All other packaging", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | | | |\n| | | | | |\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nThis annual report is printed on FSC® certified paper. \nThe recycled content of our paper is 30% post-consumer waste. \n©2015 Nordstrom, Inc. All rights reserved. Printed in the USA. \n374047840 PLEASE RECYCLE.", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**//50% green materials : all fruit and vegetable**\n**peelings, leftover meat, egg shells, tea and**\n**coffee…**\n\n**//50% brown materials : dead leaves, twigs,**\n**kitchen rolls, shavings, possibly paper,**\n**newspaper and cardboard …**", + "page_start": 2, + "page_end": 2, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "Compost Questions and Answers \n**What is compost?**\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \n\n**What materials (“feedstocks”) are used to make compost?**\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost. \n\n**How do I know I’m getting safe, quality compost?**\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \n\n**What about weed seeds, plant diseases or pesticide residues?**\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process. \n\nCompost Beginnings \nThe yard debris or food scraps*that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds. \n\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips: \n\nl The products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \n\nl Please keep yard debris free of : \n x Garbage \n x Plastic of any sort \n- Plastic plant pots \n- Plastic plant tabs \n- Plastic bags (if you want to bag \n your yard debris, use paper \n garden bags - available at most \n garden centers) \n\n x Rock, brick, or masonry \n x Glass or metal \n x Pet waste.", + "page_start": 4, + "page_end": 4, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| | A project of the Washington Organic Recycling Council, with\nsupport from the Washington State Department of Ecology’s\nPublic Participation Grant program.\nThis product was partly funded through a grant from the\nWashington Department of Ecology. While these materials\nwere reviewed for grant consistency, this does not necessarily\nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003\nwas created by the Washington County, Oregon Solid Waste and\nRecycling Program in cooperation with the Washington Organic\nRecycling Council and the Composting Council of Oregon.\nwww.compostwashington.org www.soilsforsalmon.org\nwww.ecy.wa.gov\noriginal artwork provided by: | Tips to Remember:\n• Don’t put plants into 100% compost. Mix\ncompost thoroughly into existing soil before\nplanting.\n• When transplanting, it’s better to amend the\nwhole bed, not just planting holes, to promote\nroot growth.\n• Ask your compost supplier which compost\nproduct is best for your intended use.\n• Use compost at the recommended application\nrate.\n• To maintain healthy soil, reapply compost or\nmulch every 1-2 years.\n• Many composts are rich in plant nutrients, so\nyou may be able to reduce fertilizer use after\napplying compost.\n• Compost can also reduce your lawn and garden’s\nsummer irrigation needs.\n• Compost-amended soil and mulching slow run\noff, reduce erosion, and break down pollutants.\nWhen you use compost, you’re helping to\nprotect our precious streams, rivers, lakes, and\nmarine waters. | | |\n|---|---|---|---|---|\n| | A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology’s Public Participation Grant program. This product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department. Special thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon. www.compostwashington.org www.soilsforsalmon.org www.ecy.wa.gov original artwork provided by: | Tips to Remember: • Don’t put plants into 100% compost. Mix compost thoroughly into existing soil before planting. • When transplanting, it’s better to amend the whole bed, not just planting holes, to promote root growth. • Ask your compost supplier which compost product is best for your intended use. • Use compost at the recommended application rate. • To maintain healthy soil, reapply compost or mulch every 1-2 years. • Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost. • Compost can also reduce your lawn and garden’s summer irrigation needs. • Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you’re helping to protect our precious streams, rivers, lakes, and marine waters. | | |", + "page_start": 1, + "page_end": 1, + "source_file": "CompostGuide.pdf" + }, + { + "text": "*Transfer and Disposal Services.*We own or operate 96 transfer stations. We deposit waste at these \nstations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport \nto disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had \napproximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of \napproximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based \non engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully. \nSome of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated \nsoils. See \"\"Ì Properties.'' \n\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently \npermitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and \nevaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices, \nmarket needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand, \nwe are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be \nmade that all future expansions will be permitted as designed. \n\n*Other Services.*We have 35 materials recovery facilities and other recycling operations, which are \ngenerally required to fulÑll our obligations under long-term municipal contracts for residential collection \nservices. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable \nmaterials are internally collected by our residential collection operations. In some areas, we receive \ncommercial and industrial solid waste that is sorted at our facilities into recyclable materials and non- \nrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the non- \nrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our \nexposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby \nminimizing our recycling investment. \n\nWe provide remediation and other heavy construction services primarily through our subsidiary located in \nMissouri. \n\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is \nprocessed, packaged and sold as various products. \n\n**Sales and Marketing**\n\nWe seek to provide quality services that will enable our company to maintain high levels of customer \nsatisfaction. We derive our business from a broad customer base which we believe will enable our company to \nexperience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing \ncustomers, as well as attracting new customers. \n\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to \nprovide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our \ncustomers at competitive prices. We target potential customers of all sizes, from small quantity generators to \nlarge \"\"Fortune 500'' companies and municipalities. \n\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts \nprogram in response to our customers' needs. \n\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not \noperate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the \nacquired companies' local tradenames as used in each geographic market in which we operate. \n\n**Customers**", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**I PUT MY RUBBISH**\n**CONTAINER OUT**\n**ONLY WHEN FULL**\n\n| JANUARY | |\n|---|---|\n| JANUARY | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n\n\n| FEBRUARY | |\n|---|---|\n| FEBRUARY | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| MARCH | |\n|---|---|\n| MARCH | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| APRIL | |\n|---|---|\n| APRIL | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n\n\n2024 \n\n| MAY | |\n|---|---|\n| MAY | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n\n\n| JUNE | |\n|---|---|\n| JUNE | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| AUGUST | |\n|---|---|\n| AUGUST | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| SEPTEMBER | |\n|---|---|\n| SEPTEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n\n\n| OCTOBER | |\n|---|---|\n| OCTOBER | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| NOVEMBER | |\n|---|---|\n| NOVEMBER | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| DECEMBER | |\n|---|---|\n| DECEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |", + "page_start": 1, + "page_end": 1, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "**Unused**\n**Permitted**\n**Permitted**\n**Acreage(2) Acreage(3) Acreage(4)**\n**Total**\n\nSouthern \nEastern \nWestern \nCentral \nSouthern \nCentral \nSouthern \nSouthwestern \nWestern \nEastern \nCentral \nSouthern \nCentral \nCentral \nSouthern \nCentral \nSouthwestern \nSouthern \nSouthern \nEastern \nCentral \nWestern \nCentral \nEastern \nCentral \nSouthern \nSouthwestern \nCentral \nSouthern \nCentral \nSouthern \nEastern \nSouthern \nWestern \nSouthwestern \nSouthwestern \nSouthwestern \nSouthwestern \nSouthwestern \nSouthern \nSouthwestern \nWestern \nCentral \nSouthern \nSouthern \nCentral \nCentral \nSouthern \nCentral \nSouthern \nSouthern \nCentral \nWestern \nCentral \nCentral \nWestern \nCentral \nCentral \n80 \n184 \n2,285 \n544 \n1,400 \n640 \n392 \n396 \n592 \n815 \n231 \n740 \n99 \n899 \n258 \n281 \n602 \n21 \n379 \n68 \n218 \n40 \n746 \n739 \n587 \n354 \n100 \n600 \n329 \n908 \n37 \n734 \n515 \n1,423 \n10 \n80 \n517 \n455 \n257 \n129 \n896 \n6 \n351 \n246 \n836 \n87 \n612 \n600 \n305 \n860 \n466 \n894 \n548 \n1,013 \n390 \n350 \n639 \n420 \n29,203 Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ \n\n58 \n138 \n1,233 \n106 \n105 \n388 \n68 \n300 \n257 \n258 \n47 \n113 \n40 \n100 \n78 \n165 \n195 \n7 \n118 \n39 \n138 \n40 \n42 \n230 \n204 \n57 \n31 \n120 \n72 \n178 \n26 \n112 \n196 \n190 \n10 \n74 \n190 \n195 \n236 \n56 \n386 \n3 \n238 \n174 \n85 \n43 \n190 \n83 \n77 \n70 \n118 \n199 \n246 \n303 \n137 \n188 \n57 \n97 \n8,904 3 \n84 \n1,018 \n43 \n49 \n192 \n68 \n264 \n45 \n170 \n23 \n42 \n25 \n31 \n50 \n9 \n133 \n4 \n108 \n5 \n20 \nÌ \n2 \n22 \nÌ \n25 \n2 \n72 \nÌ \n121 \nÌ \n65 \n130 \n68 \n6 \n67 \n116 \n110 \n138 \n34 \n240 \nÌ \n143 \n139 \n12 \n9 \n150 \n67 \n15 \n29 \n45 \n93 \n68 \n133 \n60 \nÌ \n26 \n28 \n4,621 \n\n(1) Operated but not owned by us. \n(2) Total acreage includes permitted acreage, probable expansion acreage, other acreage available for future disposal that has not been permitted, \nbuÅer land and other contiguous land owned by our company. \n\n(3) Permitted acreage consists of all acreage at the landÑll encompassed by an active permit to dispose of waste. \n(4) Unused permitted acreage consists of all acreage at the landÑll encompassed by an active permit on which disposal operations have not \ncommenced.", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "s Shimura Center \npulverized at the company’s Shimura Center \npulverized at the company \n\nin Tokyo and sealed separately in recycling \nin Tokyo and sealed separately in recycling \n\nbags, under supervision of a company official. \nbags, under supervision of a company official. \n\nThe bags are then sent off for processing by \nThe bags are then sent off for processing by \n\nan outside company, which analyzes and \nan outside company, which analyzes and \n\npurifies the contents and then extracts the \npurifies the contents and then extracts the \n\nrare earths. \nrare earths. \n\n*After intermediate processing, waste materials \nother than the rare earths and the cards with \nno IC chips are both sent off for final disposal, \nin conformity with established procedures. \n\nload through measures such as “carbon \nload through measures such as “carbon \n\nneutral leases” (with carbon credits allocated \nneutral leases” (with carbon credits allocated \n\nin proportion to emission volumes of leased \nin proportion to emission volumes of leased \n\nassets) and leasing of environment-friendly \nassets) and leasing of environment-friendly \n\nand energy-saving equipment. \nand energy-saving equipment. \n\nLikewise, by trading used machinery and \nLikewise, by trading used machinery and \n\nsemiconductor- manufacturing equipment, \nsemiconductor- manufacturing equipment, \n\nSumitomo Mitsui Finance & Leasing is \nSumitomo Mitsui Finance & Leasing is \n\nsupporting more efficient capital investment \nsupporting more efficient capital investment \n\nby its customers, while itself evolving into a \nby its customers, while itself evolving into a \n\nrecycling-oriented, environment-friendly \nrecycling-oriented, environment-friendly \n\ncompany. \ncompany. \n\nRecycling yields approximately 0.1mg of rare \nRecycling yields approximately 0.1mg of rare \n\nearth product per expired card. \nearth product per expired card. \n\nRare earths are special metals, unobtainable \nRare earths are special metals, unobtainable \n\ns and \nin Japan, which are essential to PCs and \nin Japan, which are essential to \n\ncellphones, electric vehicles and solar power \ncellphones, electric vehicles and solar power \n\ngenerators. Given that Japan is dependent on \ngenerators. Given that Japan is dependent on \n\nimports for nearly its entire supply, we believe \nimports for nearly its entire supply, we believe \n\nrecycling rare earths is a worthwhile endeavor \nrecycling rare earths is a worthwhile endeavor \n\nin terms of national energy policy. \nin terms of national energy policy. \n\nCard microcircuits that have become unusable \nCard microcircuits that have become unusable \n\ndue to changes in card design are collected \ndue to changes in card design are collected \n\nfrom cards with IC chips, which are separated \nfrom cards with IC chips, which are separated \n\n\n\n\n\n\n\n**Recycling of rare earths**\n**used in smart cards**\n\nExpired \ncredit cards \nwith IC chips \n\nRecovery \n\nAt Sumitomo Mitsui Card, rare earths \nAt Sumitomo Mitsui Card, rare earths \n\nextracted from IC chips from expired credit \nextracted from IC chips from expired credit \n\ncards are recycled. \ncards are recycled.", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "The following example will find datasets which are from catalogue “data.gov.uk”**AND**are in the \ncategories “Environment”**AND**have a distribution in the formats (“CSV” or JSON”). \n\nFacets can be selected and deselected. In addition a key word can be entered to filter the results \neven more.", + "page_start": 27, + "page_end": 27, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "Facility via the decant water return system. The\nrequirements of the Australian Minerals Industry results from the regular monitoring and\nexcess recycled water is stored in a number of the\nCode for Environmental Management, and that sampling program have been within required\nhistoric mining pits for re-use in the process plant.\nthe responsibilities of Kingsgate, as a Code quality standards.\nsignatory, are being addressed.\nIncident Reporting\nRehabilitation\nThere were 66 environmental events during the\nNo contaminated land issues arose during the year. All were minor and there were no report-\nperiod. The rehabilitation program is ongoing with able incidents.\nareas contoured and planted as soon as is practi-\ncable. Trials of various species are undertaken to\nensure the optimal results for each location. Many\nspecies of trees and grass have been sown\nsuccessfully across the site. Some 26.2 hectares\nwere rehabilitated last year and 14.2 hectares of\nrehabilitation is planned for the present year.\ncontinued | |\n|---|---|", + "page_start": 20, + "page_end": 20, + "source_file": "ASX_KCN_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", + "query": "What is the day of the black container in Lachapelle ?", + "target_page": 4, + "target_passage": "LACHAPELLE MONDAY green weeks", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get**\n**tips for good composting practice.**\nOnly during opening hours every \nwednesday from 2 pm to 4 pm at \nthe old recycling centre impasse \nElie Teyssier-Miramont. (In case of \nunavailability, please contact the \nenvironment department). \n30 minute workshops/awareness- \nraising sessions are regularly \norganised (starting at 4pm). It is \npossible to leave with a composter \nduring these workshops**. \nRegistration and information with \nthe service. \n\n**Compost kit** **Plastic** **Wood**\n\n| 300 L | 20 € | 30 € |\n|---|---|---|\n| 300 L | 20 € | 30 € |\n\n\n400 L 25 € 35 € \n\n*Only payment by cheque made payable to the \n‘Tresor Public‘ are accepted \n**Specific condition of acquisition apply accor- \nding to your municipality of residence \n\n| Town | Black containe | r Yellow container | |\n|---|---|---|---|\n| Town | Black containe | r Yellow container | |\n| AGNAC | TUESDAY white weeks | THURSDAY green weeks | |\n| ALLEMANS-DU-DROPT | MONDAY green weeks | WEDNESDAY white weeks | |\n| ARMILLAC | TUESDAY white weeks | THURSDAY green weeks | |\n| BOURGOUGNAGUE | WEDNESDAY green weeks | FRIDAY white weeks | |\n| CAMBES | MONDAY green weeks | WEDNESDAY white weeks | |\n| LACHAPELLE | MONDAY green weeks | THURSDAY white weeks | |\n| LAPERCHE | TUESDAY white weeks | WEDNESDAY green weeks | |\n| LA-SAUVETAT-DU-DROPT | TUESDAY white weeks | THURSDAY green weeks | |\n| LAUZUN | MONDAY green weeks | FRIDAY white weeks | |\n| LAVERGNE | TUESDAY white weeks | THURSDAY green weeks | |\n| MIRAMONT-DE-GUYENNE | TUESDAY green weeks | THURSDAY white weeks | |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n| MONTIGNAC-TOUPINERIE | TUESDAY white weeks | THURSDAY green weeks | |\n| MOUSTIER | WEDNESDAY green weeks | WEDNESDAY white weeks | |\n| PEYRIÈRE | MONDAY green weeks | THURSDAY white weeks | |\n| PUYSSERAMPION | MONDAY green weeks | WEDNESDAY white weeks | |\n| | | | |\n| ROUMAGNE | MONDAY white weeks | THURSDAY green weeks | |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n| SAINT-PARDOUX-ISAAC | MONDAY white weeks | FRIDAY green weeks | |\n| SEGALAS | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n\n\n**MORE QUESTIONS ?**\n\nWebsite:**www.ccpl47.fr**\n/ Section En Pratique > Environnement > Gestion des déchets \n\n**Environnement Service**: \n12 rue du Renfort 47410 LAUZUN \n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr**\n**Composting**: anim.biodechets@ccpl47.fr / 06 33 72 84 18 \n**Recycling centre access, registration or modification**: iris@ccpl47.fr / 05 53 64 12 26 \n\n3 \n2 \n0 \n2 \n1 \n1 \n- \nm \no \nc \n. \ni \n\n. \n\no \nk \ne \nd \na \nw \nw \nw \n- \n\n. \n\ni \n\no \nk \né \nd \nA \n: \n\nn \no \ni \nt \np \ne \nc \nn \no \nC", + "page_start": 3, + "page_end": 3, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "**I PUT MY RUBBISH**\n**CONTAINER OUT**\n**ONLY WHEN FULL**\n\n| JANUARY | |\n|---|---|\n| JANUARY | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n\n\n| FEBRUARY | |\n|---|---|\n| FEBRUARY | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| MARCH | |\n|---|---|\n| MARCH | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| APRIL | |\n|---|---|\n| APRIL | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n\n\n2024 \n\n| MAY | |\n|---|---|\n| MAY | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n\n\n| JUNE | |\n|---|---|\n| JUNE | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| AUGUST | |\n|---|---|\n| AUGUST | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| SEPTEMBER | |\n|---|---|\n| SEPTEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n\n\n| OCTOBER | |\n|---|---|\n| OCTOBER | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| NOVEMBER | |\n|---|---|\n| NOVEMBER | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| DECEMBER | |\n|---|---|\n| DECEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |", + "page_start": 1, + "page_end": 1, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "| JULY | |\n|---|---|\n| JULY | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n\n\n**Collection on public holidays will take place, except May 1st and December 25th.**\n**The collection for Wednesday May 1st will be brought forward to Tuesday April 30th and**\n**the collection for Wednesday December 25th will be brought forward to Tuesday December 24th.**\n**The collection for Wednesday January 1st 2025 will be brought forward to Tuesday December 31st.**", + "page_start": 1, + "page_end": 1, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "| Name | Birth | Death | Notes |\n|---|---|---|---|\n| Name | Birth | Death | Notes |\n| By NN, a gardener | | | |\n| Daughter | 1660 | unknown | She married N de la Queue, a sentry.[158] |\n| By Louise de La Vallière (6 August 1644 – 6 June 1710) | | | |\n| Charles de La Baume Le Blanc | 19 December 1663 | 15 July 1665 (aged 1) | Not legitimised. |\n| Philippe de La Baume Le Blanc | 7 January 1665 | 1666 (aged 1) | Not legitimised. |\n| Marie Anne de Bourbon | 2 October 1666 | 3 May 1739 (aged 73) | Legitimised on 14 May 1667. Married Louis Armand I, Prince of Conti. |\n| Louis, Count of Vermandois | 3 October 1667 | 18 November 1683 (aged 16) | Legitimised on 20 February 1669. Held the office of Admiral of France. |\n| By Françoise-Athénaïs, marquise de Montespan (5 October 1641 – 27 May 1707) | | | |\n| Louise Françoise de Bourbon | at the end of March 1669 | 23 February 1672 (aged 2) | |\n| Louis Auguste, Duke of Maine | 31 March 1670 | 14 May 1736 (aged 66) | Legitimised on 20 December 1673. Held numerous offices, of which: Colonel General of the Suisses et Grisons, Governor of Languedoc, General of the Galleys, and Grand Master of Artillery. Also Duke of Aumale, Count of Eu and Prince of Dombes. Had issue. Founder of the Maine Line. Heir presumptive for several days. |\n| Louis César, Count of Vexin | 20 June 1672 | 10 January 1683 (aged 10) | Legitimised on 20 December 1673. |\n| Louise Françoise de Bourbon | 1 June 1673 | 16 June 1743 (aged 70) | Legitimised on 20 December 1673. Married Louis III, Prince of Condé. Had issue. |\n| Louise Marie Anne de Bourbon | 12 November 1674 | 15 September 1681 (aged 6) | Legitimised in January 1676. |\n| Françoise Marie de Bourbon | 9 February 1677 | 1 February 1749 (aged 72) | Legitimised in November 1681. Married Philippe II, Duke of Orléans, the Regent of France under Louis XV. Had issue. |\n| Louis Alexandre, Count of Toulouse | 6 June 1678 | 1 December 1737 (aged 59) | Legitimised on 22 November 1681. Held numerous offices, of which: Admiral of France, Governor of Guyenne, Governor of Brittany, and Grand Huntsman of France. Also Duke of Damville, of Rambouillet and of Penthièvre. Had issue. |\n| by Claude de Vin, Mademoiselle des Œillets (1637 – 18 May 1687) | | | |\n| Louise de Maisonblanche | c. 17 June 1676 | 12 September 1718 (aged 42) | In 1696 she married Bernard de Prez, Baron de La Queue.[159] |\n| by Angélique de Fontanges (1661 – 28 June 1681) | | | |\n| Son | January 1680 | January 1680 (stillborn) | |\n| Daughter | March 1681 | March 1681 (stillborn) | Her existence is uncertain. |\n\n\n**See also**\n\nCharles de Lorme, personal medical doctor to Louis XIV \nFundamental laws of the Kingdom of France \nHouse of France \nLevée (ceremony) \nList of French monarchs \nOutline of France \nLouis XIV style \nNicolas Fouquet \nFrench forestry Ordinance of 1669 \nPotager du Roi", + "page_start": 25, + "page_end": 25, + "source_file": "wikipedia5.pdf" + }, + { + "text": "parameter to be consistent with the current observations. We also calculate the scattering \n\ncross section between the DM particle and nucleon and discuss the implication for the direct \n\nDM search experiments. We summarize our results in the section IV. Our notations and the \n\nformulas used in our analysis are listed in Appendix. \n\nII. THE MINIMAL GAUGED U (1)B L MODEL WITH Z2 PARITY \n− \n\nThe model is based on the gauge group SU(3)C × SU(2)L × U(1)Y × \nU(1)B L. Additional \n\n− \nL, a SM singlet \nfields besides the standard model fields are a gauge field Z ′µ of the U(1)B \n− \n\nB L Higgs boson Ψ with two U(1)B L charge, and three RH neutrinos Ni which are \n− \n− \n\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH \n\nneutrinos, we use the four component representation of RH neutrino constructed from the \n\nWeyl spinor νRi, \n\nνRi \n\nNi ≡ \n, (1) \n  \n\nǫ ν∗Ri \n  \nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that \n\nthe RH neutrino N3 is stable and, hence, the DM candidate. \n\nDue to the additional gauge symmetry U(1)B L, the covariant derivative for each fields \n− \n\nis given by \n\nDµ = D(SM ) iqB LgB \nLZ ′µ, \n(2) \nµ \n− \n− − \n\nwhere D(SM ) is the covariant derivative in the SM, and qB L is the charge of each fields µ \n− \n\nunder the U(1)B L with its gauge coupling gB L. \n− − \n\nYukawa interactions relevant for the neutrino masses are given by \n\n3 2 3 \n\n1 \n2 yαi ¯Lα ˜ΦNi − \n¯NiΨPRNi + h.c., λRi \nLint = \n(3) \n\nXα=1 Xi=1 Xi=1 \n\nwhere ˜Φ = iτ2Φ∗ for Φ being the SM Higgs doublet, and without loss of generality we have \n− \n\nworked out in the basis where the second term in the right-hand-side is in flavor diagonal \n\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings \n\nwith the left-handed lepton doublets. \n\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B L Higgs Ψ is \n− \n\ngenerally given by \n\nV (Φ, Ψ) = m2 \n1| 2 + m2 \n2| \n\n2 + λ1| \n3 \n\n4 + λ2| 4 + λ3| \n\n2 \n2. \nΦ \n| \nΨ \nΦ \n| \nΨ \nΦ \n| \nΨ (4) \n| | | |", + "page_start": 2, + "page_end": 2, + "source_file": "1002.2525.pdf" + }, + { + "text": "From Eq. (19), one can see that σ(p) (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows \nSI ∝ \n\nthe spin-independent cross section of RH neutrino with a proton. The resultant cross section \n\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: \n\n8 \n7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such σSI . 4 10− 2 10− \n× − × \n\nas XENON1T [26] can reach the cross section predicted in our model. \n\n10-8 \n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as \n\nthose used in the previous section. The upper and lower lines correspond to sin θ = 0.7 and 0.3, \n\nrespectively. \n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal \n\ngauged U(1)B L model. We have introduced a discrete Z2 parity in the model, so that one \n− \n\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other \n\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. \n\nNo additional degrees of freedom are necessary to be added. We have evaluated the relic \n\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs \n\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal \n\nDM model. It has been found that the relic density consistent with the current observation \n\n8", + "page_start": 7, + "page_end": 7, + "source_file": "1002.2525.pdf" + }, + { + "text": "| Position | Color | Name | State | Meaning |\n|---|---|---|---|---|\n| Position | Color | Name | State | Meaning |\n| Right | Amber | Fault | On | The canister is in a service state, or in error, preventing the software from starting. |\n| | | | Flashing (2 Hz) | Canister is being identified. |\n| | | | Off | Node is either in candidate or active state. |\n\n\n**13.1.2 Expansion canisters**\n\nAs Figure 13-2 shows, two 12 Gbps SAS ports are side by side on the canister of every \nenclosure. They are numbered 1 on the left and 2 on the right. Similar to the controller \ncanisters, expansion canisters are also installed in the enclosure side by side in a vertical \nposition. \n\n**Canister LEDs**\n- green left: power \n- green horse-shoe: status \n- amber: fault \n**SAS Indicators**\n- green: link \n- amber: fault \n\n\n\nFigure 13-2 Expansion canister status LEDs \n\nThe interpretation of the SAS status LED indicators has the same meaning as the LED \nindicators of SAS ports in the control enclosure (Table 13-3 on page 676). \n\nTable 13-5 lists the LED status values of the expansion canister. \n\nTable 13-5 Expansion canister LEDs statuses \n\n| Position | Color | Name | State | Meaning |\n|---|---|---|---|---|\n| Position | Color | Name | State | Meaning |\n| Left | Green | Power | On | The canister is powered on. |\n| | | | Off | No power available to the canister. |\n| Middle | Green | Status | On | The canister is operating normally. |\n| | | | Flashing | There is an error with the vital product date (VPD). |\n| Right | Amber | Fault | On | There is an error logged against the canister or the system is not running. |\n| | | | Flashing | Canister is being identified. |\n| | | | Off | No fault, canister is operating normally. |", + "page_start": 698, + "page_end": 698, + "source_file": "sg247938.pdf" + }, + { + "text": "| B A L A N C E | | | | Corning Annual Report 20 02 |\n|---|---|---|---|---|\n| B A L A N C E | | | | Corning Annual Report 20 02 |\n| | B A L A N C E | | | Corning Annual Report 20 02 |\n| | | | | |\n| | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "Higgs portal dark matter in the minimal gauged U (1)B L model \n− \n\nNobuchika Okada∗ \n\nDepartment of Physics and Astronomy, \n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA \n\n0 \n1 \n0 \n2 \n\nb \ne \nF \n3 \n1 \n\n] \nh \np \n- \np \ne \nh \n[ \n\n2 \nv \n5 \n2 \n5 \n2 \n. \n2 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nOsamu Seto† \n\nDepartment of Architecture and Building Engineering, \n\nHokkai-Gakuen University, Sapporo 062-8605, Japan \n\nAbstract \n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal \n\ngauged U (1)B L model by introducing an additional parity which ensures the stability of dark \n− \n\nmatter particle. The annihilation of this right-handed neutrino takes place dominantly through the \n\ns-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. \n\nWe show that the thermal relic abundance of the right-handed neutrino dark matter with help of \n\nHiggs resonance can match the observed dark matter abundance. In addition we estimate the cross \n\nsection with nucleon and show that the next generation direct dark matter search experiments can \n\nexplore this model.", + "page_start": 0, + "page_end": 0, + "source_file": "1002.2525.pdf" + }, + { + "text": "Description Date \n\nUpdated links to Serverless \nPatterns workshop (now with \n\nAugust 28, 2023 \n\nidempotence!). Fixed various \n\nlinks to additional resources. \n\nAdded links to the related \nserverless workshop for \nhands-on experience. \n\nApril 12, 2023 \n\nInitial release of the Serverles \ns Developer Guide! \n\nFebruary 19, 2023", + "page_start": 90, + "page_end": 90, + "source_file": "serverless-core.pdf" + } + ] + }, + { + "references": { + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", + "query": "What to do if my container is stolen ?", + "target_page": 4, + "target_passage": "Container stolen: What to do? In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**12.7 Recovering from a provider loss**\n\nIf both encryption key providers are enabled, and you lose one of them (by losing all copies of \nthe encryption key kept on the USB flash drives or by losing all SKLM servers), you can \nrecover from this situation by disabling the provider to which you lost the access. To disable \nthe unavailable provider, you must have access to a valid master access key on the remaining \nprovider. \n\nIf you have lost access to the encryption key server provider, issue the following command: \n\nchencryption -keyserver disable \n\nIf you have lost access to the USB flash drives provider, issue the following command: \n\nchencryption -usb disable \n\nIf you want to restore the configuration with both encryption key providers, follow the \ninstructions that are described in 12.5, “Configuring more providers” on page 647. \n\n**Note:**If you lose access to all encryption key providers that are defined in the system, no \nmethod is available to recover access to the data protected by the master access key. \n\n**12.8 Using encryption**\n\nThe design for encryption is based on the concept that a system is fully encrypted or not \nencrypted. Encryption implementation is intended to encourage solutions that contain only \nencrypted volumes or only unencrypted volumes. For example, after encryption is enabled on \nthe system, all new objects (for example, pools) are by default created as encrypted. \n\nSome unsupported configurations are actively policed in code. For example, no support exists \nfor creating unencrypted child pools from encrypted parent pools. However, exceptions exist: \n\n(cid:2) During the migration of volumes from unencrypted to encrypted volumes, a system might \nreport both encrypted and unencrypted volumes. \n\n(cid:2) It is possible to create unencrypted arrays from CLI by manually overriding the default \nencryption setting. \n\n**Notes:**Encryption support for Distributed RAID is available in IBM Spectrum Virtualize \ncode V7.7 and later. \n\nYou must decide whether to encrypt or not encrypt an object when it is created. You cannot \nchange this setting later. To change the encryption state of stored data, you must migrate \nfrom an encrypted object (for example, pool) to an unencrypted one, or vice versa. Volume \nmigration is the only way to encrypt any volumes that were created before enabling \nencryption on the system.", + "page_start": 677, + "page_end": 677, + "source_file": "sg247938.pdf" + }, + { + "text": "**Managing Tivoli Storage Manager storage**\nFor each automated library, Tivoli Storage Manager tracks in its volume inventory for the \nlibrary whether a volume has scratch or private status: \n\n(cid:2) A*scratch volume*is a labeled volume that is empty or contains no valid data, and it can be \nused to satisfy any request to mount a scratch volume. To support Content Manager \nOnDemand, you define scratch volumes to Tivoli Storage Manager. Tivoli Storage \nManager uses scratch volumes as needed, and returns the volumes to scratch when they \nbecome empty (for example, when all data on the volume expires). \n\n(cid:2) A*private volume*is a volume that is in use or owned by an application, and it might contain \nvalid data. Volumes that you define to Tivoli Storage Manager are private volumes. A \nprivate volume is used to satisfy only a request to mount that volume by name. When \nTivoli Storage Manager uses a scratch volume, it changes the volume’s status to private. \nTivoli Storage Manager tracks whether defined volumes were originally scratch volumes. \nVolumes that were originally scratch volumes return to scratch status when they become \nempty. \n\n**Secondary storage of storage volumes**\nFor instructions that describe how to handle physical storage volumes and remove them from \nthe library, see the documentation that is provided by the library manufacturer. \n\nFor instructions about documentation that you might need to complete when you remove \nstorage volumes from a library and where to store them for safekeeping, see your \norganization’s media storage guide. \n\n**Protecting data with data retention protection**\nTo avoid the accidental erasure or overwriting of critical data, Content Manager OnDemand \nsupports the Tivoli Storage Manager APIs that relate to data retention.*Data retention*\n*protection*prohibits the explicit deletion of documents until their specified retention criterion is \nmet. Although documents can no longer be explicitly deleted, they can still expire. \n\n**Important notes**: \n\n(cid:2) Data retention protection is*permanent*. After it is turned on, it cannot be turned off. \n(cid:2) Content Manager OnDemand does not support deletion on hold data. This feature \nprevents held data from being deleted until the hold is released. \n\nTivoli Storage Manager supports two retention policies: \n\n(cid:2) In*creation-based retention*, the policy becomes active when the data is stored (created) \non the Tivoli Storage Manager server. This policy is the default retention policy method \nand it is used with normal backup/archive clients. \n\n(cid:2) In*event-based retention*, the policy becomes active when the client sends a retention \n\nevent to the Tivoli Storage Manager server. The retention event can be sent to the server \nany time after the data is stored on the server. Until the retention event is received, the \ndata is indefinitely stored on the Tivoli Storage Manager server. For Content Manager \nOnDemand, the retention event is the call to delete the data. A load, unload, application \ngroup delete, or expiration of data triggers the retention event.", + "page_start": 257, + "page_end": 257, + "source_file": "sg246915.pdf" + }, + { + "text": "Figure 5-93 Enclosure removed \n\nAs part of the enclosure removal process, consult your company security policies about how \nto handle sensitive data on removed storage devices before they leave the secure data \ncenter. Most companies require data to be encrypted or logically shredded. \n\n**5.11.3 Restarting the GUI Service**\n\nThe service that runs that GUI operates from the configuration node. Occasionally, you might \nneed to restart this service if the GUI is not performing to your expectation (or you cannot \nconnect). To do this, you log on to the service assistant and identify the configuration node, as \nshown in Figure 5-94.", + "page_start": 210, + "page_end": 210, + "source_file": "sg247938.pdf" + }, + { + "text": "(cid:2) Unmounting all file systems that were created on IBM Spectrum Virtualize volumes (for file \nsystems created directly on IBM Spectrum Virtualize volumes) or bringing offline all logical \nvolume groups by using volumes that are presented by the IBM Spectrum Virtualize \nsystem. \n\n(cid:2) Accepting loss of access to storage for volumes that are mirrored at the operating system \nlevel. \n\nFor volumes that are mirrored at the operating system level, loss of one of the data copies \ntriggers errors in the operating system and causes a loss of redundancy because the data \ncopies go out of sync. \n\n**Note:**Some applications (for example, databases), can use a volume that is not mounted \nas a file system. Make sure that no volumes that are presented by the IBM Spectrum \nVirtualize are in use on a host if you want to shut down the storage system but not the host. \n\nBefore shutting down the system, ensure that you stopped all FlashCopy mappings, remote \ncopy relationships, data migration operations, and forced deletions. \n\nStorwize V7000 control enclosures contain batteries that provide backup power to the system \nto protect against unforeseen loss of power. When AC power to the enclosure is interrupted \nfor more than approximately 10 seconds, the system starts system state dump procedure, \nwhich includes saving cached data to an internal drive. \n\nWhen the process to save critical data starts, the system stops handling I/O requests from the \nhost applications, and Metro Mirror and Global Mirror relationships go offline. The system \npowers off when the saving of the critical data completes. If AC power is restored after the \nsystem state dump starts, the dump continues to completion. The system then restarts. \n\n**Note:**Storwize V7000 expansion canisters do not cache volume data or store state \ninformation in volatile memory. Therefore, they do not require battery power. If AC power to \nboth power supplies in an expansion enclosure fails, the enclosure powers off. When AC \npower is restored to at least one of the power supplies, the controller restarts without \noperator intervention. \n\nIn a fully redundant system with two batteries and two canisters, there is enough charge in the \nbatteries to support saving critical data from both canisters to a local drive twice. In a system \nwith a failed battery, there is enough charge in the remaining battery to support saving critical \ndata from both canisters to a local drive once. \n\nIf both node canisters shut down without writing the cache and state data to the local drive, \nthe system is unable to restart without an extended service action. The system configuration \nmust be restored. If any cache write data is lost, volumes must be restored from a backup. \nTherefore, it is important not to remove the canisters or the power supply units from the \ncontrol enclosures unless directed to do so by the service procedures. Removing either of \nthese components might prevent the node canister from writing its cache and state data to \nthe local drive. \n\nIn case of an imminent power loss, strive to shut down the system cleanly, without triggering \nthe data dump procedure. This process preserves battery charges for actual emergencies. \n\nWhen the AC power is restored after a power outage that causes both canisters to save their \ncritical data, the system restarts only when the batteries have sufficient charge to power both \ncanisters for the duration of saving the critical data again.", + "page_start": 146, + "page_end": 146, + "source_file": "sg247938.pdf" + }, + { + "text": "Figure 6-26 Actions on internal storage \n\nThe actions available depend on the status of the drive or drives selected. Some actions can \nbe run only on a set of them, and some are possible only for individual drives. \n\n**Action: Fix error**\nThis action is only available if the drive selected has an error event that is associated with it. \nSelect**Fix Error**to start the Directed Maintenance Procedure (DMP) for the selected drive. \nFor more information about DMPs, see Chapter 13, “RAS, monitoring, and troubleshooting” \non page 673. \n\n**Action: Take offline**\nSelect**Take Offline**to take a drive offline. You must confirm the action, as shown in \nFigure 6-27. \n\nFigure 6-27 Taking a drive offline \n\nIf a spare drive is available and the drive is taken offline, the MDisk of which the failed drive is \na member remains*Online*. The spare is automatically reassigned. If no spare drive is \navailable and the drive is taken offline, the status of the array of which the failed drive is a \nmember becomes*Degraded*. Therefore, the status of the storage pool to which the MDisk \nbelongs becomes*Degraded*as well. \n\nThe system prevents you from taking the drive offline if one of the following conditions is true: \n\n(cid:2) The first option was selected and no suitable spares are available. \n\n(cid:2) Losing another drive in the array results in data loss. \n\nA drive that is taken offline is considered*Failed*, as shown in Figure 6-28 on page 211.", + "page_start": 231, + "page_end": 231, + "source_file": "sg247938.pdf" + }, + { + "text": "2. Verify that all USB drives plugged into the system are detected and show as Validated, as \nshown in Figure 12-87. Click**Rekey**. You need at least three USB flash drives, with at least \none reported as Validated to process with rekey. \n\nFigure 12-87 Start rekey on USB flash drives provider \n\n3. \n\nIf the system detects a validated USB flash drive and at least three available USB flash \ndrives, new encryption keys are automatically copied on the USB flash drives, as shown in \nFigure 12-88 on page 670. Click**Commit**to finalize the rekey operation.", + "page_start": 690, + "page_end": 690, + "source_file": "sg247938.pdf" + }, + { + "text": "**I PUT MY RUBBISH**\n**CONTAINER OUT**\n**ONLY WHEN FULL**\n\n| JANUARY | |\n|---|---|\n| JANUARY | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n\n\n| FEBRUARY | |\n|---|---|\n| FEBRUARY | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| MARCH | |\n|---|---|\n| MARCH | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| APRIL | |\n|---|---|\n| APRIL | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n\n\n2024 \n\n| MAY | |\n|---|---|\n| MAY | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n\n\n| JUNE | |\n|---|---|\n| JUNE | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n\n\n| AUGUST | |\n|---|---|\n| AUGUST | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| SEPTEMBER | |\n|---|---|\n| SEPTEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n\n\n| OCTOBER | |\n|---|---|\n| OCTOBER | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n\n| NOVEMBER | |\n|---|---|\n| NOVEMBER | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n\n| DECEMBER | |\n|---|---|\n| DECEMBER | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |", + "page_start": 1, + "page_end": 1, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + }, + { + "text": "**7.8.23 Tracing a volume from a host back to its physical disks**\n\nIn some cases, you might need to verify exactly which physical disks are used to store data of \na volume. This information is not directly available to the host; however, it might be obtained \nby using a sequence of queries. \n\nThe first step is to unequivocally map a logical device seen by the host to a volume that is \npresented by the storage system. The best volume characteristics for this purpose is the \nvolume ID. This ID is available to the operating system in the Vendor Specified Identifier field \nof page 0x80 or 0x83 (vital product data, VPD), which the storage device sends in response \nto SCSI INQUIRY command from the host. \n\nIn practice, the ID can be obtained from the multipath driver in the operating system. After the \nvolume ID is known, it can be used to identify physical location of data. \n\n**Note:**For sequential and image mode volumes, a volume copy is mapped to exactly one \nMDisk. This configuration often is not the case for stripped volumes, unless volume size is \nnot greater than an extent size. Therefore, a single stripped volume uses multiple mDisks \nin a typical case. \n\nOn hosts that are running IBM System Storage Multipath Subsystem Device Driver, you can \nobtain the volume ID from the output of the**datapath query device**command. You see a long \ndisk serial number for each vpath device, as shown in Example 7-37. \n\nExample 7-37 The datapath query device command \n\nDEV#: 0 DEVICE NAME: Disk1 Part0 TYPE: 2145 POLICY: OPTIMIZED \nSERIAL: 60050768018301BF2800000000000005 \n============================================================================ \nPath# Adapter/Hard Disk State Mode Select Errors \n 0 Scsi Port2 Bus0/Disk1 Part0 OPEN NORMAL 20 0 \n 1 Scsi Port3 Bus0/Disk1 Part0 OPEN NORMAL 2343 0 \n\nDEV#: 1 DEVICE NAME: Disk2 Part0 TYPE: 2145 POLICY: OPTIMIZED \nSERIAL: 60050768018301BF2800000000000004 \n============================================================================ \nPath# Adapter/Hard Disk State Mode Select Errors \n 0 Scsi Port2 Bus0/Disk2 Part0 OPEN NORMAL 2335 0 \n 1 Scsi Port3 Bus0/Disk2 Part0 OPEN NORMAL 0 0 \n\nDEV#: 2 DEVICE NAME: Disk3 Part0 TYPE: 2145 POLICY: OPTIMIZED \nSERIAL: 60050768018301BF2800000000000006 \n============================================================================ \nPath# Adapter/Hard Disk State Mode Select Errors \n 0 Scsi Port2 Bus0/Disk3 Part0 OPEN NORMAL 2331 0 \n 1 Scsi Port3 Bus0/Disk3 Part0 OPEN NORMAL 0 0", + "page_start": 335, + "page_end": 335, + "source_file": "sg247938.pdf" + }, + { + "text": "**Action: Identify**\nSelect**Identify**to turn on the LED light that identifies a drive that must be replaced or that you \nwant to troubleshoot. Select this action to access a dialog box like the one shown in \nFigure 6-30. \n\nFigure 6-30 Identifying an internal drive \n\nYour action makes an amber LED flash (turn on and off continuously) for the drive that you \nwant to identify. \n\nClick**Turn LED Off**when you are finished. The LED returns to its initial state. \n\nIn the CLI, this action requires a command that operates with the drive enclosure. The LED \ndoes not belong to a drive itself, but to the slot of the enclosure, so the command is \n**chenclosureslot**. See Example 6-14 for commands to turn on and off identification LED on \nslot 3 of enclosure 1, populated with drive id 21. \n\nExample 6-14 Changing slot LED to identification mode with CLI \n\nIBM_Storwize:ITSOV7K:superuser>lsenclosureslot -slot 3 1 \nenclosure_id 1 \nslot_id 3 \nfault_LED off \npowered yes \ndrive_present yes \ndrive_id 21 \nIBM_Storwize:ITSOV7K:superuser>chenclosureslot -identify yes -slot 3 1 \nIBM_Storwize:ITSOV7K:superuser>lsenclosureslot -slot 3 1 \nenclosure_id 1 \nslot_id 3 \nfault_LED slow_flashing \npowered yes \ndrive_present yes \ndrive_id 21 \nIBM_Storwize:ITSOV7K:superuser>chenclosureslot -identify no -slot 3 1", + "page_start": 233, + "page_end": 233, + "source_file": "sg247938.pdf" + }, + { + "text": "6. Install the latest operating system updates: \n\n**ansible -i <inventory_file> nodes,lb -a 'yum -y update --security**\n**--exclude=cloud-init\\*'**\n [WARNING]: Consider using the yum module rather than running yum. If you need to use \ncommand because yum is insufficient you can add warn=False to this \ncommand task or set command_warnings=False in ansible.cfg to get rid of this message. \n\nmstnode02.domain.example.com | SUCCESS | rc=0 >> \nLoaded plugins: product-id, search-disabled-repos, subscription-manager \n5 package(s) needed (+0 related) for security, out of 5 available \nResolving Dependencies \n--> Running transaction check \n---> Package kernel.ppc64le 0:4.14.0-115.14.1.el7a will be installed \n... \nOutput truncated \n... \nInstalled: \n kernel.ppc64le 0:4.14.0-115.14.1.el7a \n\nUpdated: \n kernel-bootwrapper.ppc64le 0:4.14.0-115.14.1.el7a \n kernel-tools.ppc64le 0:4.14.0-115.14.1.el7a \n kernel-tools-libs.ppc64le 0:4.14.0-115.14.1.el7a \n python-perf.ppc64le 0:4.14.0-115.14.1.el7a \n\nComplete! \n\n7. Update kernel parameters: \n\n**ansible -i <inventory_file> nodes,lb -m sysctl -a \"name=vm.max_map_count**\n**value=262144 state=present sysctl_set=yes reload=yes\"**\n**ansible -i <inventory_file> nodes,lb -m sysctl -a \"name=net.ipv4.ip_forward**\n**value=1 state=present sysctl_set=yes reload=yes\"**\n**ansible -i <inventory_file> nodes,lb -m sysctl -a**\n**\"name=fs.inotify.max_user_watches value=65536 state=present sysctl_set=yes**\n**reload=yes\"**\nmstnode02.domain.example.com | SUCCESS => { \n \"changed\": true \n} \n... \nOutput truncated \n... \nlbsnode01.domain.example.com | SUCCESS => { \n \"changed\": true \n} \nwrknode01.domain.example.com | SUCCESS => { \n \"changed\": true \n} \n**ansible -i <inventory_file> lb -m sysctl -a \"name=net.ipv4.ip_nonlocal_bind**\n**value=1 state=present sysctl_set=yes reload=yes\"**\nlbsnode01.domain.example.com | SUCCESS => { \n \"changed\": true \n}", + "page_start": 145, + "page_end": 145, + "source_file": "sg248459.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed6_cc4.pdf", + "query": "How many people include the Dyspnea study ?", + "target_page": 1, + "target_passage": "This population-based study included 2,857 adults who were experiencing respiratory symptoms.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "4. Müller A, Mraz T, Wouters EFM, et al. \nPrevalence of dyspnea in general adult \npopulations: a systematic review and \nmeta-analysis. Respir Med. 2023;218: \n107379. \n\nAcknowledgments \nAuthor contributions: S. D. A. and G. A. W. \ncontributed to conception and design. J. B., E. \nG., G. A. W., K. L. V., and S. D. A. \ncontributed to analysis and interpretation. J. \nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C. \nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. \nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L., \nT. A., N. E., G. G. A., and S. M. contributed to \ndrafting the manuscript for important \nintellectual content. All authors had access to \nand participated in the interpretation of the \ndata and provided input into the preparation \nand submission of the manuscript. The \nauthors vouch for the accuracy and \ncompleteness of the data. \nRole of sponsors: The sponsor had no role in \nthe design of the study, the collection and \nanalysis of the data, or the preparation of the \nmanuscript. \nOther contributions: We thank the \nfollowing individuals from the Canadian \nstudy sites: Ottawa Hospital Research \nInstitute, Ottawa, Ontario: Taylor Poulin; \nSusan Deveau, RRT; Victoria Thompson; \nMeredith McCleery; Angelina Tohme; Vicky \nPanteleakos, RRT; Geneviève Longtin, RRT; \nJoanne Cassidy, RRT; Amanda Bergeron, \nMSc; Jennifer Biggs, RN; Jessica Bergeron; \nand Elisabet White; Vancouver General \nHospital, Vancouver, British Columbia: \nShelley Abercromby, BSc; Jana Caine; David \n\nSavage; Natasha Verzosa; Ravneet Mahal; and \nMary Justine Angeles; Queen Elizabeth II \nHealth Sciences Centre, Halifax, NS: Scott \nFulton, RRT; Hôpital du Sacré Coeur de \nMontréal, Montréal, QC: Simone Chaboillez, \nMT; and Meliza Benabdallah; St. Joseph’s \nHamilton, Hamilton, ON: Liz Johnson; St. \nBoniface Hospital, Winnipeg, MB: Cheryl \nNoble, RN; Institut Universitaire de \nCardiologie et de Pneumologie de Québec- \nUniversité Laval, Québec, QC: Johane \nLepage, BSc; Joanne Milot, RN; and \nChristiane Balizet, RN; University of Calgary, \nCalgary, AB: Lisette Machado, MD; and \nCurtis Dumonceaux, BSc; University of \nAlberta, Edmonton, AB: Miranda Bowen, \nRRT; Fay Hartt; Angie Hillaby, RRT; and \nAmy Haartsma, RRT; St. Michael’s Hospital, \nToronto, ON: Stephanie Segovia, PhD; and \nCarolyn Spiegel-Feld; Queen’s University \nKingston General Hospital, Kingston, ON: \nAnn Taite, BSc; Alison Morra, BScN; Emma \nBullock, HBSc; and Taylar Wall, RRT; \nUniversity of Saskatchewan Royal University \nHospital, Saskatoon, SK: Nancy Zacher; Janet \nBaran, RN; and Yessica Lopez, BA; London \nHealth Sciences Centre - Victoria Hospital, \nLondon, ON: Katie Maguire; Heba \nAlmadhoun; and Robert Campbell-Pereira, \nBSc; St. Clare’s Mercy Hospital, St John’s, NL: \nSarah Anthony, BNRN; and Tanya Nolan, \nBNRN; McGill University Health Centre, \nMontreal, QC: Francine Noel; Royal Victoria \nRegional Health Centre, Barrie, ON: Masoud", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "prevalence of dyspnea in the adult general population \nacross 11 studies was estimated to be 10%. Dyspnea can \narise from a broad spectrum of underlying factors, \nincluding both respiratory and nonrespiratory \nconditions. Studies have revealed that dyspnea is not \nsolely attributable to respiratory conditions but is also \nheavily influenced by cardiovascular deconditioning and \nby nonrespiratory factors, including psychosocial, social, \nand environmental determinants.5,6 \n\nTake-home Points \n\nStudy Question: How profoundly are adults with \nundiagnosed respiratory symptoms \naffected by \ndyspnea? \nResults: In community-based adults with undiag- \nnosed respiratory symptoms, those identified with \npreserved ratio impaired spirometry experienced the \ngreatest impact of dyspnea, followed by those with \nundiagnosed asthma or COPD. Greater dyspnea \nimpact was associated with increased health care \nutilization, lower quality of life, and reduced work \nproductivity. \nInterpretation: Dyspnea imposes burdens on the \nhealth care system and is associated with impaired \nquality of life and work productivity. \n\nDyspnea is a prevalent symptom with consequences that \nextend beyond its physiologic implications. A study in \nEuropean patients with COPD explored the burden of \ndyspnea and identified potential correlates. The study \nrevealed that higher dyspnea impact correlated with \nlower health-related quality of life, increased work \nimpairment, and a higher frequency of emergency \ndepartment visits.7 \n\nDyspnea refers to a subjective sensation of breathing \ndiscomfort.1 In a study involving a community-based \npopulation aged > 70 years, the prevalence of dyspnea \nwas found to be 32%.2 Dyspnea can lead to limitations in \ndaily activities, reduced exercise tolerance, and \nheightened mortality risks.3 \n\nThe three objectives of our study were as follows: (1) to \nevaluate the impact of dyspnea in adults from the \ngeneral population who had no prior diagnosis of \nrespiratory disease but who reported having significant \nrespiratory symptoms in the past 6 months; (2) to \nidentify associated risk factors for dyspnea and estimate \ntheir influence on the symptom; and (3) to explore the \nrelationship between dyspnea and health care utilization, \nquality of life, and work productivity in adults with \nundiagnosed respiratory symptoms. \n\nDyspnea not only affects individuals with diagnosed \nrespiratory conditions but also poses a significant \nburden on those with undiagnosed conditions. In a \nsystematic review by Müller et al,4 the combined \n\nStudy Design and Methods \nRecruitment of Undiagnosed Cases and Healthy \nControl Patients \nBetween June 2017 and January 2023, adults aged $ 18 \nyears were recruited through a two-step process into the \nUndiagnosed COPD and Asthma Population (UCAP) \nstudy, a multicenter case finding study. Approval for \n\nthe study was obtained from the research ethics boards \nof \nthe 17 participating study sites across Canada. \nInformed, written consent was provided by all study \nparticipants. \n\nBoth landlines and cellphones within a 90-minute radius \nof any of the 17 study sites were dialed randomly. A", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 6 ] Dyspnea R | Regressed on Lung Functio | on Variables Representing | Severity of Impairment | |\n|---|---|---|---|---|\n| Disease Group | Reversibility of FEV, % 1 | Post-BD FEV/FVC Ratio 1 | Post-BD FEV % predicted 1 | Overall P Value |\n| Control | \u00030.163 (P ¼ .47) | \u00030.274 (P [ .05) | \u00030.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | 0.240 (P [ .005) | \u00030.131 (P < .001) | < .001 |\n| Asthma | 0.545 (P [ .01) | 0.107 (P ¼ .58) | \u00030.158 (P ¼ .08) | .009 |\n| COPD | 0.392 (P [ .002) | \u00030.307 (P [ .05) | \u00030.075 (P ¼ .37) | < .001 |\n| PRISm | \u00030.290 (P ¼ .39) | 0.854 (P [ .002) | \u00030.650 (P [ .004) | < .001 |\n\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry \ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio \nimpaired spirometry. \n\n(eg, climate, air quality/industrialization, socioeconomic \nstatus) of the catchment population tend to vary across \nstudy sites. \n\nApproximately 65% of the variability in dyspnea \nremained unexplained by the factors examined in our \nstudy. Most individuals in our study showed normal \nspirometry results but still carried a substantial \nburden of dyspnea, an inconsistency that needs \nexplanation. Several factors not included in our \nanalysis may have contributed to the unexplained \nvariation. Environmental factors (eg, air pollution, \nallergen exposure, seasonal variations in symptoms) \nare potential contributors to this unexplained \nvariability.22 Genetic predispositions could also play a \nsignificant role, as suggested by a study that revealed \nthat parents with dyspnea were 1.8 times more likely \nto have offspring with dyspnea.23 Additionally, fitness \ncould be a contributing factor, especially in \nindividuals with undiagnosed PRISm, asthma, or \nCOPD who may restrict their activities to avoid \ndyspnea, and hence become deconditioned.6 \n\nDyspnea is a complex, subjective symptom that is \nmodified by nonrespiratory factors including \npsychosocial, social, and environmental influences.5 \nInterindividual variability in the perception of dyspnea, \ninfluenced by these nonrespiratory factors, may play an \nimportant role. A study conducted by Ziegler et al24 \nassessed the perception of dyspnea in 42 healthy \nindividuals using a standardized inspiratory resistive \nloading stimulus. The study used the modified Borg \nscale to measure dyspnea perception levels. Among the \nparticipants subjected to the same inspiratory resistive \nload, 31%, 45%, and 24% of participants classified their \nlevel of dyspnea as low, intermediate, and high, \nrespectively. The study revealed that differences between \nindividuals contribute considerable variability to the \nperception of dyspnea, even among healthy participants. \n\nThere were significant but modest differences in mean \ndyspnea levels across the 17 study sites (data not \nshown), which are not explained by the risk factors we \naccounted for in our study. This finding is not surprising \nbecause some of the potential contributing factors \npreviously mentioned and other site-specific factors \nThe affective dimension of dyspnea can be captured \nusing additional questionnaires (eg, Multidimensional \nDyspnea Profile, Dyspnea-12). Studies have explored the \nuse of the Multidimensional Dyspnea Profile in", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Impact of Dyspnea on Adults With \nRespiratory Symptoms Without a Defined \nDiagnosis \n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; \n\nLouis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; \n\nCatherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; \n\nM. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; \n\nGonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD \n\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health \ncare utilization, quality of life, and work productivity in adults with undiagnosed respiratory \nsymptoms. \n\nRESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory \nsymptoms? \n\nSTUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were \nexperiencing respiratory symptoms. These individuals had not been previously diagnosed \nwith any lung conditions and were recruited from 17 Canadian centers using random digit \ndialing. Each participant underwent spirometry testing both before and after using a bron- \nchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved \nratio impaired spirometry (PRISm), or if their spirometry results were normal. An age- \nmatched control group (n ¼ 231) was similarly recruited using random digit dialing. A \ndyspnea impact assessment score from 0 to 100 was produced using questions from the \nCOPD Assessment Test and St. George’s Respiratory questionnaire. \nRESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, \n63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; \n95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All \ngroups reported significantly more impactful dyspnea than the control group (mean score, \n13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and \ncomorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the \nvariation was explained by disease classification and another 1.7% by the severity of lung \nfunction impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater \ndyspnea impact was associated with increased health care utilization, lower quality of life, and \nreduced work productivity. \nINTERPRETATION: Our findings showed that in community-based adults with undiagnosed \nrespiratory symptoms, those identified with PRISm experienced the greatest impact of dys- \npnea. Dyspnea imposes burdens on the health care system and is associated with impaired \nquality of life and work productivity. \nCHEST 2024; 166(6):1296-1308", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Risk Factors Associated With Dyspnea \nPatient-related risk factors were considered first, and re- \nsults of spirometry considered afterward. The spirom- \netry risk factors chosen for the second stage analysis \nincluded the spirometry-based diagnosis of the patient \n(asthma, COPD, PRISm, or normal) and lung function \nresults indicative of the severity of physiologic impair- \nment. Severity was gauged by assessing three principal \nlung function measures: (1) post-BD FEV1 % predicted, \n(2) post-BD FEV1/FVC ratio, and (3) percentage \nreversal of FEV1 with BD. \n\nindicate greater impairment in work productivity and \ndaily activities. \n\nStatistical Analysis \n\nBox plots were used to compare distribution patterns of \ndyspnea impact assessments among the disease groups. \nPairwise comparison tests were conducted to evaluate \nmean dyspnea differences between groups. Multiple \nlinear regression analysis was used to measure contribu- \ntions to variability of dyspnea by selected patient-specific \nrisk factors, spirometry disease classification, and key \nlung function measures. The selected sets of risk factors \nwere evaluated using successive regression analyses. \nAnalysis of variance sums of squares from the successive \nregression analyses provided the cumulative percentage \ncontributions to variability of dyspnea. Simple, multiple, \nand logistic regression analyses were used to study asso- \nciations between dyspnea and health care utilization, \nquality of life, and work productivity outcomes. All sta- \ntistical analyses were done using STATA 16 statistical \nsoftware (StataCorp). \n\nDyspnea Impact and Health Care Use, Quality of \nLife, and Work Productivity \n\nThe impact of dyspnea and its associations with health \ncare use, quality of life, and work productivity were exam- \nined. Health care utilization was assessed through self- \nreported data. Quality of life was assessed using the 36- \nItem Short Form Health Survey questionnaire, where \nhigher scores indicate better health status. Work produc- \ntivity was assessed using the Work Productivity and Activ- \nscores \nity Impairment questionnaire, where higher \n\nResults \nFigure 1 illustrates the results of the case finding \napproach, including the enrollment of the control group. \nAmong 5,631 potentially eligible participants, 1,359 participants (24%) did not meet the threshold of $ 6 \npoints on the ASQ or $ 20 points on the COPD- \nDiagnostic Questionnaire and were thus excluded, \nleaving 4,272 individuals deemed eligible for spirometry. \n\n21,274 excluded \n8,273 Previous diagnosis of asthma \n5,363 Previous diagnosis of COPD \n190 Age < 18 years \n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary \nfibrosis, or lung cancer \n1,331 History of MI, heart problems, stroke, aortic or cerebral \naneurysm, eye surgery, or detached retina in past 3 mos. \n19 Pregnant, in the third trimester \n3,715 Under care of respirologist or using an inhaled respiratory \n\n2,090 (73.2%) had normal \nspirometry \n172 (6.0%) had PRISM \n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; \nCOPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Although neither the CAT nor the SGRQ are dyspnea- \nspecific tools, both are recommended by the Global Initia- \ntive for Chronic Obstructive Lung Disease to evaluate \nsymptoms, including dyspnea,20 and both yield a richer \nassessment of dyspnea than the modified Medical \nResearch Council breathlessness scale.20 Fifteen questions \nwere taken from the CAT and SGRQ questionnaires that \nreferred to individuals’ experiences with dyspnea, and a \ncomposite measure of dyspnea impact using a weighted \nsum of the responses to the 15 questions was constructed. \nQuestions were coded so that larger values indicate more \nimpactful dyspnea. Weights used for question responses \nin calculating the dyspnea impact assessment measure \nwere those of the first component of a principal compo- \nnent analysis (PCA) based on the covariance matrix of \nquestion responses. Questions with multiple responses \nand ordinal structure are individually more informative \nand thus were accorded higher weight than individual \ntrue-false questions. No additional PCA component was \nanticipated a priori to be material for our investigation, \nand an eigenvalue analysis of the PCA was conducted to \nverify this assumption. \n\nAll participants filled out the COPD Assessment Test \n(CAT) questionnaire. Elevated CAT scores indicate a \ngreater burden of respiratory symptoms impacting \ndaily activities and health status.13 The St. George’s \nRespiratory Questionnaire (SGRQ)14-16 was used to \nassess respiratory disease-related quality of life. Higher \nSGRQ scores indicate poorer health status. Both the \nCAT and SGRQ questionnaires were completed prior The composite dyspnea impact measure was scaled so its \nminimum value was 0 if the response to each of the 15 \nquestions was 0, and the maximum value was scaled to \n100 if the individual responses for all 15 questions rep- \nresented the most severe dyspnea response.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 2 ] Mean Responses to Individual Dyspnea Questions | | | | | | |\n|---|---|---|---|---|---|---|\n| Questions About Dyspnea From CAT and SGRQ | | Control Group (n ¼ 231) | Normal Spirometry Group (n ¼ 2,090) | Asthma Group (n ¼ 265) | COPD Group (n ¼ 330) | PRISm Group (n ¼ 172) |\n| Q1 (weight ¼ 0.514) | When I walk up a hill or one flight of stairs, I am breathless. The scale for this question ranges from 0 (when I walk up a hill or 1 flight of stairs, I am not breathless) to 5 (when I walk up a hill or one flight of stairs, I am very breathless). | 0.90 (1.04) | 2.85 (1.46) | 3.03 (1.37) | 3.21 (1.30) | 3.56 (1.37) |\n| Q2 (weight ¼ 0.436) | Over the past 3 mo, I have had shortness of breath. The scale for this question ranges from 0 (over the past 3 mo, I have had shortness of breath.not at all) to 4 (over the past 3 mo, I have had shortness of breath.most days a week). | 0.45 (0.89) | 2.50 (1.30) | 2.71 (1.18) | 2.83 (1.21) | 2.93 (1.18) |\n| Q3: I feel breathless these days. | | | | | | |\n| | Sitting or lying still, % | 3 | 16 | 23 | 14 | 19 |\n| | Getting washed or dressed, % | 2 | 17 | 21 | 20 | 28 |\n| | Walking around at home, % | 2 | 20 | 21 | 23 | 27 |\n| | Walking outside on the level, % | 4 | 36 | 42 | 38 | 49 |\n| | Climbing up a flight of stairs, % | 20 | 75 | 81 | 83 | 87 |\n| | Climbing hills, % | 35 | 83 | 89 | 90 | 89 |\n| | Playing sports or games, % | 34 | 78 | 83 | 81 | 82 |\n| Q3 (total) (weight ¼ 0.648) | The scale for this question ranges from 0 to 7, based on the number of positive answers for the 7 items. | 1.00 (1.25) | 3.23 (1.72) | 3.55 (1.63) | 3.45 (1.61) | 3.76 (1.75) |\n| Q4 (weight ¼ 0.091) | I am breathless when I talk, % | 2 | 35 | 43 | 37 | 39 |\n| Q5 (weight ¼ 0.095) | I am breathless when I bend over, % | 5 | 37 | 45 | 37 | 56 |\n| Q6 (weight ¼ 0.060) | I get afraid or panic when I cannot get my breath, % | 4 | 30 | 33 | 31 | 37 |\n| Because of my breathing. | | | | | | |\n| Q7 (weight ¼ 0.037) | I take a long time to get washed or dressed, % | 1 | 8 | 9 | 10 | 17 |\n| Q8 (weight ¼ 0.023) | I cannot take a bath or shower, or I take a long time, % | 0 | 5 | 7 | 7 | 8 |\n| Q9 (weight ¼ 0.116) | I walk slower than other people, or I have to stop for rests, % | 5 | 40 | 46 | 56 | 66 |\n| Q10 (weight ¼ 0.113) | Jobs such as housework take a long time, or I have to stop for rests, % | 3 | 38 | 40 | 48 | 59 |\n| Q11 (weight ¼ 0.124) | If I climb up one flight of stairs, I have to go slowly or stop, % | 5 | 47 | 44 | 57 | 67 |\n| Q12 (weight ¼ 0.127) | If I hurry or walk fast, I have to stop or slow down | 10 | 59 | 62 | 70 | 80 |", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "| TABLE 3 ] Intergroup Comparisons | s of Dyspnea Impact | | |\n|---|---|---|---|\n| Pairwise Comparison | Mean Dyspnea Score (95% CI) | Mean Difference (95% CI) | P Value |\n| Control | 13.8 (11.8-15.7) | \u000338.0 (\u000341.1 to \u000334.9) | < .001 |\n| Normal spirometry | 51.8 (50.7-52.8) | | |\n| Control | 13.8 (11.8-15.7) | \u000343.7 (\u000347.6 to \u000339.8) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Control | 13.8 (11.8-15.7) | \u000342.8 (\u000346.9 to \u000338.7) | < .001 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Control | 13.8 (11.8-15.7) | \u000349.2 (\u000353.7 to \u000344.6) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 5.7 (3.0 to 8.4) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 4.8 (1.8, 7.8) | .002 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 11.2 (7.5 to 14.8) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| PRISm | 63.0 (59.5-66.4) | 5.5 (1.1 to 9.8) | .014 |\n| COPD | 57.5 (55.1-59.9) | | |\n| PRISm | 63.0 (59.5-66.4) | 6.4 (1.9 to 10.9) | .005 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Asthma | 56.6 (53.9-59.3) | 0.9 (\u00032.8 to 4.7) | .63 |\n| COPD | 57.5 (55.1-59.9) | | |\n\n\nclassification accounted for 12% of the total variability \nof dyspnea. \n\nexposure in an array of risky occupations. These risk \nfactors, taken as a whole, accounted for 21% of the \nvariability in dyspnea. \n\nTable 6 presents the contribution of lung function \nmeasures of physiologic impairment after accounting for \npatient-related risk factors and disease classification. For \nthe PRISm disease group, a higher post-BD FEV1/FVC \nratio and a lower post-BD FEV1 % predicted value were \nassociated with greater dyspnea impact. For the COPD \ndisease group, a lower post-BD FEV1/FVC ratio was \nassociated with greater dyspnea impact. Reversibility of \nFEV1 was associated with higher dyspnea impact only in \npatients with asthma or COPD. Lung function measures \nof disease severity accounted for 2% of the variability in \ndyspnea. \n\nAfter adjustment for patient-specific risk factors in the \nfirst stage analysis, we adjusted for spirometry-defined \ndisease (PRISm, asthma, COPD, or normal \nspirometry) in Table 5. Adjustment for disease \n\nt \nn \ne \nm \ns \ns \ne \ns \ns \na \na \ne \nn \np \ns \ny \nD \n\nAfter adjusting for age, sex, and BMI, dyspnea was \nnegatively associated with all domains of quality of life, \nincluding physical functioning (coefficient, (cid:3)0.655; \nP < .001), role limitations due to physical health \n(coefficient, (cid:3)0.628; P < .001), general health \n(coefficient, (cid:3)0.382; P < .001), and total score \n(coefficient, (cid:3)0.473; P < .001) (Table 7). \n\n100 \n\n80 \n\n60 \n\n40 \n\n20 \n\n0 \n\nNormal \nspirometry \nAsthma COPD PRISm \n\nHealthy \ncontrol \nparticipants \n\nFigure 2 – Box plot demonstrating dyspnea impact according to \nspirometry disease classification. The center line marks the median. The \nboxes span the interquartile range (IQR). The outer fences are set at \ndistances 1.5 (cid:4) IQR from the box. Outliers appear as plotted dots. After adjusting for age, sex, and BMI, dyspnea was \nassociated with an increased likelihood of annual visits \nto health care providers for respiratory complaints (OR,", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "s \nt \nh \ng \ni \ne \nw \nn \no \ni \nt \ns \ne \nu \nQ \n\n; \ny \nr \nt \ne \nm \no \nr \ni \np \ns \n\nd \ne \nr \ni \na \np \nm \n\n. \nn \nw \no \nh \ns \ni \n\no \ni \nt \na \nr \ne \nr \na \n\nd \ne \nv \nr \ne \ns \ne \nr \np \n¼ \nm \nS \nI \nR \nP \n\ns \ne \ny \n\nd \ne \nr \ne \nw \ns \nn \na \n\no \nh \nw \ns \nt \nn \na \np \ni \nc \ni \nt \nr \na \np \n\n; \nt \ns \ne \nT \n\nt \nn \ne \nm \n\ns \ns \ne \ns \ns \nA \nD \nP \nO \nC \n¼ \nT \nA \nC \n\nf \no \n\ns \ne \ng \na \nt \nn \ne \nc \nr \ne \np \n\ne \nr \ne \nh \nw \n\nHowever, 1,415 either did not attend or were unable to \ncomplete adequate spirometry. Ultimately, 2,857 (67%) \nof those eligible underwent both pre- and post-BD \nspirometry. \n\nOf these 2,857 participants, 2,090 (73.2%) had normal \nspirometry, 265 (9.3%) had undiagnosed asthma, 330 \n(11.5%) had undiagnosed COPD, and 172 (6.0%) had \nPRISm based on post-BD spirometry. Of the 595 \nindividuals with spirometric evidence of asthma or \nCOPD, 253 were independently assessed by a \npulmonologist. In 245 of these 253 cases (97%), the \nindependent physician diagnosis agreed with the study \ndiagnosis of asthma or COPD. \n\nIndividuals in the COPD group were generally older \nand more likely to be male compared with all other \nstudy groups (Table 1). All groups, including healthy \ncontrol participants, had mean BMIs in the overweight \nor obese ranges. The PRISm group was heaviest with an \naverage BMI of 34.7, and 22% of PRISm patients met \nBMI criteria for morbid obesity. Compared with all \nother groups, those with COPD were the most likely to \nhave active or previous tobacco use, with the highest \naverage total pack-years of 32.7. The control group had \nthe lowest number of people with active or previous \ntobacco use. \n\n. \ns \nn \no \ni \nt \ns \ne \nu \nq \n\n, \ns \nn \no \ni \nt \ns \ne \nu \nq \nl \n\na \nu \nd \ni \nv \ni \nd \nn \no \nn \nr \no \ni \ns \ne \ny \nw \no \ne \nb \nl \ns \na \n\ns \nt \nn \na \np \ni \nc \ni \nt \nr \na \np \n\nn \nw \no \nh \ns \n\ne \nr \na \n\nt \nn \ne \nm \no \nt \n\nd \ne \nt \nn \ne \ns \ne \nr \np \ns \ns \ne \ns \ns \na \n\na \ne \nn \np \ns \ny \nd \n\ne \nr \ne \nw \n5 \n1 \nQ \no \nt \ne \nh \nt \n\ng \nn \ni \nt \na \nu \nc \na \nc \n3 \nQ \nd \nn \na \n\n, \n) \nl \na \nt \no \nt \n( \nr \no \nf \n\nd \ne \ns \nu \n\nTable 2 shows mean responses to the 15 dyspnea \nquestions for each disease classification and presents \nquestion weights (PCA scoring coefficients) used for \ncalculating the dyspnea impact assessment. \n\nIndividuals with PRISm reported the highest dyspnea \nimpact, with a significantly greater mean score (63.0; \n95% CI, 59.5-66.4) than those with undiagnosed \nasthma or COPD (Table 3). Those with undiagnosed \nasthma or COPD had similar mean scores (56.6; \n95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, \nrespectively), followed by those with normal \nspirometry (51.8; 95% CI, 50.7-52.8). All four groups \nreported significantly more impactful dyspnea than \nthe control group (mean score, 13.8; 95% CI, 11.8- \n15.7). Table 3 shows between-group differences in \nmean dyspnea impact assessments for each pair of \ndisease outcomes. Figure 2 compares box plots of the \ndyspnea impact assessment values across disease \nclassifications. \n\n| PRISm Group (n 172) ¼ | 74 | 81 | 88 |\n|---|---|---|---|\n| PRISm Group (n 172) ¼ | 74 | 81 | 88 |\n| COPD Group (n 330) ¼ | 69 | 78 | 85 |\n| Asthma Group (n 265) ¼ | 59 | 71 | 79 |\n| Normal Spirometry Group (n 2,090) ¼ | 54 | 65 | 74 |\n| Control Group (n 231) ¼ | 8 | 13 | 17 |\n| Questions About Dyspnea From CAT and SGRQ | My breathing makes it to do things such as difficult climbing up hills, carrying things up stairs, light gardening such as weeding, dancing, bowling, or % golfing, | My breathing makes it to do things such as difficult carrying heavy loads, digging the garden or shoveling snow, jogging, or walking at 5 km/h, playing tennis or swimming, % | My breathing makes it to do things such as very difficult heavy manual work, running, cycling, swimming fast, or playing competitive sports, % |\n| | Q13 (weight 0.132) ¼ | Q14 (weight 0.123) ¼ | Q15 (weight 0.108) ¼ |\n\n\nl \n\n. \ne \nr \ni \na \nn \nn \no \ni \nt \ns \ne \nu \nQ \n\nl \n\n3 \nQ \nd \nn \na \n\n) \ns \nt \nn \ne \ni \nc \nfi \nf \ne \no \nc \ny \nr \no \nt \na \nr \ni \np \ns \ne \nR", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Both landlines and cellphones within a 90-minute radius \nof any of the 17 study sites were dialed randomly. A \n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine \n(I. M. and M. B.), University of Alberta, Edmonton, AB; the Depart- \nment of Medicine (M. D. L.), Queen’s University, Kingston; the \nDepartment of Medicine (C. J. L.), University of Western Ontario, \nLondon, ON; the Department of Medicine (T. A.), Memorial Uni- \nversity, St. John’s, NF; the Department of Medicine (N. E.), McGill \nUniversity, Montreal, QC; the Department of Medicine (M. A.), Uni- \nversity of Manitoba, Winnipeg, MN, Canada. \nDrs Bierbrier and Gerstein contributed equally to this manuscript. \nPart of this work has been presented at the American Thoracic Society \nConference, May 17-22, 2024, San Diego, CA. \nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca \nCopyright (cid:1) 2024 The Author(s). Published by Elsevier Inc under li- \ncense from the American College of Chest Physicians. This is an open \naccess article under the CC BY license (http://creativecommons.org/ \nlicenses/by/4.0/). \n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = \nbronchodilator; CAT = COPD Assessment Test; PCA = principal \ncomponent analysis; PRISm = preserved ratio impaired spirometry; \nSGRQ = St. George’s Respiratory Questionnaire \nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. \nG., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, \nOttawa, ON; the Desautels Faculty of Management (G. A. W.), McGill \nUniversity, Montreal, QC; the Department of Medicine (C. B.), The \nUniversity of British Columbia, Vancouver, BC; \nthe Centre de \nrecherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumo- \nlogie de Québec, Université Laval, Quebec, QC; the Cumming School \nof Medicine (S. K. F.), University of Calgary, Calgary, AB; \nthe \nDepartment of Medicine (E. P.), University of Saskatchewan, Regina, \nSK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster \nUniversity, Hamilton, ON; the Department of Medicine (C. L.), Uni- \nversité de Montreal, Montreal, QC; the Department of Medicine and \nthe Li Ka Shing Knowledge Institute (S. G.), St. Michael’s Hospital \nUniversity of Toronto, Toronto, ON; the Department of Medicine", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed6_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "CompostGuide.pdf", + "query": "Can I put my plants directly on my compost ?", + "target_page": 2, + "target_passage": "Don’t\tput\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t\t compost\tthoroughly\tinto\texisting\tsoil\tbefore\t\t\t planting.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | A project of the Washington Organic Recycling Council, with\nsupport from the Washington State Department of Ecology’s\nPublic Participation Grant program.\nThis product was partly funded through a grant from the\nWashington Department of Ecology. While these materials\nwere reviewed for grant consistency, this does not necessarily\nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003\nwas created by the Washington County, Oregon Solid Waste and\nRecycling Program in cooperation with the Washington Organic\nRecycling Council and the Composting Council of Oregon.\nwww.compostwashington.org www.soilsforsalmon.org\nwww.ecy.wa.gov\noriginal artwork provided by: | Tips to Remember:\n• Don’t put plants into 100% compost. Mix\ncompost thoroughly into existing soil before\nplanting.\n• When transplanting, it’s better to amend the\nwhole bed, not just planting holes, to promote\nroot growth.\n• Ask your compost supplier which compost\nproduct is best for your intended use.\n• Use compost at the recommended application\nrate.\n• To maintain healthy soil, reapply compost or\nmulch every 1-2 years.\n• Many composts are rich in plant nutrients, so\nyou may be able to reduce fertilizer use after\napplying compost.\n• Compost can also reduce your lawn and garden’s\nsummer irrigation needs.\n• Compost-amended soil and mulching slow run\noff, reduce erosion, and break down pollutants.\nWhen you use compost, you’re helping to\nprotect our precious streams, rivers, lakes, and\nmarine waters. | | |\n|---|---|---|---|---|\n| | A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology’s Public Participation Grant program. This product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department. Special thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon. www.compostwashington.org www.soilsforsalmon.org www.ecy.wa.gov original artwork provided by: | Tips to Remember: • Don’t put plants into 100% compost. Mix compost thoroughly into existing soil before planting. • When transplanting, it’s better to amend the whole bed, not just planting holes, to promote root growth. • Ask your compost supplier which compost product is best for your intended use. • Use compost at the recommended application rate. • To maintain healthy soil, reapply compost or mulch every 1-2 years. • Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost. • Compost can also reduce your lawn and garden’s summer irrigation needs. • Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you’re helping to protect our precious streams, rivers, lakes, and marine waters. | | |", + "page_start": 1, + "page_end": 1, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Compost Questions and Answers \n**What is compost?**\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \n\n**What materials (“feedstocks”) are used to make compost?**\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost. \n\n**How do I know I’m getting safe, quality compost?**\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \n\n**What about weed seeds, plant diseases or pesticide residues?**\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process. \n\nCompost Beginnings \nThe yard debris or food scraps*that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds. \n\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips: \n\nl The products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \n\nl Please keep yard debris free of : \n x Garbage \n x Plastic of any sort \n- Plastic plant pots \n- Plastic plant tabs \n- Plastic bags (if you want to bag \n your yard debris, use paper \n garden bags - available at most \n garden centers) \n\n x Rock, brick, or masonry \n x Glass or metal \n x Pet waste.", + "page_start": 4, + "page_end": 4, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Applications for Compost \n**Planting New Garden Beds or Lawns**\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds. \n\n**Mulch (surface applications on landscape beds)**\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems. \n\n**Top Dressing for Lawns**\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns. \n\n**Blended (Manufactured) Topsoils**\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens. \n\n| | The Composting Process\nEven though there are a variety of composting methods, most\ncomposting follows a similar process:\n1. Grinding Organic Materials:\nDepending on the facility, the feedstock (material) available, and\nthe desired compost product, different combinations of materials\nare added together and ground into small pieces:\n• Nitrogen-rich materials (such as grass, fresh plant\ncuttings, biosolids, and manures)\n• Carbon-rich materials (such as dried leaves, woody\nmaterials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from\nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a\nspecified time period in order to destroy weed seeds and patho-\ngens. The compost is turned or aerated, allowing the composting\nmicrobes to breathe. After a period of time, the nitrogen-rich\nmaterial is depleted, the biological process slows, and the hot\ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to\nensure maturity and stability. The cooling compost is aged, which\nallows the decomposition process to slow down and the finished\ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a\ncombination of compost blended with uncomposted additives\n(such as peat, bark, minerals, or soil). |\n|---|---|\n| | The Composting Process Even though there are a variety of composting methods, most composting follows a similar process: 1. Grinding Organic Materials: Depending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces: • Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures) • Carbon-rich materials (such as dried leaves, woody materials, and straw). 2. Heating Up: The material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, com- post temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and patho- gens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool. 3. Finishing: Typically “finished” compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize. The end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil). |\n| | |", + "page_start": 6, + "page_end": 6, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| Compost: A Natural Cycle Composting is a natural process in which micro- organisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crum- bly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases. Compost improves soil structure and plant growth by • Replenishing soil organic matter, and storing nutrients in plant-available forms • Supporting beneficial soil life • Reducing erosion and water run-off • Loosening clay soils for better root development (increasing soil pore space) • Retaining moisture in sandy soils so plants need less watering. | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |\n| | | |\n| | | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| Selecting Quality Compost\nCompost is available in many product types and blends that may be\nused for different gardening applications. The type of feedstock,\nthe composting process, and any supplementary additives determine\nthe end product.\nMany facilities offer a variety of blends based on compost, such as\ngarden mix, potting soil, planting mix, mulches, turf top-dressing\nand soil blends.\nWhat to Look for in Compost\nFor most compost applications you will want a finished product that\nhas matured and stabilized. Look for material\nl with a dark, crumbly texture\nl with a mild odor\nFor most compost applications you will not want compost that is\nextremely dry or wet, or extremely hot. (Note that it is okay for\ncompost to be warm and to give off some steam and mild odor.)\nQuality Testing at Composting Facilities\nFeel free to ask your compost provider if they have a quality control\nprogram, and ask for test results. Compost facilities in Washington\nare permitted by the Department of Ecology and must meet\nstandards for both the composting process and contaminants,\nensuring a quality product. Some facilities also participate in the\n“Seal of Testing Assurance” (STA) testing program. See\n“Resources” on page 11 to learn more.\nRemember:\nYour compost provider can help you pick the best compost mix\nfor your needs. | | |\n|---|---|---|\n| Selecting Quality Compost Compost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product. Many facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends. What to Look for in Compost For most compost applications you will want a finished product that has matured and stabilized. Look for material l with a dark, crumbly texture l with a mild odor For most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.) Quality Testing at Composting Facilities Feel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the “Seal of Testing Assurance” (STA) testing program. See “Resources” on page 11 to learn more. Remember: Your compost provider can help you pick the best compost mix for your needs. | | |\n| | | |\n| | | |", + "page_start": 5, + "page_end": 5, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Building Rich and Healthy Soil \nWith Compost \nTo grow healthy plants you need healthy soil. \n\n**Healthy Soil:**\nl \n\nIs teeming with life! Healthy soil is a miniature ecosystem. \nA teaspoon of healthy soil will have upwards of four billion \ntiny organisms which recycle nutrients, suppress disease, and \ndiscourage pests. \n\nl Retains moisture but allows drainage. Healthy soil has \n\nstructure that allows water to drain through, retains moisture, \nand promotes strong root growth. \n\nl Is full of organic nutrients. Plants depend on the micro- \norganisms found in healthy organic-rich soil to provide \nnutrients to their roots, and help them thrive. \n\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides. \n\n**Soil is a planting medium. Compost is a soil amendment.**\n**Do not place plants directly into 100% compost.**\n**Ask your supplier or see next page for mixes for different uses.**\n\n| Washington State Encourages the Use of Compost,\nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils\non construction sites be restored with compost before planting, and also\nencourages the use of compost for construction site erosion control, to reduce\nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean.\nLearn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n|---|---|\n| Washington State Encourages the Use of Compost, to Protect Our Water Quality The Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n| | |", + "page_start": 5, + "page_end": 5, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| | Ask Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local\nvendor, here are some good questions to ask:\n• What ingredients go into your compost?\n• What compost products or blends do you sell?\n• Are there quality control or testing results available for these\nproducts? (These may be on the manufacturer’s website.)\n• Which product is best for my intended use?\n• What application rate do you recommend?\n• How much do I need for my area? (Or see pages 4-6.)\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a\ncomparison:\nCompost is stable, decomposed organic matter, excellent for\nimproving soil structure, fertility, moisture holding capacity, and\nplant growth.\nMulch is any material applied to the soil surface. Woody mulches\n(high in carbon, low in nitrogen) like wood chips, bark and woody\ncomposts are great for woody plants. Annual plants should be\nmulched with nutrient-balanced mulches like compost, grass\nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It\nprovides soil porosity, but not the nutrients or biological diversity for\nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small\namounts to supplement natural soil fertility.\nTopsoil that is sold is usually not native topsoil. Quality\nmanufactured topsoils are a blend of native sandy sub-soils with\ncomposted organic matter to support soil life. | |\n|---|---|---|\n| | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "How Much Compost to Use \n\n l Estimate the planting area (Math Hint: Square feet = length x width) \n l Decide upon the appropriate application depth of the compost (page 4) \n l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.) \n l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard. \n\n**Question:*I have a plot about this big, how much compost do I buy?***\n\nPlot Size # of Sq Feet \n\n1/2” Deep - Mulching \nor Top-dressing 2” Deep - Amending new \n lawns or gardens \n\n5' x 10' plot \n10' x 10' plot \n20 x 50' plot \n1 acre 50 sq ft \n100 sq ft \n1000 sq ft \n43,600 sq ft 2.08 cu ft of compost \n4.17 cu ft of compost \n41.7 cu ft of compost \n1,815 cu ft of compost (67 cu yd) 8.33 cu ft of compost (0.31 cu yd) \n16.66 cu ft of compost (0.62 cu yd) \n166.7 cu ft of compost (6.2 cu yd) \n7,257 cu ft of compost (268 cu yd) \n\n**Question:*If I buy this much compost, how many square feet will it cover?***\n1/2” Deep - Mulching \nor Top-dressing \n\n Compost Quantity \n\n 2” Deep - Amending new \n lawns or gardens \n\n1 cu ft bag of compost \n1.5 cu ft bag of compost \n2.2 cu ft bag of compost \n2.5 cu ft bag of compost \n1 cubic yard of compost 24 sq foot area \n36 sq foot area \n53 sq foot area \n60 sq foot area \n648 sq foot area 6 sq foot area \n9 sq foot area \n13 sq foot area \n15 sq foot area \n162 sq foot area \n\n*Compost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology,*\n*demonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding*\n\n*capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at*\n\n**www.compostwashington.org.**", + "page_start": 7, + "page_end": 7, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| R\nC\nR\nN\nC | | esources\nompost Organizations\nWashington Organic Recycling Council\nFind a compost producer in your area\nwww.compostwashington.org\nUS Composting Council\nSeal of Testing Assurance (STA) program\nwww.compostingcouncil.org/programs/sta/\nThe Beauty of Your Lawn and Garden\nestoring the Soil to Protect our Waterways\nBlossoms from the Soil\nwww.soilsforsalmon.org Thank you for your interest in compost.\nCompost amendment and erosion control Compost is a versatile product with many benefits. It enhances\nduring construction: information for builders soil quality, helps save water, and supports your community’s\nwww.buildingsoil.org efforts to recycle organic debris. All this helps to conserve our\nnatural resources and reduces the amount of material sent to the\nlandfill.\natural Lawn & Garden Care, Soils, and Home\nomposting Compost-amended soil also helps break down pollutants and\nabsorb stormwater runoff. By making nutrients slowly available\nCity of Seattle to plants and enhancing plant health, compost can reduce the\nwww.seattle.gov/util/services/yard need for chemical fertilizers and pesticides. All these benefits\nhelp protect our lakes, rivers, and marine waters from pollution\nKing County and excessive runoff.\nwww.kingcounty.gov/soils\nCompost is a natural amendment for your lawn or garden, and\nWashington State University can be used regularly to enrich your soil. This guide is designed\nwww.puyallup.wsu.edu/soilmgmt/ to help you get the most from the compost that you buy. | | |\n|---|---|---|---|---|\n| R C R N C | | esources ompost Organizations Washington Organic Recycling Council Find a compost producer in your area www.compostwashington.org US Composting Council Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/ The Beauty of Your Lawn and Garden estoring the Soil to Protect our Waterways Blossoms from the Soil www.soilsforsalmon.org Thank you for your interest in compost. Compost amendment and erosion control Compost is a versatile product with many benefits. It enhances during construction: information for builders soil quality, helps save water, and supports your community’s www.buildingsoil.org efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill. atural Lawn & Garden Care, Soils, and Home omposting Compost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available City of Seattle to plants and enhancing plant health, compost can reduce the www.seattle.gov/util/services/yard need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution King County and excessive runoff. www.kingcounty.gov/soils Compost is a natural amendment for your lawn or garden, and Washington State University can be used regularly to enrich your soil. This guide is designed www.puyallup.wsu.edu/soilmgmt/ to help you get the most from the compost that you buy. | | |\n| | R C R N C | esources ompost Organizations Washington Organic Recycling Council Find a compost producer in your area www.compostwashington.org US Composting Council Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/ estoring the Soil to Protect our Waterways www.soilsforsalmon.org Compost amendment and erosion control during construction: information for builders www.buildingsoil.org atural Lawn & Garden Care, Soils, and Home omposting City of Seattle www.seattle.gov/util/services/yard King County www.kingcounty.gov/soils Washington State University www.puyallup.wsu.edu/soilmgmt/ | | |\n| | | | | |\n| | | | | |", + "page_start": 2, + "page_end": 2, + "source_file": "CompostGuide.pdf" + }, + { + "text": "**HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get**\n**tips for good composting practice.**\nOnly during opening hours every \nwednesday from 2 pm to 4 pm at \nthe old recycling centre impasse \nElie Teyssier-Miramont. (In case of \nunavailability, please contact the \nenvironment department). \n30 minute workshops/awareness- \nraising sessions are regularly \norganised (starting at 4pm). It is \npossible to leave with a composter \nduring these workshops**. \nRegistration and information with \nthe service. \n\n**Compost kit** **Plastic** **Wood**\n\n| 300 L | 20 € | 30 € |\n|---|---|---|\n| 300 L | 20 € | 30 € |\n\n\n400 L 25 € 35 € \n\n*Only payment by cheque made payable to the \n‘Tresor Public‘ are accepted \n**Specific condition of acquisition apply accor- \nding to your municipality of residence \n\n| Town | Black containe | r Yellow container | |\n|---|---|---|---|\n| Town | Black containe | r Yellow container | |\n| AGNAC | TUESDAY white weeks | THURSDAY green weeks | |\n| ALLEMANS-DU-DROPT | MONDAY green weeks | WEDNESDAY white weeks | |\n| ARMILLAC | TUESDAY white weeks | THURSDAY green weeks | |\n| BOURGOUGNAGUE | WEDNESDAY green weeks | FRIDAY white weeks | |\n| CAMBES | MONDAY green weeks | WEDNESDAY white weeks | |\n| LACHAPELLE | MONDAY green weeks | THURSDAY white weeks | |\n| LAPERCHE | TUESDAY white weeks | WEDNESDAY green weeks | |\n| LA-SAUVETAT-DU-DROPT | TUESDAY white weeks | THURSDAY green weeks | |\n| LAUZUN | MONDAY green weeks | FRIDAY white weeks | |\n| LAVERGNE | TUESDAY white weeks | THURSDAY green weeks | |\n| MIRAMONT-DE-GUYENNE | TUESDAY green weeks | THURSDAY white weeks | |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n| MONTIGNAC-TOUPINERIE | TUESDAY white weeks | THURSDAY green weeks | |\n| MOUSTIER | WEDNESDAY green weeks | WEDNESDAY white weeks | |\n| PEYRIÈRE | MONDAY green weeks | THURSDAY white weeks | |\n| PUYSSERAMPION | MONDAY green weeks | WEDNESDAY white weeks | |\n| | | | |\n| ROUMAGNE | MONDAY white weeks | THURSDAY green weeks | |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n| SAINT-PARDOUX-ISAAC | MONDAY white weeks | FRIDAY green weeks | |\n| SEGALAS | WEDNESDAY white weeks | WEDNESDAY green weeks | |\n\n\n**MORE QUESTIONS ?**\n\nWebsite:**www.ccpl47.fr**\n/ Section En Pratique > Environnement > Gestion des déchets \n\n**Environnement Service**: \n12 rue du Renfort 47410 LAUZUN \n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr**\n**Composting**: anim.biodechets@ccpl47.fr / 06 33 72 84 18 \n**Recycling centre access, registration or modification**: iris@ccpl47.fr / 05 53 64 12 26 \n\n3 \n2 \n0 \n2 \n1 \n1 \n- \nm \no \nc \n. \ni \n\n. \n\no \nk \ne \nd \na \nw \nw \nw \n- \n\n. \n\ni \n\no \nk \né \nd \nA \n: \n\nn \no \ni \nt \np \ne \nc \nn \no \nC", + "page_start": 3, + "page_end": 3, + "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" + } + ] + }, + { + "references": { + "source_file": "CompostGuide.pdf", + "query": "What are fertilizers ?", + "target_page": 4, + "target_passage": " Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | Ask Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local\nvendor, here are some good questions to ask:\n• What ingredients go into your compost?\n• What compost products or blends do you sell?\n• Are there quality control or testing results available for these\nproducts? (These may be on the manufacturer’s website.)\n• Which product is best for my intended use?\n• What application rate do you recommend?\n• How much do I need for my area? (Or see pages 4-6.)\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a\ncomparison:\nCompost is stable, decomposed organic matter, excellent for\nimproving soil structure, fertility, moisture holding capacity, and\nplant growth.\nMulch is any material applied to the soil surface. Woody mulches\n(high in carbon, low in nitrogen) like wood chips, bark and woody\ncomposts are great for woody plants. Annual plants should be\nmulched with nutrient-balanced mulches like compost, grass\nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It\nprovides soil porosity, but not the nutrients or biological diversity for\nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small\namounts to supplement natural soil fertility.\nTopsoil that is sold is usually not native topsoil. Quality\nmanufactured topsoils are a blend of native sandy sub-soils with\ncomposted organic matter to support soil life. | |\n|---|---|---|\n| | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Compost Questions and Answers \n**What is compost?**\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \n\n**What materials (“feedstocks”) are used to make compost?**\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost. \n\n**How do I know I’m getting safe, quality compost?**\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \n\n**What about weed seeds, plant diseases or pesticide residues?**\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process. \n\nCompost Beginnings \nThe yard debris or food scraps*that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds. \n\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips: \n\nl The products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \n\nl Please keep yard debris free of : \n x Garbage \n x Plastic of any sort \n- Plastic plant pots \n- Plastic plant tabs \n- Plastic bags (if you want to bag \n your yard debris, use paper \n garden bags - available at most \n garden centers) \n\n x Rock, brick, or masonry \n x Glass or metal \n x Pet waste.", + "page_start": 4, + "page_end": 4, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| Compost: A Natural Cycle Composting is a natural process in which micro- organisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crum- bly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases. Compost improves soil structure and plant growth by • Replenishing soil organic matter, and storing nutrients in plant-available forms • Supporting beneficial soil life • Reducing erosion and water run-off • Loosening clay soils for better root development (increasing soil pore space) • Retaining moisture in sandy soils so plants need less watering. | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |\n| | | |\n| | | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Building Rich and Healthy Soil \nWith Compost \nTo grow healthy plants you need healthy soil. \n\n**Healthy Soil:**\nl \n\nIs teeming with life! Healthy soil is a miniature ecosystem. \nA teaspoon of healthy soil will have upwards of four billion \ntiny organisms which recycle nutrients, suppress disease, and \ndiscourage pests. \n\nl Retains moisture but allows drainage. Healthy soil has \n\nstructure that allows water to drain through, retains moisture, \nand promotes strong root growth. \n\nl Is full of organic nutrients. Plants depend on the micro- \norganisms found in healthy organic-rich soil to provide \nnutrients to their roots, and help them thrive. \n\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides. \n\n**Soil is a planting medium. Compost is a soil amendment.**\n**Do not place plants directly into 100% compost.**\n**Ask your supplier or see next page for mixes for different uses.**\n\n| Washington State Encourages the Use of Compost,\nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils\non construction sites be restored with compost before planting, and also\nencourages the use of compost for construction site erosion control, to reduce\nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean.\nLearn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n|---|---|\n| Washington State Encourages the Use of Compost, to Protect Our Water Quality The Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n| | |", + "page_start": 5, + "page_end": 5, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Applications for Compost \n**Planting New Garden Beds or Lawns**\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds. \n\n**Mulch (surface applications on landscape beds)**\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems. \n\n**Top Dressing for Lawns**\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns. \n\n**Blended (Manufactured) Topsoils**\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens. \n\n| | The Composting Process\nEven though there are a variety of composting methods, most\ncomposting follows a similar process:\n1. Grinding Organic Materials:\nDepending on the facility, the feedstock (material) available, and\nthe desired compost product, different combinations of materials\nare added together and ground into small pieces:\n• Nitrogen-rich materials (such as grass, fresh plant\ncuttings, biosolids, and manures)\n• Carbon-rich materials (such as dried leaves, woody\nmaterials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from\nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a\nspecified time period in order to destroy weed seeds and patho-\ngens. The compost is turned or aerated, allowing the composting\nmicrobes to breathe. After a period of time, the nitrogen-rich\nmaterial is depleted, the biological process slows, and the hot\ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to\nensure maturity and stability. The cooling compost is aged, which\nallows the decomposition process to slow down and the finished\ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a\ncombination of compost blended with uncomposted additives\n(such as peat, bark, minerals, or soil). |\n|---|---|\n| | The Composting Process Even though there are a variety of composting methods, most composting follows a similar process: 1. Grinding Organic Materials: Depending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces: • Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures) • Carbon-rich materials (such as dried leaves, woody materials, and straw). 2. Heating Up: The material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, com- post temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and patho- gens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool. 3. Finishing: Typically “finished” compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize. The end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil). |\n| | |", + "page_start": 6, + "page_end": 6, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| Selecting Quality Compost\nCompost is available in many product types and blends that may be\nused for different gardening applications. The type of feedstock,\nthe composting process, and any supplementary additives determine\nthe end product.\nMany facilities offer a variety of blends based on compost, such as\ngarden mix, potting soil, planting mix, mulches, turf top-dressing\nand soil blends.\nWhat to Look for in Compost\nFor most compost applications you will want a finished product that\nhas matured and stabilized. Look for material\nl with a dark, crumbly texture\nl with a mild odor\nFor most compost applications you will not want compost that is\nextremely dry or wet, or extremely hot. (Note that it is okay for\ncompost to be warm and to give off some steam and mild odor.)\nQuality Testing at Composting Facilities\nFeel free to ask your compost provider if they have a quality control\nprogram, and ask for test results. Compost facilities in Washington\nare permitted by the Department of Ecology and must meet\nstandards for both the composting process and contaminants,\nensuring a quality product. Some facilities also participate in the\n“Seal of Testing Assurance” (STA) testing program. See\n“Resources” on page 11 to learn more.\nRemember:\nYour compost provider can help you pick the best compost mix\nfor your needs. | | |\n|---|---|---|\n| Selecting Quality Compost Compost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product. Many facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends. What to Look for in Compost For most compost applications you will want a finished product that has matured and stabilized. Look for material l with a dark, crumbly texture l with a mild odor For most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.) Quality Testing at Composting Facilities Feel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the “Seal of Testing Assurance” (STA) testing program. See “Resources” on page 11 to learn more. Remember: Your compost provider can help you pick the best compost mix for your needs. | | |\n| | | |\n| | | |", + "page_start": 5, + "page_end": 5, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| R\nC\nR\nN\nC | | esources\nompost Organizations\nWashington Organic Recycling Council\nFind a compost producer in your area\nwww.compostwashington.org\nUS Composting Council\nSeal of Testing Assurance (STA) program\nwww.compostingcouncil.org/programs/sta/\nThe Beauty of Your Lawn and Garden\nestoring the Soil to Protect our Waterways\nBlossoms from the Soil\nwww.soilsforsalmon.org Thank you for your interest in compost.\nCompost amendment and erosion control Compost is a versatile product with many benefits. It enhances\nduring construction: information for builders soil quality, helps save water, and supports your community’s\nwww.buildingsoil.org efforts to recycle organic debris. All this helps to conserve our\nnatural resources and reduces the amount of material sent to the\nlandfill.\natural Lawn & Garden Care, Soils, and Home\nomposting Compost-amended soil also helps break down pollutants and\nabsorb stormwater runoff. By making nutrients slowly available\nCity of Seattle to plants and enhancing plant health, compost can reduce the\nwww.seattle.gov/util/services/yard need for chemical fertilizers and pesticides. All these benefits\nhelp protect our lakes, rivers, and marine waters from pollution\nKing County and excessive runoff.\nwww.kingcounty.gov/soils\nCompost is a natural amendment for your lawn or garden, and\nWashington State University can be used regularly to enrich your soil. This guide is designed\nwww.puyallup.wsu.edu/soilmgmt/ to help you get the most from the compost that you buy. | | |\n|---|---|---|---|---|\n| R C R N C | | esources ompost Organizations Washington Organic Recycling Council Find a compost producer in your area www.compostwashington.org US Composting Council Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/ The Beauty of Your Lawn and Garden estoring the Soil to Protect our Waterways Blossoms from the Soil www.soilsforsalmon.org Thank you for your interest in compost. Compost amendment and erosion control Compost is a versatile product with many benefits. It enhances during construction: information for builders soil quality, helps save water, and supports your community’s www.buildingsoil.org efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill. atural Lawn & Garden Care, Soils, and Home omposting Compost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available City of Seattle to plants and enhancing plant health, compost can reduce the www.seattle.gov/util/services/yard need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution King County and excessive runoff. www.kingcounty.gov/soils Compost is a natural amendment for your lawn or garden, and Washington State University can be used regularly to enrich your soil. This guide is designed www.puyallup.wsu.edu/soilmgmt/ to help you get the most from the compost that you buy. | | |\n| | R C R N C | esources ompost Organizations Washington Organic Recycling Council Find a compost producer in your area www.compostwashington.org US Composting Council Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/ estoring the Soil to Protect our Waterways www.soilsforsalmon.org Compost amendment and erosion control during construction: information for builders www.buildingsoil.org atural Lawn & Garden Care, Soils, and Home omposting City of Seattle www.seattle.gov/util/services/yard King County www.kingcounty.gov/soils Washington State University www.puyallup.wsu.edu/soilmgmt/ | | |\n| | | | | |\n| | | | | |", + "page_start": 2, + "page_end": 2, + "source_file": "CompostGuide.pdf" + }, + { + "text": "**Glossary of terms and abbreviations**\n\nAD – Activity Data \n\nAWMS – Animal Waste Management System \n\nBOD – Biochemical Oxygen Demand \n\nC – Carbon \n\nC2F6 – Hexafluoroethane \n\nCF4 – Tetrafluoromethane \n\nCH4 – Methane \n\nCO – Carbon Monoxide \n\nCO2 – Carbon dioxide \n\nCOD – Chemical Oxygen Demand \n\ndm – dry matter \n\nGg – Gigagram \n\nha – hectare \n\nHFC – Hydrofluorocarbon \n\nhl – hectolitre \n\nk – kilo \n\nkg – kilogram \n\nkha – kilo hectare \n\nkt – kilotonne \n\nLTO – Landing/Take Off \n\nLUCF – Land-Use Change and Forestry \n\nLULUCF – Land Use, Land-Use Change and Forestry \nm3 – cubic meter \n\nMCF – Methane Correction Factor \n\nMg – Megagram \n\nMha – Megahectare \n\nMSW – Municipal Solid Waste \n\nN – Nitrogen \n\nN2O – Nitrous Oxide \n\nNFP – National Focal Point \n\nNH3 – Ammonia \n\nNMVOC – Non-Methane Volatile Organic Compound \n\nNOX – Nitrogen Dioxide \n\nPFC – Perfluorocarbon \n\nRA - Reference Approach \n\nSE – Sectoral Expert \n\nSF6 – Sulphur Hexafluoride \n\nSO2 – Sulphur Dioxide \n\nSWDS – Solid Waste Disposal Site \n\nt – tonne \n\nTg – Teragram \n\nTJ – Terajoules \n\nXML – Extensible Markup Language \n\nyear t – inventory year", + "page_start": 43, + "page_end": 43, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "How Much Compost to Use \n\n l Estimate the planting area (Math Hint: Square feet = length x width) \n l Decide upon the appropriate application depth of the compost (page 4) \n l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.) \n l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard. \n\n**Question:*I have a plot about this big, how much compost do I buy?***\n\nPlot Size # of Sq Feet \n\n1/2” Deep - Mulching \nor Top-dressing 2” Deep - Amending new \n lawns or gardens \n\n5' x 10' plot \n10' x 10' plot \n20 x 50' plot \n1 acre 50 sq ft \n100 sq ft \n1000 sq ft \n43,600 sq ft 2.08 cu ft of compost \n4.17 cu ft of compost \n41.7 cu ft of compost \n1,815 cu ft of compost (67 cu yd) 8.33 cu ft of compost (0.31 cu yd) \n16.66 cu ft of compost (0.62 cu yd) \n166.7 cu ft of compost (6.2 cu yd) \n7,257 cu ft of compost (268 cu yd) \n\n**Question:*If I buy this much compost, how many square feet will it cover?***\n1/2” Deep - Mulching \nor Top-dressing \n\n Compost Quantity \n\n 2” Deep - Amending new \n lawns or gardens \n\n1 cu ft bag of compost \n1.5 cu ft bag of compost \n2.2 cu ft bag of compost \n2.5 cu ft bag of compost \n1 cubic yard of compost 24 sq foot area \n36 sq foot area \n53 sq foot area \n60 sq foot area \n648 sq foot area 6 sq foot area \n9 sq foot area \n13 sq foot area \n15 sq foot area \n162 sq foot area \n\n*Compost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology,*\n*demonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding*\n\n*capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at*\n\n**www.compostwashington.org.**", + "page_start": 7, + "page_end": 7, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| | A project of the Washington Organic Recycling Council, with\nsupport from the Washington State Department of Ecology’s\nPublic Participation Grant program.\nThis product was partly funded through a grant from the\nWashington Department of Ecology. While these materials\nwere reviewed for grant consistency, this does not necessarily\nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003\nwas created by the Washington County, Oregon Solid Waste and\nRecycling Program in cooperation with the Washington Organic\nRecycling Council and the Composting Council of Oregon.\nwww.compostwashington.org www.soilsforsalmon.org\nwww.ecy.wa.gov\noriginal artwork provided by: | Tips to Remember:\n• Don’t put plants into 100% compost. Mix\ncompost thoroughly into existing soil before\nplanting.\n• When transplanting, it’s better to amend the\nwhole bed, not just planting holes, to promote\nroot growth.\n• Ask your compost supplier which compost\nproduct is best for your intended use.\n• Use compost at the recommended application\nrate.\n• To maintain healthy soil, reapply compost or\nmulch every 1-2 years.\n• Many composts are rich in plant nutrients, so\nyou may be able to reduce fertilizer use after\napplying compost.\n• Compost can also reduce your lawn and garden’s\nsummer irrigation needs.\n• Compost-amended soil and mulching slow run\noff, reduce erosion, and break down pollutants.\nWhen you use compost, you’re helping to\nprotect our precious streams, rivers, lakes, and\nmarine waters. | | |\n|---|---|---|---|---|\n| | A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology’s Public Participation Grant program. This product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department. Special thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon. www.compostwashington.org www.soilsforsalmon.org www.ecy.wa.gov original artwork provided by: | Tips to Remember: • Don’t put plants into 100% compost. Mix compost thoroughly into existing soil before planting. • When transplanting, it’s better to amend the whole bed, not just planting holes, to promote root growth. • Ask your compost supplier which compost product is best for your intended use. • Use compost at the recommended application rate. • To maintain healthy soil, reapply compost or mulch every 1-2 years. • Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost. • Compost can also reduce your lawn and garden’s summer irrigation needs. • Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you’re helping to protect our precious streams, rivers, lakes, and marine waters. | | |", + "page_start": 1, + "page_end": 1, + "source_file": "CompostGuide.pdf" + } + ] + }, + { + "references": { + "source_file": "CompostGuide.pdf", + "query": "Explain to me what is peat moss ?", + "target_page": 4, + "target_passage": "Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| Compost: A Natural Cycle Composting is a natural process in which micro- organisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crum- bly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases. Compost improves soil structure and plant growth by • Replenishing soil organic matter, and storing nutrients in plant-available forms • Supporting beneficial soil life • Reducing erosion and water run-off • Loosening clay soils for better root development (increasing soil pore space) • Retaining moisture in sandy soils so plants need less watering. | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |\n| | | |\n| | | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "| | Ask Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local\nvendor, here are some good questions to ask:\n• What ingredients go into your compost?\n• What compost products or blends do you sell?\n• Are there quality control or testing results available for these\nproducts? (These may be on the manufacturer’s website.)\n• Which product is best for my intended use?\n• What application rate do you recommend?\n• How much do I need for my area? (Or see pages 4-6.)\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a\ncomparison:\nCompost is stable, decomposed organic matter, excellent for\nimproving soil structure, fertility, moisture holding capacity, and\nplant growth.\nMulch is any material applied to the soil surface. Woody mulches\n(high in carbon, low in nitrogen) like wood chips, bark and woody\ncomposts are great for woody plants. Annual plants should be\nmulched with nutrient-balanced mulches like compost, grass\nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It\nprovides soil porosity, but not the nutrients or biological diversity for\nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small\namounts to supplement natural soil fertility.\nTopsoil that is sold is usually not native topsoil. Quality\nmanufactured topsoils are a blend of native sandy sub-soils with\ncomposted organic matter to support soil life. | |\n|---|---|---|\n| | Ask Your Compost Supplier Whether you’re buying direct from the composting facility, or from a local vendor, here are some good questions to ask: • What ingredients go into your compost? • What compost products or blends do you sell? • Are there quality control or testing results available for these products? (These may be on the manufacturer’s website.) • Which product is best for my intended use? • What application rate do you recommend? • How much do I need for my area? (Or see pages 4-6.) Comparing Landscape Products A variety of soil and landscape products are sold. Here’s a comparison: Compost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth. Mulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves. Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides. Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. Topsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life. | |", + "page_start": 3, + "page_end": 3, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Compost Questions and Answers \n**What is compost?**\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \n\n**What materials (“feedstocks”) are used to make compost?**\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost. \n\n**How do I know I’m getting safe, quality compost?**\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \n\n**What about weed seeds, plant diseases or pesticide residues?**\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process. \n\nCompost Beginnings \nThe yard debris or food scraps*that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds. \n\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips: \n\nl The products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \n\nl Please keep yard debris free of : \n x Garbage \n x Plastic of any sort \n- Plastic plant pots \n- Plastic plant tabs \n- Plastic bags (if you want to bag \n your yard debris, use paper \n garden bags - available at most \n garden centers) \n\n x Rock, brick, or masonry \n x Glass or metal \n x Pet waste.", + "page_start": 4, + "page_end": 4, + "source_file": "CompostGuide.pdf" + }, + { + "text": "Building Rich and Healthy Soil \nWith Compost \nTo grow healthy plants you need healthy soil. \n\n**Healthy Soil:**\nl \n\nIs teeming with life! Healthy soil is a miniature ecosystem. \nA teaspoon of healthy soil will have upwards of four billion \ntiny organisms which recycle nutrients, suppress disease, and \ndiscourage pests. \n\nl Retains moisture but allows drainage. Healthy soil has \n\nstructure that allows water to drain through, retains moisture, \nand promotes strong root growth. \n\nl Is full of organic nutrients. Plants depend on the micro- \norganisms found in healthy organic-rich soil to provide \nnutrients to their roots, and help them thrive. \n\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides. \n\n**Soil is a planting medium. Compost is a soil amendment.**\n**Do not place plants directly into 100% compost.**\n**Ask your supplier or see next page for mixes for different uses.**\n\n| Washington State Encourages the Use of Compost,\nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils\non construction sites be restored with compost before planting, and also\nencourages the use of compost for construction site erosion control, to reduce\nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean.\nLearn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n|---|---|\n| Washington State Encourages the Use of Compost, to Protect Our Water Quality The Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org. | |\n| | |", + "page_start": 5, + "page_end": 5, + "source_file": "CompostGuide.pdf" + }, + { + "text": "To be specific, although “ipcc”, “cop”, and “un” were mentioned in both discourses (yellow \nin Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly different \nmeanings. As mentioned in the results section, these hashtags were associated with a series of scientific \nhashtags in the climate change discourse, appealing to global efforts. In the global warming discourse, \nthey were clustered with “hoax” and “frame”, showing lack of belief in climate issue facts and hesitation \nabout global efforts. More recently, when discussions about temperature, politics, and hesitation \nsignificantly shrank in the global warming discourse, the wo discourses showed more similarities about \nthe importance of scientific concepts according to Figure 5a,b. However, links between global efforts \nand scientific facts were not constructed in the global warming discourse. According to a network \nmodel for cognition, the lack of associations means fewer psychological activations will spread to", + "page_start": 14, + "page_end": 14, + "source_file": "pubmed10.pdf" + }, + { + "text": "To understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \n\nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \n\nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:**s**ubClassOf \nPizza. \n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:**s**ubClassOf and the object is any other \nentity. The*?*before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a*for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \n\nPREFIX pizza: <http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#>", + "page_start": 68, + "page_end": 68, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "5.1.3. Discourse Structure \n\nIn the discourse surrounding #climatechange, “environment”, “energy”, and “global action” \nrepresented the themes of the three largest clusters in the network. However, three popularly recurring \nhashtags, “#environment”, “#energy”, and “#climateaction”, did not belong to any of the three clusters \nabove, but formed another small tight cluster together, sitting in the most central part of the semantic \nnetwork, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of \nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by \n#climatechange users to address all three communities together [91], consolidating climate change as \na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags’ \nfunction of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed10.pdf" + }, + { + "text": "[29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring \nstructures in the dorsal root ganglia following peripheral nerve injury in \nrats. J Comp Neurol 2001;439:259–74.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed2.pdf" + }, + { + "text": "Applications for Compost \n**Planting New Garden Beds or Lawns**\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds. \n\n**Mulch (surface applications on landscape beds)**\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems. \n\n**Top Dressing for Lawns**\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns. \n\n**Blended (Manufactured) Topsoils**\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens. \n\n| | The Composting Process\nEven though there are a variety of composting methods, most\ncomposting follows a similar process:\n1. Grinding Organic Materials:\nDepending on the facility, the feedstock (material) available, and\nthe desired compost product, different combinations of materials\nare added together and ground into small pieces:\n• Nitrogen-rich materials (such as grass, fresh plant\ncuttings, biosolids, and manures)\n• Carbon-rich materials (such as dried leaves, woody\nmaterials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from\nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a\nspecified time period in order to destroy weed seeds and patho-\ngens. The compost is turned or aerated, allowing the composting\nmicrobes to breathe. After a period of time, the nitrogen-rich\nmaterial is depleted, the biological process slows, and the hot\ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to\nensure maturity and stability. The cooling compost is aged, which\nallows the decomposition process to slow down and the finished\ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a\ncombination of compost blended with uncomposted additives\n(such as peat, bark, minerals, or soil). |\n|---|---|\n| | The Composting Process Even though there are a variety of composting methods, most composting follows a similar process: 1. Grinding Organic Materials: Depending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces: • Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures) • Carbon-rich materials (such as dried leaves, woody materials, and straw). 2. Heating Up: The material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, com- post temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and patho- gens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool. 3. Finishing: Typically “finished” compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize. The end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil). |\n| | |", + "page_start": 6, + "page_end": 6, + "source_file": "CompostGuide.pdf" + }, + { + "text": "At the same time — contrary or in parallel to a mainstream of technological developments — there is a \n**small but emerging societal trend of de-technologisation and de-globalisation**, that is,**niche**\n**trends**like ‘Bio’, ‘Eco’ and ‘Regional’, predominantly in agriculture and in food and cloth production. \nThis trend is often caused by ethical and/or environmental considerations on certain types of products, \nfor example, related to the consumption of meat or fish and the use of plastics-based products and fast- \nfashion clothes. This trend generates — on the producers’ side — working conditions with partly distinct \nOSH requirements, that is, more safety risks in manual and craft work, and health risks typical for the \nhandling of less treated materials and products, that is, more biological risks. A**similar development**\n**can be observed in human-centred sectors**: individual personal contacts are part of a service offer, \nmostly higher valued than standardised approaches or even a machine- or computer-supported advice \nor treatment.", + "page_start": 102, + "page_end": 102, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv3.pdf", + "query": "How encourage temporally adjacent representations to be predictive of each other ?", + "target_page": 2, + "target_passage": "One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Slow Features. One way to encourage temporally \nadjacent representations to be predictive of each other \nis to ensure that they vary slowly over time. Early \nworks targeting predictive features encouraged represen- \ntations of individual video frames to be locally tempo- \nrally invariant, while preventing representation collapse \nby using spectral methods, as in SFA (Wiskott and Se- \njnowski, 2002), SSA (Kayser et al., 2001), and Simulated \nFixations (Zou et al., 2012). More recently, Goroshin \net al. (2015); Wang et al. (2010) train a siamese con- \nvolutional network to map the representations of two \nsubsequent frames to the same point, while encouraging \ndistant frames to have diverse representations via a pair- \nwise margin loss and a triplet loss, respectively. Other \nworks (Oord et al., 2018; Surís et al., 2021; Feichtenhofer \net al., 2021) implement temporal invariance using noise- \ncontrastive estimation (Gutmann and Hyvärinen, 2012). \nOur exploration in this paper goes beyond temporal in- \n\nAdvances in Self-Supervised Learning. The use \nof vision transformers (Dosovitskiy et al., 2020; Li et al., \n2022) has become standard practice in self-supervised \nlearning with joint-embedding architectures (Chen et al., \n2021; Caron et al., 2021; Oquab et al., 2023; Zhou et al., \n2021; Assran et al., 2022), and unlocked masked image \nmodeling in pixel space by parameterizing the pixel de- \ncoder as a transformer with learnable mask tokens (Doso- \nvitskiy et al., 2020; Xie et al., 2021; He et al., 2021; Bao \net al., 2021), demonstrating a step-change in the rep- \nresentation quality of autoencoding methods (Vincent \net al., 2010). This line of generative methods was sub- \nsequently extended to video data using spatio-temporal \nmasking (Tong et al., 2022; Feichtenhofer et al., 2022; \nWang et al., 2023a; Kalluri et al., 2023; Gupta et al., \n2023). It was also recently shown that the representa- \ntions of masked image autoencoders could be significantly \nimproved by using learnable pooling mechanisms based \non cross-attention (Chen et al., 2022). Finally, through \ncareful selection of design choices, the non-contrastive \ncollapse prevention strategy in BYOL (Grill et al., 2020) \nwas recently made to work with image feature prediction \nmethods (Baevski et al., 2022b; Assran et al., 2023), \nwhich demonstrated the ability to learn representations \nthat can be leveraged for various downstream tasks with- \nout relying on invariance to hand-crafted image trans- \nformations.", + "page_start": 1, + "page_end": 1, + "source_file": "arxiv3.pdf" + }, + { + "text": "When individuals search their memory for a particular piece of a message in their mind, \nthe targeted node becomes salient and activated in the temporary memory [39]. If two messages \nare always activated simultaneously, their connection tends to be more robust and the messages are \nregarded as associated [36]. If a link is recorded between two concepts, activations are likely to spread \nthrough the link from one concept to another with or without conscious awareness [40]. Whereas \nassociations of nodes in the mind may not necessarily reflect the actual relationships of objects, in reality, \nseveral factors, including media usage, personal experience, and political stance [34,41,42], may help \nbundle different sets of concepts.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed10.pdf" + }, + { + "text": "Figure 1. A schematic illustration of a hierarchical active inference model. This model links (exteroceptive, interoceptive, and proprioceptive) \nsensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger, at intermediate levels, and finally with \ntemporally extended, integrative models of the embodied self at the higher hierarchical level. In this schematic, following predictive coding (Rao and \nBallard 1999, Friston 2005), black and red circles represent neural units that encode predictions and prediction errors, respectively. The levels are \nreciprocally connected, so predictions are propagated from the top-down (black edges) and prediction errors from the bottom-up (red edges). Finally, \nthe pink triangles indicate a mechanism of precision gating (or gain control) of prediction error units, which determines their relative influence on \nunits encoding predictions. At a neurobiological level, prediction and prediction error units could be mapped to deep and superficial pyramidal cells in \ncortical hierarchies, whereas expected precision could be linked to neuromodulatory input. The elements of the generative model shown do not need \nto map one-to-one to specific brain areas or networks but are plausibly distributed across many of them. However, as a first approximation, the lower \nand intermediate layers of the generative model could be linked to brain networks that process unimodal information (e.g. sensory cortices for \nexteroceptive information) and multimodal association areas, respectively. The highest level of the generative model could be linked to brain networks \nthat process information about the self, such as the insular cortex, the anterior cingulate cortex, and the medial prefrontal cortex. See Parr et al. \n(2022) for details about hierarchical generative models supporting adaptive regulation and allostasis and Barrett and Simmons (2015) for their \nputative neuronal underpinnings. See online article for colored version of this figure. \n\nAnother critical aspect of Fig. 1 is that it illustrates two path- \nways in which prediction errors at the proprioceptive and inte- \nroceptive levels are used to steer physical actions (reflex arcs) \nand autonomic actions (autonomic reflexes). Endowing predictive \ncoding with these reflexes—hence realizing an “active inference” \narchitecture—permits minimizing prediction errors by changing \nthe state of the world (by physically acting) or the internal milieu \n(by engaging in autonomic actions) rather than only by changing \npredictions, as described later. \n\nare reciprocally linked through top-down connections that convey \npredictions (black edges) and bottom-up connections that convey \nprediction errors (red edges), within and across levels. This predic- \ntive coding architecture permits inferring (in the Bayesian sense) \nthe most likely causes of sensations, across multiple modalities \nand multiple hierarchical levels, by minimizing prediction errors \nat all levels. The rationale is that predictions at all levels are con- \ntinuously adjusted (and synaptic weights adjusted at a slower time \nscale) until they match with incoming multimodal stimuli suf- \nficiently well, and, consequently, the prediction errors across all \nlevels are minimized. This process entails that even if a predictive \ncoding agent starts with an incorrect prediction (e.g. about what \nobject it is looking at) the prediction errors that measure a discrep- \nancy between the predicted sensations and the actual sensations \ncan help revise the initial predictions. See Parr et al. (2022) for a \nmore detailed explanation of how to interpret these schematics.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed1.pdf" + }, + { + "text": "Models of Learning and Decision-Making. PLoS ONE**2010**, 5, e15554. [CrossRef] [PubMed] \n\n62. Wilson, R.C.; Collins, A.G. Ten simple rules for the computational modeling of behavioral data. eLife**2019**, 8, e49547. [CrossRef] \n63. Hess, A.J.; Iglesias, S.; Köchli, L.; Marino, S.; Müller-Schrader, M.; Rigoux, L.; Mathys, C.; Harrison, O.K.; Heinzle, J.; Frässle, \nS.; et al. Bayesian Workflow for Generative Modeling in Computational Psychiatry. bioRxiv**2024**, bioRxiv:2024.02.19.581001. \n[CrossRef] \n\n64. TuringLang/ParetoSmooth.jl. 2024. Available online: https://github.com/TuringLang/ParetoSmooth.jl (accessed on 25 October 2024). \n65. Palmeri, T.J.; Love, B.C.; Turner, B.M. Model-based cognitive neuroscience. J. Math. Psychol.**2017**, 76, 59–64. [CrossRef] [PubMed] \n66. Kagan, B.J.; Kitchen, A.C.; Tran, N.T.; Habibollahi, F.; Khajehnejad, M.; Parker, B.J.; Bhat, A.; Rollo, B.; Razi, A.; Friston, K.J. In vitro \n\nneurons learn and exhibit sentience when embodied in a simulated game-world. Neuron**2022**, 110, 3952–3969.e8. [CrossRef] \n\n67. Waade, P.T.; Olesen, C.L.; Laursen, J.E.; Nehrer, S.W.; Heins, C.; Friston, K.; Mathys, C. As One and Many: Relating Individual \n\nand Emergent Group-Level Generative Models in Active Inference. Preprints**2024**, 2024101895. [CrossRef]", + "page_start": 31, + "page_end": 31, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "33. Kaplan, S. Cognitive maps in perception and thought. In Image and Environment: Cognitive Mapping and \n\nSpatial Behavior; Transaction Publishers: Piscataway, NJ, USA, 1973; pp. 63–78. \nJames, W.; Burkhardt, F.; Bowers, F.; Skrupskelis, I.K. The Principles of Psychology; Macmillan London: London, \nUK, 1890. \n\n34. \n\n35. Alonso, E.; Mondragón, E. Associative Learning and Behaviour: An Algebraic Search for Psychological \nSymmetries. In Language, Representation and Reasoning: Memorial Volume to Isabel G*ó*mez Txurruka; Universidad \ndel País Vasco: Bilbao, Spain, 2007; p. 35. \n\n36. Lang, A. The limited capacity model of mediated message processing. J. Commun.**2000**, 50, 46–70. [CrossRef] \n37. Tulving, E. Episodic and semantic memory. Organ. Mem.**1972**, 1, 381–403. \n38. Rosch, E. Cognitive representations of semantic categories. J. Exp. Psychol. Gen.**1975**, 104, 192. [CrossRef] \n39. Klimesch, W. The Structure of Long-Term Memory: A Connectivity Model of Semantic Processing; Psychology \n\nPress: London, UK, 2013. \n\n40. Collins, A.M.; Loftus, E.F. A spreading-activation theory of semantic processing. Psychol. Rev.**1975**, 82, 407. \n\n[CrossRef] \n\n41. Guo, L.; Vu, H.T.; McCombs, M. An expanded perspective on agenda-setting effects: Exploring the third \n\nlevel of agenda setting. Rev. De Comun.**2012**, 11, 51–68. \n\n42. Cheng, Y.; Chan, C.M. The third level of agenda setting in contemporary China: Tracking descriptions of \n\nmoral and national education (MNE) in media coverage and people’s minds. Int. J. Commun.**2015**, 9, 18. \n\n43. Wettler, M.; Rapp, R. Computation of Word Associations Based on Co-occurrences of Words in Large Corpora. \n\nIn Proceedings of the VLC@ACL 1993, Columbus, OH, USA, 22 June 1993. \n\n44. Collins, A.M.; Quillian, M.R. How to make a language user. In Organization of Memory; Academic Press: \n\nNew York, NY, USA, 1972; p. 309. \n\n45. Danowski, J.A. Inferences from word networks in messages. In The Content Analysis Reader; SAGE: Thousand \n\nOaks, CA, USA, 2009; pp. 421–429. \n\n46. Hamed, A.A.; Ayer, A.A.; Clark, E.M.; Irons, E.A.; Taylor, G.T.; Zia, A. Measuring climate change on Twitter \nusing Google’s algorithm: Perception and events. Int. J. Web Inf. Syst.**2015**, 11, 527–544. [CrossRef] \n47. Haunschild, R.; Leydesdorff, L.; Bornmann, L.; Hellsten, I.; Marx, W. Does the public discuss other topics on \nclimate change than researchers? A comparison of explorative networks based on author keywords and \nhashtags. J. Inf.**2019**, 13, 695–707. [CrossRef] \n\n48. Veltri, G.A.; Atanasova, D. Climate change on Twitter: Content, media ecology and information sharing \n\nbehaviour. Public Underst. Sci.**2017**, 26, 721–737. [CrossRef] \n\n49. Abbar, S.; Zanouda, T.; Berti-Equille, L.; Borge-Holthoefer, J. Using twitter to understand public interest in \nclimate change: The case of qatar. In Proceedings of the Tenth International AAAI Conference on Web and \nSocial Media, Cologne, Germany, 17–20 May 2016. \n\n50. Olteanu, A.; Castillo, C.; Diakopoulos, N.; Aberer, K. Comparing events coverage in online news and social \nmedia: The case of climate change. In Proceedings of the Ninth International AAAI Conference on Web and \nSocial Media, Oxford, UK, 26–29 May 2015. \n\n51. Hermida, A.; Fletcher, F.; Korell, D.; Logan, D. Share, like, recommend: Decoding the social media news \n\nconsumer. J. Stud.**2012**, 13, 815–824. [CrossRef] \nSmall, T.A. What the hashtag? A content analysis of Canadian politics on Twitter. Inf. Commun. Soc.**2011**, 14, \n872–895. [CrossRef] \n\n52. \n\n53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol. \n\nHum. Serv.**2012**, 30, 160–185. [CrossRef]", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed10.pdf" + }, + { + "text": "Self-Supervised Learning from Videos \n\nSimilar to unsupervised learning from images, a family of unsupervised video representation learning approaches \nenforces a spatio-temporal representation of a video clip to be invariant to hand-crafted spatio-temporal data \naugmentations (Parthasarathy et al., 2022). However, one obvious insight is that the temporal ordering of visual \ninformation in video can provide implicit supervision. Indeed, this insight is the key insight leveraged by many works \non unsupervised video learning. Towards leveraging temporal information as supervision, some approaches train a \nvisual encoder by predicting the temporal ordering of frames (Xu et al., 2019; Lee et al., 2017). Other approaches \nseek to predict low-level motion vectors computed from optical flow (Pintea et al., 2014), or to predict mixing pixels \nin video frames, using either a frame-interpolation objective (Kalluri et al., 2023) or a denoising autoencoder (Tong \net al., 2022; Feichtenhofer et al., 2022; Wang et al., 2023a). \n\n15", + "page_start": 14, + "page_end": 14, + "source_file": "arxiv3.pdf" + }, + { + "text": "Article \n**Introducing ActiveInference.jl: A Julia Library for Simulation**\n**and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,†**\n**Christoph Mathys 5**\n\n**, Jonathan Ehrenreich Laursen 1,†** **, Conor Heins 2,3,*** **, Karl Friston 3,4** **,**\n\n**and Peter Thestrup Waade 5**\n\n1 \n\nSchool of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; \n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.) \n\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany \n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk \n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK \n5 \n\nInteracting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); \nptw@cas.au.dk (P.T.W.) \n\n** ***Correspondence: cheins@ab.mpg.de \n† \nThese authors contributed equally to this work. \n\n**Abstract:**We introduce a new software package for the Julia programming language, \nthe library ActiveInference.jl. To make active inference agents with Partially Ob- \nservable Markov Decision Process (POMDP) generative models available to the grow- \ning research community using Julia, we re-implemented the pymdp library for Python. \nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive \nand behavioural modelling, as it is used in computational psychiatry, cognitive science \nand neuroscience. This means that POMDP active inference models can now be easily \nfit to empirically observed behaviour using sampling, as well as variational methods. In \nthis article, we show how ActiveInference.jl makes building POMDP active inference \nmodels straightforward, and how it enables researchers to use them for simulation, as well \nas fitting them to data or performing a model comparison. \n\n**Keywords:**active inference; free energy principle; predictive processing; Markov decision \nprocess; cognitive modelling; Julia \nAcademic Editor: Astero Provata \n\n**PACS:**87.15.Aa Received: 25 October 2024 \nRevised: 2 January 2025 \n\n**MSC:**91-08 \nAccepted: 7 January 2025 \nPublished: 12 January 2025 \n\n**JEL Classification:**C63 \n\n**Citation:**Nehrer, S.W.; Ehrenreich \nLaursen, J.; Heins, C.; Friston, K.; \n\nMathys, C.; Thestrup Waade, P. \nIntroducing ActiveInference.jl: A \nJulia Library for Simulation and \n**1. Introduction**\nParameter Estimation with Active \n\nWe introduce a novel software library for Julia, ActiveInference, which lets users \nproduce the simulated behaviour of agents and their internal belief states with active \ninference (AIF) models, as well as fit such models to empirically observed behaviour. \nAIF [1–3] is a generally applicable formal framework for understanding and simulating \nintelligent behaviour that is based in neurobiology and first principles from statistical \nphysics [4–8]. AIF treats action and perception as unified under a joint imperative: to \nminimise the variational free energy (VFE), which quantifies how well the agent’s internal \ngenerative model explains incoming sensory observations. It is an upper bound on the \nthe surprise from sensory observations, making AIF formally related to prediction error \n\nInference Models. Entropy**2025**, 27, 62. \nhttps://doi.org/10.3390/e27010062 \n\n**Copyright:**© 2025 by the authors. \nLicensee MDPI, Basel, Switzerland. \nThis article is an open access article \ndistributed under the terms and \nconditions of the Creative Commons \nAttribution (CC BY) license \n(https://creativecommons.org/ \nlicenses/by/4.0/).", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "Ting Chen, Simon Kornblith, Mohammad Norouzi, and Ge- \noffrey Hinton. A simple framework for contrastive learning \nof visual representations. preprint arXiv:2002.05709, 2020. \n\nRoss Goroshin, Joan Bruna, Jonathan Tompson, David Eigen, \nand Yann LeCun. Unsupervised learning of spatiotempo- \nrally coherent metrics. In Proceedings of the IEEE inter- \nnational conference on computer vision, pages 4086–4093, \n2015. \n\nXiaokang Chen, Mingyu Ding, Xiaodi Wang, Ying Xin, \nShentong Mo, Yunhao Wang, Shumin Han, Ping Luo, \nGang Zeng, and Jingdong Wang. Context autoencoder \nfor self-supervised representation learning. arXiv preprint \narXiv:2202.03026, 2022. \n\nRaghav Goyal, Samira Ebrahimi Kahou, Vincent Michal- \nski, Joanna Materzynska, Susanne Westphal, Heuna Kim, \nValentin Haenel, Ingo Fruend, Peter Yianilos, Moritz \nMueller-Freitag, et al. The\" something something\" video \ndatabase for learning and evaluating visual common sense. \nIn Proceedings of the IEEE international conference on \ncomputer vision, pages 5842–5850, 2017. \nXinlei Chen, Saining Xie, and Kaiming He. An empirical \nstudy of training self-supervised vision transformers. arXiv \npreprint arXiv:2104.02057, 2021. \n\nMehdi Cherti, Romain Beaumont, Ross Wightman, Mitchell \nWortsman, Gabriel Ilharco, Cade Gordon, Christoph \nSchuhmann, Ludwig Schmidt, and Jenia Jitsev. Repro- \nducible scaling laws for contrastive language-image learn- \ning. In Proceedings of the IEEE/CVF Conference on Com- \nputer Vision and Pattern Recognition, pages 2818–2829, \n2023. \nJean-Bastien Grill, Florian Strub, Florent Altché, Corentin \nTallec, Pierre H Richemond, Elena Buchatskaya, Carl Do- \nersch, Bernardo Avila Pires, Zhaohan Daniel Guo, Moham- \nmad Gheshlaghi Azar, et al. Bootstrap your own latent: A \nnew approach to self-supervised learning. arXiv preprint \narXiv:2006.07733, 2020. \n\n11", + "page_start": 10, + "page_end": 10, + "source_file": "arxiv3.pdf" + }, + { + "text": "computed from another part of the video, x. The pre- \ndictor network Pϕ( \n), which maps the representation of \n· \nx to the representation of y, is trained simultaneously \nwith the encoder, and is provided specification of the \nspatio-temporal positions of y through the conditioning \nvariable z \n\nFeature Prediction versus Pixel Reconstruction. \nApproaches that predict in pixel space must dedicate \nsignificant model capacity and compute to capture all \nthe low-level detail in the visual input. By contrast, ap- \nproaches that predict in latent space have the flexibility \nto eliminate irrelevant or unpredictable pixel-level details \nfrom the target representation (Vondrick et al., 2016). \nPredicting in representation space has been shown to \nlead to versatile representations that perform well across \nmany downstream tasks through linear probing or low- \nshot adaptation (Assran et al., 2023; Oquab et al., 2023; \nAssran et al., 2022), while demonstrating an efficiency \ngain during pretraining compared to pixel level recon- \nstruction (Assran et al., 2023; Baevski et al., 2022b,a). \nThe works of Baevski et al. (2022a,b) additionally show \nthat predicting in representation space results in compet- \nitive end-to-end fine-tuning performance in the image, \naudio and text domains. In this work, we extend these \nfindings to the video modality. \n\n∆y. \n← \nNaively implementing the objective using the regression \n\nminimizeθ,ϕ \nPϕ(Eθ(x), ∆y) \n∥ 1, \nEθ(y) \n∥ − \n\nwould admit a trivial solution, where the encoder out- \nputs a constant representation, regardless of its input. \nIn practice, we use the following modified objective to \nprevent representation collapse, \n\nminimizeθ,ϕ sg(Eθ(y)) \n(1) \nPϕ(Eθ(x), ∆y) \n1, \n∥ ∥ − \n\n) denotes a stop-gradient operation, which \nwhere sg( \n· \ndoes not backpropagate through its argument, and Eθ( \n) \n· \n). \nis an exponential moving average of the network Eθ( \n· \nThe use of an exponential-moving average feature ex- \ntractor along with a stop-gradient and a predictor has \nbeen used as a collapse prevention strategy for image pre- \ntraining (Grill et al., 2020), and studied empirically (Xie \net al., 2021) and theoretically (Tian et al., 2021). In \nfact, the objective in equation (1) is similar to the loss \nof Assran et al. (2023) used for image pretraining, but \nwe modify it to use an ℓ1 regression, which we found to \nbe more stable. \n\nTheoretical motivation. A theoretical motivation for \nthe effectiveness of this collapse prevention strategy was \nproposed in Grill et al. (2020) for the BYOL method. We \nprovide a simple adaptation of their analysis for our ℓ1 \nloss. For ease of exposition, we will disregard the effect of \nthe conditioning variable z and consider one dimensional \nrepresentations. Denote the representation Eθ(y) by \na random variable Y . The optimal predictor under \nequation (1) is thus given by the following functional \nexpression, \n\nFigure 2 Joint-Embedding Predictive Architectures are \ntrained to predict the representation of an input y from \nthe representation of another input x. The additional vari- \nable z provides the predictor with information about the \ntransformation that computes y from x. \n\nOur goal is to explore the effectiveness of feature pre- \ndiction as a stand-alone objective for learning visual \nrepresentations from video. To that end, we use a \njoint-embedding predictive architecture (JEPA) (LeCun, \n2022); see Figure 2. The main idea behind a JEPA is \nto learn by predicting the representation of an input y \nfrom the representation of another input x. The basic \narchitecture is made up of an encoder, Eθ( \n), which com- \n· \nputes the representation of the inputs, and a predictor, \n), which predicts the representation of y from the \nPϕ( \n· \nrepresentation of x, conditioned on a variable z indicat- \ning the transformation (or corruption) between x and \ny. Conditioning on z enables the generation of distinct \npredictions for various transformations of x. \n\nP ⋆(Eθ(x)) = argmin", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv3.pdf" + }, + { + "text": "Silvia L Pintea, Jan C van Gemert, and Arnold WM Smeul- \nders. Déja vu: Motion prediction in static images. In \nComputer Vision–ECCV 2014: 13th European Conference, \nZurich, Switzerland, September 6-12, 2014, Proceedings, \nPart III 13, pages 172–187. Springer, 2014. \nWill Kay, Joao Carreira, Karen Simonyan, Brian Zhang, \nChloe Hillier, Sudheendra Vijayanarasimhan, Fabio Vi- \nola, Tim Green, Trevor Back, Paul Natsev, et al. The \nkinetics human action video dataset. \narXiv preprint \narXiv:1705.06950, 2017. \n\nAlec Radford, Jong Wook Kim, Chris Hallacy, Aditya \nRamesh, Gabriel Goh, Sandhini Agarwal, Girish Sastry, \nAmanda Askell, Pamela Mishkin, Jack Clark, et al. Learn- \ning transferable visual models from natural language su- \npervision. In International conference on machine learning, \npages 8748–8763. PMLR, 2021. \n\nChristoph Kayser, Wolfgang Einhäuser, Olaf Dümmer, Peter \nKönig, and Konrad Körding. Extracting slow subspaces \nfrom natural videos leads to complex cells. In Artificial \nNeural Networks—ICANN 2001: International Conference \nVienna, Austria, August 21–25, 2001 Proceedings 11, pages \n1075–1080. Springer, 2001. \n\nRajesh PN Rao and Dana H Ballard. Predictive coding \nin the visual cortex: a functional interpretation of some \nextra-classical receptive-field effects. Nature neuroscience, \n2(1):79–87, 1999. \n\nGustav Larsson, Michael Maire, and Gregory Shakhnarovich. \nLearning representations for automatic colorization. 2016. \n\nGustav Larsson, Michael Maire, and Gregory Shakhnarovich. \nColorization as a proxy task for visual understanding. 2017. \n\nOlga Russakovsky, Jia Deng, Hao Su, Jonathan Krause, San- \njeev Satheesh, Sean Ma, Zhiheng Huang, Andrej Karpathy, \nAditya Khosla, Michael Bernstein, Alexander C. Berg, and", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv3.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv3.pdf", + "query": "What does mean the JEPA acronym ?", + "target_page": 3, + "target_passage": " joint-embedding predictive architecture (JEPA)", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| Acronym | Description |\n|---|---|\n| Acronym | Description |\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |\n\n\n*Table 1-2: Abbreviations and Acronyms*", + "page_start": 4, + "page_end": 4, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "**Principals**\n\nIAM implements*authentication*, proving who an entity claims to be, with*principals,*which are \n\nentities such as IAM users, federated users from Google, Facebook, etc, IAM roles, AWS accounts, \nand AWS services.", + "page_start": 42, + "page_end": 42, + "source_file": "serverless-core.pdf" + }, + { + "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and \nSomething-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive \nprobe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random \nsplits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report \nthe mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than \nother models; specifically, decreasing the available number of labeled examples from each class increases the performance gap \nbetween V-JEPA and the baselines. \n\nFrozen Evaluation \n\nSSv2 \n(16×2×3) \n\n5% \n(∼29 samples per class) Method Arch. \n\n62.6 ± 0.2 \n62.3 ± 0.3 \n37.0 ± 0.3 MVD \nVideoMAE \nVideoMAEv2 ViT-L/16 \nViT-H/16 \nViT-g/14 \n\nK400 \n(16×8×3) \n\n10% \n(∼58 samples per class) 50% \n(∼287 samples per class) 5% \n(∼48 samples per class) 10% \n(∼96 samples per class) 50% \n(∼440 samples per class) \n\n68.3 ± 0.2 \n68.5 ± 0.2 \n48.8 ± 0.4 77.2 ± 0.3 \n78.2 ± 0.1 \n67.8 ± 0.1 42.9 ± 0.8 \n41.4 ± 0.8 \n28.0 ± 1.0 49.5 ± 0.6 \n48.1 ± 0.2 \n37.3 ± 0.3 61.0 ± 0.2 \n60.5 ± 0.4 \n54.0 ± 0.3 \n\n| ViT-H/16\nV-JEPA\nViT-H/16384 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n|---|---|---|---|---|---|---|\n| ViT-H/16 V-JEPA ViT-H/16384 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\n\nlayer attentive probe, which can be further improved to \n77.9% using a two-layer attentive probe. More generally, \nwe hypothesize that the datasets used to train V-JEPA \nand other video models are too constrained and lack the \nvisual diversity of the internet-scale pretraining data used \nby the images models; as such, there is value in focusing \nfuture work on building diverse publicly available video \ndatasets. \n\nto 54.0% top-1 when we reduce the number of labeled \nexamples by a factor of 10 \n(from roughly 440 examples \nper class to 48 examples per class). By contrast, Video- \nMAEv2 drops by 26% to 28.0% top-1, VideoMAE drops \nby 19.1% to 41.4% top-1, and MVD drops by 18.1% to \n42.9% top-1. \n\n× \n\n6 Evaluating the Predictor \n\nNext, we seek to qualitatively inspect the V-JEPA mod- \nels. Recall that the predictor network in V-JEPA predicts \nthe representations of a masked spatio-temporal region y \nfrom a visible region x, given the positional information \nof the masked regions (see Section 3). To qualitatively in- \nvestigate the grounding of the feature-space predictions, \nwe freeze the pretrained encoder and predictor networks \nand train a conditional diffusion decoder to map the \nV-JEPA predictions to interpretable pixels. Notably, the \ndecoder is only fed the representations predicted for the \nmissing regions of the video, and does not have access \nto the unmasked regions of the video (see Figure 6a). \n\n5.3 Label-efficiency \n\nWe examine the label-efficiency of V-JEPA compared to \nother self-supervised video models by measuring the abil- \nity of the pretrained backbones to adapt to downstream \ntasks with few labels. Specifically, we investigate the \nperformance of the frozen models on Kinetics-400 and \nSomething-Something-v2 as we vary the percentage of \nlabeled examples from each dataset available for training \nthe attentive probe. We train the probes in several low- \nshot settings: using either 5% of the train set, 10%, or \n50%, and take 3 random splits in each setting to obtain \nmore robust metrics, resulting in 9 different evaluation \nexperiments for each model. Table 7 reports the mean \nperformances and standard deviation using the K400 \nand SSv2 validation sets.", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv3.pdf" + }, + { + "text": "(a) Visualization Methodology. We train a conditional diffusion model to decode the V-JEPA feature-space predictions to \ninterpretable pixels; the pretrained V-JEPA encoder and predictor networks are kept frozen in this process. The decoder is \nonly fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions \nof the video. \n\n\n\n\n\n(b) Visualizations. First Row: Masked videos used as input to the V-JEPA models (a pretrained ViT-H/16 encoder and its \ncorresponding predictor network). Other rows: Bounding boxes contain various samples from the decoder overlayed on the \noriginal video. V-JEPA is not a generative model and the decoder does not have access to the context (first row), so we do \nnot expect samples to exactly match the input. This experiment qualitatively illustrates what information is encoded and \npredicted by V-JEPA. In particular, characteristics that are common across samples represent information that is encoded in \nthe V-JEPA predictions. V-JEPA generates predictions that are spatially and temporally coherent with unmask region of the \nvideo. The predictions also capture consistent motion through time. \n\nFigure 6 Qualitative Analysis. Offline visualizations of the V-JEPA feature-space predictions. \n\nstream tasks requiring fine-grained motion understand- \ning, while large-scale image models trained on internet \nscale datasets fall short on such tasks. Finally, we em- \npirically observed that V-JEPA models are label-efficient \nlearners, and exhibit good performance on downstream \ntasks, even when only few labeled examples are available. \n\n7 Conclusion \n\nIn this work, we explored the effectiveness of feature \nprediction as a stand-alone objective for unsupervised \nlearning from video and introduced V-JEPA, a collection \nof vision models trained solely using a self-supervised \nfeature prediction objective. The V-JEPA models demon- \nstrate the ability to solve various downstream image and \nvideo tasks without adaption of the model parameters, \nand outperform previous video representation learning \napproaches in frozen evaluation on action recognition, \nspatio-temporal action detection, and image classifica- \ntion tasks. Additionally, we show that pretraining V- \nJEPA on videos is particularly effective for solving down- \nHassan Akbari, Liangzhe Yuan, Rui Qian, Wei-Hong Chuang, \nShih-Fu Chang, Yin Cui, and Boqing Gong. Vatt: Trans- \nformers for multimodal self-supervised learning from raw \nvideo, audio and text. Advances in Neural Information \nProcessing Systems, 34:24206–24221, 2021.", + "page_start": 9, + "page_end": 9, + "source_file": "arxiv3.pdf" + }, + { + "text": "t understand. We \nso the other side doesn’t understand. We \nso the other side doesn A problem not on ly for Japa n but the \nA problem not on ly for Japa n but the \n\n**Initiatives as**\n**a global player and**\n**part of the Asian family**\n**of nations**\n\nmust listen carefully to each other and \nmust listen carefully to each other and whole world — — \nwhole world \n\n**M i y a t a**: A s I s a i d , b e f o r e t h e \n: A s I s a i d , b e f o r e t h e express ourselves clearly. This is true for \nexpress ourselves clearly. This is true for \n\nboth individuals and companies. \nboth individuals and companies. ea r t hqua ke a nd t su na m i, a sense of \nea r t hqua ke a nd t su na m i, a sense of \n\nJapan enjoys a high degree of trust, not \nJapan enjoys a high degree of trust, not stagnation was spreading throughout \nstagnation was spreading throughout \n\nonly in Asia but also in the world. It has an \nonly in Asia but also in the world. It has an Japa nese societ y. Young people were \nJapa nese societ y. Young people were \n\n\n\n\n\n— For the nation to recover its spirits \n— For the nation to recover its spirits \n\nit must think and act in terms of global \nit must think and act in terms of global \n\nrelationsh ips, a nd those w ith A sia in \nrelationsh ips, a nd those w ith A sia in \n\nparticular. — — \nparticular. \n\nJapan Research Institute. \nJapan Research Institute. \n\n**Ando**: Our world cha nged over n ig ht \n: Our world cha nged over n ig ht \n\nfollowing the earthquake and tsunami. \nfollowing the earthquake and tsunami. \n\nTake the matters of food, energ y and \nTake the matters of food, energ y and \n\nresources. In energy-saving, I think Japan \nresources. In energy-saving, I think Japan \n\nis now the world leader. Although Japan \nis now the world leader. Although Japan \n\nhas technologies that can contribute to \nhas technologies that can contribute to \n\nglobal affluence, I think it has not been \nglobal affluence, I think it has not been \n\nable to fully communicate their benefits \nable to fully communicate their benefits \n\nto the world. \nto the world. \n\n**Ando**: In the 1950s and 1960s, Japanese \n: In the 1950s and 1960s, Japanese a growth strategy that also covers Asia. \na growth strategy that also covers Asia. \n\nsociet y a l lowed a degree of leeway to \nsociet y a l lowed a degree of leeway to We think of Japan and Asia as being one \nWe think of Japan and Asia as being one \n\nimage of safety and stability. There is trust \nimage of safety and stability. There is trust wedded to the status quo, and I thought \nwedded to the status quo, and I thought \n\nbetween people and between enterprises. \nbetween people and between enterprises. we were str ugg l i ng w ith weig ht y a nd \nwe were str ugg l ing w ith weig ht y a nd \n\nWe must revitalize the country while this \nWe must revitalize the country while this intractable issues. But now more people \nintractable issues. But now more people \n\ntrust remains intact. People from various \ntrust remains intact. People from various s pull together.” I think the \nthink, “Let’s pull together.” I think the \nthink, “Let \n\nI have set up The Momo-Kaki Orphans \nI have set up The Momo-Kak i Orphans \n\nF u n d , w h i c h h e l p s o r p h a n s b y \nF u n d , w h i c h h e l p s o r p h a n s b y \n\nsupporting their schooling for a period \nsupporting their schooling for a period \n\nt h o s e w h o w a n t e d t o r e a l i z e t h e i r \nt h o s e w h o w a n t e d t o r e a l i z e t h e i r strategic region. \nstrategic region. \n\np o t e n t i a l [w i t h o u t g o o d a c a d e m i c \np o t e n t i a l [w i t h o u t g o o d a c a d e m i c SMBC intends to actively broaden its \nSMBC intends to actively broaden its \n\nqualifications]. I did not go to university, \nqualifications]. I did not go to university, scope of operations in Asia, Europe and \nscope of operations in Asia, Europe and", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "5.2 Comparison with State-of-the-Art \n\nNext, in Table 6, we inspect how the V-JEPA models \npretrained on video stack up next to the largest state- \nof-the-art self-supervised image and video models when \nfreezing the backbone encoder and training an attentive \nprobe on top. Our image pretrained baselines include \nOpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al., \n2023), and I-JEPA (Assran et al., 2023). The Open- \nCLIP model is trained with a contrastive image-text \nalignment objective, DINOv2 and I-JEPA are trained \nwith self-supervision. These models are known to excel \nin their frozen-evaluation performance (Oquab et al., \n2023); i.e., their ability to produce visual features that \ncan be applied to many downstream tasks simultane- \nously, without end-to-end fine-tuning, and thus pro- \nvide highly competitive baselines. Our video pretrained \nbaselines include VideoMAE (Tong et al., 2022), Omni- \nMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023), \nVideoMAEv2 (Wang et al., 2023a), and MVD (Wang \net al., 2023b). The OpenCLIP, DINOv2 and Video- \nMAEv2 models are parameterized as Giant/Gigantic \nvision transformer architectures containing over 1B pa- \nrameters trained on large-scale image or video datasets. \n\nComparison with image models. On tasks that re- \nquire a fine-grained understanding of motion (Something- \nSomething-v2), the V-JEPA models provide a major im- \nprovement (over +21 points) compared to large-scale \nimage baselines, such as DINOv2, OpenCLIP, and I- \nJEPA. Self-supervised pretraining from videos allows to \nmodel dynamic concepts that are not easily learned from \nstatic image datasets. Similarly, we observe that the \nV-JEPA models outperform image-based pretraining on \naction localization. \n\nOn Kinetics-400, we find image models to perform well; \ne.g., while DINOv2 (Oquab et al., 2023) previously re- \nported 78.4% on K400 with a linear probe, we improve \nthe frozen evaluation of the g/14 model to 83.4% by \nusing an attentive probe. In this case, our H/16 model \nachieves 82.0% top-1 accuracy. It is worth noting that \nthe label for many Kinetics videos can be inferred using \nappearance-based cues, without requiring an understand- \ning of motion (Sevilla-Lara et al., 2021). \n\nComparison with video models. Compared to \nlarge-scale video baselines, the V-JEPA models outper- \nform all previous models on every downstream video \nThe V-JEPA models narrow the gap with image models \non image classification tasks. \nIn particular, V-JEPA \nachieves a score of 77.4% on ImageNet using a one- \n\n8", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video- \nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using \na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, \niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. \nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from \nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream \ntasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on \nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on \nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining. \n\nFrozen Evaluation w/ Att. Pooling Fine-Tuning \n\n#Samples \nSeen K400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 \niNat21 K400-ft \n(16×5×3) SSv2-ft \n(16×2×3) Method Arch. Iter. \n\nMethods pretrained using pixel prediction \nOmniMAE \nVideoMAE \nHiera 75.1 \n71.1 \n68.9 ViT-L/16 \nViT-L/16 \nHiera-L 2400M 1170K \n410M \n400K \n770M 1500K 65.6 \n77.8 \n75.5 60.6 \n65.5 \n64.2 14.4 \n21.6 \n15.8 59.8 \n59.3 \n58.5 66.1 \n64.6 \n56.9 84.0 \n85.4 \n87.3 74.2 \n74.3 \n75.1 \n\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n|---|---|---|---|---|---|---|---|---|\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation \nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models \nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and \n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views \nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. \nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on \ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks \nrequiring static appearance-based features. \n\nVideo Tasks Image Tasks \n\nK400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 iNat21 \nArch. Params. Data \n\nIN22K \nLAION \nLVD-142M 79.7 \n81.8 \n83.4 50.0 \n34.8 \n50.6 66.5 \n70.2 \n68.4 85.7 \n83.6 \n88.8 \n\n66.5 \n65.4 \n66.2 \n61.2 \n64.7 59.4 \n60.6 \n59.1 \n60.6 \n59.5 65.7 \n72.4 \n65.5 \n68.3 \n61.7 \n\n630M \n1800M \n1100M \n\n200M \n630M \n630M \n1100M \n670M IN1K+K400 \nIN1K+SSv2 \nK400 \nUn.Hybrid \nK400 79.4 \n71.4 \n79.8 \n71.2 \n77.0 \n\n19.8 \n23.2 \n24.3 84.4 \n85.3 \n86.2 \n\n19.7 \n16.0 \n20.7 \n12.9 \n17.5 73.3 \n76.3 \n72.3 \n71.4 \n71.4 \n\nMethod \n\nMethods pretrained on Images \nI-JEPA \nOpenCLIP \nDINOv2 ViT-H/16512 \nViT-G/14 \nViT-g/14 \n\nMethods pretrained on Videos \nMVD \nOmniMAE \nVideoMAE \nVideoMAEv2 \nHiera ViT-L/16 \nViT-H/16 \nViT-H/16 \nViT-g/14 \nHiera-H \n\n| ViT-L/16 200M\nV-JEPA ViT-H/16 630M VideoMix2M\nViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n|---|---|---|---|---|---|---|\n| ViT-L/16 200M V-JEPA ViT-H/16 630M VideoMix2M ViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |", + "page_start": 6, + "page_end": 6, + "source_file": "arxiv3.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nAbstract (continued) \n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in- \n\nloop implementation design for this model and demonstrates an effective strategy to measure \n\npreimplementation patient safety of LLM models. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 \n\n**Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of \nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint \nCommission, the Accreditation Council for Graduate Medical Education, and the Association of \n\nAmerican Medical Colleges have all recommended the development of high-quality and standardized \nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing \nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality \nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by \nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The \nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly \n\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff \nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with \nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high \n\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most \ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated \nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal \nmedicine leadership of the study site collaboratively developed and launched a mandatory, \n\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real- \n\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal \n\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured \n\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of \n\nthe handoff notes. \n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks \nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical \nnotes using natural language processing (NLP) have been overall shown to improve note completion \nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements \nin health care with the discovery of the transformer model architecture, the building block of large \nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology \nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels \nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large \nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is \ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with \nthe original source content.31 Much work has been done in health care to reduce hallucinations \nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine- \ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability \nby citing inferred content back to the reference source notes.34 For short-context length notes, using \nfew-shot prompt engineering approaches with large language models like GPT-4 can produce", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + }, + { + "text": "E.4 Masking Strategy \n\nAn important component of the V-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we \ndetail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained \non K400. Figure 8 presents a summary of those results. \n\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of \nsampled blocks used to construct the masks given a fixed effective masking ratio of 90%. Finally, in Figure 8a we \n\n21", + "page_start": 20, + "page_end": 20, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE. We evaluate the effect of linear (Lin.) \nand attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2 (16 × 2 × 2) tasks. V-JEPA and \nVideoMAE benefit from using a non-linear attentive probe. \n\nK400 SSv2 \nMethod Arch. Lin. Att. Lin. Att. \n\nVideoMAE ViT-L/16 \nViT-L/16 \nV-JEPA \n\n| 56.7 | 80.8 | 50.1 | 69.5 |\n|---|---|---|---|\n| 56.7 | 80.8 | 50.1 | 69.5 |\n\n\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP. We evaluate the effect of linear (Lin.) \nand attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing \nstrategy. Results shown in gray are reported from the linear probe evaluation in Oquab et al. (2023). \n\nK400 \nLin. Att. SSv2 \nLin. Att. IN1K \nLin. Att. Place205 \nLin. Att. iNat21 \nLin. Att. \n\nMethod Arch. \nDINOv2 \nViT-g/14 \nOpenCLIP ViT-G/14 78.4 \n78.3 83.4 \n81.8 38.3 \n35.8 50.0 \n34.8 86.5 \n86.2 86.2 \n85.3 67.5 \n69.8 68.4 \n70.2 85.7 \n76.0 88.8 \n83.6 \n\nOne Clip vs Multiple clips. We examine the impact of changing the temporal coverage of a model during downstream \nevaluation on K400 action classification. In Table 14, we evaluate VideoMAE and V-JEPA models using an attentive \nprobe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature \nmap of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8 \nequal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to \n2 \n≈ \nseconds of a video on average, while 8 clips correspond to \n16 seconds. The video encoders processes each clip \nseparately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe. \n≈ \n\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of both V-JEPA and \nVideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default \nevaluation pipeline. \n\nIn Table 15, we evaluate V-JEPA using finetuning (separately) on K400 and SSv2. We compare V-JEPA with \nVideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16 \nor a ViT-H/16 architecture. V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16 \narchitecture, V-JEPA outperforms by 1.2% VideoMAE and +0.3% VideoMAEv2 on the SSv2 dataset, while obtaining \ncomparable performance on K400. V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The \nMVD model achieves the best performance across models on the K400 dataset, and is trained using the image \ndataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD \nrequires the processing of significantly more samples during pretraining due to the cost of training the teacher \nencoder networks in a pre-pre-training step. \n\nE.3 Sample Efficiency of pretraining \n\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we \nlook at the number of samples (image or video clips) processed by the network during pretraining, which is larger \nthan the size of the pretraining dataset for multi-epoch training. Notably, our results with V-JEPA are obtained \nwhile processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude \nfewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data \ndistribution could lead to substantial gains in downstream image and video tasks. \n\nE.4 Masking Strategy", + "page_start": 20, + "page_end": 20, + "source_file": "arxiv3.pdf" + } + ] + }, + { + "references": { + "source_file": "arxiv3.pdf", + "query": "What is the average performance of the ViT-L/16 architecture on the K710 dataset with 700k samples ?", + "target_page": 5, + "target_passage": "70.9", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "| | ViT-L/16 | | Hiera | -L | | | Video Feature Pred.\nVideo Pixel Pred. |\n|---|---|---|---|---|---|---|---|\n| | ViT-L/16 | | Hiera | -L | | | Video Feature Pred. Video Pixel Pred. |\n| | | | | | | | niMAE L/16 |\n| | | VideoM ViT-L/16 | AE | | | Om ViT- | |\n\n\n| | V-JE\nViT-H | | PA\n/16384 | | | | | | | Video Feature Pred.\nVideo Pixel Pred. |\n|---|---|---|---|---|---|---|---|---|---|---|\n| | V-JE ViT-H | | PA /16384 | | | | | | | Video Feature Pred. Video Pixel Pred. |\n| | | | | | | | | | | |\n| | | | VideoM | AE | | | | | | eoMAEv2 g/14 |\n| | | | | | | | | | | |\n| | | | ViT-H/16 | | | | | Vid ViT- | | |\n\n\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen. We \nreport SSv2 fine-tuning for V-JEPA and pixel-reconstruction \nbaselines using a ViT-L/16 or Hiera-L architecture. V-JEPA \noutperforms all pixel-reconstruction methods using a ViT- \nL/16 and matches the Hiera-L performance while seeing \nsignificantly less samples during pretraining. \n\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining \nTime. Wallclock times for all methods are measured on a \nsingle GPU with a batch size of 10 clips, using the official \ncodebases for VideoMAE and VideoMAEv2, and linearly \nextrapolated assuming a global batch size of 2400 samples. \nHowever, note that the SSv2 accuracies of video pixel pre- \ndiction methods are actually obtained with small batch sizes \nand significantly longer training schedules. V-JEPA out- \nperforms pixel-reconstruction methods while training signifi- \ncantly faster. ageNet; hence, V-JEPA achieves comparable ImageNet \nperformance despite only pretraining on video. \n\nUnder the fine-tuning protocol, V-JEPA also achieves the \nbest performance of any model trained with a ViT-L/16, \nand matches the performance of the Hiera-L on SSv2, \nwhich benefits from a hierachical prior (Ryali et al., 2023). \nThe V-JEPA models achieve this result while processing \nsignificantly fewer samples during pretraining (Figure 4), \ndemonstrating the efficiency of feature prediction as a \nlearning principle. \n\nand image task with notable margin (see Table 6). Our \nH/16 model outperforms the largest publicly available \nVideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera \nmodels by at least +5 points in motion understanding \n(Something-Something-v2), +2 points in action recogni- \ntion (Kinetics-400), +5 points on action detection (AVA), \n+1 point on object recognition (ImageNet-1K), +2 points \nin scene recognition (Places205), and +0.2 points on fine- \ngrained recognition (iNaturalist). Moreover, when com- \nparing pretraining wallclock time in Figure 5, we see that \nV-JEPA achieves this performance with a roughly 2 \n× \nspeedup compared to the large pixel prediction models. \n\n5.2 Comparison with State-of-the-Art", + "page_start": 7, + "page_end": 7, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video- \nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using \na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, \niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. \nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from \nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream \ntasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on \nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on \nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining. \n\nFrozen Evaluation w/ Att. Pooling Fine-Tuning \n\n#Samples \nSeen K400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 \niNat21 K400-ft \n(16×5×3) SSv2-ft \n(16×2×3) Method Arch. Iter. \n\nMethods pretrained using pixel prediction \nOmniMAE \nVideoMAE \nHiera 75.1 \n71.1 \n68.9 ViT-L/16 \nViT-L/16 \nHiera-L 2400M 1170K \n410M \n400K \n770M 1500K 65.6 \n77.8 \n75.5 60.6 \n65.5 \n64.2 14.4 \n21.6 \n15.8 59.8 \n59.3 \n58.5 66.1 \n64.6 \n56.9 84.0 \n85.4 \n87.3 74.2 \n74.3 \n75.1 \n\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n|---|---|---|---|---|---|---|---|---|\n| V-JEPA ViT-L/16 270M 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation \nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models \nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and \n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views \nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. \nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on \ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks \nrequiring static appearance-based features. \n\nVideo Tasks Image Tasks \n\nK400 \n(16×8×3) SSv2 \n(16×2×3) \nAVA IN1K Places205 iNat21 \nArch. Params. Data \n\nIN22K \nLAION \nLVD-142M 79.7 \n81.8 \n83.4 50.0 \n34.8 \n50.6 66.5 \n70.2 \n68.4 85.7 \n83.6 \n88.8 \n\n66.5 \n65.4 \n66.2 \n61.2 \n64.7 59.4 \n60.6 \n59.1 \n60.6 \n59.5 65.7 \n72.4 \n65.5 \n68.3 \n61.7 \n\n630M \n1800M \n1100M \n\n200M \n630M \n630M \n1100M \n670M IN1K+K400 \nIN1K+SSv2 \nK400 \nUn.Hybrid \nK400 79.4 \n71.4 \n79.8 \n71.2 \n77.0 \n\n19.8 \n23.2 \n24.3 84.4 \n85.3 \n86.2 \n\n19.7 \n16.0 \n20.7 \n12.9 \n17.5 73.3 \n76.3 \n72.3 \n71.4 \n71.4 \n\nMethod \n\nMethods pretrained on Images \nI-JEPA \nOpenCLIP \nDINOv2 ViT-H/16512 \nViT-G/14 \nViT-g/14 \n\nMethods pretrained on Videos \nMVD \nOmniMAE \nVideoMAE \nVideoMAEv2 \nHiera ViT-L/16 \nViT-H/16 \nViT-H/16 \nViT-g/14 \nHiera-H \n\n| ViT-L/16 200M\nV-JEPA ViT-H/16 630M VideoMix2M\nViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n|---|---|---|---|---|---|---|\n| ViT-L/16 200M V-JEPA ViT-H/16 630M VideoMix2M ViT-H/16384 630M | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |", + "page_start": 6, + "page_end": 6, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 14 Temporal Coverage on Kinetics-400. We evaluate the effect of temporal coverage on K400. We train an attentive \nprobe on K400 using either 1 clip (≈ 2 seconds of a video) or 8 clips (≈ 16 seconds of a video). To sample N clips, we first \ndivide a video in N equal-length temporal segments and sample one clip at random per segment. The video encoder processes \neach clip in parallel and all the encoder output tokens are concatenated at the input of the attentive probe. Increasing the \ntemporal coverage from 1 clip per video to 8 clips significantly improves the performance for both our VideoMAE baseline \nand V-JEPA. \n\nMethod \nVideoMAE ViT-L/16 \nViT-L/16 \nV-JEPA \n\nArch. 1 Clip 8 Clips \n\n| 73.7 | 80.9 |\n|---|---|\n| 73.7 | 80.9 |\n\n\nTable 15 Finetuning results. We evaluate a V-JEPA model with the finetuning protocol on the K400 and SSv2 datasets \nusing 16 frames per clip and multi-view fusion (5×3 or 2×3) for inference. The #Samples Seen entry corresponds to the \nnumber of video clips processed during pretraining, which is larger than the size of the pretraining dataset for multi-epoch \ntraining. We compare V-JEPA with different video self-supervised learning approaches. We report the VideoMAEv2 results \nwithout instruction-turning for consistency with the other approaches. V-JEPA obtains competitive performance using the \nfinetuning protocol. \n\nK400 \n(16×5×3) SSv2 \n(16×2×3) \nMethod Arch. Pretraining Data #Samples Seen \n\nVideoMAEv1 ViT-L/16 K400|SSv2 \nViT-H/16 K400|SSv2 \nVideoMAEv2 ViT-H/16 Un.Hybrid \n\n380M|410M \n380M|410M \n1600M \n2400M \n2400M 85.4 \n86.6 \n86.9 \n86.4 \n87.2 74.3 \n74.8 \n76.8 \n76.7 \n77.3 ViT-L/16 K400+IN1K \nViT-H/16 K400+IN1K \nMVD \n\nViT-L/16 \nVideoMix2M \nViT-H/16 VideoMix2M 270M \n270M 85.6 \n86.6 75.1 \n77.0 \nV-JEPA \n\nexamine our multi-masking strategy and find that sampling two masks for each clip (long-range and short-range) to \nbe more effective than sampling just a single mask for each clip. \n\nIn Figure 8c, we explore different average spatial and temporal masking ratio, i.e. the spatial/temporal ratio of \nthe area that is covered by a mask on average for a clip. Recall that each mask is constructed by sampling several \n(possibly overlapping) blocks and taking their union. We change the average spatial or temporal masking ratio by \nchanging a block spatial or temporal size, as well as the overall number of blocks. We found that low spatial or \ntemporal coverage results in a trivial prediction task, which degrades downstream performance. Based on those \nresults, we sample masks that remove roughly 90% of the frame and extend along the entire temporal dimension of \nthe clip by default. \n\nIn Figure 8b , we explore different block size given an effective spatial masking ratio of 90% and temporal ratio of \n100%. We keep the masking ratio approximately constant by changing the block size and the number of block at the \nsame time. We find that sampling several blocks to perform better than sampling a single large block. Figure 9 \nvisually illustrates the effect of sampling several smaller blocks to construct a mask. \n\nIn Figure 8a, we explore the effect of sampling various number of masks per samples. We find that sampling two \nmasks for each clip, with different spatial block sizes for each, to be more effective than sampling just a single mask. \nWe hypothesize that this masking strategy induces complementary tasks. In our experiment, we use this as our \ndefault masks sampling.", + "page_start": 21, + "page_end": 21, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 16 Sample efficiency. We compare the sample efficiency of pretraining various state-of-the-art image and video models. \nThe #Samples Seen entry corresponds to the number of samples (image or video clips) processed by the network during \npretraining, which is larger than the size of the pretraining dataset for multi-epoch training. The V-JEPA results in this \npaper are obtained while processing an order of magnitude fewer samples than previous methods. \n\n| Method Arch. Data | #Samples Seen |\n|---|---|\n| Method Arch. Data | #Samples Seen |\n\n\nViT-G/14 \nOpenCLIP \nDINOv2 \nViT-g/14 \nVideoMAEv2 ViT-g/14 \nV-JEPA \nLAION-2B \nLVD 142M \nUnlabeledHybrid \n39000M \n1900M \n1600M \n210M ViT-H/16384 VideoMix2M \n\n(a) (b) \n\nFigure 8 Masking Strategy Ablation. Evaluating a linear probe on a ViT-B/16 pretrained with V-JEPA on K400 under \nvarious 3D Multi-Block masking settings. We examine the impact of (a) sampling several masks per video, (b) varying the \nnumber of blocks in a mask, and (c) varying the average spatial and temporal masking ratio. A temporal masking ratio of \n100% extends the spatial mask across all the frames in the clip. We find it important to maintain a high spatial and temporal \nmasking ratio during pretraining. \n\n\n\n\n\n\n\n(c) Num. Blocks: 2, Spatial Block Size: 160 × 160 \n\nFigure 9 Illustration of mask with number of blocks and block size. Each mask is constructed by sampling several (possibly \noverlapping) blocks and taking their union.", + "page_start": 22, + "page_end": 22, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and \nSomething-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive \nprobe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random \nsplits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report \nthe mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than \nother models; specifically, decreasing the available number of labeled examples from each class increases the performance gap \nbetween V-JEPA and the baselines. \n\nFrozen Evaluation \n\nSSv2 \n(16×2×3) \n\n5% \n(∼29 samples per class) Method Arch. \n\n62.6 ± 0.2 \n62.3 ± 0.3 \n37.0 ± 0.3 MVD \nVideoMAE \nVideoMAEv2 ViT-L/16 \nViT-H/16 \nViT-g/14 \n\nK400 \n(16×8×3) \n\n10% \n(∼58 samples per class) 50% \n(∼287 samples per class) 5% \n(∼48 samples per class) 10% \n(∼96 samples per class) 50% \n(∼440 samples per class) \n\n68.3 ± 0.2 \n68.5 ± 0.2 \n48.8 ± 0.4 77.2 ± 0.3 \n78.2 ± 0.1 \n67.8 ± 0.1 42.9 ± 0.8 \n41.4 ± 0.8 \n28.0 ± 1.0 49.5 ± 0.6 \n48.1 ± 0.2 \n37.3 ± 0.3 61.0 ± 0.2 \n60.5 ± 0.4 \n54.0 ± 0.3 \n\n| ViT-H/16\nV-JEPA\nViT-H/16384 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n|---|---|---|---|---|---|---|\n| ViT-H/16 V-JEPA ViT-H/16384 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\n\nlayer attentive probe, which can be further improved to \n77.9% using a two-layer attentive probe. More generally, \nwe hypothesize that the datasets used to train V-JEPA \nand other video models are too constrained and lack the \nvisual diversity of the internet-scale pretraining data used \nby the images models; as such, there is value in focusing \nfuture work on building diverse publicly available video \ndatasets. \n\nto 54.0% top-1 when we reduce the number of labeled \nexamples by a factor of 10 \n(from roughly 440 examples \nper class to 48 examples per class). By contrast, Video- \nMAEv2 drops by 26% to 28.0% top-1, VideoMAE drops \nby 19.1% to 41.4% top-1, and MVD drops by 18.1% to \n42.9% top-1. \n\n× \n\n6 Evaluating the Predictor \n\nNext, we seek to qualitatively inspect the V-JEPA mod- \nels. Recall that the predictor network in V-JEPA predicts \nthe representations of a masked spatio-temporal region y \nfrom a visible region x, given the positional information \nof the masked regions (see Section 3). To qualitatively in- \nvestigate the grounding of the feature-space predictions, \nwe freeze the pretrained encoder and predictor networks \nand train a conditional diffusion decoder to map the \nV-JEPA predictions to interpretable pixels. Notably, the \ndecoder is only fed the representations predicted for the \nmissing regions of the video, and does not have access \nto the unmasked regions of the video (see Figure 6a). \n\n5.3 Label-efficiency \n\nWe examine the label-efficiency of V-JEPA compared to \nother self-supervised video models by measuring the abil- \nity of the pretrained backbones to adapt to downstream \ntasks with few labels. Specifically, we investigate the \nperformance of the frozen models on Kinetics-400 and \nSomething-Something-v2 as we vary the percentage of \nlabeled examples from each dataset available for training \nthe attentive probe. We train the probes in several low- \nshot settings: using either 5% of the train set, 10%, or \n50%, and take 3 random splits in each setting to obtain \nmore robust metrics, resulting in 9 different evaluation \nexperiments for each model. Table 7 reports the mean \nperformances and standard deviation using the K400 \nand SSv2 validation sets.", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All \nmodels are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We \nexamine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single \ncenter view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide \na consistent improvement over pixel space prediction. \n\nFrozen Evaluation Fine-Tuning \n\nK400 \n(16×1×1) SSv2 \n(16×1×1) \nIN1K \nK400-ft \n(16×5×3) Target Arch. \n\n| Features ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n|---|---|---|---|---|\n| Features ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\n\nTable 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate \ndownstream performance of the frozen backbones with an attentive probe using a single center view. Average performance \nacross tasks increases with the pretraining dataset size. \n\nFrozen Evaluation \n\nK400 \n(16×1×1) SSv2 \n(16×1×1) \nIN1K Avg. \nArch. #Samples \n\nViT-L/16 \n\n| 73.7 | 66.2 | 74.8 | 71.5 |\n|---|---|---|---|\n| 73.7 | 66.2 | 74.8 | 71.5 |\n\n\n| VideoMix2M 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n|---|---|---|---|---|\n| VideoMix2M 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\n\nversus pixel prediction objective, b) the construction of \nthe pretraining data distribution, c) the feature pooling \nstrategy for leveraging the model’s representations in \ndownstream tasks, and d) the masking strategy, towards \nidentifying: what to predict from what? \n\nEvaluations. Pretrained models are evaluated on \ndownstream video and image tasks. On video tasks, \nwe use a subset of the VideoGLUE benchmark (Yuan \net al., 2023) to test for various capabilities; specif- \nically, we investigate action recognition on Kinetics- \n400 (K400) (Kay et al., 2017), motion classification on \nSomething-Something-v2 (SSv2) (Goyal et al., 2017), \nand action localization on AVA (Gu et al., 2018). Action \nclassification on Kinetics evaluates the appearance-based \nunderstanding of the model, as many action classes in \nthe dataset can be inferred from the presence of specific \nobjects in the video (Sevilla-Lara et al., 2021). Motion \nclassification on Something-Something-v2 evaluates the \ntemporal understanding of the model, as action classes \nin the dataset are decoupled from the appearance/pres- \nence of specific objects in the video (Goyal et al., 2017). \nFinally, action localization on AVA evaluates the ability \nof the model to understand and localize motions in the \nvideo. We follow standard practice and report accu- \nracy on K400 and SSv2 by sampling several spatial and \ntemporal views. For static image tasks, we explore ob- \nject recognition on ImageNet (Russakovsky et al., 2015), \nscene classification on Places205 (Zhou et al., 2014), and \nfine-grained recognition on iNaturalist 2021 (Van Horn \net al., 2018). \n\n4.1 Predicting Representations versus Pixels \n\nWe first ablate the effect of computing the prediction \nloss in representation space. We train a pair of ViT-L/16 \nmodels using either a V-JEPA feature prediction loss, \nor a mean-squared error loss with the normalized pixel \nvalues, as in masked autoencoders (He et al., 2021), and \nperform a sweep over the learning rate and weight decay \nschedules for both approaches. All models are pretrained \non VideoMix2M for 90K iterations with a batch size of \n3072 using multi-block masking. We examine perfor- \nmance on Kinetics-400 (K400), Something-Something-v2 \n(SSv2), and ImageNet-1K (IN1K), using a frozen back- \nbone with an attentive probe, and report top-1 accuracy \nusing a single center view. We also examine end-to-end \nfine-tuning performance of the models on Kinetics-400.", + "page_start": 4, + "page_end": 4, + "source_file": "arxiv3.pdf" + }, + { + "text": "× \n\nPretraining. We combine several public datasets to \nconstruct an unsupervised video pretraining dataset, \nwhich we refer to as VideoMix2M. Specifically, we com- \nbine the videos from HowTo100M (HT) (Miech et al., \n2019), Kinetics-400/600/700 (K710) (Kay et al., 2017), \nand Something-Something-v2 (SSv2) (Goyal et al., 2017), \nand remove any overlap with the validation sets of \nKinetics-400/600/700 and Something-Something-v2, re- \nsulting in approximately 2 million videos. We train a \nViT-L/16, a ViT-H/16, and a ViT-H/16384 transformer \nmodel on VideoMix2M. We use a batch size of 3072 for \nthe ViT-L/16 and ViT-H/16 models, and a batch size \nof 2400 for the ViT-H/16384 model. Each model takes \nas input a video clip of 16 frames sampled with a frame- \nskip of 4, corresponding to roughly 3 second clips on \naverage. The ViT-L/16 and ViT-H/16 process the video \nat a spatial resolution of 224, while the ViT-H/16384 \nuses an input resolution of 384; cf. Appendix C.", + "page_start": 3, + "page_end": 3, + "source_file": "arxiv3.pdf" + }, + { + "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE. We evaluate the effect of linear (Lin.) \nand attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2 (16 × 2 × 2) tasks. V-JEPA and \nVideoMAE benefit from using a non-linear attentive probe. \n\nK400 SSv2 \nMethod Arch. Lin. Att. Lin. Att. \n\nVideoMAE ViT-L/16 \nViT-L/16 \nV-JEPA \n\n| 56.7 | 80.8 | 50.1 | 69.5 |\n|---|---|---|---|\n| 56.7 | 80.8 | 50.1 | 69.5 |\n\n\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP. We evaluate the effect of linear (Lin.) \nand attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing \nstrategy. Results shown in gray are reported from the linear probe evaluation in Oquab et al. (2023). \n\nK400 \nLin. Att. SSv2 \nLin. Att. IN1K \nLin. Att. Place205 \nLin. Att. iNat21 \nLin. Att. \n\nMethod Arch. \nDINOv2 \nViT-g/14 \nOpenCLIP ViT-G/14 78.4 \n78.3 83.4 \n81.8 38.3 \n35.8 50.0 \n34.8 86.5 \n86.2 86.2 \n85.3 67.5 \n69.8 68.4 \n70.2 85.7 \n76.0 88.8 \n83.6 \n\nOne Clip vs Multiple clips. We examine the impact of changing the temporal coverage of a model during downstream \nevaluation on K400 action classification. In Table 14, we evaluate VideoMAE and V-JEPA models using an attentive \nprobe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature \nmap of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8 \nequal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to \n2 \n≈ \nseconds of a video on average, while 8 clips correspond to \n16 seconds. The video encoders processes each clip \nseparately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe. \n≈ \n\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of both V-JEPA and \nVideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default \nevaluation pipeline. \n\nIn Table 15, we evaluate V-JEPA using finetuning (separately) on K400 and SSv2. We compare V-JEPA with \nVideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16 \nor a ViT-H/16 architecture. V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16 \narchitecture, V-JEPA outperforms by 1.2% VideoMAE and +0.3% VideoMAEv2 on the SSv2 dataset, while obtaining \ncomparable performance on K400. V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The \nMVD model achieves the best performance across models on the K400 dataset, and is trained using the image \ndataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD \nrequires the processing of significantly more samples during pretraining due to the cost of training the teacher \nencoder networks in a pre-pre-training step. \n\nE.3 Sample Efficiency of pretraining \n\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we \nlook at the number of samples (image or video clips) processed by the network during pretraining, which is larger \nthan the size of the pretraining dataset for multi-epoch training. Notably, our results with V-JEPA are obtained \nwhile processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude \nfewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data \ndistribution could lead to substantial gains in downstream image and video tasks. \n\nE.4 Masking Strategy", + "page_start": 20, + "page_end": 20, + "source_file": "arxiv3.pdf" + }, + { + "text": "Input. Unless stated otherwise, during during pretraining, we always randomly sample a clip of 16 frames from \neach input video with a temporal stride of 4 between sampled frames. An input video clip therefore covers 64 frames \nin total, or roughly 2 seconds of a given video running at 30 frames per second. We then resize the video’s spatial \ndimensions to 224 \n3 for the entire clip. Since ViT networks \nprocess a 1D sequence of tokens, we must convert an input video clip into a 1D token sequence. To do so, we apply a \n3D convolution comprising d filters of size 2 \n16 with a temporal stride of 2 and a spatial stride of 16, resulting \nd. Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal \nin a tensor of shape 8 \nfeature map and flatten it, resulting in a 1D token sequence of shape 1568 \nd. This process is demonstrated in \nFigure 7. \n\n224, resulting in an overall shape of 16 224 224 \n× × × × \n\n16 \n× × \n14 14 \n× × × \n× \n\nFigure 7 V-JEPA training operates on a video clip flattened into a sequence of tokens. To convert a video clip of size \n16 × 224 × 224 × 3 into a 1D token sequence, we apply a 3D convolution comprising d filters of size 2 × 16 × 16 with a temporal \nstride of 2 and a spatial stride of 16, resulting in a tensor of shape 8 × 14 × 14 × d. Next we add absolute 3D sin-cos positional \nembeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape 1568 × d. \n\nV-JEPA. We sample both a video clip, and a video mask in each iteration. We denote a video clip represented as \na 1D token sequence of length L = 1568 by xL = (x1, . . . , xL). Similarly, given a mask of M < L patches, leaving \nM patches unmasked, we denote the indices of masked patches by (i1, . . . , iM ) and its complement (the \nN = L \nindices of unmasked patches) by (j1, . . . , jN ). \n− \n\nComputing the x-representations. To compute the V-JEPA loss, we first produce the x-representations by masking \nthe video clip and feeding it into the x-encoder; we denote the masked video by xN = (xj1 , . . . , xjN ). Applying the x- \n) to the masked clip gives a sequence of patch representations, denoted as zN = Eθ(xN ) = (zj1, . . . , zjN ). \nencoder Eθ( \n· \n\nPredicting the target. Next, the V-JEPA predictor network Pϕ( \n) takes as input the tokens produced by the \n· \nx-encoder and predicts the missing regions in the video clip, which are specified by a set of learnable mask tokens. \nSpecifically, the mask tokens are parameterized as the sum of a shared learnable vector and an absolute 3D \nsin-cos positional embedding, denoted by mM = (mi1 , . . . , miM ). The output of the predictor is thus given by, \nˆsM = Pϕ(zN , mM ) = (ˆsi1 , . . . , ˆsiM ), corresponding to a d-dimensional output for each of the M masked patches. \n\n, \n· \n\nComputing the y-representations. Finally to compute the prediction targets, the entire unmasked video clip is \nprocessed by the y-encoder to obtain a set of target representations, denoted by sL = Eθ(xL) = (s1, . . . , sL). The \nV-JEPA loss is now computed as \n\n1 \nM \n\n(cid:88) \nLoss = \n(2) \n\nˆsk \n∥ \nk∈(i1,...,iM ) \nsk 1, \n− ∥ \n\nwhich is simply the average L1 distance between the output of the predictor and the y-encoder. We then compute a \ngradient update with respect to the parameters of the x-encoder, θ, and the predictor, ϕ, and subsequently update \nthe parameters of the y-encoder as an exponential moving average of the context encoder weights (Polyak average). \n\n16", + "page_start": 15, + "page_end": 15, + "source_file": "arxiv3.pdf" + }, + { + "text": "correlated (see Figure 12). We preferred to propose \ndatasets even if they could introduce biases rather \nthan not address the task in the benchmark. Note \nthat each task type can be considered individually. \nWe hope additional resources will be developed \nin the French-speaking community to enrich our \ncomparison. \n\nBenchmark validity over time As with all \nbenchmarks, their reliability over time can be dis- \ncussed as the field evolves fast. The models se- \nlected for the analysis conducted in this paper are \nthose available at this time, new outperforming \nmodels will be created and shall be evaluated. Our \nwork extends MTEB and thus simplifies the ad- \ndition of new datasets for evaluation and allows \nrunning new models. With this effort, we hope \nthis will simplify the evaluation of new models pro- \nposed by the community to keep our work up to \ndate. \n\nSana Al-Azzawi, Blessing K. Sibanda, Davis \nDavid, Lolwethu Ndolela, \nJonathan Mukiibi, \nTunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian \nOdhiambo, Abraham Toluwase Owodunni, Nnae- \nmeka Obiefuna, Shamsuddeen Hassan Muham- \nmad, Saheed Salahudeen Abdullahi, Mesay Gemeda \nYigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmu- \nmin, Mahlet Taye Bame, Oluwabusayo Olufunke \nAwoyomi, Iyanuoluwa Shode, Tolulope Anu Ade- \nlani, Habiba Abdulganiy Kailani, Abdul-Hakeem \nOmotayo, Adetola Adeeko, Afolabi Abeeb, An- \nuoluwapo Aremu, Olanrewaju Samuel, Clemen- \ncia Siro, Wangari Kimotho, Onyekachi Raphael \nOgbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chuk- \nwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. \nAwosan, Tadesse Kebede Guge, Sakayo Toadoum \nSari, Pamela Nyatsine, Freedmore Sidume, Oreen \nYousuf, Mardiyyah Oduwole, Ussen Kimanuka, \nKanda Patrick Tshinu, Thina Diko, Siyanda Nx- \nakama, Abdulmejid Tuni Johar, Sinodos Gebre, \nMuhidin A. Mohamed, Shafie Abdi Mohamed, \nFuad Mire Hassan, Moges Ahmed Mehamed, Evrard \nNgabire, and Pontus Stenetorp. 2023. Masakhanews: \nNews topic classification for african languages. In \nInternational Joint Conference on Natural Language \nProcessing. \n\nData contamination issues Bias may exist for \nmodels that use the training sets of the provided \nevaluation datasets for their training. It consider- \nably improves their performance on the benchmark, \nfavouring them over other models. This is particu- \nlarly worrying for models that do not communicate \nabout the datasets used during training, such as pro- \nprietary models. Generally speaking, it would be \ninteresting to calculate the similarity between the \ndatasets used to train the models and those used to \ntest them to check that they are far enough apart to \ndraw general conclusions. \n\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, \nAitor Gonzalez-Agirre, Rada Mihalcea, German \nRigau, and Janyce Wiebe. 2016. SemEval-2016 \ntask 1: Semantic textual similarity, monolingual \nand cross-lingual evaluation. In Proceedings of the \n10th International Workshop on Semantic Evaluation \n(SemEval-2016), pages 497–511, San Diego, Califor- \nnia. Association for Computational Linguistics. \n\nArthur Barbosa, Máverick Ferreira, Rafael Fer- \nreira Mello, Rafael Dueire Lins, and Dragan Ga- \nsevic. 2021. The impact of automatic text transla- \ntion on classification of online discussions for social \nand cognitive presences. In LAK21: 11th Interna- \ntional Learning Analytics and Knowledge Confer- \nence, LAK21, page 77–87, New York, NY, USA. \nAssociation for Computing Machinery. \n\nFocus on sentence embeddings Finally, like the \noriginal version of MTEB, the comparison focuses \nmainly on sentence embeddings. Other tasks could \nbe added to cover word embeddings and, therefore, \nmore NLP tasks. \n\nRachel Bawden, Eric Bilinski, Thomas Lavergne, and \nSophie Rosset. 2021. Diabla: A corpus of bilingual \nspontaneous written dialogues for machine transla- \ntion. Language Resources and Evaluation, 55:635– \n660. \nAcknowledgements \n\nWe would like to thank Wikit11 and Esker12 for \nproviding compute and funding this research.", + "page_start": 8, + "page_end": 8, + "source_file": "arxiv4.pdf" + } + ] + }, + { + "references": { + "source_file": "PLAW-116publ30.pdf", + "query": "What is appropriate authority ?", + "target_page": 1, + "target_passage": "APPROPRIATE AUTHORITY.—The term ‘appropriate authority’ means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "(a) \n\nin the interests of defence, public safety, public order, public morality or public \nhealth; or \nfor the purpose of protecting the rights and freedoms of other persons, including \nthe right to observe and practise any religion without the unsolicited intervention \nof members of any other religion, \n\n(b) \n\nand except so far as that provision or, as the case may be, the thing done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**12. Protection of freedom of expression**\n\n(1) Except with his or her own consent, no person shall be hindered in the \n\nenjoyment of his or her freedom of expression, that is to say, freedom to hold opinions \nwithout interference, freedom to receive ideas and information without interference, \nfreedom to communicate ideas and information without interference (whether the", + "page_start": 10, + "page_end": 10, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**3.2 User and group administration**\n\nWhen you design a Content Manager OnDemand system, you must determine the best way \nto implement the many authority structures that are available for users and administrators of \nyour system. The span of control for the administration of the system must be considered with \nthe level of user access to the data that is stored in the system. How many different \nadministrators are required? Will all administrators have system administrator authority or will \ndifferent administrators have different levels of authority? What is the most effective way to \nrestrict a user’s access to only the data that is necessary to do that user’s job? \n\nThe answers to these questions depend on the size of the system, the degree of \ncentralization to be exercised over system administration, and the nature of the data and the \nbusiness needs of the users. \n\n**Centralized or decentralized**\nIn a system design that exercises centralized control, one or a few administrators are granted \nsystem administrator authority. A centralized system typically is used when the number of \nreports and users to be added to the system is small. Centralized administration is also \nappropriate where resources are limited and only one person might have the skills and \nknowledge to perform the system administration tasks, or where one user group performs all \nof the administration tasks. \n\nIn a system design with decentralized control, different users are granted different levels of \nadministrative authority. For example, you might have users that have the authority to create \nusers and groups. Other users might have the authority to create application groups and \nfolders, and others might be given full system administration authority.", + "page_start": 89, + "page_end": 89, + "source_file": "sg246915.pdf" + }, + { + "text": "(5) An Assistant Minister shall- \n\n(a) \n\nassist the President or the Vice-President in the discharge of such of the \nfunctions of the office of President or Vice-President as the President may \nspecify; or \nassist such Minister in the discharge of the functions assigned to him or her \nunder subsection (4) of this section as the President may specify. \n\n(b) \n\n**51. Attorney-General**\n\n(1) There shall be an Attorney-General appointed by the President whose office \n\nshall be a public office. \n\n(2) A person shall not be qualified to be appointed to the Office of Attorney-", + "page_start": 23, + "page_end": 23, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "communication be to the public generally or to any person or class of persons) and \nfreedom from interference with his or her correspondence. \n\n(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nthat is reasonably required in the interests of defence, public safety, public \norder, public morality or public health; or \nthat is reasonably required for the purpose of protecting the reputations, rights \nand freedoms of other persons or the private lives of persons concerned in legal \nproceedings, preventing the disclosure of information received in confidence, \nmaintaining the authority and independence of the courts, regulating \neducational institutions in the interests of persons receiving instruction therein, \nor regulating the technical administration or the technical operation of \ntelephony, telegraphy, posts, wireless, broadcasting or television; or \nthat imposes restrictions upon public officers, employees of local government \nbodies, or teachers, \n\n(c) \n\nand except so far as that provision or, as the case may be, the thing done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**13. Protection of freedom of assembly and association**\n\n(1) Except with his or her own consent, no person shall be hindered in the \n\nenjoyment of his or her freedom of assembly and association, that is to say, his or her \nright to assemble freely and associate with other persons and in particular to form or \nbelong to trade unions or other associations for the protection of his or her interests. \n\n(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nthat is reasonably required in the interests of defence, public safety, public \norder, public morality or public health; \nthat is reasonably required for the purpose of protecting the rights or freedoms \nof other persons; \nthat imposes restrictions upon public officers, employees of local government \nbodies, or teachers; or \nfor the registration of trade unions and associations of trade unions in a register \nestablished by or under any law, and for imposing reasonable conditions \nrelating to the requirements for entry on such a register (including conditions as \nto the minimum number of persons necessary to constitute a trade union \nqualified for registration, or of members necessary to constitute an association \nof trade unions qualified for registration) and conditions whereby registration \nmay be refused on the grounds that any other trade union already registered, or \nassociation of trade unions already registered, as the case may be, is \nsufficiently representative of the whole or of a substantial proportion of the \ninterests in respect of which registration of a trade union or association of trade \nunions is sought, \n\n(b) \n\n(c) \n\n(d) \n\nand except so far as that provision or, as the case may be, the thing done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**14. Protection of freedom of movement**\n\n(1) No person shall be deprived of his or her freedom of movement, and for the \n\npurposes of this section the said freedom means the right to move freely throughout \nBotswana, the right to reside in any part of Botswana, the right to enter Botswana and \nimmunity from expulsion from Botswana. \n\n(2) Any restriction on a person's freedom of movement that is involved in his or", + "page_start": 11, + "page_end": 11, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion makes provision- \n\n(a) \n\nthat is reasonably required in the interests of defence, public safety, public \norder, public morality, public health, town and country planning, the \ndevelopment and utilization of mineral resources, for the purpose of any census \nor in order to secure the development or utilization of any property for a purpose \nbeneficial to the community; \nthat is reasonably required for the purpose of protecting the rights or freedoms \nof other persons; \nthat authorizes an officer or agent of the Government of Botswana, a local \ngovernment authority or a body corporate established by law for a public \npurpose to enter on the premises of any person in order to inspect those \npremises or anything thereon for the purpose of any tax, rate or duty or in order \nto carry out work connected with any property that is lawfully on those premises \nand that belongs to that Government, authority or body corporate, as the case \nmay be; or \nthat authorizes, for the purpose of enforcing the judgment or order of a court in \nany civil proceedings, the search of any person or property by order of a court \nor entry upon any premises by such order, \n\n(d) \n\nand except so far as that provision or, as the case may be, anything done under the \nauthority thereof is shown not to be reasonably justifiable in a democratic society. \n**10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is \n\nwithdrawn, the case shall be afforded a fair hearing within a reasonable time by an \nindependent and impartial court established or recognized by law. \n\n(2) Every person who is charged with a criminal offence- \n\n(a) \n\n(b) \n\n(c) \n\n(d) \n\n(e) \n\nshall be presumed to be innocent until he or she is proved or has pleaded \nguilty; \nshall be informed as soon as reasonably practicable, in a language that he or \nshe understands and in detail, of the nature of the offence charged; \nshall be given adequate time and facilities for the preparation of his or her \ndefence; \nshall be permitted to defend himself or herself before the court in person or, at \nhis or her own expense, by a legal representative of his or her own choice; \nshall be afforded facilities to examine in person or by his or her legal \nrepresentative the witnesses called by the prosecution before the court, and to \nobtain the attendance and carry out the examination of witnesses to testify on \nhis or her behalf before the court on the same conditions as those applying to \nwitnesses called by the prosecution; and \nshall be permitted to have without payment the assistance of an interpreter if he \nor she cannot understand the language used at the trial of the charge, \nand except with his or her own consent the trial shall not take place in his or her absence \nunless he or she so conducts himself or herself as to render the continuance of the \nproceedings in his or her presence impracticable and the court has ordered him or her to \nbe removed and the trial to proceed in his or her absence. \n\n(f) \n\n(3) When a person is tried for any criminal offence, the accused person or any \n\nperson authorized by him or her in that behalf shall, if he or she so requires and subject \nto payment of such reasonable fee as may be prescribed by law, be given within a \nreasonable time after judgment a copy for the use of the accused person of any record \nof the proceedings made by or on behalf of the court.", + "page_start": 8, + "page_end": 8, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "*Figure 16-4 Configuring application group permissions*\n\n**16.2.5 Assigning hold permissions to users**\n\nTo manage holds in Content Manager OnDemand, you must have the appropriate \npermission. Figure 16-5 on page 359 shows you how to define a user type of Hold \nAdministrator and to provide an authority type of Create Holds.", + "page_start": 381, + "page_end": 381, + "source_file": "sg246915.pdf" + }, + { + "text": "reasonable under the circumstances. The Group \nmakes estimates and assumptions concerning \nthe future. Actual results may differ from these \nestimates under different assumptions and \nconditions. The estimates and assumptions that \ncould materially affect the financial position and \nresults are discussed below: \n\n〉〉 AASB 2011-4*Amendments to Australian*\n\nrights may give control. The standard is \napplicable to the Group from 1 July 2013. \nBased on investments held by the Group as \nat 30 June 2013, the standard is not \nexpected to have a significant impact. \n〉〉 AASB 12*Disclosure of Interests in Other*\n*Entities*(effective for annual reporting \nperiods commencing on or after 1 January \n2013). AASB 12 includes all disclosures \nrelating to an entity’s interests in subsidi- \naries, joint arrangements, associates and \nstructures entities. New disclosures have \nbeen introduced about the judgements \nmade by management to determine whether \ncontrol exists, and to require summarised \ninformation about joint arrangements, \nassociates and structured entities and \nsubsidiaries with non-controlling interests. \nThe standard is applicable to the Group from \n1 July 2013. Based on interests held by the \nGroup as at 30 June 2013, the standard is not \nexpected to have a significant impact. \n〉〉 AASB 13*Fair Value Measurement*(effective \n\n*Accounting Standards to Remove Individual*\n*Key Management Personnel Disclosure*\n*Requirements*(effective from 1 July 2013). \nAASB 2011-4 makes amendments to remove \nindividual key management personnel disclo- \nsure requirements from AASB 124. \n〉〉 AASB 2012-2*Amendments to Australian*\n*Accounting Standards – Disclosures –*\n*Offsetting Financial Assets and Financial*\n*Liabilities*(effective from 1 July 2013). ASB \n2012-2 principally amends AASB 7 Financial \nInstruments: Disclosures to require disclo- \nsure of information that will enable users of \nan entity’s financial statements to evaluate \nthe effect or potential effect of netting \narrangements, including rights of set-off \nassociated with an entity’s recognised \nfinancial assets and recognised financial \nliabilities, on the entity’s financial position. \n\n〉〉 AASB 2012-3*Amendments to Australian*\n\n(i) \n\n Mineral resources and \nore reserves estimates \n\nThe Group determines and reports ore reserves \nunder the Australian Code for Reporting of \nMineral Resources and Ore Reserves December \n2004, known as the JORC Code. The information \non mineral resources and ore reserves was \nprepared by or under the supervision of \nCompetent Persons as defined in the JORC \nCode. \n\nThere are numerous uncertainties inherent in \nestimating mineral resources and reserves and \nassumptions that are valid at the time of estima- \ntion may change significantly when new infor- \nmation becomes available. \n\n*Accounting Standards - Offsetting Financial*\n*Assets and Financial Liabilities*(effective from \n1 July 2014). AASB 2012-3 adds application \nguidance to AASB 132 Financial Instruments: \nPresentation to address inconsistencies \nidentified in applying some of the offsetting \ncriteria of AASB 132, including clarifying the \nmeaning of “currently has a legally enforce- \nable right of set-off” and that some gross \nsettlement systems may be considered \nequivalent to net settlement. \nChanges in reported ore reserves may affect the \nGroup’s financial position and results, including \nasset carrying value, depreciation and amortisa- \ntion expenses using units-of-production \nmethod, provision for restoration and rehabilita- \ntion and stripping costs if the stripping ratios \nare revised.", + "page_start": 75, + "page_end": 75, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Provided that nothing in this subsection shall be construed as conferring on any \n\nperson or authority power to require a judge of the Court of Appeal or the High Court, the \nAuditor-General or the Director of Public Prosecutions to retire from the public service. \n(8) Any provision in this Constitution that vests in any person or authority power \n\nto remove any public officer from his or her office shall be without prejudice to the power \nof any person or authority to abolish any office or to any law providing for the compulsory \nretirement of public officers generally or in any class of public officer on attaining an age \nspecified therein. \n\n(9) Where power is vested by this Constitution in any person or authority to \nappoint any person to act in or perform the functions of any office if the holder thereof is \nhimself unable to perform those functions, no such appointment shall be called in \nquestion on the ground that the holder of the office was not unable to perform those \nfunctions. \n\n(10) No provision of this Constitution that any person or authority shall not be \n\nsubject to the direction or control of any other person or authority in the exercise of any \nfunctions under this Constitution shall be construed as precluding a court of law from \nexercising jurisdiction in relation to any question whether that person or authority has \nperformed those functions in accordance with this Constitution or any other law.", + "page_start": 54, + "page_end": 54, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "The skill level of the users might be a determining factor in the degree of authority that is \ngranted. It takes a more skilled user to define indexes and report parameters than to set up \nusers and groups. A decentralized system is typically used when data from different sources \nis stored on the same Content Manager OnDemand system but must be maintained \nindependently of other data. Decentralization also makes sense when report loading and \nprocessing needs are limited to a specific group of users for security purposes or when \nadministrators that add users and groups must be prevented from accessing report data. \n\nThe decision about whether to use a centralized or a decentralized administration model is \nbest made*before*any data is set up in the system. Even though the type of administration that \nis chosen can be changed later, the amount of work that is involved in that change is greater \nthan the amount of work that is necessary to study the requirements of the system and \nimplement the appropriate administration policies from the beginning. \n\nIn this section, we describe different types of users, followed by a description of a \ndecentralized administrative plan. We also introduce a new administrative tool, Content \nManager OnDemand XML Batch Administration, which is a command-line program that is run \non the Content Manager OnDemand server. \n\n**3.2.1 User types, authorities, and functions**\n\nFour types of users are available in a Content Manager OnDemand system. Each type has a \ndifferent level of access, authority, and responsibility in the system: \n\n(cid:2) User: Logs in and queries the system to retrieve documents and reports for viewing. \n\n(cid:2) User administrator: Adds users or other user administrators to the system. \n\n(cid:2) Report administrator: Defines the application groups, applications, folders, and cabinets to \nbe part of the system. The report administrator is responsible for understanding the report \nand document data and for defining the indexes to be extracted from the data and stored. \nA report administrator is also responsible for designing the user interface to the reports \nthrough the folder definition process and for controlling access authority to the reports that \nthe report administrator designs, indexes, and loads. \n\n(cid:2) System administrator: Has the highest level of authority in a Content Manager OnDemand \nsystem. The system administrator has authority for all system functions and can grant \nother users the authority to perform various tasks. The system administrator is the only \nlevel of authority that can create storage sets and define system printers. \n\nWhen the administrative tasks and levels of authorities are understood, you must decide the \nspan of control in the system. Is it better to have one user control all access and functions in \nthe Content Manager OnDemand system, or is it better to spread the administrative tasks \namong several users to smooth the workload based on system requirements? The answer to \nthis question depends on whether your environment uses centralized or decentralized \nadministrative control. \n\nA centralized administrative plan is best suited for a Content Manager OnDemand system \nwith a few users and relatively few reports to define. In the next section, we focus on the \ndecentralized system and describe the different aspects of a decentralized administrative \nplan.", + "page_start": 90, + "page_end": 90, + "source_file": "sg246915.pdf" + }, + { + "text": "for finance, who shall cause them to be laid before the National Assembly. \n\n(4) The Auditor-General shall perform such other duties and exercise such other \n\npowers in relation to the accounts of the Government or the accounts of other public \nauthorities or other bodies as may be prescribed by or under any Act of Parliament. \n\n(5) In the exercise of his or her functions the Auditor-General shall not be subject \n\nto the direction or control of any other person or authority. \n\n**CHAPTER IX**\n**Miscellaneous (ss 125-127)**\n\n**125. Resignations**\n\n(1) Any person who is appointed or elected to any office established by this \n\nConstitution may resign from that office by writing under his or her hand addressed to \nthe person or authority by whom he or she was appointed or elected: \n\nProvided that in the case of a person who holds office as President his or her \n\nresignation from that office shall be addressed to the Chief Justice, in the case of a \nperson who holds office as Speaker or Deputy Speaker of the National Assembly his or \nher resignation from that office shall be addressed to the Assembly, in the case of an", + "page_start": 52, + "page_end": 52, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "PLAW-116publ30.pdf", + "query": "What criteria must a lactation room meet?", + "target_page": 1, + "target_passage": "LACTATION ROOM.—The term ‘lactation room’ means a hygienic place, other than a bathroom, that— ‘‘(A) is shielded from view; ‘‘(B) is free from intrusion; and ‘‘(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "*Be it enacted by the Senate and House of Representatives of*\n*the United States of America in Congress assembled,*\n\nFairness For \nBreastfeeding \nMothers Act \nof 2019. \n40 USC 101 note. \n\n**SECTION 1. SHORT TITLE.**\n\nThis Act may be cited as the ‘‘Fairness For Breastfeeding \nMothers Act of 2019’’. \n\n**SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.**\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of \ntitle 40, United States Code, is amended by adding at the end \nthe following new section: \n\n**‘‘§ 3318. Lactation room in public buildings** 40 USC 3318. \n\n‘‘(a) DEFINITIONS.—In this section: \n\n‘appropriate \nauthority’ means the head of a Federal agency, the Architect \nof the Capitol, or other official authority responsible for the \noperation of a public building. \n\n‘‘(1) APPROPRIATE AUTHORITY.—The term \n\n‘‘(2) COVERED PUBLIC BUILDING.—The term ‘covered public \nbuilding’ means a public building (as defined in section 3301) \nthat is open to the public and contains a public restroom, \nand includes a building listed in section 6301 or 5101. \n\n‘‘(3) LACTATION ROOM.—The term ‘lactation room’ means \na hygienic place, other than a bathroom, that— \n\n‘‘(A) is shielded from view; \n‘‘(B) is free from intrusion; and \n‘‘(C) contains a chair, a working surface, and, if the \npublic building is otherwise supplied with electricity, an \nelectrical outlet. \n\n‘‘(b) LACTATION ROOM REQUIRED.—Except as provided in sub- \nsection (c), the appropriate authority of a covered public building \nshall ensure that the building contains a lactation room that is \nmade available for use by members of the public to express breast \nmilk. \n\n‘‘(c) EXCEPTIONS.—A covered public building may be excluded \nfrom the requirement in subsection (b) at the discretion of the \nappropriate authority if— \n‘‘(1) the public building— \n‘‘(A) does not contain a lactation room for employees \nwho work in the building; and \n\n‘‘(B) does not have a room that could be repurposed \nas a lactation room or a space that could be made private \nusing portable materials, at a reasonable cost; or \n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030 \n\nS \nW \nA \nL \nB \nU \nP \nh \nt \ni \n\nw \nD \nO \nR \nP \n2 \nB \nH \n8 \n2 \nC \nB \nK \nS \nD \nn \no \ne \ns \nu \na \nr \nk \nd", + "page_start": 0, + "page_end": 0, + "source_file": "PLAW-116publ30.pdf" + }, + { + "text": "PUBLIC LAW 116–30—JULY 25, 2019 133 STAT. 1033 \n\n‘‘(2) new construction would be required to create a lacta- \ntion room in the public building and the cost of such construc- \ntion is unfeasible. \n‘‘(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall \nbe construed to authorize an individual to enter a public building \nor portion thereof that the individual is not otherwise authorized \nto enter.’’. \n\n(b) CLERICAL AMENDMENT.—The table of sections at the begin- \nning of chapter 33 of title 40, United States Code, is amended \nby inserting after the item related to section 3316 the following \nnew item: \n\n‘‘3318. Lactation room in public buildings.’’. \n\n(c) EFFECTIVE DATE.—The amendments made by this section \nshall take effect 1 year after the date of the enactment of this \nAct. \n\n40 USC 3318 \nnote. \n\nApproved July 25, 2019. \n\nLEGISLATIVE HISTORY—H.R. 866 (S. 528): \nCONGRESSIONAL RECORD, Vol. 165 (2019): \n\nFeb. 6, considered and passed House. \nJune 26, considered and passed Senate. \n\nÆ \n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030 \n\nS \nW \nA \nL \nB \nU \nP \nh \nt \ni \n\nw \nD \nO \nR \nP \n2 \nB \nH \n8 \n2 \nC \nB \nK \nS \nD \nn \no \ne \ns \nu \na \nr \nk \nd", + "page_start": 1, + "page_end": 1, + "source_file": "PLAW-116publ30.pdf" + }, + { + "text": "Prior to recruitment, the study was introduced to individuals \nwith multiple sclerosis (pwMS) through a seminar hosted by the \nNordland MS Association. Additionally, \nseminars were \nconducted for health professionals in community healthcare and \nat the regional hospital. Written information about this study \n(and the RCT) was sent from the MS clinic at the regional \nto all eligible individuals affiliated with the \nhospital by post \nIndividuals who wished to participate signed the \nhospital. \nattached consent \nin the pre-stamped \nfollows: had been \nenvelope. The inclusion criteria were as \ndiagnosed with MS, had a score on the Expanded Disability \nStatus Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed \n(10%–100% of \nfull-time) and residential address in the two \npredefined municipalities. The exclusion criteria were as follows: \npregnancy, exacerbation of symptoms within two weeks prior to \nenrollment and other serious conditions compromising balance, \nwalking or work capacity. All participants in the intervention \ngroup of the RCT (n = 15) were included (Table 3). \n\nform and returned it \n\nconducted (with pwMS who were not part of the sample), and the \ninterview guide was then refined around the following themes: \noverall experience and reflections from participation, content, \noutdoor setting, the group, and the physiotherapists. Questions \nin-depth reflections regarding \nwere open-ended to capture rich, \nparticipants’ experiences, following a phenomenological approach. \nThe interviewer asked for both negative and positive experiences \n\n2.6 Data collection \n\nThe interview guide (Table 4) was developed based on literature \nreviews, clinical experience and discussions within the research \ngroup and with user representatives. Two test interviews were", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed13.pdf" + }, + { + "text": "to spirometry to avoid influencing patients’ perceptions \nof their dyspnea. \n\nprerecorded message then inquired whether any house- \nhold member was $ 18 years of age and had experi- \nenced respiratory symptoms (eg, shortness of breath, \nwheezing, \nsputum, prolonged \ncough) within the past 6 months. Households with affir- \nmative responses were subsequently contacted by the \nlocal study coordinator for a follow-up call. The house- \nhold member \nreporting respiratory symptoms was \nverbally consented and screened for eligibility to partic- \nipate in the study over the telephone.8,9 \n\nincreased mucus or \n\nExclusion criteria included the following: (1) a history of \ndiagnosis of lung or airway disease, (2) use of respiratory \ninhalers aside from as-needed salbutamol, (3) contrain- \ndications for spirometry (eg, occurrences of myocardial \ninfarction, stroke, aortic or cerebral aneurysm, eye sur- \ngery, detached retina within the last 3 months), (4) \ninability or refusal to provide informed consent, (5) be- \ning in the third trimester of pregnancy, and (6) being < \n18 years of age. \n\nClassification of Undiagnosed Cases \nCertified study personnel administered spirometry tests \nbefore and after BD use. Participants showing an in- \ncrease of at least 12% and 200 mL in their FEV1 after \nreceiving 400 mg of salbutamol were classified as having \nspirometry indicative of asthma.17 Those whose post-BD \nratio of FEV1/FVC fell below the lower 95% confidence \nlimit (ie, FEV1/FVC < lower limit of normal) were clas- \nsified as having spirometry indicative of COPD.18 Partic- \nipants meeting the criteria for both conditions were \nlabeled as having COPD. Those with a post-BD \n< 80% of the predicted normal and a post-BD \nFEV1 \nFEV1/FVC ratio > 0.70 were classified as having \nspirometry indicative of preserved ratio impaired \nspirometry (PRISm). PRISm was defined based on \npost-BD spirometry values for a more specific classifica- \ntion.19 Participants not meeting criteria for asthma, \nCOPD, or PRISm were labeled as having normal \nspirometry. \n\nEach participant completed the Asthma Screening Ques- \ntionnaire (ASQ)10 via telephone. Individuals aged $ 60 \nyears, and those aged < 60 years who scored < 6 points \non the ASQ, also completed the COPD-Diagnostic \nQuestionnaire.11,12 Participants scoring $ 6 points on \nthe ASQ or $ 20 points on the COPD-Diagnostic Ques- \ntionnaire were invited to the study site for pre- and post- \nbronchodilator (BD) spirometry. \n\nAssessment of the Impact of Participants’ Dyspnea \n\nA control group without respiratory symptoms was \nselected randomly using identical random digit dialing \nreported no respiratory \nmethods. Control patients \nsymptoms in the preceding 6 months and obtained a \nscore of 0 on the ASQ. Participants were recruited as \ncontrol patients if they could be matched with an indi- \nvidual from the undiagnosed group based on age ((cid:2) 5 \nyears) and sex. This matching process aimed to have \nsimilar demographic profiles between the control group \nand the newly found cases. This matching was imple- \nmented solely to ensure demographic comparability \nacross the study groups and not for pairing patients \nfor statistical analysis purposes.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed6_cc4.pdf" + }, + { + "text": "Emergency room \nModels for emergency room use had the highest pseudo-R2 \nvalues of any individual service (0.48–0.50), but also had \nthe largest number of predictors (8–9). Agreement between \ncomplete case and weighted models was moderate. The \nmodels converged on the following predictors: age (OR = \n0.91–0.94, p < 0.05), insurance (OR = 8.99–13.15, p < 0.05), \nbaseline disability (OR = 3.33–4.88, p < 0.001), and change \nin pain (OR = 1.59–1.77, p < 0.05). Higher utilization was \nassociated with younger age, other insurance (e.g., self-pay,", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed5.pdf" + }, + { + "text": "**Test requirements: offshore installation workers**\n\n**8.**—(1) This regulation applies to a person (“P”) to whom regulation 5(4) applies. \n(2) P must undertake a day 2 test after arriving in England but before P departs to the offshore \ninstallation. \n\n(3) If P intends to depart to the offshore installation before P has received the result of the day 2 \ntest undertaken pursuant to paragraph (2), P must also take a workforce test before P departs to the \noffshore installation. \n\n(4) If a workforce test undertaken pursuant to paragraph (3) generates a positive result P must \nself-isolate in accordance with regulation 2 of the Self-Isolation Regulations until P has received \nthe result of the day 2 test undertaken pursuant to paragraph (2). \n\n(5) If the day 2 test undertaken pursuant to paragraph (2) generates a positive result P must self- \nisolate in accordance with regulation 2 of the Self-Isolation Regulations until the end of the 10th \nday after P undertook that test. \n\n(6) If the day 2 test undertaken pursuant to paragraph (2) generates a negative result, from the \ntime that P is notified of that result, P is no longer subject to any requirement to self-isolate by \nvirtue of paragraph (4). \n\n(7) Subject to paragraph (8), while P is on an offshore installation, P must undertake a \nworkforce test before the end of the third day following the day P arrives on the installation and \nthen within each successive 3 day period within 3 days of the test most recently taken. \n\n(8) P is not required to undertake any workforce test after the 10th day after the day P arrived in \n\nEngland. \n\n(9) If a workforce test undertaken pursuant to paragraph (7) generates a positive result, P must— \n\n(a) undertake a day 2 test as soon as reasonably practicable; and \n(b) self-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the \n\nearlier of— \n(i) the time P is notified of the result of the day 2 test undertaken pursuant to sub- \n\nparagraph (a), or \n\n(ii) the end of the 10th day after the day P arrived in England. \n\n(10) If a day 2 test undertaken pursuant to paragraph (9)(a) generates a positive result, P must \nself-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the 10th day \nafter the day P undertook that test. \n\n(11) If a day 2 test undertaken pursuant to paragraph (9)(a) generates a negative result, from the \ntime that P is notified of that result P is no longer subject to any requirement to self-isolate by \nvirtue of paragraph (9)(b). \n\n(12) If P returns to England from the offshore installation on or before the 8th day after the day \nP arrived in England, P must undertake a day 8 test on, or as soon as reasonably practicable after, \nthe 8th day after P the day arrived in England. \n\n(13) If the day 8 test undertaken pursuant to paragraph (12) generates a positive result, P must \nself-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the end of the \n10th day after P undertook that test. \n\n(14) In this regulation— \n\n“day 2 test” has the same meaning as in regulation 6(12)(a); \n\n“day 8 test” has the same meaning as in regulation 6(12)(b); \n\n“offshore installation” has the same meaning as in paragraph 29 of Schedule 4; \n\n“workforce test” has the same meaning as in regulation 7(6)(b).", + "page_start": 11, + "page_end": 11, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**33.**—(1) Any of the following— \n(a) a person (“P”) who— \n\n(i) before travelling to the United Kingdom has made arrangements with a provider in \nthe United Kingdom to receive healthcare (or, where P is a child, on whose behalf \nsuch arrangements have been made), \n\n(ii) is in possession of written confirmation of the arrangements from the provider, \n(iii) has travelled to the United Kingdom to receive that healthcare, and \n(iv) is attending a place to receive that healthcare or is travelling directly between that \nplace and the place where they are self-isolating; \n\n(b) a person who— \n\n(i) is accompanying P for the purpose of providing necessary care or support to P in the \n\ncircumstances referred to in sub-paragraph (1)(a)(iv), or \n\n(ii) is travelling, for the purpose of so accompanying P, directly between the place where \nthey are self-isolating and either of the places referred to in sub-paragraph (1)(a)(iv), \n\nwhere that person has travelled to the United Kingdom for that purpose and is in \npossession of the confirmation referred to in sub-paragraph (1)(a)(ii) or a copy of it; \n(c) an accompanying child who is accompanying P or, where P is a child, is accompanying a \n\nperson referred to in sub-paragraph (1)(b); \n\n(d) a live donor who is attending a place for the purpose referred to in the definition of “live \ndonor” or is travelling directly between that place and the place where they are self- \nisolating. \n\n(2) For the purposes of this paragraph— \n\n(a) “accompanying child”, in relation to P, means a child who has arrived in England with P \nand for whom P has responsibility, or where P is a child, a child who has arrived in \nEngland with the person referred to in sub-paragraph (1)(b) and for whom that person has \nresponsibility; \n\n(b) “healthcare” means all forms of healthcare provided for individuals, whether relating to \n\nmental or physical health, including healthcare in connection with giving birth; \n\n(c) “live donor” means a person who— \n\n(i) has travelled to the United Kingdom for the purpose of donation of material which \nconsists of or includes their human cells pursuant to arrangements made with a \nprovider in the United Kingdom before travelling to the United Kingdom, and which \nare to be used by the provider for the purpose of providing healthcare, and \n(ii) is in possession of written confirmation of the arrangements from the provider; \n\n(d) “provider” means a provider of healthcare; \n(e) references to a place where a person is self-isolating are to a place where they are \nrequired to self-isolate, or permitted to be at, by virtue of regulation 9. \n\n**34.**—(1) A person who has travelled to the United Kingdom for the purpose of transporting \nmaterial which consists of, or includes, human cells or blood and which is to be used for the \nprovision of healthcare by a provider. \n\n(2) For the purposes of sub-paragraph (1)— \n(a) “blood” includes blood components; \n(b) “healthcare” and “provider” have the meanings given in paragraph 33(2). \n\n**35.**A person who is an “inspector” within the meaning given in regulation 8(1) of the Human \nMedicines Regulations 2012(**a**), or who has been appointed as an inspector under regulation 33 of", + "page_start": 43, + "page_end": 43, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where the person who is the \noperator of the laboratory complies with the requirements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n\n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \n\n**Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \n\nwhere— \n\n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n\n(i) in respect of— \n\n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n\n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n\n(2) A test complies with this sub-paragraph where— \n\n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n\n(b) it is, in relation to a Schedule 11 passenger— \n\n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n\n(c) the manufacturer of any device used for the purposes of the test states that the device— \n\n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided \nconfidence interval entirely above 90%), and \n\n(iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per \n\nmillilitre; and \n\n(d) any device used for the purposes of the test— \n\n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n\n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before the test is administered or \n\nprovided to P. \n\n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \n\ngiven by paragraph 2(2) of Schedule 10. \n\n**Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \n\nparagraph where— \n\n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting; \n\n(c) they have provided the Department of Health and Social Care with a list of all \norganisations that they work with (whether by sub-contract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n\n(d) in relation to a test which requires laboratory processing— \n\n(i) the person responsible for the taking of samples meets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the \ntaking of samples, and \n\n(ii) the laboratory used by the test provider for the processing of samples meets the \nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n\n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n\n(f)", + "page_start": 62, + "page_end": 62, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**Test providers**\n\n**3.**—(1) A test provider complies with this paragraph where— \n\n(a) they provide appropriate tests in a single end-to-end testing service (whether or not they \narrange with another person (“X”) for X to provide one or more elements of the service \non their behalf); \n\n(b) they have made a declaration to the Department of Health and Social Care that they meet \nthe minimum standards for private sector-provided testing at https://support-covid-19- \ntesting.dhsc.gov.uk/PrivateSectorSelfDeclaration; \n\n(c) in relation to a test which requires laboratory processing— \n\n(i) the person responsible for the taking of samples meets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC standard 17025, in respect of the \ntaking of samples, and \n\n(ii) the laboratory used by the test provider for the processing of samples meets the \nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard \n17025, in respect of the processing of samples; \n\n(d) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO standard 15189 and ISO standard 22870(**a**); \n\n(e) a registered medical practitioner has oversight and approval of medical practices \n\nundertaken by the test provider, and responsibility for reporting medical issues; \n\n(f) \n\nthey have an effective system of clinical governance in place which includes appropriate \nstandard operating procedures in relation to the carrying out of appropriate tests; \n\n(g) a registered clinical scientist has oversight of clinical practices undertaken by the test \nprovider, and responsibility for reporting clinical issues; \n\n(h) they have systems in place to identify any adverse incidents or quality control issues in \nrelation to appropriate tests and be able to report them as soon as reasonably practicable \nto the Secretary of State; \n\n(i) \n\nthey administer or provide an appropriate test to P, on or after the fifth day after the day \non which P arrived in England having received the information required by paragraph \n4(b) and (c) (as appropriate); and \n\n(j) \n\nif they arrange with another person (“X”) for X to carry out any element of the single \nend-to-end testing service on their behalf, the test provider ensures that X complies with \nany of paragraphs (c) to (i) and 5(2), (3) and (5) as is relevant to the carrying out of that \nelement. \n\n(2) For the purposes of sub-paragraph (1)— \n\n(a) “point of care test” means a test processed outside a laboratory environment; \n(b) “registered clinical scientist” means a person registered as a clinical scientist with the \nHealth and Care Professions Council pursuant to article 5 of the Health Professions Order \n2001(**b**); \n\n(c) “single end-to-end testing service” means a service which comprises accepting the \nbooking from the person to be tested, collecting and processing the sample to be tested, \ncarrying out genomic sequencing and providing the test result to P. \n\n(3) For the purposes of sub-paragraph (1)(c) and (d), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where that person, or in the case of \na laboratory where the person who is the operator of the laboratory— \n\n(a) has made a valid application for accreditation to UKAS (“stage one”); and \n\n(b) complies with the requirements of sub-paragraph (4) where relevant. \n\n(4) The requirements of this sub-paragraph are that— \n\n(a) in the case of a person who completed stage one— \n\n(i) before 15th December 2020 and who is carrying out a test after 18th January 2021, \n(ii) on or after 15th December 2020 and who is carrying out a test after whichever is the \n\nlater of— \n(aa) 18th January 2021, and \n(bb) the date four weeks after the date on which they completed stage one, \n\nthey have complied with the requirements published by UKAS in relation to accreditation \nto that standard at http://www.ukas.com/C19-Stage2-UKAS-Appraisal (“stage two”),", + "page_start": 69, + "page_end": 69, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "| isIngredientOf | | | |\n|---|---|---|---|\n| isIngredientOf | | | |\n| enter isBaseOf t Finish. Repea | | isBaseOf | |\n| | Finish | | . Repea |\n\n\n\n\n| the | Characteristics: | |\n|---|---|---|\n| the | Characteristics: | |\n| Transitive | | , etc. |\n\n\n4.8.1 Functional Properties \nIf a property is functional, for a given individual, there can be at most one individual that is related to the \nindividual via the property. For example the property hasBirthMother -- someone can only have one \nbirth mother. If we say that the individual Jean hasBirthMother Peggy and we also say that the \nindividual Jean hasBirthMother Margaret, then because hasBirthMother is a functional property, \nwe can infer that Peggy and Margaret must be the same individual. This can happen in OWL because \n\n24", + "page_start": 24, + "page_end": 24, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "PLAW-116publ30.pdf", + "query": "When take effect the Fairness For Breastfeeding Mothers Act ?", + "target_page": 2, + "target_passage": "The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. ", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "*Be it enacted by the Senate and House of Representatives of*\n*the United States of America in Congress assembled,*\n\nFairness For \nBreastfeeding \nMothers Act \nof 2019. \n40 USC 101 note. \n\n**SECTION 1. SHORT TITLE.**\n\nThis Act may be cited as the ‘‘Fairness For Breastfeeding \nMothers Act of 2019’’. \n\n**SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.**\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of \ntitle 40, United States Code, is amended by adding at the end \nthe following new section: \n\n**‘‘§ 3318. Lactation room in public buildings** 40 USC 3318. \n\n‘‘(a) DEFINITIONS.—In this section: \n\n‘appropriate \nauthority’ means the head of a Federal agency, the Architect \nof the Capitol, or other official authority responsible for the \noperation of a public building. \n\n‘‘(1) APPROPRIATE AUTHORITY.—The term \n\n‘‘(2) COVERED PUBLIC BUILDING.—The term ‘covered public \nbuilding’ means a public building (as defined in section 3301) \nthat is open to the public and contains a public restroom, \nand includes a building listed in section 6301 or 5101. \n\n‘‘(3) LACTATION ROOM.—The term ‘lactation room’ means \na hygienic place, other than a bathroom, that— \n\n‘‘(A) is shielded from view; \n‘‘(B) is free from intrusion; and \n‘‘(C) contains a chair, a working surface, and, if the \npublic building is otherwise supplied with electricity, an \nelectrical outlet. \n\n‘‘(b) LACTATION ROOM REQUIRED.—Except as provided in sub- \nsection (c), the appropriate authority of a covered public building \nshall ensure that the building contains a lactation room that is \nmade available for use by members of the public to express breast \nmilk. \n\n‘‘(c) EXCEPTIONS.—A covered public building may be excluded \nfrom the requirement in subsection (b) at the discretion of the \nappropriate authority if— \n‘‘(1) the public building— \n‘‘(A) does not contain a lactation room for employees \nwho work in the building; and \n\n‘‘(B) does not have a room that could be repurposed \nas a lactation room or a space that could be made private \nusing portable materials, at a reasonable cost; or \n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030 \n\nS \nW \nA \nL \nB \nU \nP \nh \nt \ni \n\nw \nD \nO \nR \nP \n2 \nB \nH \n8 \n2 \nC \nB \nK \nS \nD \nn \no \ne \ns \nu \na \nr \nk \nd", + "page_start": 0, + "page_end": 0, + "source_file": "PLAW-116publ30.pdf" + }, + { + "text": "PUBLIC LAW 116–30—JULY 25, 2019 133 STAT. 1033 \n\n‘‘(2) new construction would be required to create a lacta- \ntion room in the public building and the cost of such construc- \ntion is unfeasible. \n‘‘(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall \nbe construed to authorize an individual to enter a public building \nor portion thereof that the individual is not otherwise authorized \nto enter.’’. \n\n(b) CLERICAL AMENDMENT.—The table of sections at the begin- \nning of chapter 33 of title 40, United States Code, is amended \nby inserting after the item related to section 3316 the following \nnew item: \n\n‘‘3318. Lactation room in public buildings.’’. \n\n(c) EFFECTIVE DATE.—The amendments made by this section \nshall take effect 1 year after the date of the enactment of this \nAct. \n\n40 USC 3318 \nnote. \n\nApproved July 25, 2019. \n\nLEGISLATIVE HISTORY—H.R. 866 (S. 528): \nCONGRESSIONAL RECORD, Vol. 165 (2019): \n\nFeb. 6, considered and passed House. \nJune 26, considered and passed Senate. \n\nÆ \n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030 \n\nS \nW \nA \nL \nB \nU \nP \nh \nt \ni \n\nw \nD \nO \nR \nP \n2 \nB \nH \n8 \n2 \nC \nB \nK \nS \nD \nn \no \ne \ns \nu \na \nr \nk \nd", + "page_start": 1, + "page_end": 1, + "source_file": "PLAW-116publ30.pdf" + }, + { + "text": "expectant mothers and support lectures \n\non child-raising leave after they return to \n\nthe workplace. \n\n\n\n\n\n\n\n**Before**\n“Global Corporate Banker Training” program \n\n| | Before | After |\n|---|---|---|\n| | Before | After |\n| Total care leave | 93 days (Including staggered and reduced working hours) | 1 year (Excluding staggered and reduced working hours) |\n| Staggered and shorter working hours to care for sick family members | 93 days (Including care leave) | 3 years in each case (Excluding care leave) |\n| More flexible approach to daily scheduling of care leave | Delay start of working day by one hour or End working day one hour earlier | Offer menu of work-scheduling options (Work six or seven hour day), with option of selecting working days |\n\n\n**For** **Services**\n\n(1) Consultation with Public Health Nurses and other nurses, \n\n| For | Services |\n|---|---|\n| For | Services |\n| SMBC employees and their family members | (1) Consultation with Public Health Nurses and other nurses, geriatric care managers and other experts (2) Information about care facilities (3) Care service agency (4) Other preferential services |\n\n\n**CSR REPORT 2011**20", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "*Consumer Laws and Regulations*\n\nWe are also subject to certain consumer laws and regulations that are designed to protect consumers in \ntransactions with banks. While the following list is not exhaustive, these laws and regulations include the Truth in \nLending Act, the Truth in Savings Act, the Electronic Funds Transfer Act, the Expedited Funds Availability Act, the \nEqual Credit Opportunity Act, and the Fair Housing Act, among others. These laws and regulations among other \nthings prohibit discrimination on the basis of race, gender or other designated characteristics and mandate various \ndisclosure requirements and regulate the manner in which financial institutions must deal with customers when \ntaking deposits or making loans to such customers. These and other laws also limit finance charges or other fees or \ncharges earned in our activities. We must comply with the applicable provisions of these consumer protection laws \nand regulations as part of our ongoing customer relations. \n\n*Technology Risk Management and Consumer Privacy*\n\nState and federal banking regulators have issued various policy statements emphasizing the importance of \ntechnology risk management and supervision in evaluating the safety and soundness of depository institutions with \nrespect to banks that contract with outside vendors to provide data processing and core banking functions. The use \nof technology-related products, services, delivery channels and processes expose a bank to various risks, particularly \noperational, privacy, security, strategic, reputation and compliance risk. Banks are generally expected to prudently \nmanage technology-related risks as part of their comprehensive risk management policies by identifying, measuring, \nmonitoring and controlling risks associated with the use of technology. \n\nUnder Section 501 of the Gramm-Leach-Bliley Act, the federal banking agencies have established appropriate \nstandards for financial institutions regarding the implementation of safeguards to ensure the security and \nconfidentiality of customer records and information, protection against any anticipated threats or hazards to the \nsecurity or integrity of such records and protection against unauthorized access to or use of such records or \ninformation in a way that could result in substantial harm or inconvenience to a customer. Among other matters, the \nrules require each bank to implement a comprehensive written information security program that includes \nadministrative, technical and physical safeguards relating to customer information. \n\nUnder the Gramm-Leach-Bliley Act, a financial institution must also provide its customers with a notice of \nprivacy policies and practices. Section 502 prohibits a financial institution from disclosing nonpublic personal \ninformation about a consumer to nonaffiliated third parties unless the institution satisfies various notice and opt-out \nrequirements and the customer has not elected to opt out of the disclosure. Under Section 504, the agencies are \nauthorized to issue regulations as necessary to implement notice requirements and restrictions on a financial \ninstitution’s ability to disclose nonpublic personal information about consumers to nonaffiliated third parties. \nUnder the final rule the regulators adopted, all banks must develop initial and annual privacy notices which describe \nin general terms the bank’s information sharing practices. Banks that share nonpublic personal information about \ncustomers with nonaffiliated third parties must also provide customers with an opt-out notice and a reasonable \nperiod of time for the customer to opt out of any such disclosure (with certain exceptions). Limitations are placed on \nthe extent to which a bank can disclose an account number or access code for credit card, deposit, or transaction \naccounts to any nonaffiliated third party for use in marketing. \n\n*Monetary Policy*", + "page_start": 37, + "page_end": 37, + "source_file": "NASDAQ_FFIN_2002.pdf" + }, + { + "text": "79 inclusive and section 85; Chapter VII; or sections 117 to 120 inclusive and \nsection 127 in its application to any of the provisions mentioned in this \nparagraph; \nsections 57, 63 to 66 inclusive, 86 to 89 inclusive, 90(2) and (3), 91(2), (3), (4) \nand (5), and 92; Chapter VI; and section 127 in its application to any of the \nprovisions mentioned in this paragraph, \n\n(b) \n\na Bill for an Act of Parliament under this section shall not be passed by the National \nAssembly unless- \n\n(i) \n\nthe final voting on the Bill in the Assembly takes place not less than three \nmonths after the previous voting thereon in the Assembly; and \n\n(ii) at such final voting the Bill is supported by the votes of not less than two-thirds \n\nof all the Members of the Assembly. \n\n(4) In so far as it alters any of the provisions mentioned in subsection (3)(b) of \n\nthis section no Bill shall be presented to the President for his or her assent unless after \nits passage by the Assembly it has been submitted to the electors qualified to vote in the \nelection of the Elected Members of the National Assembly, and, on a vote taken in such \nmanner as Parliament may prescribe, the majority of the electors voting have approved \nthe Bill. \n\n(5) In this section- \n\n(a) \n\nreferences to any provision of this Constitution include references to any \nprovision of a law that alters that provision; and \nreferences to the alteration of any provision of this Constitution include \nreferences to the amendment, modification or re-enactment, with or without \nmodification, of that provision, the suspension or repeal of that provision and \nthe making of a different provision in lieu thereof. \n\n(b) \n\n**PART V**\n**Summoning, Prorogation and Dissolution (ss 90-93)**\n\n**90. Sessions of Parliament**\n\n(1) Each session of Parliament shall be held at such place within Botswana and \n\nshall commence at such time as the President may appoint. \n\n(2) There shall be a session of Parliament at least once in every year so that a \n\nperiod of six months shall not intervene between the last sitting of Parliament in one \nsession and the first sitting thereof in the next session. \n\n(3) Whenever Parliament is dissolved a general election of the Elected Members", + "page_start": 38, + "page_end": 38, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "All rights reserved. No part of this publication may be reproduced or transmitted \n\nin any form or by any means, electronic or mechanical, including photocopying, \n\nrecording, or any information storage or retrieval system, without prior permission in \n\nwriting from the publisher. Subject to any applicable licensing terms and conditions in \n\nthe case of electronically supplied publications, a person may engage in fair dealing \n\nwith a copy of this publication for his or her personal or private use, or his or her \n\nresearch or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978. \n\nThe authors and the publisher have made every effort to obtain permission for and \n\nto acknowledge the use of copyright material. Should any infringement of copyright \n\nhave occurred, please contact the publisher, and every effort will be made to rectify \n\nomissions or errors in the event of a reprint or new edition.", + "page_start": 1, + "page_end": 1, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "(5) When a Bill that has been duly passed and presented for assent is assented \n\nto in accordance with the provisions of this Constitution it shall become law and the \nPresident shall thereupon cause it to be published in the Gazette as a law. \n\n(6) No law made by Parliament shall come into operation until it has been \npublished in the Gazette, but Parliament may postpone the coming into operation of any \nsuch law and may make laws with retrospective effect. \n\n(7) All laws made by Parliament shall be styled \"Acts\" and the words of \n\nenactment shall be \"enacted by the Parliament of Botswana\". \n**88.**", + "page_start": 36, + "page_end": 36, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "investigated then- \n\n(a) \n\nthe Assembly shall, by resolution, appoint a tribunal which shall consist of a \nChairman and not less than two other members, who hold or have held high \njudicial office; \nthe tribunal shall enquire into the matter and report on the facts thereof to the \nAssembly; \nthe Assembly shall consider the report of the tribunal at the first convenient \nsitting of the Assembly after it is received and may, upon such consideration, by \nresolution, remove the Auditor-General from office. \n\n(4) If the question of removing a person holding the office of Auditor-General \nfrom office has been referred to a tribunal under this section, the National Assembly \nmay, by resolution, suspend that person from performing the functions of his or her \noffice, and any such suspension may at any time be revoked by the Assembly by \nresolution and shall in any case cease to have effect if, upon consideration of the report \nof the tribunal in accordance with the provisions of this section, the Assembly does not \nremove the Auditor-General from office. \n**115. Pensions laws and protection of pensions rights**\n\n(1) The law to be applied with respect to any pensions benefits that were granted \n\nto any person before the coming into operation of this Constitution shall be the law that \nwas in force at the date on which those benefits were granted or any law in force at a \nlater date that is not less favourable to that person. \n\n(2) The law to be applied with respect to any pensions benefits (not being \n\nbenefits to which subsection (1) of this section applies) shall- \n\n(a) \n\nin so far as those benefits are wholly in respect of a period of service as a \npublic officer that commenced before the date on which this Constitution comes \ninto operation, be the law that was in force immediately before that date; and \nin so far as those benefits are wholly or partly in respect of a period of service \nas a public officer that commenced after the date on which this Constitution \ncomes into operation, be the law in force on the date on which that period of \nservice commenced, \n\n(b) \n\nor any law in force at a later date that is not less favourable to that person. \n\n(3) Where a person is entitled to exercise an option as to which of two or more \n\nlaws shall apply in his or her case, the law for which he or she opts shall, for the \npurposes of this section, be deemed to be more favourable to him or her than the other \nlaw or laws. \n\n(4) All pensions benefits shall (except to the extent to which under any law \nproviding for the funding of pensions benefits they are a charge on a fund established by \nthat law and have been duly paid out of that fund to the person or authority to whom \npayment is due) be a charge on the Consolidated Fund. \n\n(5) In this section \"pensions benefits\" means any pensions, compensation, \ngratuities or other like allowances for persons in respect of their service as public officers \nor as members of the armed forces or for the widows, children, dependants or personal \nrepresentatives of such persons in respect of such service. \n\n(6) References in this section to the law with respect to pensions benefits include \n(without prejudice to their generality) references to the law regulating the circumstances \nin which such benefits may be granted or in which the grant of such benefits may be \nrefused, the law regulating the circumstances in which any such benefits that have been \ngranted may be withheld, reduced in amount or suspended and the law regulating the \namount of any such benefits. \n\n(7) In this section references to service as a public officer include references to \n\nservice as a public officer of the former Protectorate of Bechuanaland.", + "page_start": 49, + "page_end": 49, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *28th April 2020*\n\n*Laid before Parliament* *30th April 2020*\n\n*Coming into force -* *-* *1st May 2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the \nEducation Act 1996(**b**). \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the Special Educational Needs and Disability \n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \n\n**Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the \nperiod for which they have effect. \n\n(2) These Regulations cease to have effect on 25th September 2020. \n\n**Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.**The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows. \n\n**4.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**5.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \n\n(**a**) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(**b**) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(**c**) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "(d) \n\nany labour required during any period of public emergency or in the event of \nany other emergency or calamity that threatens the life and well-being of the \ncommunity, to the extent that the requiring of such labour is reasonably \njustifiable in the circumstances of any situation arising or existing during that \nperiod or as a result of that other emergency or calamity, for the purpose of \ndealing with that situation; or \nany labour reasonably required as part of reasonable and normal communal or \nother civic obligations. \n\n**7.** **Protection from inhuman treatment**\n\n(1) No person shall be subjected to torture or to inhuman or degrading \n\npunishment or other treatment. \n\n(2) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of this section to the extent that the law in \nquestion authorizes the infliction of any description of punishment that was lawful in the \ncountry immediately before the coming into operation of this Constitution. \n**8.** **Protection from deprivation of property**\n\n(1) No property of any description shall be compulsorily taken possession of, and \n\nno interest in or right over property of any description shall be compulsorily acquired, \nexcept where the following conditions are satisfied, that is to say- \n\n(a) the taking of possession or acquisition is necessary or expedient- \n\n(i) \n\nin the interests of defence, public safety, public order, public morality, \npublic health, town and country planning or land settlement; \nin order to secure the development or utilization of that, or other, property \nfor a purpose beneficial to the community; or \nin order to secure the development or utilization of the mineral resources of \nBotswana; and \n\n(ii) \n\n(iii) \n\n(b) \n\nprovision is made by a law applicable to that taking of possession or \nacquisition- \n\n(i) \n(ii) \n\nfor the prompt payment of adequate compensation; and \nsecuring to any person having an interest in or right over the property a \nright of access to the High Court, either direct or on appeal from any other \nauthority, for the determination of his or her interest or right, the legality of \nthe taking of possession or acquisition of the property, interest or right, and \nthe amount of any compensation to which he or she is entitled, and for the \npurpose of obtaining prompt payment of that compensation. \n(2) No person who is entitled to compensation under this section shall be \n\nprevented from remitting, within a reasonable time after he or she has received any \namount of that compensation, the whole of that amount (free from any deduction, charge \nor tax made or levied in respect of its remission) to any country of his or her choice \noutside Botswana. \n\n(3) Subsection (1)(b)(i) of this section shall be deemed to be satisfied in relation \nto any Law applicable to the taking of possession of minerals or the acquisition of rights \nto minerals if that law makes provision for the payment at reasonable intervals of \nadequate royalties. \n\n(4) Nothing contained in or done under the authority of any law shall be held to \n\nbe inconsistent with or in contravention of subsection (2) of this section to the extent that \nthe law in question authorizes- \n\n(a) \n\nthe attachment, by order of a court, of any amount of compensation to which a \nperson is entitled in satisfaction of the judgment of a court or pending the \ndetermination of civil proceedings to which he or she is a party; or \nthe imposition of reasonable restrictions on the manner in which any amount of (b)", + "page_start": 6, + "page_end": 6, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20200471_en.pdf", + "query": "When is it not necessary to review an EHC plan ?", + "target_page": 3, + "target_passage": " It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**10.**In regulation 13(3) (timescales for EHC plans), for “(d)” substitute “(e)”. \n\n**11.**After regulation 18 (circumstances in which a local authority must review an EHC plan) \n\ninsert— \n\n“**Circumstances in which it is not necessary to review an EHC plan**\n\n**18A.**—(1) It is not necessary for a local authority to review an EHC plan in accordance \nwith section 44(1) of the Act if it is impractical to do so because of a reason relating to the \nincidence or transmission of coronavirus. \n\n(2) Where paragraph (1) applies, a local authority must instead conduct such reviews as \n\nsoon as reasonably practicable.”. \n\n**12.**In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert— \n\n“(6) The local authority need not comply with the time limit referred to in paragraphs (3) \nand (4) if it is impractical to do so because of a reason relating to the incidence or \ntransmission of coronavirus.”. \n\n**13.**In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**14.**In regulation 45 (unopposed appeals), after paragraph (7) insert— \n\n“(8) The local authority need not comply with the time limits specified in paragraph (3A) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(e) \napply.”. \n\n**Amendment of the Special Educational Needs (Personal Budgets) Regulations 2014**\n\n**15.**The Special Educational Needs (Personal Budgets) Regulations 2014(**a**) are amended as \n\nfollows. \n\n**16.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**17.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time period due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, the requirement for the local authority \nto review the making and use of direct payments within the first three months of them being \nmade in regulation 11(2)(a) (monitoring and review of direct payments) is to be read \ninstead as a requirement for such action to be taken as soon as reasonably practicable.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n\n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school \n\nor other institution); \n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person \n\ndoes not attend a school or other institution); \n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess \n\neducational, health care and social care provision); \n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n\n(g) regulation 33 (requirement to consider mediation); \n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails \n\nto pursue mediation); \n\n(i) regulation 35(2), (3) and (4) (mediation – health care issues); \n\n(j) regulation 36(2) (mediation - no health care issues); \n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier \n\nTribunal); \n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals); \n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and \n\n(p) regulation 56(3) (publication of comments on the local offer).”. \n\n**6.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**7.**In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**8.**In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**9.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**23.**In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the \n\nend of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**24.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**25.**In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n\n**26.**In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n\n(a) after paragraph (6) insert— \n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d) \napply.”. \n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”. \n\n**27.**In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \n\n**Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n**Recommendations Power) Regulations 2017**\n\n**28.**The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \n\nRegulations 2017(**a**) are amended as follows. \n\n**29.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**30.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and \n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.", + "page_start": 4, + "page_end": 4, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\n**21**. Singleton JM, Sanchez LD, Masser BA, Reich B. Efficiency of electronic signout for ED-to-inpatient admission \nat a non-teaching hospital. Intern Emerg Med. 2018;13(7):1105-1110. doi:10.1007/s11739-018-1816-z \n\n**22**. Downing NL, Bates DW, Longhurst CA. Physician burnout in the electronic health record era: are we ignoring \nthe real cause? Ann Intern Med. 2018;169(1):50-51. doi:10.7326/M18-0139 \n\n**23**. Pivovarov R, Elhadad N. Automated methods for the summarization of electronic health records. J Am Med \nInform Assoc. 2015;22(5):938-947. doi:10.1093/jamia/ocv032 \n\n**24**. Hartman VC, Bapat SS, Weiner MG, Navi BB, Sholle ET, Campion TR Jr. A method to automate the discharge \nsummary hospital course for neurology patients. J Am Med Inform Assoc. 2023;30(12):1995-2003. doi:10.1093/ \njamia/ocad177 \n\n**25**. Zhang Y, Merck D, Tsai EB, Manning CD, Langlotz CP. Optimizing the factual correctness of a summary: a study \nof summarizing radiology reports. arXiv. Preprint posted online November 6, 2019. doi:10.48550/arXiv.1911.02541 \n\n**26**. Mukherjee S, Gamble P, Ausin MS, et al. Polaris: a safety-focused LLM constellation architecture for healthcare. \narXiv. Preprint posted online March 20, 2024. doi:10.48550/arXiv.2403.13313 \n\n**27**. Hegselmann S, Shen SZ, Gierse F, Agrawal M, Sontag D, Jiang X. A data-centric approach to generate faithful \nand high quality patient summaries with large language models. arXiv. Preprint posted online February 23, 2024. \ndoi:10.48550/arXiv.2402.15422 \n\n**28**. Krishna K, Khosla S, Bigham JP, Lipton ZC. Generating SOAP Notes from Doctor-Patient Conversations Using \nModular Summarization Techniques. In: Proceedings of the 59th Annual Meeting of the Association for \nComputational Linguistics and the 11th International Joint Conference on Natural Language Processing (Volume 1: \nLong Papers); 2021. Accessed October 23, 2024. https://aclanthology.org/2021.acl-long.0/ \n\n**29**. Ayers JW, Poliak A, Dredze M, et al. Comparing physician and artificial intelligence chatbot responses to \npatient questions posted to a public social media forum. JAMA Intern Med. 2023;183(6):589-596. doi:10.1001/ \njamainternmed.2023.1838 \n\n**30**. Williams CY, Bains J, Tang T, et al. Evaluating large language models for drafting emergency department \ndischarge summaries. medRxiv. Preprint posted online April 4, 2024. doi:10.1101/2024.04.03.24305088 \n\n**31**. Cao Z, Wei F, Li W, Li S. Faithful to the original: fact aware neural abstractive summarization. In: Proceedings of \nthe AAAI Conference on Artificial Intelligence April 26, 2018; New Orleans, LA. Accessed October 23, 2024. https:// \naaai.org/proceeding/01-thirty-second-aaai-conference-on-artificial-intelligence-2018/ \n\n**32**. Singhal K, Tu T, Gottweis J, et al. Towards expert-level medical question answering with large language models. \narXiv. Preprint posted online May 16, 2023. doi:10.48550/arXiv.2305.09617 \n\n**33**. Wang G, Yang G, Du Z, Fan L, Li X. ClinicalGPT: large language models finetuned with diverse medical data and \ncomprehensive evaluation. arXiv. Preprint posted online June 16, 2023. doi:10.48550/arXiv.2306.09968 \n\n**34**. Shing HC, Shivade C, Pourdamghani N, et al. Towards clinical encounter summarization: learning to compose \ndischarge summaries from prior notes. arXiv. Preprint posted online April 27, 2021. doi:10.48550/arXiv. \n2104.13498 \n\n**35**. Van Veen D, Van Uden C, Blankemeier L, et al. Adapted large language models can outperform medical experts \nin clinical text summarization. Nat Med. 2024;30(4):1134-1142. doi:10.1038/s41591-024-02855-5 \n\n**36**. Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit \nMed. 2023;6(1):158. doi:10.1038/s41746-023-00896-7", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsubsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written \n\nnote and (2) the LLM-generated note. \n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the \n\ncompleteness, curation, readability, and correctness of the summary as shown in eTable 1 in \n\nSupplement 1. Physicians rated the usefulness of the summary, defined as the capability of the \n\nsummary being incorporated into a workflow where a physician would make edits before final \n\ncompletion, mitigating potential future self-referential learning loops and the downstream adverse \nconsequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated \nmodel errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no \n\nidentified patient safety risk for completeness, curation, readability, and the 4 subcategories within \n\ncorrectness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety \nrisk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 \nindicated that the LLM-generated summary likely demonstrated baseline acceptability for such a \n\nworkflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the \n\nLLM-generated summary as defined as the capability of the summary to fully replace a physician- \n\nwritten note (unmitigated). \n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the \n\nframework and evaluated 10 separate cases from the test dataset that were not included in the \n\nclinical evaluation results. Additionally, after independently scoring the summaries, they met to \n\nensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was \n\ncalculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for \n\nconsistency with the Pingouin statistical package version 0.5.4 in Python (Python Software \n\nFoundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity \n\nof the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 \nrepresents no agreement.52 Data were analyzed from October 2023 to March 2024. \n\n**Results**\n\n**Automated Tasks**\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In**Table 2**, \n\nROUGE and BERTScore compare the summaries with the testing set from our annotations, and \n\nSCALE score compares the summaries with the source notes. From automatic evaluation results, we \n\nobserved that LLM-generated summaries had better scores than the physician summaries, such that \n\nROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, \n\nsuggesting the LLM-generated summaries were more similar and more detailed than the physician \n\nsummaries. \n\n**Clinical Evaluation Tasks**\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are \n\nshown in**Table 3**and**Table 4**. The mean clinical quality scores of the automated summaries are in a \n\ncomparable range (4-5) to those of the physician summaries. However, the automated summaries \n\nwere observed to be of lower quality compared with the physician-written summaries with regards \n\nto mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]), \n\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written \n\nR-1a \n0.494 R-2a \n0.322 R-La \n0.391 \nSummary type BERT-p \nLLM-generated 0.859 \nPhysician-written 0.251 0.088 0.154 0.796", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nevaluation frameworks may not address the anticipated effect LLM performance limitations could \nhave on patient safety.38-41 \n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate \n\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care \n\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP \n\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in \n\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and \n\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the \n\ncorrectness of model generations and customized the summaries in a structured format designed \n\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel \n\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’ \n\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies. \n\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting \n\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient \n\n**Methods**\n\n**Data Collection**\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was \n\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with \n\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 \n\nindividual EM patient encounters leading to acute hospital admission were randomly selected from \n\nvisits occurring between April and September of 2023. We limited our analysis to EM patient \n\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time. \n\nEncounters before this date used an earlier version of the EM-handoff note that would have provided \n\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then \n\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), \n\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used \n\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of \n\nObservational Studies in Epidemiology (STROBE) reporting guidelines. \n\n**EM-to-IP Handoff Note Template**\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff \n\nnote structure used at the study site. The generated EM handoff note consists of components \n\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult \n\norders, and radiology impressions) and components generated by the trained abstractive \n\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans, \n\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage \n\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the \n\ntotal time of patient’s stay in the ED. \n\n**Data Curation for Automated ED Note Generation**\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule- \n\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail \n\nin eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM \n\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in**Table 1**: \n\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The \n\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\ncuration (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 \n\n[0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]). \n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on \n\npatient safety, the 3 expert clinicians determined none of the identified model performance issues \n\nwere anticipated to create a level 1 (life-threatening) safety event (see examples of worst case \n\nscenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the \n\nautomated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; \n\n13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create \n\na level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the \n\nphysician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 \n\nand 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no \n\npatient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) \n\ncompared with the physician-written notes (2.0%), although very few hallucinations. \n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, \n\nand 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, \n\ncuration, correctness, and usefulness and suggest fair reliability for readability among the 3 raters. \n\n**Discussion**\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, \n\npretrained LLM and rule-based approaches within an end user–developed note template. It is \n\nimportant to note that (largely due to time constraints within the EM care delivery model) the \n\nperformance of EM-to-IP handoff notes was not the current standard of care in EM. The study site’s \n\nunique electronic handoff process enabled a comparison between physician-written and \n\nLLM-generated handoff notes. Traditional automated evaluations of the model output suggested \n\n| Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n|---|---|---|---|---|\n| Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n| Criteria | LLM-generated Physician-written | | | |\n| | Mean score (SD) | Likert rating 1-5, No. (%)a | Mean score (SD) | Likert rating 1-5, No. (%)a |\n| | | 1 2 3 4 5 | | 1 2 3 4 5 |\n\n\nCompleteness 4.00 (0.88) 0 12 (8) 31 (20.7) 69 (46) 38 (25.3) 4.16 (0.84) 0 3 (2) 31 (20.7) 48 (32) 68 (45.3) \nCuration 4.24 (0.58) 0 1 (0.7) 13 (8.7) 0 \n0 \n0 \n0 \n\n85 (56.7) 51 (34) 4.76 (0.48) 0 6 (4) 39 (26) 105 (70) \n8 (5.3) 17 (11.3) 87 (58) 38 (25.3) 4.64 (0.49) 0 5 (3.3) 38 (25.3) 107 (71.3) \n0 13 (8.7) 39 (26) 98 (65.3) 4.90 (0.39) 0 2 (1.3) 12 (8) 136 (90.7) \n12 (8) 30 (20) 59 (39.3) 49 (32.7) 4.36 (0.71) 5 (3.3) 13 (8.7) 53 (35.3) 79 (52.7) \n\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results. \n\n| Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n|---|---|---|---|---|\n| Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | |\n| Criteria | LLM-generated Physician-written | | | |\n| | Mean (SD) | Likert score 1-5, No. (%)a | Mean (SD) | Likert score 1-5, No. (%)a |\n| | | 1 2 3 4 5 | | 1 2 3 4 5 |\n\n\nCompleteness 4.20 (0.93) 0 13 (8.7) 19 (12.7) 58 (38.7) 60 (40) 4.50 (0.65) 0 0 17 (11.3) 43 (28.7) 90 (60) \nCuration 4.82 (0.32) 0 1 (0.7) 3 (2) 3 (2) 8 (5.3) 139 (92.7) \n0 10 (6.7) 140 (93.3) \n0 0 150 (100)", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine**\n\nsuperior performance. However, while the manual clinical evaluation demonstrated the majority of \n\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on \n\naverage, inferior to the clinician-written notes. \n\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and \n\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst- \n\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician \n\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance \nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. \nHowever, incompleteness and faulty logic identified in the automated summaries were not always \n\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to \n\ncreate significant patient safety risk compared with the physician-written summaries. These critical \n\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further \n\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model \n\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM \n\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see \n\neAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical \nin other recent work implementing LLMs into clinical workflows.29,53 \n\nWhile the automated methods of SCALE and MPNet-based sentence transformers \n\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation \n\nprovided the nuanced context of the true factuality of our system on a word by word level. When \n\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more \n\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended \n\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic \n\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source \n\nnotes, while physician-written summaries are often composed with additional knowledge that \n\ncannot be found from the source notes. \n\nThe divergence of the automated and clinical evaluation results of an LLM intended for \n\nintegration into a critical clinical workflow is an important finding. First, this observed finding \n\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to \ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to \nmeasure conventional model output quality categories (such as incorrectness domains and other \nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate \nanticipated patient safety implications for each individual category deficiency. \n\n**Limitations**\nThere were several limitations to the study that were primarily driven from constraints of \n\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location, \n\nthe data were required to remain on premise at all times and the infrastructure that was provided \n\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model \n\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable \ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study \nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study \n\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at \n\norganizations that are less open to integrating third-party LLMs.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed8.pdf" + }, + { + "text": "**JAMA Network Open | Emergency Medicine** Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes \n\nAbstract (continued) \n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in- \n\nloop implementation design for this model and demonstrates an effective strategy to measure \n\npreimplementation patient safety of LLM models. \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 \n\n**Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of \nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint \nCommission, the Accreditation Council for Graduate Medical Education, and the Association of \n\nAmerican Medical Colleges have all recommended the development of high-quality and standardized \nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing \nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality \nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by \nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The \nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly \n\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff \nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with \nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high \n\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most \ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated \nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal \nmedicine leadership of the study site collaboratively developed and launched a mandatory, \n\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real- \n\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal \n\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured \n\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of \n\nthe handoff notes. \n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks \nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical \nnotes using natural language processing (NLP) have been overall shown to improve note completion \nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements \nin health care with the discovery of the transformer model architecture, the building block of large \nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology \nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels \nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large \nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is \ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with \nthe original source content.31 Much work has been done in health care to reduce hallucinations \nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine- \ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability \nby citing inferred content back to the reference source notes.34 For short-context length notes, using \nfew-shot prompt engineering approaches with large language models like GPT-4 can produce", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + }, + { + "text": "| Policy | Description | Subjective or Complex Judgments | Disclosure Reference |\n|---|---|---|---|\n| Self-Insurance: | Our insurance programs for worker's compensation, general liability, vehicle liability and employee-related health care beneÑts are eÅectively self-insured. Self-insurance accruals are based on claims reported and actuarial estimates of claims development and claims incurred but not reported. | Estimates of claims development and claims incurred but not reported are developed actuarially. If actual claims experience or development is signiÑcantly diÅerent than our estimates, our self-insurance expense would change. | Management's Discussion and Analysis of Financial Condition and Results of Operations Ì Selected Balance Sheet Accounts. Note 12, Commitments and Contingencies in the Consolidated Financial Statements. |\n| Property and Equipment: Expenditures for Improvements, Repairs and Maintenance | Expenditures for major additions and improvements to facilities are capitalized. All expenditures for maintenance and repairs are expensed when incurred. | Whether certain expenditures improve an asset or lengthen its useful life is subject to our judgment. Accordingly, the actual useful lives of our assets could diÅer from our estimates. | Management's Discussion and Analysis of Financial Condition and Results of Operations Ì Property and Equipment. Note 2, Summary of SigniÑcant Accounting Policies in the Consolidated Financial Statements. |\n| Useful Lives | Property and equipment are recorded at cost. Depreciation and amortization expense are provided over the estimated useful lives of the applicable assets using the straight-line method. The estimated useful lives are seven to forty years for buildings and improvements, Ñve to twelve years for vehicles, seven to ten years for most landÑll equipment, three to Ñfteen years for all other equipment, and Ñve to twelve years for furniture and Ñxtures. | Our estimates regarding the useful lives of our depreciable assets are based on our judgment. Accordingly, actual useful lives could diÅer from our estimates. | Management's Discussion and Analysis of Financial Condition and Results of Operations Ì Property and Equipment. Note 2, Summary of SigniÑcant Accounting Policies in the Consolidated Financial Statements. |", + "page_start": 36, + "page_end": 36, + "source_file": "NYSE_RSG_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "Excel Training Manual 1.pdf", + "query": "Give me some info about the scroll bars in excel", + "target_page": 6, + "target_passage": "Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**WRAPPING AND MERGING TEXT**\n\n\n\n\n\n| Microsoft Excel will allow long cell entries to spill\nacross to other adjacent cells to the right as long\nas those cells are empty. If those cells contain\ndata the spill-over will be chopped off. If you need | | to place long text entries in a cell you can arrange\nfor Microsoft Excel to wrap the text within the cell\nand also merge that cell with others to\naccommodate the longer text entry. |\n|---|---|---|\n| Microsoft Excel will allow long cell entries to spill across to other adjacent cells to the right as long as those cells are empty. If those cells contain data the spill-over will be chopped off. If you need | | to place long text entries in a cell you can arrange for Microsoft Excel to wrap the text within the cell and also merge that cell with others to accommodate the longer text entry. |\n| | | |\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n**Try This Yourself:**\n\n*Before starting this exercise*\n***e***\n\n***n***\n***e***\n***p***\n***O***\n*you MUST open the file E723*\n*Cell Alignment_9.xlsx...*\n\n***l***\n***i***\n***F***\n\n Click in cell***A5***\n\n*This cell contains a long text*\n*entry that spills across several*\n*columns…*\n\n Click on the***Expand Formula***\n\n***Bar***tool \nformula bar to see all of the \ntext \n\n to the right of the \n\n Click on the***Wrap Text***\n\ncommand \n***Alignment***group on the \n***Home***tab to wrap the text in \ncell***A5***\n\n in the \n\n**5**\n\n*Notice how the row height has*\n*now increased…*\n\n Hold down the \n\n key and \nclick in cell***E5***to select the \nrange***A5:E5***\n\n Click on the drop arrow \n\nfor***Merge & Centre***\n in the \n***Alignment***group and select \n**Merge Cells**to merge the cells \nin the range \n\n Move the mouse pointer to the \n\nbottom of the row***5***heading \nborder and drag the row height \nup until you reach***30***points \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n**For Your Reference…**\n \n\nTo wrap text - click in the cell to merge and \nclick on the***Wrap Text***command \n in the \n***Alignment***group on the***Home***tab \n\nTo merge text - click on the drop arrow  \n\nfor***Merge & Centre***\ngroup and select**Merge Cells**\n\n in the***Alignment***\n\n\n\n\n\n**Handy to Know…**\n \n\nIn the example above, wrapping forced the \ntext into one cell and Excel expanded the \nrow height so that all of the text was \naccommodated. We then merged the text \nacross several horizontal cells in the exercise \nabove so that we could reduce the row \nheight to a more acceptable level. \n\n", + "page_start": 25, + "page_end": 25, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_8.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Revenue***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \n***CHART TOOLS:***\n***DESIGN***and***CHART***\n***TOOLS: FORMAT***tabs \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Quick***\n***Layout***in the***Chart***\n***Layouts***group to display \na gallery of layout \noptions \n\n Click on***Layout 3***to \napply this chart layout to \nthe chart \n\n Repeat steps***2***and***3***to \n\nselect other***chart***\n***layouts***and see how \nthey appear when \napplied to the chart \n\n**5**\n\n Click on***Quick Layout***in \nthe***Chart Layouts***group \nand click on***Layout 5***\n\n Click on the***Chart Data***\nworksheet tab to display \nthis worksheet \n\n\n\n\n\n\n\n**Handy to Know…**\n***Chart layouts***are predefined themes \n\ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n\n**For Your Reference…**\nTo***change***the***chart layout***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Quick Layout***in the***Chart***\n***Layouts***group \n\n3. Select the desired layout", + "page_start": 53, + "page_end": 53, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**SELECTING ROWS**\n\nIf you want to make changes to an***entire row***, \nsuch as bolding all of the headings in a row or \nchanging the font of all the cell entries, you must \nfirst select the row. This is done by clicking on the \n\n\n\n\nrow header to the left of the row. Remember that \nany changes you make will apply to every cell in \nthe row all the way across to column XFD, so be \ncareful! \n\n\n\n**Try This Yourself:**\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n **6**\n\nto select this row \n\n\n and click on the \n\n\n\n\n\n| 2 | |\n|---|---|\n| 2 | |\n\n\n*Continue using the previous file*\n***e***\n\n***e***\n***m***\n***a***\n***S***\n*with this exercise, or open the file*\n*E705 Ranges_1.xlsx...*\n\n***l***\n***i***\n***F***\n\n Press \n Move the mouse pointer to the \n\n + \nthe active cell \n to make cell***A1***\n\nrow heading for row***5***\n**3**\n\n*Notice that the mouse pointer*\n*changes to a black arrow that*\n*points towards the row…*\n\n Click once on row heading***5***to \n Click in cell***B7***and press \n\nselect the entire row \n\n*This is the key combination for*\n*selecting an entire row…*\n\n Click on the row header for row***7***\n Hold down row header for row***10***\n\n*All rows from 7 to 10 will be*\n*selected…*\n\n Click in the row header for row***5***, \n\nthen hold down the left mouse \nbutton and drag down the row \nheaders to row***10***\n\n*This is another technique for*\n*selecting rows, but it does require*\n*a steady hand!*\n\n\n\n + \n\n\n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n When***every cell***in a row or column is \n\nselected, the corresponding row or column \nheader is filled in dark blue. When only***some***\nof the cells are selected, the row or column \nheader is filled in orange. These indicators \nhelp you locate the active cell(s) on the \nworksheet. \n\n", + "page_start": 17, + "page_end": 17, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**SELECTING COLUMNS**\n\nIf you want to make changes to an***entire***\n***column***, such as bolding all of the headings in a \ncolumn or changing the font of all the cell entries, \nyou must first select the column. This is done by \n\n\n\n\nclicking on the column header directly above the \ncolumn. Remember that any changes you make \nwill apply to every cell in the column all the way \ndown to row 1,048,576! \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\ncolumn***B***to select it \n\n\n and click on the \n**6**\n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n***e***\n\n***e***\n***m***\n***a***\n***S***\n*file with this exercise, or open*\n*the file E705 Ranges_1.xlsx...*\n\n***l***\n***i***\n***F***\n\n Press \n Move the mouse pointer to the \n\n + \n to make \ncell***A1***the active cell \n\ncolumn heading for column***B***\n\n*Notice that the mouse pointer*\n*changes to a black arrow*\n*pointing down the column…*\n\n Click once to select the column \n\n*This time the row headers*\n*change to orange to indicate*\n*that at least one cell (but not*\n*all) in each row is selected…*\n\n Click in cell***D6***and press \n+ \n\n*This key combination also*\n*selects an entire column…*\n\n Click on the column header for \n Hold down column header for column***D***\n\n*This time, columns B, C, and D*\n*are all selected…*\n\n Click in the column header for \n\ncolumn***A***, then hold down the \nleft mouse button and drag the \nmouse pointer across the \ncolumn headings to column***E***\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n Make sure that you check your worksheet \n\ncarefully after you’ve made changes to entire \ncolumns. Remember that all of the cells in \nthat column are affected – even those in \nrows below the visible area.", + "page_start": 18, + "page_end": 18, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_2.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Point to the vertical dots \n\nbetween the sheet names and \nthe horizontal scroll bar, as \nshown \n\n*The pointer will change to a*\n*double-headed arrow...*\n\n Click and drag the bar across \n\nto the right, to the end of \ncolumn***L***, then release the \nmouse button \n\n Double-click on***Sheet1 (5)***to \nselect the worksheet tab name \n\n*This will also place it into edit*\n*mode…*\n\n Type**Comms**, then press \n Repeat steps***3***and***4***to \n\n***Sheet1 (4)*Admin**\n***Sheet1 (3)***\n***Sheet1 (2)***\n***Sheet1*** **Shop**\n**IT**\n**Maintenance**\n\n\n\nrename the other worksheets: \n\n\n\n\n\n**For Your Reference…**\nTo***rename***a***worksheet***: \n\n1. Double click on the current name on the \nworksheet tab \n\n 2. Type the new name and press \n\n**Handy to Know…**\n You can rename a worksheet by \n\nright-clicking on the worksheet tab to display \nthe shortcut menu and clicking on***Rename***. \n\n A worksheet tab name can contain up to 31 \n\ncharacters including spaces, but it is better to \nkeep it short and succinct.", + "page_start": 11, + "page_end": 11, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_7.xlsx...*\n Click on the***Revenue***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it and display \nthe chart commands on \nthe ribbon \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Change***\n***Chart Type***in the***Type***\ngroup to display the \n***Change Chart Type***\ndialog box \n\n Click on***3-D Column***, \n Click on**[OK]**to apply \n Click on the***Chart Data***\n\nas shown \n\nthe change to the chart \n\nworksheet tab to return \nto the worksheet \n\n\n\n\n\n\n\n\n\n **4**\n\n**Handy to Know…**\n You can use***Change Chart Type***in the \n***Type***group on the***CHART TOOLS:***\n***DESIGN***tab for either embedded charts or \ncharts that have their own worksheet tabs. \n\n**For Your Reference…**\nTo***change***the***chart type***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Change Chart Type***in the \n***Type***group \n\n3. Click on the desired chart and click on**[OK]**", + "page_start": 52, + "page_end": 52, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "***Style 9***\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_9.xlsx...*\n Click on the***Revenue***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it \n\n Click on the***Chart***\n\n***Styles***tool to the right \nof the chart to see a \ngallery of style options, \nas shown \n\n Scroll through the \n\ngallery and point to \neach style to see how \nyour chart will look in \nLive Preview \n\n Scroll to and click on \n Click on the***Chart***\n\n***Styles***tool to the right \nof the chart to close the \ngallery \n\n Click on the***Chart Data***\nworksheet tab \n\n\n\n\n\n\n\n**Handy to Know…**\n \n\nInstead of using the***Chart Styles***tool to the \nright of the chart, you can also choose chart \nstyles from the***CHART TOOLS: DESIGN***\ntab on the ribbon when a chart is selected. \n\n**For Your Reference…**\nTo***change***the***chart style***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***Chart Styles***tool to the right of \nthe chart \n\n3. Click on the desired style", + "page_start": 54, + "page_end": 54, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Before starting this*\n*exercise you MUST open*\n*the file E1317*\n*Charting_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n\n***e***\n***l***\n***i***\n***F***\n\n Click in cell***A3***, hold down \n\n, then click in cell***G7***\nto select the range***A3:G7***\n\n*Note that we have*\n*selected the data*\n*including headings but*\n*excluding the totalling…*\n\n Click on the***INSERT***tab, \n\nthen click on***Insert***\n***Column Chart***in the \n***Charts***group to see a \ngallery of***Column***chart \ntypes \n\n Under***2-D Column***, click \non***Clustered Column***\n\n*The chart will be*\n*embedded in the*\n*worksheet. The chart will*\n*be active (selected) and*\n*you’ll see additional tabs*\n*on the ribbon for working*\n*with the chart…*\n\n Point to the chart, then \n\nclick to select it and drag \nthe chart so that it is \nunderneath the data, as \nshown \n\n Click in cell***A1***to deselect \n\n\nthe chart \n\n\n\n\n\n**Handy to Know…**\n When a chart gallery appears after you’ve \nused the***Insert chart***command, you can \npoint over each image in the gallery to see a \nLive Preview of the chart in the worksheet. \nThis will help you to select the right chart for \nyour needs. \n\n**For Your Reference…**\nTo***create a chart***from***scratch***: \n1. Select the range to chart \n2. Click on the***INSERT***tab, then click on the \nappropriate***Insert***command in the***Charts***\ngroup \n\n3. Click on the desired chart type", + "page_start": 46, + "page_end": 46, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Before starting this*\n*exercise you MUST open*\n*the file E1355 Quick*\n*Analysis_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n\n***e***\n***l***\n***i***\n***F***\n\n Click in cell***B5***, hold \n\ndown \ncell***E9***to select the range \n***B5:E9***\n\n, then click in \n\n Point to the bottom of the \n\nselected range so that the \n***Quick Analysis***button \nappears, as shown, then \nclick on it to see the \n***Quick Analysis***gallery \n\n On the***FORMATTING***\n\ntab, point to***Data Bars***to \nsee data bars \nrepresenting the size of \nthe selected values \n\n Point to***Colour Scale***to \n\nsee colours used to \nsignify the scale of values \n(from red for low to green \nfor high) \n\n Point to***Top 10%***to see \n Click on***Greater Than***to \n\nthe top 10% of values \n\nsee the***Greater Than***\ndialog box \n\n Type**200000**in***Format***\n\n***cells that are GREATER***\n***THAN***, then click in cell \n***A1***to see the changes \n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n***Quick Formatting***applies conditional \nformatting, not the standard formatting. \n\n The***Clear Format***option in the***Quick***\n\n***Analysis***gallery will clear any conditional \nformatting that has been applied. \n\n**For Your Reference…**\nTo***apply Quick Formatting***in a***worksheet***: \n\n1. Select the range to be formatted, then click \non the***Quick Analysis***button \n\n2. Choose the desired formatting from the \n***FORMATTING***tab", + "page_start": 36, + "page_end": 36, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "***Chart***worksheet tab \n\n\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_11.xlsx...*\n Click on the***Revenue***\n Click on the***CHART***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***TOOLS: DESIGN***tab, \nthen click on the***Move***\n***Chart***tool in the \n***Location***group to \ndisplay the***Move Chart***\ndialog box \n\n Click on***Object in***, then \nclick on the drop arrow \nand click on***Sheet 2***\n\n Click on**[OK]**to move \nthe chart to the \nworksheet \n**5**\n\n Reposition the chart by \n\ndragging it to the top \nleft of the sheet, then \ndrag the resizing \nhandles to resize it as \nshown \n\n Click on the***Chart Data***\nworksheet tab \n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***embed***a***chart***in a***worksheet***: \n\n1. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Move Chart***in the***Location***\ngroup \n\n2. Click on the drop arrow, select the sheet to \nembed it into, then click on**[OK]**\n\n\n\n\n\n**Handy to Know…**\n Embedding is normally only done when it is \nnecessary to print the worksheet and the \ndata together.", + "page_start": 56, + "page_end": 56, + "source_file": "Excel Training Manual 1.pdf" + } + ] + }, + { + "references": { + "source_file": "Excel Training Manual 1.pdf", + "query": "How to rename a worksheet in Excel ?", + "target_page": 12, + "target_passage": "To rename a worksheet: 1. Double click on the current name on the worksheet tab 2. Type the new name and press ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_2.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Point to the vertical dots \n\nbetween the sheet names and \nthe horizontal scroll bar, as \nshown \n\n*The pointer will change to a*\n*double-headed arrow...*\n\n Click and drag the bar across \n\nto the right, to the end of \ncolumn***L***, then release the \nmouse button \n\n Double-click on***Sheet1 (5)***to \nselect the worksheet tab name \n\n*This will also place it into edit*\n*mode…*\n\n Type**Comms**, then press \n Repeat steps***3***and***4***to \n\n***Sheet1 (4)*Admin**\n***Sheet1 (3)***\n***Sheet1 (2)***\n***Sheet1*** **Shop**\n**IT**\n**Maintenance**\n\n\n\nrename the other worksheets: \n\n\n\n\n\n**For Your Reference…**\nTo***rename***a***worksheet***: \n\n1. Double click on the current name on the \nworksheet tab \n\n 2. Type the new name and press \n\n**Handy to Know…**\n You can rename a worksheet by \n\nright-clicking on the worksheet tab to display \nthe shortcut menu and clicking on***Rename***. \n\n A worksheet tab name can contain up to 31 \n\ncharacters including spaces, but it is better to \nkeep it short and succinct.", + "page_start": 11, + "page_end": 11, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "press to clear it \n\n\n\n\n\n\n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_1.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Right-click on***Sheet1***to \ndisplay the worksheet shortcut \nmenu \n\n Select**Move or Copy**to \ndisplay the***Move or Copy***\ndialog box \n\n Click on***Create a copy***so it \nappears ticked, then click on \n**[OK]**\n\n*The new worksheet is named*\n*Sheet1 (2). Let’s create a*\n*“template” from this worksheet*\n*by deleting unwanted data...*\n\n Select the range***B7:E9***, then \n Repeat step***4***to clear the \nranges***B14:E23***,***G7:J9***and \n***G14:J23***, then press + \n\n to return to cell***A1***\n\n*Now we can copy this*\n*“template” to create additional*\n*worksheets...*\n\n Repeat steps***1***to***3***three \n\ntimes to create three copies of \nthe*template*worksheet – this \ntime without data \n\n*The final worksheet should be*\n*named Sheet1 (5)*\n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***copy***a***worksheet***: \n\n1. Right-click on the worksheet to copy, then \nselect***Move or Copy***\n\n2. Click on***Create a copy***so it appears ticked \n3. Click on**[OK]**\n\n**Handy to Know…**\n You can copy the current worksheet using \nthe***HOME***tab by clicking on***Format***in the \n***Cells***group, then clicking on***Move or Copy***\n***Sheet***. \n\n The***Before sheet***options in the***Move or***\n***Copy***dialog box allow you to position the \ncopied worksheet where you want.", + "page_start": 10, + "page_end": 10, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Before starting this exercise*\n*you MUST open the file*\n*E1324 Worksheet*\n*Techniques_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n\n***e***\n***l***\n***i***\n***F***\n\n Examine the workbook – it \ncurrently contains one \nworksheet named***Sheet1***\n\n Click on the***New Sheet***icon \nat the end of the worksheet \ntabs \n\n*A new worksheet named*\n*Sheet2 will be inserted. You*\n*can also use the keyboard*\n*shortcut...*\n\n Press + \nanother new worksheet \n\n to insert \n\n*This sheet is named Sheet3*\n*and is inserted before the*\n*currently selected sheet.*\n*Now let’s delete a sheet...*\n\n��� Right-click on the***Sheet3***\nworksheet tab to display the \nshortcut menu \n\n Select**Delete**to remove the \nworksheet \n\n*As the worksheet contains no*\n*data, the sheet will be*\n*deleted immediately. If a*\n*worksheet contains data,*\n*Excel will ask you to confirm*\n*your actions...*\n\n Repeat steps***4***and***5***to \n\n\ndelete***Sheet2***\n\n\n\n\n\n\n\n**Handy to Know…**\n To insert a worksheet between existing \n\nworksheets, right-click on the worksheet tab \nbefore which you want to insert a new sheet, \nthen click on***Insert***to display the***Insert***\ndialog box. Select***Worksheet***and click on \n**[OK]**. \n\n**For Your Reference…**\nTo***insert***a***new worksheet***into a***workbook***: \n\n Click on the***New Sheet***icon to the right of \nthe worksheet tabs \n\nTo***delete***a***worksheet***from a***workbook***: \n\n Right click on the worksheet tab, then select \n**Delete**", + "page_start": 9, + "page_end": 9, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Continue using the previous*\n***e***\n*file with this exercise, or*\n*open the file E1324*\n*Worksheet*\n*Techniques_8.xlsx...*\n Click on the***Admin***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\nworksheet tab, hold down \n, then click on the***Shop***\n\nworksheet tab to select the \nfirst three worksheets \n\n Click in cell***A1***to select the \n Click on the***HOME***tab, then \nclick on***Italics***in the***Font***\ngroup \n\n*This will italicise the text in*\n*cell A1 on this and all other*\n*worksheets in the group…*\n\n Click on the***Maintenance***\n\nworksheet tab, then the \n***Shop***worksheet tab to see \nthat the changes have been \napplied here \n\n Click on the***IT***worksheet \n\ntab to see that the changes \nhave*not*been applied to \nthis worksheet \n\n*Since this was not part of*\n*the grouped sheets the*\n*changes have not been*\n*applied here. Notice too that*\n*clicking on a tab deselects*\n*the previous grouping*\n\n\n\ncell \n\n\n\n\n\n\n\n**For Your Reference…**\nTo***group worksheet tabs***: \n\n1. Click on the first worksheet tab \n2. Hold down , then click on the last \n\nworksheet tab \n\n**Handy to Know…**\n To deselect a group, either click on the tab of \na worksheet that is not in the group, or right- \nclick on a tab and select**Ungroup Sheets**. \n\n Most formatting and text changes done on a \nworksheet in a group will be applied to other \nsheets in that grouping.", + "page_start": 14, + "page_end": 14, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**4** **2**\n\n\n\n\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the file*\n*E1324 Worksheet*\n*Techniques_6.xlsx...*\n Click on the***Maintenance***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\nworksheet tab \n\n*We’ll copy this completed*\n*data to another workbook...*\n\n Right-click on the \n\nworksheet tab to display \nthe shortcut menu, then \nclick on***Move or Copy***to \ndisplay the***Move or Copy***\ndialog box \n\n Click on the drop arrow for \n***To book***, then select**(new**\n**book)**\n\n Click on***Create a copy***so \nit appears ticked \n\n*This will create a new*\n*workbook as well as*\n*making a copy of the*\n*worksheet...*\n\n Click on**[OK]**\n\n*A new workbook will be*\n*created and Maintenance*\n*will be the only worksheet*\n*in the workbook…*\n\n Save the new workbook as \n***Maintenance.xlsx***, then \nclose it \n\n\n\n\n\n\n\n**Handy to Know…**\n To copy a worksheet into an existing \n\nworkbook, make sure that you open the \ndestination workbook first to ensure that it is \nlisted in***To book***in the***Move or Copy***\ndialog box. \n\n**For Your Reference…**\nTo***copy***a***sheet***to***another workbook***: \n\n1. Right click on the worksheet tab, then click \non***Move or Copy***\n\n2. Select either***(new book)***or the name of \nanother workbook in***To book***\n\n3. Tick***Create a copy***, then click on**[OK]**", + "page_start": 12, + "page_end": 12, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_6.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the chart to \n\nselect it and display the \n***CHART TOOLS:DESIGN***\nand***CHART TOOLS:***\n***FORMAT***tabs \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Move Chart***\nin the***Location***group to \ndisplay the***Move Chart***\ndialog box \n\n Click on***New Sheet***, then \ntype**Revenue Chart**\n\n*This will become the*\n*sheet name for the*\n*chart…*\n\n Click on**[OK]**to move the \nembedded chart to its \nown sheet \n\n Click on the***Chart Data***\nworksheet tab to see the \ndata again \n\n*Notice that the chart is no*\n*longer embedded on this*\n*worksheet*\n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***create***a***chart sheet***: \n\n1. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Move Chart***in the***Location***\ngroup \n\n2. Click on***New Sheet***, type a name for the \nsheet and click on**[OK]**\n\n\n\n\n\n**Handy to Know…**\n Keeping charts on their own sheets makes \nthem easier to work with as they do not \nobstruct the data.", + "page_start": 51, + "page_end": 51, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_7.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Admin***\nworksheet tab to select the \nworksheet \n\n Right-click on the worksheet \n\ntab to display the shortcut \nmenu, then point to***Tab***\n***colour***\n\n*This will display a palette of*\n*colour options…*\n\n Click on***Red***under \n***Standard colours***to apply \nthe colour to the tab \n\n Right-click on the \n\n***Maintenance***worksheet tab \nto display the shortcut menu, \nclick on***Tab colour***, then \nclick on***Blue***under \n***Standard colours***\n\n*Notice how the Admin*\n*worksheet tab colour is now*\n*a solid rather than a*\n*gradient…*\n\n Repeat either technique to \napply the following colours: \n\n***Shop***\n***IT*** ***Yellow***\n***Green***\n\n Click on the***Admin***\nworksheet tab to view the \nresults \n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n To apply the same colour to two or more \n\nsheets at once, select them first. Hold down \n to select consecutive worksheets or \n to select non-consecutive \n\n\nhold down \nworksheets. \n\n**For Your Reference…**\nTo***change the colour***of a***worksheet tab***: \n\n1. Right-click on the worksheet tab to display \nthe shortcut menu \n\n2. Point to***Tab colour***to display a palette of \ncolour options \n\n3. Click on the desired colour", + "page_start": 13, + "page_end": 13, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "***Chart***worksheet tab \n\n\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_11.xlsx...*\n Click on the***Revenue***\n Click on the***CHART***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***TOOLS: DESIGN***tab, \nthen click on the***Move***\n***Chart***tool in the \n***Location***group to \ndisplay the***Move Chart***\ndialog box \n\n Click on***Object in***, then \nclick on the drop arrow \nand click on***Sheet 2***\n\n Click on**[OK]**to move \nthe chart to the \nworksheet \n**5**\n\n Reposition the chart by \n\ndragging it to the top \nleft of the sheet, then \ndrag the resizing \nhandles to resize it as \nshown \n\n Click on the***Chart Data***\nworksheet tab \n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***embed***a***chart***in a***worksheet***: \n\n1. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Move Chart***in the***Location***\ngroup \n\n2. Click on the drop arrow, select the sheet to \nembed it into, then click on**[OK]**\n\n\n\n\n\n**Handy to Know…**\n Embedding is normally only done when it is \nnecessary to print the worksheet and the \ndata together.", + "page_start": 56, + "page_end": 56, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_7.xlsx...*\n Click on the***Revenue***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it and display \nthe chart commands on \nthe ribbon \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Change***\n***Chart Type***in the***Type***\ngroup to display the \n***Change Chart Type***\ndialog box \n\n Click on***3-D Column***, \n Click on**[OK]**to apply \n Click on the***Chart Data***\n\nas shown \n\nthe change to the chart \n\nworksheet tab to return \nto the worksheet \n\n\n\n\n\n\n\n\n\n **4**\n\n**Handy to Know…**\n You can use***Change Chart Type***in the \n***Type***group on the***CHART TOOLS:***\n***DESIGN***tab for either embedded charts or \ncharts that have their own worksheet tabs. \n\n**For Your Reference…**\nTo***change***the***chart type***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Change Chart Type***in the \n***Type***group \n\n3. Click on the desired chart and click on**[OK]**", + "page_start": 52, + "page_end": 52, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "Figure 11-52 Renaming the selected FlashCopy mappings \n\n**Renaming a Consistency Group**\nTo rename a Consistency Group, complete the following steps: \n\n1. Open the Consistency Groups panel. \n\n2. Right-click the consistency group you want to rename and select**Rename**, as shown in \nFigure 11-53. \n\n3. Enter the new name that you want to assign to the Consistency Group and click**Rename**, \nas shown in Figure 11-54. \n\n**Note:**It is not possible to select multiple consistency groups to edit their names all at \nthe same time.", + "page_start": 512, + "page_end": 512, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "Excel Training Manual 1.pdf", + "query": "I want to freeze a pane in my Excel worksheet ", + "target_page": 16, + "target_passage": "To freeze panes in a worksheet: 1. Click in the cell below and to the right of the area you want to freeze/unfreeze 2. Click on the VIEW tab 3. Click on Freeze Panes in the Window group, then select Freeze Panes ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Try This Yourself:**\n\n*Continue using the previous file*\n*with this exercise, or open the file*\n*E1324 Worksheet*\n*Techniques_11.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n\n\n\n\n***25***is below row***5***\n\n + \n\n\n\n Click on the***Maintenance***\nworksheet tab, then spend a few \nmoments examining the worksheet \n\n*Depending on your screen, it is*\n*possible that you won’t be able to*\n*see all of the figures on the screen*\n*at once...*\n\n Click in cell***B6***to select the cell \n Click on the***VIEW***tab, click on \n***Freeze Panes***in the***Window***\ngroup, then select**Freeze Panes**\n\n*Thin black lines appear above and*\n*to the left of the selected cell. This*\n*indicates that the areas above and*\n*to the left are frozen...*\n\n Scroll to the right until***Yearly***\n***Average***in column***L***appears next \nto column***A***\n\n Scroll down until***Overheads***in row \n Press \n\n to move to cell \n***B6***– this is our temporary home \ncell, as the cells above and to the \nleft are frozen \n\n On the***VIEW***tab, click on***Freeze***\n\n***Panes***in the***Freeze Panes***group, \nthen click on***Unfreeze Panes***to \nunfreeze the rows and columns \n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***freeze panes***in a***worksheet***: \n\n1. Click in the cell below and to the right of the \narea you want to freeze/unfreeze \n\n2. Click on the***VIEW***tab \n3. Click on***Freeze Panes***in the***Window***\ngroup, then select**Freeze Panes**\n\n**Handy to Know…**\n \n\nIf you want to freeze only the rows above the \nselected cell (leaving all columns unfrozen), \nselect the cell in column***A***of that row – e.g. \nto freeze rows***1***to***6***, click in cell***A7***. The \nsame applies to freezing only columns and \nleaving the rows unfrozen: select the cell in \nrow***1***.", + "page_start": 15, + "page_end": 15, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "press to clear it \n\n\n\n\n\n\n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_1.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Right-click on***Sheet1***to \ndisplay the worksheet shortcut \nmenu \n\n Select**Move or Copy**to \ndisplay the***Move or Copy***\ndialog box \n\n Click on***Create a copy***so it \nappears ticked, then click on \n**[OK]**\n\n*The new worksheet is named*\n*Sheet1 (2). Let’s create a*\n*“template” from this worksheet*\n*by deleting unwanted data...*\n\n Select the range***B7:E9***, then \n Repeat step***4***to clear the \nranges***B14:E23***,***G7:J9***and \n***G14:J23***, then press + \n\n to return to cell***A1***\n\n*Now we can copy this*\n*“template” to create additional*\n*worksheets...*\n\n Repeat steps***1***to***3***three \n\ntimes to create three copies of \nthe*template*worksheet – this \ntime without data \n\n*The final worksheet should be*\n*named Sheet1 (5)*\n\n\n\n\n\n\n\n\n\n**For Your Reference…**\nTo***copy***a***worksheet***: \n\n1. Right-click on the worksheet to copy, then \nselect***Move or Copy***\n\n2. Click on***Create a copy***so it appears ticked \n3. Click on**[OK]**\n\n**Handy to Know…**\n You can copy the current worksheet using \nthe***HOME***tab by clicking on***Format***in the \n***Cells***group, then clicking on***Move or Copy***\n***Sheet***. \n\n The***Before sheet***options in the***Move or***\n***Copy***dialog box allow you to position the \ncopied worksheet where you want.", + "page_start": 10, + "page_end": 10, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_7.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Admin***\nworksheet tab to select the \nworksheet \n\n Right-click on the worksheet \n\ntab to display the shortcut \nmenu, then point to***Tab***\n***colour***\n\n*This will display a palette of*\n*colour options…*\n\n Click on***Red***under \n***Standard colours***to apply \nthe colour to the tab \n\n Right-click on the \n\n***Maintenance***worksheet tab \nto display the shortcut menu, \nclick on***Tab colour***, then \nclick on***Blue***under \n***Standard colours***\n\n*Notice how the Admin*\n*worksheet tab colour is now*\n*a solid rather than a*\n*gradient…*\n\n Repeat either technique to \napply the following colours: \n\n***Shop***\n***IT*** ***Yellow***\n***Green***\n\n Click on the***Admin***\nworksheet tab to view the \nresults \n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n To apply the same colour to two or more \n\nsheets at once, select them first. Hold down \n to select consecutive worksheets or \n to select non-consecutive \n\n\nhold down \nworksheets. \n\n**For Your Reference…**\nTo***change the colour***of a***worksheet tab***: \n\n1. Right-click on the worksheet tab to display \nthe shortcut menu \n\n2. Point to***Tab colour***to display a palette of \ncolour options \n\n3. Click on the desired colour", + "page_start": 13, + "page_end": 13, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Before starting this exercise*\n*you MUST open the file*\n*E1324 Worksheet*\n*Techniques_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n\n***e***\n***l***\n***i***\n***F***\n\n Examine the workbook – it \ncurrently contains one \nworksheet named***Sheet1***\n\n Click on the***New Sheet***icon \nat the end of the worksheet \ntabs \n\n*A new worksheet named*\n*Sheet2 will be inserted. You*\n*can also use the keyboard*\n*shortcut...*\n\n Press + \nanother new worksheet \n\n to insert \n\n*This sheet is named Sheet3*\n*and is inserted before the*\n*currently selected sheet.*\n*Now let’s delete a sheet...*\n\n Right-click on the***Sheet3***\nworksheet tab to display the \nshortcut menu \n\n Select**Delete**to remove the \nworksheet \n\n*As the worksheet contains no*\n*data, the sheet will be*\n*deleted immediately. If a*\n*worksheet contains data,*\n*Excel will ask you to confirm*\n*your actions...*\n\n Repeat steps***4***and***5***to \n\n\ndelete***Sheet2***\n\n\n\n\n\n\n\n**Handy to Know…**\n To insert a worksheet between existing \n\nworksheets, right-click on the worksheet tab \nbefore which you want to insert a new sheet, \nthen click on***Insert***to display the***Insert***\ndialog box. Select***Worksheet***and click on \n**[OK]**. \n\n**For Your Reference…**\nTo***insert***a***new worksheet***into a***workbook***: \n\n Click on the***New Sheet***icon to the right of \nthe worksheet tabs \n\nTo***delete***a***worksheet***from a***workbook***: \n\n Right click on the worksheet tab, then select \n**Delete**", + "page_start": 9, + "page_end": 9, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_8.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Revenue***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \n***CHART TOOLS:***\n***DESIGN***and***CHART***\n***TOOLS: FORMAT***tabs \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Quick***\n***Layout***in the***Chart***\n***Layouts***group to display \na gallery of layout \noptions \n\n Click on***Layout 3***to \napply this chart layout to \nthe chart \n\n Repeat steps***2***and***3***to \n\nselect other***chart***\n***layouts***and see how \nthey appear when \napplied to the chart \n\n**5**\n\n Click on***Quick Layout***in \nthe***Chart Layouts***group \nand click on***Layout 5***\n\n Click on the***Chart Data***\nworksheet tab to display \nthis worksheet \n\n\n\n\n\n\n\n**Handy to Know…**\n***Chart layouts***are predefined themes \n\ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n\n**For Your Reference…**\nTo***change***the***chart layout***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Quick Layout***in the***Chart***\n***Layouts***group \n\n3. Select the desired layout", + "page_start": 53, + "page_end": 53, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Before starting this*\n*exercise you MUST open*\n*the file E1317*\n*Charting_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n\n***e***\n***l***\n***i***\n***F***\n\n Click in cell***A3***, hold down \n\n, then click in cell***G7***\nto select the range***A3:G7***\n\n*Note that we have*\n*selected the data*\n*including headings but*\n*excluding the totalling…*\n\n Click on the***INSERT***tab, \n\nthen click on***Insert***\n***Column Chart***in the \n***Charts***group to see a \ngallery of***Column***chart \ntypes \n\n Under***2-D Column***, click \non***Clustered Column***\n\n*The chart will be*\n*embedded in the*\n*worksheet. The chart will*\n*be active (selected) and*\n*you’ll see additional tabs*\n*on the ribbon for working*\n*with the chart…*\n\n Point to the chart, then \n\nclick to select it and drag \nthe chart so that it is \nunderneath the data, as \nshown \n\n Click in cell***A1***to deselect \n\n\nthe chart \n\n\n\n\n\n**Handy to Know…**\n When a chart gallery appears after you’ve \nused the***Insert chart***command, you can \npoint over each image in the gallery to see a \nLive Preview of the chart in the worksheet. \nThis will help you to select the right chart for \nyour needs. \n\n**For Your Reference…**\nTo***create a chart***from***scratch***: \n1. Select the range to chart \n2. Click on the***INSERT***tab, then click on the \nappropriate***Insert***command in the***Charts***\ngroup \n\n3. Click on the desired chart type", + "page_start": 46, + "page_end": 46, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "*Continue using the previous*\n***e***\n*file with this exercise, or*\n*open the file E1324*\n*Worksheet*\n*Techniques_8.xlsx...*\n Click on the***Admin***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\nworksheet tab, hold down \n, then click on the***Shop***\n\nworksheet tab to select the \nfirst three worksheets \n\n Click in cell***A1***to select the \n Click on the***HOME***tab, then \nclick on***Italics***in the***Font***\ngroup \n\n*This will italicise the text in*\n*cell A1 on this and all other*\n*worksheets in the group…*\n\n Click on the***Maintenance***\n\nworksheet tab, then the \n***Shop***worksheet tab to see \nthat the changes have been \napplied here \n\n Click on the***IT***worksheet \n\ntab to see that the changes \nhave*not*been applied to \nthis worksheet \n\n*Since this was not part of*\n*the grouped sheets the*\n*changes have not been*\n*applied here. Notice too that*\n*clicking on a tab deselects*\n*the previous grouping*\n\n\n\ncell \n\n\n\n\n\n\n\n**For Your Reference…**\nTo***group worksheet tabs***: \n\n1. Click on the first worksheet tab \n2. Hold down , then click on the last \n\nworksheet tab \n\n**Handy to Know…**\n To deselect a group, either click on the tab of \na worksheet that is not in the group, or right- \nclick on a tab and select**Ungroup Sheets**. \n\n Most formatting and text changes done on a \nworksheet in a group will be applied to other \nsheets in that grouping.", + "page_start": 14, + "page_end": 14, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Try This Yourself:**\n\n\n\n\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_12.xlsx...*\n Click on***Sheet 2***to \n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\nsee the chart in the \nworksheet, then click \non the chart to select it \n\n Press \n to delete \nthe chart \n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n Because it is so easy to delete a chart object \n\nit is also easy to delete it by accident! \nRemember, you can use the***Undo***feature in \nExcel to restore accidental deletions. \n\n**For Your Reference…**\nTo***delete***a***chart***: \n\n1. Click on the worksheet to see the chart, then \nclick on the chart to select it \n\n\n2. Press", + "page_start": 57, + "page_end": 57, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "tool to roll up the wizard, \n\n\n\n\n**6** to complete the \n\n\n\n\n\n**=MIN(B9,B14,B19,B24)**\n\n\n to complete the \n\n\n\n**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or*\n*open the file E710*\n*Formulas_8.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on***B31***then click on \n\nthe***Insert Function***tool \nto display the***Insert***\n***Function***dialog box \n\n Click on the drop arrow \n\nfor the***Or select a category***\nbox and click on***Statistical***\n\n Scroll down and click on***MIN***\n\nin***Select a function***then \nclick on**[OK]**to display the \n***Function Arguments***dialog \nbox \n\n Click on the***Range Selector***\n\nthen hold down \nselect the following ranges: \n\n and \n\n**B6:B8**\n**B11:B13** **B16:B18**\n**B21:B23**\n\n Press \n\nrange specifications, then \nclick on**[OK]**to complete the \nprocess \n\n*Let’s simply type the function*\n*this time…*\n\n Click on***B36***and type \n Press formula \n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n You might use a***Minimum***function in real \n\nlife to find the lowest value in a large range of \nnumbers. For example, in a large inventory it \ncan be used to work out which product is the \nslowest seller. \n\n**For Your Reference…**\nTo***insert***a***minimum function***: \n\n1. Click in the cell then click on the***Insert***\n\n***Function***tool \n\n2. Click on***MIN***in***Select a function***\n3. \nInsert the required ranges then click on \n**[OK]**", + "page_start": 32, + "page_end": 32, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "to make it the active object \n\n**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_2.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Point to the border of the \n\nchart and click once to \nselect the chart as an \nobject \n\n*The border of the chart will*\n*thicken to indicate that the*\n*chart is selected, the*\n*range of data used for the*\n*chart will be coloured, the*\n*ribbon will show*\n*chart-specific tabs and*\n*commands, and additional*\n*tools will appear to the*\n*right of the chart…*\n\n Click on the chart***legend***\nto make it the active object \nin the chart \n\n Click on the**vertical axis**\n Click on the**horizontal**\n**axis**to make it the active \nobject \n\n Click on the border of the \n\nchart to make the overall \nchart the active object \nagain – notice that the \nrange of data has been \ncoloured again \n\n Click in cell***A1***to deselect \nthe chart \n**3**\n\n\n\n\n\n\n\n**Handy to Know…**\n Once an object is selected, be it a chart, a \n\nlegend on the chart, or the like, you can right- \nclick on the object to see a shortcut menu \nspecific to the selected object.", + "page_start": 47, + "page_end": 47, + "source_file": "Excel Training Manual 1.pdf" + } + ] + }, + { + "references": { + "source_file": "office-pdf.pdf", + "query": "What is the msodocexStructTypeArticle type value ?", + "target_page": 21, + "target_passage": "A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles.", + "chunk_present": { + "presence": true, + "index": 8 + } + }, + "top_chunk": [ + { + "text": "**Type Value** **Description**\n\nmsodocexStructTypeTOC A table of contents. \n\nmsodocexStructTypeTOCI An item in a table of contents. \n\nmsodocexStructTypeExtLink A link to an external resource. \n\nmsodocexStructTypeIntLink A link to an internal resource. \n\nmsodocexStructTypeFootnote A footnote. \n\nmsodocexStructTypeEndnote An endnote. \n\nmsodocexStructTypeTextbox A text box. \n\nmsodocexStructTypeHeader A block of text forming a header. \n\nmsodocexStructTypeFooter A footer. \n\nmsodocexStructInlineShape An inline shape. \n\nmsodocexStructAnnotation An annotation. \n\nmsodocexStructTypeSpanBlock A block of text. \n\nmsodocexStructTypeWorkbook A workbook. \n\nmsodocexStructTypeWorksheet A worksheet. \n\nmsodocexStructTypeMacrosheet A macrosheet. \n\nmsodocexStructTypeChartsheet A chartsheet. \n\nmsodocexStructTypeDialogsheet A dialogsheet. \n\nmsodocexStructTypeSlide A slide. \n\nA chart. \n\nA SmartArt diagram. \n\nBuller text. \n\nA line of text. \n\nA drop cap. \n\nA section. \n\nThe beginning of an annotation. \n\nThe end of an annotation. \n\nmsodocexStructTypeChart \n\nmsodocexStructTypeDiagram \n\nmsodocexStructTypeBulletText \n\nmsodocexStructTypeTextLine \n\nmsodocexStructTypeDropCap \n\nmsodocexStructTypeSection \n\nmsodocexStructTypeAnnotationBegin \n\nmsodocexStructTypeAnnotationEnd", + "page_start": 21, + "page_end": 21, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Type Value** **Description**\n\nmsodocexStructTypeParaRTLAttr \n\nA block of text within an article with right-to-left \nlayout. \n\nmsodocexStructTypeTableRTLAttr A block of text forming a table with right-to-left \n\nlayout. \n\nmsodocexStructTypeHeadingRTLAttr A heading in the text with right-to-left layout. \n\nmsodocexStructTypeListItemRTLAttr \n\nA block of text forming a list item with right-to-left \nlayout. \n\nmsodocexStructTypeParaUnannotatableAttr A block of text within an article that is not \n\nannotatable. \n\nmsodocexStructTypeTHead The header row area in a table. \n\nmsodocexStructTypeTBody The body area in a table, i.e. the portion between \n\nthe THead and TFoot. \n\nmsodocexStructTypeLabel A label. \n\nmsodocexStructTypeEquation An equation. \n\nmsodocexStructTypeIntLinkNoteRef A footnote or endnote reference mark link. \n\nmsodocexStructTypeTFoot The footer row area in a table. \n\n**fContentNode**Specifies whether a**DocExComment_EndStructNode**structure marks \n\nthe end of this structure node. If**fContentNode**is**true**, a \n\n**DocExComment_EndStructNode**structure closes off the content bounded by the node. \n\nIf this**fContentNode**has a**false**value, then the node does not bound any content. \n\nThe**fContentNode**member affects the interpretation of the parent ID value of \n\nsubsequent nodes. If**fContentNode**is**true**, nodes that are inserted between this \n\n**DocExComment_BeginStructNode**and a subsequent**DocExComment_EndStructNode**, \n\nand that have a parent ID of**-1**, are children of this node. However, if**fContentNode**is \n\n**true**, nodes inserted after this**DocExComment_BeginStructNode**, and that have a \n\nparent ID of**-1**, are not children of this node. They are children of the next-most-recently \n\nspecified node that has**fContentNode**equal to**false**. \n\nYou can nest document structure nodes to arbitrary depth. \n\n**cwchAltText**Specifies the number of Unicode characters in the block of alternate text \n\nthat follows the structure. This Unicode string specifies alternate text for the node (for \n\nexample, alternate text for an image).", + "page_start": 22, + "page_end": 22, + "source_file": "office-pdf.pdf" + }, + { + "text": "typedef struct_MsoDocexStructNode \n{ \n int idNode; \n MSODOCEXSTRUCTTYPE nodetype; \n WCHAR*pwchAltText; \n union \n { \n int iHeadingLevel; \n ULONG idPara; \n ULONG idDropCap; \n int iPage; \n WCHAR*pwchActualText; \n MSODOCEXLINEBREAKTYPE bt; \n int iListLevel; \n MSODOCEXLISTTYPE listType; \n ULONG idAtn; \n long cpLim; \n int shapeProperty; \n MsoDocexTableAttr tableAttr; \n WCHAR*idTableHeader; \n int iTargetParentId; \n }; \n} MSODOCEXSTRUCTNODE; \n\nThe**idNode**member specifies the ID of the node being passed in the call to \n\n**HrBeginStructNode**. This member may not have a value of**0**. A value of**-1**indicates that \n\nchild nodes do not use the*idNodeParent*parameter to specify this node as their parent. \n\nInstead, this node can be a parent only by enclosing child nodes in the EMF. Multiple \n\nnodes can have an ID of**-1**. If the ID is not**-1**, the value is unique across the document. \n\nThe embedded union at the end of the MSODOCEXSTRUCTNODE is interpreted \n\ndifferently depending on the type of node: \n\n**iHeadingLevel**is the heading level for an msodocexStructTypeHeading. \n\n**idPara**is the paragraph id for a P, TOCI, or ListBody. \n\n**idDropCap**is the id of an msodocexStructTypeDropCap. \n\n**iPage**is the page number for an msodocexStructTypePage. \n\n**bt**is the line break type for an msodocexStructTypeTextLine. \n\n**iListLevel**is the list level for an msodocexStructTypeList or \n\nmsodocexStructTypeListItem. \n\n**listType**is the list type for an msodocexStructTypeListItem. \n\n**idAtn**is the id of an msodocexStructTypeAnnotationBegin or \n\nmsodocexStructTypeAnnotationEnd. \n\n**cpLim**is used to determine the nesting order of tables within tables for an \n\nmsodocexStructTypeTable, msodocexStructTypeTOC, or \n\nmsodocexStructTypeListBody.", + "page_start": 8, + "page_end": 8, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Comment Value** **Structure Type**\n\nmsodocexcommentExternalHyperlink DocExComment_ExternalHyperlink \n\nmsodocexcommentExternalHyperlinkRctfv DocExComment_ExternalHyperlink \n\nmsodocexcommentInternalHyperlink DocExComment_InternalHyperlink \n\nmsodocexcommentInternalHyperlinkRctfv DocExComment_InternalHyperlink \n\nmsodocexcommentColorInfo DocExComment_ColorInfo \n\nmsodocexcommentColorMapEnable DocExComment_ColorEnable \n\nmsodocexcommentBeginTextRun DocExComment_BeginTextRun \n\nmsodocexcommentBeginTextRunRTL DocExComment_BeginTextRun \n\nmsodocexcommentEndTextRun DocExComment_EndTextRun \n\nmsodocexcommentBeginStructNode DocExComment_BeginStructNode \n\nmsodocexcommentEndStructNode DocExComment_EndStructNode \n\nmsodocexcommentUnicodeForNextTextOut DocExComment_UnicodeForNextTextOut \n\nmsodocexcommentUnicodeForNextTextOutRTL DocExComment_UnicodeForNextTextOut \n\nmsodocexcommentEPSColor DocExComment_EPSColor \n\nmsodocexcommentEPSCMYKJPEG DocExComment_EPSColorCMYKJPEG \n\nDocExComment_EPSColorSpotImage \n\nDocExComment_EPSStart \n\nDocExComment_PageName \n\nDocExComment_Transparent", + "page_start": 14, + "page_end": 14, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Value** **Numeric Value** **Description**\n\nmsodocexShape 0x00000001 The object is a shape or text box. \n\nmsodocexShapeText 0x00000002 The object has non-whitespace text. \n\nmsodocexShapePath 0x00000004 The object has a fill and/or outline. \n\nmsodocexShapeAltText 0x00000008 The object has Alt Text. \n\nmsodocexShapeEquation 0x00000010 The object has text that contains an equation. \n\nmsodocexShapeTabelCell 0x00000020 The object is a cell in a table. \n\nstruct MsoDocexTableAttr \n{ \n static constexpr unsigned int MaxSpanBits = sizeof(unsigned int)*8 / 2 \n- 1; \n static constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1; \n\n unsigned int rowSpan : MaxSpanBits; \n unsigned int fRowScope : 1; \n unsigned int colSpan : MaxSpanBits; \n unsigned int fColScope : 1; \n}; \n\nThe members of**MsoDocexTableAttr**structure are as follows: \n\n**MaxSpanBits**Specifies the number of bits available for the rowSpan and colSpan \n\nvalues, which is 15. \n\n**MaxSpanValue**Specifies the maximum value that can be specified for the \n\nrowSpan and colSpan. \n\n**rowSpan**Specifies the number of rows that a table cell spans. \n\n**fRowScope**Specifies whether the header is Row/Both or Column. \n\n**colSpan**Specifies the number of columns that a table cell spans.", + "page_start": 10, + "page_end": 10, + "source_file": "office-pdf.pdf" + }, + { + "text": "**shapeProperty**is for a msodocexStructTypeFigure where the content is a shape, \n\ntext box, or table cell and contains bit fields from the MSODOCEXSHAPEPROPERTY \n\nenumeration. \n\n**tableAttr**is the table cell attributes for a msodocexStructTypeTH or \n\nmsodocexStructTypeTD. \n\n**idTableHeader**is the unique id for an msodocexStructTypeTH or \n\nmsodocexStructTypeTD. \n\n**iTargetParentId**is the id of the node to reparent an msodocexStructTypeDiagram \n\nto. \n\nTable 3. Enumerated values of MSODOCEXLINEBREAKTYPE \n\n**Value** **Description**\n\nmsodocexListTypeNone No bullets or numbering. \n\nmsodocexListTypeBulletDisc Disc-shaped bullets. \n\nmsodocexListTypeBulletCircle Circle-shaped bullets. \n\nmsodocexListTypeBulletSquare Square-shaped bullets. \n\nmsodocexListTypeBulletDecimal Decimal numbering. \n\nmsodocexListTypeUpperRoman Uppercase Roman numeral numbering. \n\nmsodocexListTypeLowerRoman Lowercase Roman numberal numbering. \n\nmsodocexListTypeUpperAlpha Uppercase alphabetic numbering. \n\nmsodocexListTypeLowerAlpha Lowercase alphabetic numbering.", + "page_start": 9, + "page_end": 9, + "source_file": "office-pdf.pdf" + }, + { + "text": "The*metadatatype*parameter specifies the type of metadata represented by the string. \n\nThe*metadatatype*parameter must be one of the following values from the \n\nMSODOCEXMETADATA enumeration type. \n\nTable 8. Enumerated values of MSODOCEXMETADATA \n\n**Value** **Description**\n\nmsodocexMetadataTitle The title of the document. \n\nmsodocexMetadataAuthor The author of the document \n\nmsodocexMetadataSubject \n\nString that describes the subject matter of the document (for \nexample, business or science). \n\nmsodocexMetadataKeywords Keyword relevant to the document content. \n\nmsodocexMetadataCreator The creator of the document, possibly distinct from the author. \n\nmsodocexMetadataProducer The producer of the document, possibly distinct from the author \n\nor creator. \n\nmsodocexMetadataCategory String that describes the type of document (for example, memo, \n\narticle, or book). \n\nmsodocexMetadataStatus Status of the document. This field can reflect where the \n\ndocument is in the publication process (for example, draft or \nfinal). \n\nmsodocexMetadataComments Miscellaneous comments relevant to the document. \n\nFor a given document, each metadata type can have only one string associated with it. \n\nSo, for example, if the document has multiple keywords, they are passed to the add-in \n\nas one concatenated string. \n\nThe*pwchValue*parameter specifies a Unicode string that contains the metadata itself. \n\nHow the add-in incorporates the text-string metadata into the exported document \n\ndepends on the implementation details of the export code and the type of fixed-format \n\nused in the exported document.", + "page_start": 34, + "page_end": 34, + "source_file": "office-pdf.pdf" + }, + { + "text": "The*metadatatype*parameter specifies the type of metadata represented by the \n\n**FILETIME**structure. The*metadatatype*parameter must be one of the following values \n\nfrom the MSODOCEXMETADATA enumeration type. \n\nTable 9. Enumerated values of MSODOCEXMETADATA \n\nSYSTEMTIME st = { 0 }; \nWCHAR s[100]; \nFileTimeToSystemTime(pfiletime, &st); \nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);", + "page_start": 35, + "page_end": 35, + "source_file": "office-pdf.pdf" + }, + { + "text": "The**idNode**member specifies the ID of the node. This member may not have a value of \n\n**0**. A value of**-1**indicates that child nodes do not use the**idNodeParent**member to \n\nspecify this node as their parent. Instead, this node can be a parent only by enclosing \n\nchild nodes in the EMF. Multiple nodes can have a ID of**-1**. If the ID is not**-1**, the value is \n\nunique across the document. \n\nThe**nodetype**specifies the type of structure node. This member is equal to one of the \n\nvalues from the**MSODOCEXSTRUCTTYPE**enumeration type. The following table lists \n\nexamples of document structure node types. \n\nTable 7. Document structure node types \n\n**Type Value** **Description**\n\nmsodocexStructTypePara \n\nA block of text within an article. Its parent node \nmust be an article. \n\nmsodocexStructTypeFigure \n\nA graphical element (for example, an image or \ncollection of shapes) that has a textual \n\nrepresentation. The textual representation is the \nalternate text used for reading or searching the \n\ndocument. \n\nmsodocexStructTypeArticle \n\nA group of nodes forming a single flow of text that \nshould be read or searched as a contiguous block \n\nof content. Some documents have a single article \nand others have multiple articles. \n\nmsodocexStructTypeHeading A heading in the text. \n\nmsodocexStructTypeTable A block of text forming a table. \n\nmsodocexStructTypeTR A block of text forming a single row of a table. \n\nmsodocexStructTypeTD A block of text forming a single cell in a table row. \n\nmsodocexStructTypeTH A block of text forming a single header cell in a \n\ntable row. \n\nmsodocexStructTypeList A block of text forming a list. \n\nmsodocexStructTypeListItem A block of text forming a list item.", + "page_start": 20, + "page_end": 20, + "source_file": "office-pdf.pdf" + }, + { + "text": "int idNode {}; \n WCHAR rgwchNodeText[cwchMaxNodeText]; \n int iDestPage {}; \n float dytfvDestPage {}; \n float dxtfvDestOffset {}; \n float dytfvDestOffset {}; \n} MSODOCEXOUTLINENODE; \n\nThe members of the**MSODOCEXOUTLINENODE**are described as follows: \n\n**idNode**The ID for the node. A value of**-1**indicates that this node cannot have \n\nchild nodes in the outline. Otherwise, this member has a value that is unique across \n\nthe document. \n\n**rgwchNodeText**A Unicode string that represents the title text for each node. This \n\ntext is not required to be unique across the outline. \n\n**iDestPage**The page number of the page that contains the destination location \n\nwithin the document. \n\n**dytfvDestPage**The height of the destination page in points. The offset specified \n\nby the**dytfvDestOffset**member is relative to the upper-left corner of the page. \n\nHowever, some fixed-format types use a coordinate system that is relative to the \n\nbottom-left corner of the page. For these types of documents, the page height is \n\nrequired to convert the offset. \n\n**dxtfvDestOffset**The horizontal offset of the destination location on the \n\ndestination page. \n\n**dytfvDestOffset**The vertical offset of the destination location on the destination \n\npage.", + "page_start": 33, + "page_end": 33, + "source_file": "office-pdf.pdf" + } + ] + }, + { + "references": { + "source_file": "office-pdf.pdf", + "query": "What are vector colors ?", + "target_page": 29, + "target_passage": "Vector colors are any COLORREF values that the add-in receives from Publisher.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "same type that is used for RGB color. For information about the COLORREF structure, \n\nsee COLORREF. \n\nTo resolve color IDs in the EMF back to the extend color space, the add-in calls back to \n\nPublisher through the**HrResolveColor**method of the**IMsoDocExporterSite**interface. \n\nThe add-in passes Publisher an interface pointer to an**IDOCEXCOLOR**interface as one \n\nof the parameters to**HrResolveColor**. Publisher takes the color IDs, also specified in the \n\ncall to**HrResolveColor**, converts them to extended color (RGB, CMYK, or spot color), and \n\npasses them back to the add-in through the methods in the**IDOCEXCOLOR**interface. \n\n**Vector Color and Recolored Images**\n\nVector colors are any**COLORREF**values that the add-in receives from Publisher. For \n\nexample, text color, line stroke color, and color for metafile recolor. When color \n\nmapping is enabled, Publisher uses a color ID for**COLORREF**rather than a real RGB \n\ncolor value. If Publisher provides the add-in an**IMsoDocExporterSite**interface pointer \n\nby calling the**SetDocExporterSite**method of the**IMsoDocExporter**interface, the add-in \n\nshould always call the**IMsoDocExporterSite::HrResolveColor**method to convert the \n\n**COLORREF**to an extended color, which the add-in receives through the methods in the \n\n**IDOCEXCOLOR**interface. \n\nTo support vector color mapping, the add-in needs to do the following: \n\nImplement class support for an**IDOCEXCOLOR**interface. The methods in this \n\ninterface enable Publisher to pass extended color back to the add-in. \n\nCache the following color state values from the semantic records in the EMF. \n\nSet foreground color for recoloring. This is set through the \n\n**DocExComment_ColorInfo**structure. \n\nSet background color for recoloring. This is set through the \n\n**DocExComment_ColorInfo**structure. \n\nDetermine when color mapping is enabled. This is set through the \n\n**DocExComment_ColorEnable**structure. \n\nFor a vector color, create an**IDOCEXCOLOR**interface with the color ID, so that \n\n**IDOCEXCOLOR::GetUnresolvedRGB**returns the color ID. The add-in should call the \n\n**IMsoDocExporterSite::HrResolveColor**method with the**IDOCEXCOLOR**interface \n\nand cached color states. Publisher calls the**IDOCEXCOLOR**interface methods with \n\nthe final color, which can be RGB, CMYK, spot, or registration tint.", + "page_start": 28, + "page_end": 28, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Non-Recolored Images**\n\nEMF supports CMYK*images*using GDI+. Therefore, images in the EMF may be either \n\nRGB or CMYK. If the image is a CMYK image, the add-in needs to convert the image to \n\nthe target color space. \n\nPublisher maintains a target color space for the document. The add-in can use this \n\ntarget color space by calling the**IMsoDocExporterSite::HrConvertImageColorSpace**\n\nmethod with the image's color space. \n\n**Color from EPS Files**\n\nEncapsulated Postscript (EPS) is a metafile type that supports extended color spaces. \n\nUser who embed EPS images in a Publisher document expect the color information to \n\nbe used in the fixed-format output. Inside Publisher, the EPS is converted to an EMF with \n\nEPS-related semantic records. This EMF is then embedded in the page EMF file that the \n\napplication passes to the add-in. \n\nTo support color in EPS files, the add-in needs to do the following: \n\nCall the**IMsoDocExporterSite::SetEPSInfo**method for**DocExComment_EPSColor**\n\nrecords encountered in the EMF. \n\nExtract the CMYK image from the**DocExComment_EPSColorCMYKJPEG**record in \n\nthe EMF. This record contains a binary object that is the actual CMYK JPEG file \n\nstream. Use it to replace the RGB image specified in the subsequent call to the \n\n**StretchDIBits**function. \n\nThe**DocExComment_EPSColorSpotImage**record provides spot color information \n\nfor the subsequent RGB image, which is always an index image. The add-in needs \n\nto convert the spot image to the target color space. \n\nThe add-in can optionally call the**IMsoDocExporterSite:: HrGetSpotRecolorInfo**\n\nmethod to obtain the document's target color from Publisher. Then the add-in can \n\nrecolor the subsequent RGB image by mapping colors from the palette of the RGB \n\nimage to**flTintMin**and**flTintMax**tints specified in the \n\n**DoxExComment_EPSColorSpotImage**record. The luminosity for each color of the \n\npalette is used for the mapping.", + "page_start": 29, + "page_end": 29, + "source_file": "office-pdf.pdf" + }, + { + "text": "typedef struct \n{ \n DWORD ident {}; \n DWORD iComment {}; \n COLORREF cmykAlt { 0 }; \n COLORREF rgbAlt { 0 }; \n float flTintMin {}; \n float flTintMax {}; \n char szSpotName[1]; \n} DocExComment_EPSColorSpotImage; \n\nThe members of the**DocExComment_EPSColorSpotImage**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEPSSpotImage. \n\n**cmykAlt**Specifies a CMYK color ID. \n\n**rgbAlt**Specifies an RGB color ID. \n\n**flTintMin**Specifies the minimum tint. \n\n**flTintMax**Specifies the maximum tint. \n\n**szSpotName[1]**Specifies a variable length, zero-terminated string that contains \n\nthe spot name. \n\n**Extended Color Support**\n\nTo support extended color spaces in Publisher, additional EMF semantic records and \n\ninterfaces are needed because EMF only supports RGB (red-green-black) colors. \n\nExtended color spaces include CMYK (cyan-magenta-yellow-black) and spot color space, \n\nwhich are commonly used in commercial printing. \n\nPublisher uses color mapping to represent extended colors in the document EMF. \n\nPublisher builds a color table for all colors used in the document and replaces actual \n\ncolors with color IDs in the EMF. The type for the color ID is**COLORREF**, which is the", + "page_start": 27, + "page_end": 27, + "source_file": "office-pdf.pdf" + }, + { + "text": "30 \n\n25 \n\n) \n. \ng \ne \nd \n( \n\n20 \n\n15 \n*x*\n*a*\n*m*\n*,*\n*z*\n10 \n*Q*\n\n5 \n\n0 \n0 40 \n*T*(K) \n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), \nvs. temperature for thickness n = 8. Inset: magnetic vector \n(mx \nl ) profile for some temperatures for L = 64. Colors \nand symbols as in Fig. 2. FIG. 7: (color online) ∆ϕl(T ) vs. temperature for the surface \nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), \nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed \nlines and open symbols: n = 16. \nl , my \n\nfilm leads to an effective 2d-like trend. Region ii) looks \nhowever more intriguing, and requires a more accurate \ndiscussion, which can benefit from a careful comparison \nof the behaviour of a given quantity in regions i) and ii). \n\n0 \n7 0 1 2 3 4 \n\n6 \n*l*\n\n8 9 10 11 12 5 \n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six \ncoupling constants set employed in Ref. 14,15 (see text) is \nused. The temperature range has been chosen around TC(n) \n(error bars lye within point size). \n\nFor this purpose, we look at the temperature depen- \ndence of the rotation angle of the magnetization between \nNN planes. \nIn Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 \n(continuous and dashed lines, respectively), is plotted for \nthe outermost planes, l = 1 . . . 4. For both thicknesses, a \nmonotonic trend is observed for all l, but at variance with \nwhat happens for the highest thickness, for n = 8 we see, \nstarting from a temperature T . TN (8), an abrupt drop \nof ∆ϕ3 and ∆ϕ4, which rapidly reach an almost con- \nstant value, only slightly larger than ∆ϕ1. In the tem- \nperature range TN (8) . T < TC(8) we thus substantially \nobserve the same small magnetic phase shifts between all \nNN layers, testifying an energetically stable quasi-FM \nconfiguration giving no contribution to the helical order \nparameters. The latter point can be made clearer by \nlooking at the the peak position Qz,max of the structure \nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is \nreported, again for n = 8 and for different lateral dimen- \nsions L26. As expected from the previous argument, we \nsee that Qz,max = 0 for TN (8) < T < TC(8), while it be- \ngins to shift to higher values as soon as the temperature \ndecreases below TN (8), making apparent a progressive \nfan stabilization with Qz,max 6= 0 and reaching a value \nof about 21◦ for T = 10 K. \n\nIn a previous study, where the magnetic properties of \nHo thin films were investigated by MC simulations of a \nHeisenberg model with easy-plane single-ion anisotropy \nand six out-of-plane coupling constants (as obtained by \nexperimental neutron scattering measurements16) on a \nHCP lattice14,15, it was found that for thicknesses compa- \nrable with the helical pitch the phase diagram landscape \nis quite different from what we find here. \nIndeed, for \nn = 9 − 16, three different magnetic phases could be sin- \n\ngled out, with the high-temperature, paramagnetic phase \nseparated from the low-temperature, long-range ordered \none, by an intermediate-temperature block phase where \nouter ordered 4-layers blocks coexist with some inner dis- \nordered ones. Moreover, it was observed that the phase \ntransition of such inner layers turns out to have the sig- \nnatures of a Kosterlitz-Thouless one. \n\nThe absence of the block phase in the J1 − J2 model \nhere investigated has to be attributed to the different \nrange of interactions, rather than to the different lattice \nstructure. We came to this conclusion by doing some \nsimulations using the same set of interaction constants \nemployed in Refs. 14,15, but using a BCT lattice: the \nresults we obtained for ∆ϕl with n = 12 are reported in \nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 \nand clearly displays the footmarks of the block phase (see \ndown-triangle), with two external blocks of ordered layers \n( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦, sep- \narated by a block of disordered layers, and with almost", + "page_start": 5, + "page_end": 5, + "source_file": "1001.0510.pdf" + }, + { + "text": "The members of the**DocExComment_EPSColor**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEPSColor. \n\n**colorInfo[]**Specifies the color information for the EPS file. The add-in should pass \n\nthis information to Publisher using the**IMsoDocExporterSite::SetEPSInfo**method. \n\n**DocExComment_EPSColorCMYKJPEG**\n\nThe**DocExComment_EPSColorCMYKJPEG**structure specifies the start, in the EMF, of a \n\nbinary object that is a CMYKJPEG file stream. For more information about this structure, \n\nsee the section Extended Color Support. \n\nThe members of the**DocExComment_EPSColorCMYKJPEG**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEPSCMYKJPEG;", + "page_start": 26, + "page_end": 26, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Figure 6.**Chain traces. Each color signifies an individual chain. \n\n| \u0007 | |\n|---|---|\n| \u0007 | |\n| # Sample from the model prior | |\n| prior_chains = sample(model, Prior(), 1000) | |\n| # Rename parameters from the prior chains to match the posterior chains | |\n| renamed_prior_chains = rename_chains(prior_chains, model) | |\n| | |\n| # Plot the posterior and prior for the first subject | |\n| plot_parameters(renamed_prior_chains[:,1:1,:], renamed_posterior_chains[:,1:1,:]) | |\n| # Visualize the true alpha value | |\n| vline!([data[1,:Alpha]], line=:dash, color = :darkorange2, label = \"Generative Alpha\") | |\n| | |\n| # Plot the posterior and prior for the last subject | |\n| plot_parameters(renamed_prior_chains[:,10:10,:], renamed_posterior_chains[:,10:10,:]) | |\n| # Visualize the true alpha value | |\n| vline!([data[3000,:Alpha]], line=:dash, color = :darkorange2, label = \"Generative Alpha\") | |\n| | |\n\n\nWe then, as is often the case in computational psychiatry, wanted to compare the \ndistributions of parameter values between the two groups. We extracted the median of the \nestimated posteriors for each subject and plotted them against the value used to generate", + "page_start": 26, + "page_end": 26, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "The members of the**DocExComment_ColorEnable**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentColorMapEnable. \n\n**fEnable**Specifies whether color mapping is enabled for subsequent content. A \n\nvalue of**true**indicates that color mapping is enabled. A value of**false**indicates \n\nthat color mapping is disabled. \n\n**DocExComment_BeginStructNode**\n\nThe**DocExComment_BeginStructNode**structure marks the start of a document \n\nstructure node. Structure nodes serve one of two possible purposes: \n\nStructure nodes can identify the type of content they contain and specify the \n\nhierarchical relationship between that content and other content in the document. \n\nStructure nodes can specify alternate text for elements in the document. \n\nIf the**fContentNode**member has a**true**value, the**DocExComment_BeginStructNode**is \n\nfollowed later in the document by a**DocExComment_EndStructNode**. The \n\n**DocExComment_EndStructNode**marks the end of the content that is wrapped by the \n\ninformation in the**DocExComment_BeginStructNode**.", + "page_start": 18, + "page_end": 18, + "source_file": "office-pdf.pdf" + }, + { + "text": "4 \n2 \n0 \n2 \n\nb \ne \nF \n5 \n1 \n\n] \n\nV \nC \n. \ns \nc \n[ \n\n1 \nv \n1 \n7 \n4 \n8 \n0 \n. \n4 \n0 \n4 \n2 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "arxiv3.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise, or open*\n*the file E1324 Worksheet*\n*Techniques_7.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Admin***\nworksheet tab to select the \nworksheet \n\n Right-click on the worksheet \n\ntab to display the shortcut \nmenu, then point to***Tab***\n***colour***\n\n*This will display a palette of*\n*colour options…*\n\n Click on***Red***under \n***Standard colours***to apply \nthe colour to the tab \n\n Right-click on the \n\n***Maintenance***worksheet tab \nto display the shortcut menu, \nclick on***Tab colour***, then \nclick on***Blue***under \n***Standard colours***\n\n*Notice how the Admin*\n*worksheet tab colour is now*\n*a solid rather than a*\n*gradient…*\n\n Repeat either technique to \napply the following colours: \n\n***Shop***\n***IT*** ***Yellow***\n***Green***\n\n Click on the***Admin***\nworksheet tab to view the \nresults \n\n\n\n\n\n\n\n\n\n\n\n**Handy to Know…**\n To apply the same colour to two or more \n\nsheets at once, select them first. Hold down \n to select consecutive worksheets or \n to select non-consecutive \n\n\nhold down \nworksheets. \n\n**For Your Reference…**\nTo***change the colour***of a***worksheet tab***: \n\n1. Right-click on the worksheet tab to display \nthe shortcut menu \n\n2. Point to***Tab colour***to display a palette of \ncolour options \n\n3. Click on the desired colour", + "page_start": 13, + "page_end": 13, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": ") \ns \nt \ni \nn \nu \n. \n\nb \nr \na \n( \n\nn \no \ni \nt \n\np \nr \no \ns \nb \na \ny \na \nr \n- \nX \n\nFIG. 3. (color online) (a) Polarization-averaged Mn L2,3 spec- \ntrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured \nin remanence at 2 K; (c) XMCD spectra measured under a \n1000 Oe applied field at 2 K; (d) XMCD spectrum measured \nunder a 2000 Oe applied field at 300 K. XMCD spectra are \nobtained using TEY (thick red lines) and FY (thin blue lines) \ndetection.", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2449.pdf" + } + ] + }, + { + "references": { + "source_file": "office-pdf.pdf", + "query": "What are msodocexMetadataComments ?", + "target_page": 35, + "target_passage": "Miscellaneous comments relevant to the document.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "The*metadatatype*parameter specifies the type of metadata represented by the string. \n\nThe*metadatatype*parameter must be one of the following values from the \n\nMSODOCEXMETADATA enumeration type. \n\nTable 8. Enumerated values of MSODOCEXMETADATA \n\n**Value** **Description**\n\nmsodocexMetadataTitle The title of the document. \n\nmsodocexMetadataAuthor The author of the document \n\nmsodocexMetadataSubject \n\nString that describes the subject matter of the document (for \nexample, business or science). \n\nmsodocexMetadataKeywords Keyword relevant to the document content. \n\nmsodocexMetadataCreator The creator of the document, possibly distinct from the author. \n\nmsodocexMetadataProducer The producer of the document, possibly distinct from the author \n\nor creator. \n\nmsodocexMetadataCategory String that describes the type of document (for example, memo, \n\narticle, or book). \n\nmsodocexMetadataStatus Status of the document. This field can reflect where the \n\ndocument is in the publication process (for example, draft or \nfinal). \n\nmsodocexMetadataComments Miscellaneous comments relevant to the document. \n\nFor a given document, each metadata type can have only one string associated with it. \n\nSo, for example, if the document has multiple keywords, they are passed to the add-in \n\nas one concatenated string. \n\nThe*pwchValue*parameter specifies a Unicode string that contains the metadata itself. \n\nHow the add-in incorporates the text-string metadata into the exported document \n\ndepends on the implementation details of the export code and the type of fixed-format \n\nused in the exported document.", + "page_start": 34, + "page_end": 34, + "source_file": "office-pdf.pdf" + }, + { + "text": "The members of the**DocExComment_EPSColor**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEPSColor. \n\n**colorInfo[]**Specifies the color information for the EPS file. The add-in should pass \n\nthis information to Publisher using the**IMsoDocExporterSite::SetEPSInfo**method. \n\n**DocExComment_EPSColorCMYKJPEG**\n\nThe**DocExComment_EPSColorCMYKJPEG**structure specifies the start, in the EMF, of a \n\nbinary object that is a CMYKJPEG file stream. For more information about this structure, \n\nsee the section Extended Color Support. \n\nThe members of the**DocExComment_EPSColorCMYKJPEG**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEPSCMYKJPEG;", + "page_start": 26, + "page_end": 26, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Comment Value** **Structure Type**\n\nmsodocexcommentExternalHyperlink DocExComment_ExternalHyperlink \n\nmsodocexcommentExternalHyperlinkRctfv DocExComment_ExternalHyperlink \n\nmsodocexcommentInternalHyperlink DocExComment_InternalHyperlink \n\nmsodocexcommentInternalHyperlinkRctfv DocExComment_InternalHyperlink \n\nmsodocexcommentColorInfo DocExComment_ColorInfo \n\nmsodocexcommentColorMapEnable DocExComment_ColorEnable \n\nmsodocexcommentBeginTextRun DocExComment_BeginTextRun \n\nmsodocexcommentBeginTextRunRTL DocExComment_BeginTextRun \n\nmsodocexcommentEndTextRun DocExComment_EndTextRun \n\nmsodocexcommentBeginStructNode DocExComment_BeginStructNode \n\nmsodocexcommentEndStructNode DocExComment_EndStructNode \n\nmsodocexcommentUnicodeForNextTextOut DocExComment_UnicodeForNextTextOut \n\nmsodocexcommentUnicodeForNextTextOutRTL DocExComment_UnicodeForNextTextOut \n\nmsodocexcommentEPSColor DocExComment_EPSColor \n\nmsodocexcommentEPSCMYKJPEG DocExComment_EPSColorCMYKJPEG \n\nDocExComment_EPSColorSpotImage \n\nDocExComment_EPSStart \n\nDocExComment_PageName \n\nDocExComment_Transparent", + "page_start": 14, + "page_end": 14, + "source_file": "office-pdf.pdf" + }, + { + "text": "The members of the**DocExComment_ColorEnable**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentColorMapEnable. \n\n**fEnable**Specifies whether color mapping is enabled for subsequent content. A \n\nvalue of**true**indicates that color mapping is enabled. A value of**false**indicates \n\nthat color mapping is disabled. \n\n**DocExComment_BeginStructNode**\n\nThe**DocExComment_BeginStructNode**structure marks the start of a document \n\nstructure node. Structure nodes serve one of two possible purposes: \n\nStructure nodes can identify the type of content they contain and specify the \n\nhierarchical relationship between that content and other content in the document. \n\nStructure nodes can specify alternate text for elements in the document. \n\nIf the**fContentNode**member has a**true**value, the**DocExComment_BeginStructNode**is \n\nfollowed later in the document by a**DocExComment_EndStructNode**. The \n\n**DocExComment_EndStructNode**marks the end of the content that is wrapped by the \n\ninformation in the**DocExComment_BeginStructNode**.", + "page_start": 18, + "page_end": 18, + "source_file": "office-pdf.pdf" + }, + { + "text": "The members of the**DocExComment_EndStructNode**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentEndStructNode. \n\n**DocExComment_BeginTextRun**\n\nThe**DocExComment_BeginTextRun**structure identifies the language of a sequence of \n\ntext in the document and provides the Unicode code points for the text. \n\nAlthough some text-rendering EMF records use Unicode as the text representation, \n\nothers use the glyphs that are drawn on the screen, rather than the original source text. \n\nA glyph is the index of a given shape in the font, which can be different from font to \n\nfont. \n\nThere can be cases where several Unicode code points are combined into a single glyph \n\nor where a single Unicode code point is broken into multiple glyphs. Because the \n\nmapping from code points to glyphs is context-dependent, a user cannot text search or \n\ncopy/paste in a document that contains only glyphs. Therefore, Publisher sometimes \n\nprovides the Unicode text as well as the glyphs.", + "page_start": 23, + "page_end": 23, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Type Value** **Description**\n\nmsodocexStructTypeTOC A table of contents. \n\nmsodocexStructTypeTOCI An item in a table of contents. \n\nmsodocexStructTypeExtLink A link to an external resource. \n\nmsodocexStructTypeIntLink A link to an internal resource. \n\nmsodocexStructTypeFootnote A footnote. \n\nmsodocexStructTypeEndnote An endnote. \n\nmsodocexStructTypeTextbox A text box. \n\nmsodocexStructTypeHeader A block of text forming a header. \n\nmsodocexStructTypeFooter A footer. \n\nmsodocexStructInlineShape An inline shape. \n\nmsodocexStructAnnotation An annotation. \n\nmsodocexStructTypeSpanBlock A block of text. \n\nmsodocexStructTypeWorkbook A workbook. \n\nmsodocexStructTypeWorksheet A worksheet. \n\nmsodocexStructTypeMacrosheet A macrosheet. \n\nmsodocexStructTypeChartsheet A chartsheet. \n\nmsodocexStructTypeDialogsheet A dialogsheet. \n\nmsodocexStructTypeSlide A slide. \n\nA chart. \n\nA SmartArt diagram. \n\nBuller text. \n\nA line of text. \n\nA drop cap. \n\nA section. \n\nThe beginning of an annotation. \n\nThe end of an annotation. \n\nmsodocexStructTypeChart \n\nmsodocexStructTypeDiagram \n\nmsodocexStructTypeBulletText \n\nmsodocexStructTypeTextLine \n\nmsodocexStructTypeDropCap \n\nmsodocexStructTypeSection \n\nmsodocexStructTypeAnnotationBegin \n\nmsodocexStructTypeAnnotationEnd", + "page_start": 21, + "page_end": 21, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Type Value** **Description**\n\nmsodocexStructTypeParaRTLAttr \n\nA block of text within an article with right-to-left \nlayout. \n\nmsodocexStructTypeTableRTLAttr A block of text forming a table with right-to-left \n\nlayout. \n\nmsodocexStructTypeHeadingRTLAttr A heading in the text with right-to-left layout. \n\nmsodocexStructTypeListItemRTLAttr \n\nA block of text forming a list item with right-to-left \nlayout. \n\nmsodocexStructTypeParaUnannotatableAttr A block of text within an article that is not \n\nannotatable. \n\nmsodocexStructTypeTHead The header row area in a table. \n\nmsodocexStructTypeTBody The body area in a table, i.e. the portion between \n\nthe THead and TFoot. \n\nmsodocexStructTypeLabel A label. \n\nmsodocexStructTypeEquation An equation. \n\nmsodocexStructTypeIntLinkNoteRef A footnote or endnote reference mark link. \n\nmsodocexStructTypeTFoot The footer row area in a table. \n\n**fContentNode**Specifies whether a**DocExComment_EndStructNode**structure marks \n\nthe end of this structure node. If**fContentNode**is**true**, a \n\n**DocExComment_EndStructNode**structure closes off the content bounded by the node. \n\nIf this**fContentNode**has a**false**value, then the node does not bound any content. \n\nThe**fContentNode**member affects the interpretation of the parent ID value of \n\nsubsequent nodes. If**fContentNode**is**true**, nodes that are inserted between this \n\n**DocExComment_BeginStructNode**and a subsequent**DocExComment_EndStructNode**, \n\nand that have a parent ID of**-1**, are children of this node. However, if**fContentNode**is \n\n**true**, nodes inserted after this**DocExComment_BeginStructNode**, and that have a \n\nparent ID of**-1**, are not children of this node. They are children of the next-most-recently \n\nspecified node that has**fContentNode**equal to**false**. \n\nYou can nest document structure nodes to arbitrary depth. \n\n**cwchAltText**Specifies the number of Unicode characters in the block of alternate text \n\nthat follows the structure. This Unicode string specifies alternate text for the node (for \n\nexample, alternate text for an image).", + "page_start": 22, + "page_end": 22, + "source_file": "office-pdf.pdf" + }, + { + "text": "The*metadatatype*parameter specifies the type of metadata represented by the \n\n**FILETIME**structure. The*metadatatype*parameter must be one of the following values \n\nfrom the MSODOCEXMETADATA enumeration type. \n\nTable 9. Enumerated values of MSODOCEXMETADATA \n\nSYSTEMTIME st = { 0 }; \nWCHAR s[100]; \nFileTimeToSystemTime(pfiletime, &st); \nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);", + "page_start": 35, + "page_end": 35, + "source_file": "office-pdf.pdf" + }, + { + "text": "The members of the**DocExComment_BeginTextRun**structure are as follows: \n\n**Ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentBeginTextRun. \n\n**lcid**Specifies the LCID for the text sequence. \n\n**cGlyphIndex**Specifies the size of an array that follows this structure. This array \n\nimplements a glyph index table that maps Unicode code points in the actual text \n\nto the corresponding glyphs in the EMF. Each element of the array corresponds to \n\na code point in the text. The value of that element specifies the first glyph used to \n\nrender that code point in the EMF. Two or more adjacent code points may have the \n\nsame value in the array, which means that they both resolve to the same glyph. \n\nThe value can also be**0**, which means that this code point does not map to any \n\nglyph. \n\n**cwchActualText**Specifies the size of the sequence of Unicode code points that \n\nfollow the glyph index table. This is the text that a consumer of the document can \n\nuse for searching, copying/pasting, and accessibility. The value of this member can \n\nbe**0**, which means that no Unicode text is provided.", + "page_start": 24, + "page_end": 24, + "source_file": "office-pdf.pdf" + }, + { + "text": "**DocExComment_UnicodeForNextTextOut**\n\nThe**DocExComment_UnicodeForNextTextOut**structure functions similarly to the \n\n**DocExComment_BeginTextRun**and**DocExComment_EndTextRun**structures. However, \n\n**DocExComment_UnicodeForNextTextOut**specifies Unicode code points for only the \n\nfollowing EMF TextOut record, rather than for a block of EMF content bounded by begin \n\nand end structures. \n\nThe members of the**DocExComment_UnicodeForNextTextOut**structure are as follows: \n\n**ident**Specifies the constant value, msodocexsignature, which identifies this EMF \n\ncomment as containing semantic information. \n\n**iComment**Specifies the MSODOCEXCOMMENT value, \n\nmsodocexcommentUnicodeForNextTextOut. \n\n**cGlyphIndex**Specifies the size of an array that follows this structure. This array \n\nimplements a glyph index table that maps Unicode code points in the actual text \n\nto the corresponding glyphs in the EMF. Each element of the array corresponds to \n\na code point in the text. The value of that element specifies the first glyph used to \n\nrender that code point in the EMF. Two or more adjacent code points may have the \n\nsame value in the array, which means that they both resolve to the same glyph. \n\n**cwchActualText**Specifies the size of the sequence of Unicode code points that \n\nfollow the glyph index table. This is the text that a consumer of the document can \n\nuse for searching, copying/pasting, and accessibility.", + "page_start": 25, + "page_end": 25, + "source_file": "office-pdf.pdf" + } + ] + }, + { + "references": { + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", + "query": "What are the total operating expenses of Wikimedia foundation in 2024 ?", + "target_page": 6, + "target_passage": "178,471,109", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", + "page_start": 15, + "page_end": 15, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "and free to everyone in the world, the Foundation's cost related to this collaborative arrangement is \nincluded within awards and grants in the statement of activities. The amount included within awards \nand grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively. \n\n***(p) Use of Estimates***\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting \nprinciples requires management to make estimates and assumptions that affect the amounts reported \nin the consolidated financial statements and accompanying notes. Items subject to such estimates and \nassumptions include the investment valuations, useful lives of fixed assets, and the valuation of \ncontributed services. Accordingly, actual results could differ from those estimates. \n\n***(q) Reclassifications***\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the \n2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and \nlosses on investments separately from investment income, net. This resulted in a reclassification of \n$3,547,510 from investment income, net to unrealized gains on investments within the statement of \nactivities. The Foundation also had a change in accounting policy to no longer present the Wikimania \nevent as special event expense, net in the statement of activities. Revenue from registration sales is \nnow reported within other income, net, and expenses are reported within travel and conference \nexpenses. This resulted in a reclassification of $698,141 from special event expenses to travel and \nconference expenses in the statement of activities. \n\n**(2) Contributions Receivable**\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents \ncontributions receivable from two grants, as well as contributions receivable from payment processors.", + "page_start": 12, + "page_end": 12, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "The Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor-specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", + "page_start": 19, + "page_end": 19, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "The Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation. \n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", + "page_start": 18, + "page_end": 18, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**2024** **2023**\n\nNet assets without donor restrictions: \n\nSupport and revenue: \n\nContributions of cash and other financial assets \nContributions of nonfinancial assets and services \nForeign currency losses \nOther income, net \nInvestment income, net \nRelease of net assets with donor restrictions \n\n$ \n\n168,212,977 \n263,476 \n(300,907) \n5,629,773 \n5,096,842 \n6,481,350 164,121,185 \n1,040,453 \n(94,868) \n3,824,240 \n3,002,929 \n4,732,654 \n\nTotal support and revenue 185,383,511 176,626,593 \n\nOperating expenses: \n\nSalaries and benefits \nAwards and grants \nInternet hosting \nIn-kind service expenses \nDonation processing expenses \nProfessional service expenses \nOther operating expenses \nTravel and conferences \nDepreciation and amortization 106,793,960 \n26,820,080 \n3,116,445 \n263,476 \n7,547,718 \n13,090,040 \n10,798,140 \n5,824,979 \n4,216,271 101,305,706 \n24,433,682 \n3,120,819 \n1,040,453 \n6,855,680 \n15,464,635 \n7,393,982 \n4,878,359 \n4,602,064 \n\nTotal operating expenses \n\nChange in net assets without donor restrictions \n\nfrom operating activities \n\nNonoperating activities: \n\nUnrealized gains on investments, net \n\nChange in net assets without donor restrictions \n\nNet assets with donor restrictions: \n\nContributions with donor restrictions \nNet assets released from restrictions \n\nIncrease (decrease) in net assets with donor \n\nrestrictions \n\nIncrease in net assets \n\nNet assets at beginning of year \n\nNet assets at end of year", + "page_start": 5, + "page_end": 5, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n***(a) Organization and Purpose***\n\nThe accompanying consolidated financial statements present the financial position, change in net \nassets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC. \n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. \nBased in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily \nthrough donations and contributions. \n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the \nFoundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for \ncharitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue \nCode and is a disregarded entity for tax purposes. \n\n***(b) Risks and Uncertainties***\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts \nfrom foundations and corporations. External factors such as global geopolitics, recession, and currency \nmarkets may impact our ability to raise funds. As of the date of this report, the Foundation has not \nexperienced an adverse impact on its business operations. \n\n***(c) Income Taxes***\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue \nCode and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of \nRevenue and Taxation Code of the State of California. The Internal Revenue Service has determined \nthat the Foundation is not a private foundation and contributions to it qualify as charitable contributions. \n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be \ntaken in its tax returns. The Foundation is subject to income taxes on any net income that is derived \nfrom a trade or business, regularly carried on, and not in furtherance of the purposes for which it was \ngranted exemption. Net income from any unrelated trade or business, in the opinion of management, is \nnot material to the consolidated financial statements taken as a whole. \n\n***(d) Financial Statement Presentation***\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or \nabsence of donor-imposed restrictions in accordance with Accounting Standards Codification \n(ASC) Topic 958,*Not-for-Profit Entities*. \n\nNet assets without donor restrictions represent unrestricted resources available to support operations \nand also include previously temporarily restricted resources, which have become available for use by \nthe Foundation in accordance with the intentions of donors. \n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in \naccordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied \nand removed by the actions of the Foundation according to the terms of the contribution by the donor.", + "page_start": 7, + "page_end": 7, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**Assets** **2024** **2023**\n\nCurrent assets: \n\nCash and cash equivalents \nContributions receivable \nShort-term investments \nPrepaid expenses and other current assets \n\n$ \n\n82,845,159 \n856,657 \n116,074,763 \n5,722,457 75,808,401 \n— \n132,216,667 \n5,569,485 \n\nTotal current assets 205,499,036 213,594,553 \n\nRestricted cash \nLong-term investments \nRight of use asset - operating lease, net \nProperty and equipment, net \nContributions receivable 1,428,542 \n67,291,224 \n— \n11,826,136 \n715,000 1,396,717 \n43,265,786 \n1,821,174 \n14,045,139 \n— \n\nTotal assets $ 286,759,938 274,123,369 \n\n**Liabilities and Net Assets**\n\nCurrent liabilities: \n\nAccounts payable \nAccrued expenses \nLease liability \nDonations payable to Wikimedia Endowment \nOther liabilities \n\n$ \n\n4,009,582 \n7,959,558 \n417,756 \n525,607 \n2,292,045 2,783,904 \n6,922,259 \n1,640,735 \n5,274,448 \n2,124,939", + "page_start": 4, + "page_end": 4, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**Independent Auditors’ Report**\n\nThe Board of Trustees \nWikimedia Foundation, Inc: \n\n*Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the \nFoundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, \nand the related consolidated statements of activities, and cash flows for the years then ended, and the related \nnotes to the consolidated financial statements. \n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the \nfinancial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash \nflows for the years then ended in accordance with U.S. generally accepted accounting principles. \n\n*Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of \nAmerica (GAAS). Our responsibilities under those standards are further described in the Auditors’ \nResponsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to \nbe independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant \nethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient \nand appropriate to provide a basis for our audit opinion. \n\n*Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in \naccordance with U.S. generally accepted accounting principles, and for the design, implementation, and \nmaintenance of internal control relevant to the preparation and fair presentation of consolidated financial \nstatements that are free from material misstatement, whether due to fraud or error. \n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are \nconditions or events, considered in the aggregate, that raise substantial doubt about the Foundation’s ability to \ncontinue as a going concern for one year after the date that the consolidated financial statements are available \nto be issued. \n\n*Auditors’ Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a \nwhole are free from material misstatement, whether due to fraud or error, and to issue an auditors’ report that \nincludes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and \ntherefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material \nmisstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher \nthan for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, \nmisrepresentations, or the override of internal control. Misstatements are considered material if there is a \nsubstantial likelihood that, individually or in the aggregate, they would influence the judgment made by a \nreasonable user based on the consolidated financial statements.", + "page_start": 2, + "page_end": 2, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "As discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis of \nFinancial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook \n—Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capital \nexpenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each of \nthe following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York and \nGigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Results \nof Operations—Liquidity and Capital Resources—Material Cash Requirements in our Annual Report on Form 10-K for the \nyear ended December 31, 2023. \n\nAs of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount of \n\nindebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, Debt, to the \nconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q. \n\nSources and Conditions of Liquidity \n\nOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used \n\nvehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equity \nofferings, when applicable.", + "page_start": 42, + "page_end": 42, + "source_file": "tesla_form_10q.pdf" + } + ] + }, + { + "references": { + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", + "query": "What external events can affect Wikimedia Fundation in raising funds ?", + "target_page": 8, + "target_passage": "External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "The Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor-specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", + "page_start": 19, + "page_end": 19, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", + "page_start": 15, + "page_end": 15, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n***(a) Organization and Purpose***\n\nThe accompanying consolidated financial statements present the financial position, change in net \nassets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC. \n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. \nBased in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily \nthrough donations and contributions. \n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the \nFoundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for \ncharitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue \nCode and is a disregarded entity for tax purposes. \n\n***(b) Risks and Uncertainties***\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts \nfrom foundations and corporations. External factors such as global geopolitics, recession, and currency \nmarkets may impact our ability to raise funds. As of the date of this report, the Foundation has not \nexperienced an adverse impact on its business operations. \n\n***(c) Income Taxes***\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue \nCode and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of \nRevenue and Taxation Code of the State of California. The Internal Revenue Service has determined \nthat the Foundation is not a private foundation and contributions to it qualify as charitable contributions. \n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be \ntaken in its tax returns. The Foundation is subject to income taxes on any net income that is derived \nfrom a trade or business, regularly carried on, and not in furtherance of the purposes for which it was \ngranted exemption. Net income from any unrelated trade or business, in the opinion of management, is \nnot material to the consolidated financial statements taken as a whole. \n\n***(d) Financial Statement Presentation***\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or \nabsence of donor-imposed restrictions in accordance with Accounting Standards Codification \n(ASC) Topic 958,*Not-for-Profit Entities*. \n\nNet assets without donor restrictions represent unrestricted resources available to support operations \nand also include previously temporarily restricted resources, which have become available for use by \nthe Foundation in accordance with the intentions of donors. \n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in \naccordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied \nand removed by the actions of the Foundation according to the terms of the contribution by the donor.", + "page_start": 7, + "page_end": 7, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "The Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation. \n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", + "page_start": 18, + "page_end": 18, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**Independent Auditors’ Report**\n\nThe Board of Trustees \nWikimedia Foundation, Inc: \n\n*Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the \nFoundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, \nand the related consolidated statements of activities, and cash flows for the years then ended, and the related \nnotes to the consolidated financial statements. \n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the \nfinancial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash \nflows for the years then ended in accordance with U.S. generally accepted accounting principles. \n\n*Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of \nAmerica (GAAS). Our responsibilities under those standards are further described in the Auditors’ \nResponsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to \nbe independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant \nethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient \nand appropriate to provide a basis for our audit opinion. \n\n*Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in \naccordance with U.S. generally accepted accounting principles, and for the design, implementation, and \nmaintenance of internal control relevant to the preparation and fair presentation of consolidated financial \nstatements that are free from material misstatement, whether due to fraud or error. \n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are \nconditions or events, considered in the aggregate, that raise substantial doubt about the Foundation’s ability to \ncontinue as a going concern for one year after the date that the consolidated financial statements are available \nto be issued. \n\n*Auditors’ Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a \nwhole are free from material misstatement, whether due to fraud or error, and to issue an auditors’ report that \nincludes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and \ntherefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material \nmisstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher \nthan for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, \nmisrepresentations, or the override of internal control. Misstatements are considered material if there is a \nsubstantial likelihood that, individually or in the aggregate, they would influence the judgment made by a \nreasonable user based on the consolidated financial statements.", + "page_start": 2, + "page_end": 2, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "and free to everyone in the world, the Foundation's cost related to this collaborative arrangement is \nincluded within awards and grants in the statement of activities. The amount included within awards \nand grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively. \n\n***(p) Use of Estimates***\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting \nprinciples requires management to make estimates and assumptions that affect the amounts reported \nin the consolidated financial statements and accompanying notes. Items subject to such estimates and \nassumptions include the investment valuations, useful lives of fixed assets, and the valuation of \ncontributed services. Accordingly, actual results could differ from those estimates. \n\n***(q) Reclassifications***\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the \n2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and \nlosses on investments separately from investment income, net. This resulted in a reclassification of \n$3,547,510 from investment income, net to unrealized gains on investments within the statement of \nactivities. The Foundation also had a change in accounting policy to no longer present the Wikimania \nevent as special event expense, net in the statement of activities. Revenue from registration sales is \nnow reported within other income, net, and expenses are reported within travel and conference \nexpenses. This resulted in a reclassification of $698,141 from special event expenses to travel and \nconference expenses in the statement of activities. \n\n**(2) Contributions Receivable**\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents \ncontributions receivable from two grants, as well as contributions receivable from payment processors.", + "page_start": 12, + "page_end": 12, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "The Foundation has a program of awarding grants to support chapters, affiliates, user groups, and \nindividuals in projects that further the mission of the Foundation. Chapters are independent organizations \nthat share the goals of the Foundation and support the goals within a specified geographical region. In \naddition to this work, which is reflected above in the awards and grants line, an overwhelming majority of \nthe Foundation’s project activities are carried out by an international network of volunteers, whose activity \nis not reflected in the tables above.", + "page_start": 16, + "page_end": 16, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "Gifts of cash and other assets are reported as contributions with donor restrictions if they are received \nwith donor stipulations that limit the use of the donated assets or are restricted as to time. When a \ndonor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is \naccomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions \nand reported in the consolidated statement of activities as net assets released from restrictions. \n\n***(l) Contributions of Nonfinancial Assets and Services***\n\nContributions of nonfinancial assets and services include contributed services, as described below. \n\nContributed services are reported at fair value in the consolidated financial statements for voluntary \ndonations of services when those services (1) create or enhance nonfinancial assets, (2) require \nspecialized skills provided by individuals possessing those skills and are services that would be \ntypically purchased if not provided by the donation, and (3) are professional in nature, and have been \nexplicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial \nassets and services revenue and in-kind service expenses in the consolidated statements of activities. \nFair value is estimated based on current local rates for similar services. \n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the \nFoundation’s projects. The value of this contributed time is not reflected in the accompanying \nconsolidated financial statements, as the criteria above are not met. \n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist \nof contributed legal services, engineering services, subscription services, and internet hosting services \nand bandwidth. The amounts of specialized contributed legal services as revenue and expenses are \n$82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of \nspecialized engineering services as revenue and expenses are $0 and $498,800 for the years ended \nJune 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and \nexpenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The \namounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and \n2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated \nhosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, \n(4) LibertyGlobal, (5) Init7, and (6) Arelion. \n\n***(m) Revenue Recognition – Contracts With Customers***\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under \nAccounting Standards Codification Topic 606, Revenue from Contracts with Customers, which \nestablishes a principle that revenue is recognized upon transfer of control of promised products and \nservices to customers in an amount that reflects the consideration the Foundation expects to receive in \nexchange for those products or services. \n\nThe Foundation determines the amount of revenue to be recognized through the application of the \nfollowing 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification \nof the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of \nthe transaction price to the performance obligations in the contract; and 5) recognition of revenue when \nor as the Foundation satisfies the performance obligations.", + "page_start": 10, + "page_end": 10, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "In this study, we characterized the differences between two popular climate discourses and \nexamined how two discourses evolved over a 10-year period. We did not focus on the interactions \nbetween public climate discourse and external factors. However, the evolution of climate discourse \nmight be driven by several external forces such as scientific efforts, natural events, politics and \nonline information (or misinformation) campaigns. The prevalence of certain climate concepts may \ninverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, \nprevious studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation \ncampaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading \nlow-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with \nother sub-systems of our society should be noticed and explored in future. More studies like [2], who \nexamined the influence of several extreme events on public climate change perception, should be", + "page_start": 15, + "page_end": 15, + "source_file": "pubmed10.pdf" + } + ] + }, + { + "references": { + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", + "query": "What include Wikimedia Fundation restricted cash ?", + "target_page": 9, + "target_passage": "Restricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and (2) one of the Foundation’s Employer of Record responsible for administering compensation and benefits for non-US personnel.", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "The Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor-specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", + "page_start": 19, + "page_end": 19, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "The Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation. \n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", + "page_start": 18, + "page_end": 18, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "Gifts of cash and other assets are reported as contributions with donor restrictions if they are received \nwith donor stipulations that limit the use of the donated assets or are restricted as to time. When a \ndonor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is \naccomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions \nand reported in the consolidated statement of activities as net assets released from restrictions. \n\n***(l) Contributions of Nonfinancial Assets and Services***\n\nContributions of nonfinancial assets and services include contributed services, as described below. \n\nContributed services are reported at fair value in the consolidated financial statements for voluntary \ndonations of services when those services (1) create or enhance nonfinancial assets, (2) require \nspecialized skills provided by individuals possessing those skills and are services that would be \ntypically purchased if not provided by the donation, and (3) are professional in nature, and have been \nexplicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial \nassets and services revenue and in-kind service expenses in the consolidated statements of activities. \nFair value is estimated based on current local rates for similar services. \n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the \nFoundation’s projects. The value of this contributed time is not reflected in the accompanying \nconsolidated financial statements, as the criteria above are not met. \n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist \nof contributed legal services, engineering services, subscription services, and internet hosting services \nand bandwidth. The amounts of specialized contributed legal services as revenue and expenses are \n$82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of \nspecialized engineering services as revenue and expenses are $0 and $498,800 for the years ended \nJune 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and \nexpenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The \namounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and \n2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated \nhosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, \n(4) LibertyGlobal, (5) Init7, and (6) Arelion. \n\n***(m) Revenue Recognition – Contracts With Customers***\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under \nAccounting Standards Codification Topic 606, Revenue from Contracts with Customers, which \nestablishes a principle that revenue is recognized upon transfer of control of promised products and \nservices to customers in an amount that reflects the consideration the Foundation expects to receive in \nexchange for those products or services. \n\nThe Foundation determines the amount of revenue to be recognized through the application of the \nfollowing 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification \nof the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of \nthe transaction price to the performance obligations in the contract; and 5) recognition of revenue when \nor as the Foundation satisfies the performance obligations.", + "page_start": 10, + "page_end": 10, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n***(a) Organization and Purpose***\n\nThe accompanying consolidated financial statements present the financial position, change in net \nassets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC. \n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. \nBased in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily \nthrough donations and contributions. \n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the \nFoundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for \ncharitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue \nCode and is a disregarded entity for tax purposes. \n\n***(b) Risks and Uncertainties***\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts \nfrom foundations and corporations. External factors such as global geopolitics, recession, and currency \nmarkets may impact our ability to raise funds. As of the date of this report, the Foundation has not \nexperienced an adverse impact on its business operations. \n\n***(c) Income Taxes***\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue \nCode and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of \nRevenue and Taxation Code of the State of California. The Internal Revenue Service has determined \nthat the Foundation is not a private foundation and contributions to it qualify as charitable contributions. \n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be \ntaken in its tax returns. The Foundation is subject to income taxes on any net income that is derived \nfrom a trade or business, regularly carried on, and not in furtherance of the purposes for which it was \ngranted exemption. Net income from any unrelated trade or business, in the opinion of management, is \nnot material to the consolidated financial statements taken as a whole. \n\n***(d) Financial Statement Presentation***\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or \nabsence of donor-imposed restrictions in accordance with Accounting Standards Codification \n(ASC) Topic 958,*Not-for-Profit Entities*. \n\nNet assets without donor restrictions represent unrestricted resources available to support operations \nand also include previously temporarily restricted resources, which have become available for use by \nthe Foundation in accordance with the intentions of donors. \n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in \naccordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied \nand removed by the actions of the Foundation according to the terms of the contribution by the donor.", + "page_start": 7, + "page_end": 7, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "Once such stipulations are satisfied, the associated net assets are released from net assets with donor \nrestrictions and recognized as net assets without donor restrictions. \n\nContributions received are recorded as net assets without donor restriction or net assets with donor \nrestrictions depending on the existence and/or nature of any donor restrictions. \n\n***(e) Cash and Cash Equivalents***\n\nThe Foundation manages its cash through major financial institutions. At June 30, 2024 and 2023, the \ncarrying amount of the Foundation’s general ledger cash held primarily in nationally recognized \nfinancial institutions is $60.0 million and $63.9 million, respectively. Cash balances are insured by the \nFederal Deposit Insurance Corporation (FDIC) up to the applicable limits. Cash balances held in these \nfinancial institutions at June 30, 2024 and 2023 exceed the applicable FDIC insurance limits. The \nFoundation’s current practice is to maintain at least four months of cash and cash equivalents to \nsupport a combination of operating cash and a current reserve fund. The Foundation considers all \nhighly liquid investments with an original maturity of three months or less when purchased to be cash \nequivalents. Cash equivalents of $22.8 million and $12.0 million as of June 30, 2024 and 2023, \nrespectively, are considered Level 1 under ASC Topic 820,*Fair Value Measurement*. \n\n***(f) Restricted Cash***\n\nRestricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and \n(2) one of the Foundation’s Employer of Record responsible for administering compensation and \nbenefits for non-US personnel. As of June 30, 2024, neither letter of credit has been used. \n\n***(g) Contributions Receivable***\n\nContributions receivable represent gift amounts due from various entities, which are occasionally \ndirected at specific activities. Contributions receivable due more than one year from the contribution \ndate are discounted to present value using a fair value rate based on the U.S. Treasury bond rate and \nreflect the risks inherent in these cash flows. Contributions receivable are subject to review and \nadjustment by management should amounts be deemed uncollectible. \n\n***(h) Investments***\n\nThe Foundation’s policy regarding investments is to invest cash in short-term, intermediate-term, and \nlong-term fixed income, and equity instruments without assuming material undue risk to principal. \nPreservation of principal and maintenance of liquidity are priorities over yield. Investments are reported \nat fair value with realized and unrealized gains and losses, and accrued interest included as a \ncomponent of the change in net assets. Additionally, the Foundation holds no shares of donated stock \nas of June 30, 2024 or 2023, consistent with its policy to sell stock received through donations as soon \nas possible. \n\nThe Foundation presents its investment portfolios as short-term and long-term based on expectations \nof the holding period of the investment in line with the investment guidelines stipulated in the \ninvestment policy. \n\nASC Topic 820 establishes a fair value hierarchy that prioritizes observable inputs to valuation \ntechniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted", + "page_start": 8, + "page_end": 8, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**Assets** **2024** **2023**\n\nCurrent assets: \n\nCash and cash equivalents \nContributions receivable \nShort-term investments \nPrepaid expenses and other current assets \n\n$ \n\n82,845,159 \n856,657 \n116,074,763 \n5,722,457 75,808,401 \n— \n132,216,667 \n5,569,485 \n\nTotal current assets 205,499,036 213,594,553 \n\nRestricted cash \nLong-term investments \nRight of use asset - operating lease, net \nProperty and equipment, net \nContributions receivable 1,428,542 \n67,291,224 \n— \n11,826,136 \n715,000 1,396,717 \n43,265,786 \n1,821,174 \n14,045,139 \n— \n\nTotal assets $ 286,759,938 274,123,369 \n\n**Liabilities and Net Assets**\n\nCurrent liabilities: \n\nAccounts payable \nAccrued expenses \nLease liability \nDonations payable to Wikimedia Endowment \nOther liabilities \n\n$ \n\n4,009,582 \n7,959,558 \n417,756 \n525,607 \n2,292,045 2,783,904 \n6,922,259 \n1,640,735 \n5,274,448 \n2,124,939", + "page_start": 4, + "page_end": 4, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "**Independent Auditors’ Report**\n\nThe Board of Trustees \nWikimedia Foundation, Inc: \n\n*Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the \nFoundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, \nand the related consolidated statements of activities, and cash flows for the years then ended, and the related \nnotes to the consolidated financial statements. \n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the \nfinancial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash \nflows for the years then ended in accordance with U.S. generally accepted accounting principles. \n\n*Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of \nAmerica (GAAS). Our responsibilities under those standards are further described in the Auditors’ \nResponsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to \nbe independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant \nethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient \nand appropriate to provide a basis for our audit opinion. \n\n*Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in \naccordance with U.S. generally accepted accounting principles, and for the design, implementation, and \nmaintenance of internal control relevant to the preparation and fair presentation of consolidated financial \nstatements that are free from material misstatement, whether due to fraud or error. \n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are \nconditions or events, considered in the aggregate, that raise substantial doubt about the Foundation’s ability to \ncontinue as a going concern for one year after the date that the consolidated financial statements are available \nto be issued. \n\n*Auditors’ Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a \nwhole are free from material misstatement, whether due to fraud or error, and to issue an auditors’ report that \nincludes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and \ntherefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material \nmisstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher \nthan for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, \nmisrepresentations, or the override of internal control. Misstatements are considered material if there is a \nsubstantial likelihood that, individually or in the aggregate, they would influence the judgment made by a \nreasonable user based on the consolidated financial statements.", + "page_start": 2, + "page_end": 2, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "At December 31, 2004, the Company had $237.0 million of restricted cash deposits and $38.7 million of \nrestricted marketable securities held as Ñnancial guarantees, including $119.0 million of restricted cash held \nfor capital expenditures under certain debt facilities, and $34.3 million and $38.7 million of restricted cash and \nrestricted marketable securities, respectively, pledged to regulatory agencies and governmental entities as \nÑnancial guarantees of the Company's performance related to its Ñnal capping, closure and post-closure \nobligations at its landÑlls. The Company's restricted marketable securities consist of mutual funds invested in \nshort-term investment grade securities, including mortgage-backed securities and U.S. Government obliga- \ntions. These securities are available for sale and, as a result, are stated at fair value based upon quoted market", + "page_start": 91, + "page_end": 91, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", + "page_start": 15, + "page_end": 15, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + }, + { + "text": "For example (unaudited): \n\n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \n\nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n\n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n\n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n\n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \n\ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \n\nUndiscounted lease payments as of June 30, 2024 were as follows: \n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", + "page_start": 17, + "page_end": 17, + "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20200471_en.pdf", + "query": "What is the price of the The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", + "target_page": 8, + "target_passage": "£6.90", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *28th April 2020*\n\n*Laid before Parliament* *30th April 2020*\n\n*Coming into force -* *-* *1st May 2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the \nEducation Act 1996(**b**). \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the Special Educational Needs and Disability \n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \n\n**Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the \nperiod for which they have effect. \n\n(2) These Regulations cease to have effect on 25th September 2020. \n\n**Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.**The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows. \n\n**4.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**5.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \n\n(**a**) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(**b**) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(**c**) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational \nneeds and disability in order to provide exceptions to time limits set out in that legislation where \nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus. \n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review \nthe effectiveness of the Regulations during the period in which they have effect. The Regulations \ncease to have effect on 25th September 2020. \n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the \nSEND Regulations 2014’). \n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain \nrequirements in those Regulations for actions to be taken within specified time limits where it is \nnot reasonably practicable for a person to meet those requirements for a reason relating to the \nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a \nrequirement for such action to be taken as soon as reasonably practicable. \n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits. \n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 \n(‘the Personal Budgets Regulations 2014’). \n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as \nregulation 5 does in respect of the SEND Regulations 2014. \n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) \nRegulations 2015 (‘the Detained Persons Regulations 2015’). \n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to \nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal \nBudgets Regulations 2014 respectively. \n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax \ntime limits. \n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal \nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’). \n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to \nthose in regulations 5, 17 and 20. \n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency \nmeasure and no significant impact on business, charities or voluntary bodies is foreseen. \n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk. \n\n© Crown copyright 2020 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 5, + "page_end": 5, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \n\n**Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n**2015**\n\n**18.**The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are \n\namended as follows. \n\n**19.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**20.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(1) and (4) (needs assessments which are not completed); \n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan); \n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans); \n\n(d) regulation 19 (requirement to consider mediation); \n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \n\npursue mediation); \n\n(f) regulation 21 (mediation); \n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n\n(h) regulation 27(3) (steps to be taken by a home authority); \n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and \n\n(j) regulation 30(3) and (6) (unopposed appeals).”. \n\n**21.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**22.**In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs \n\nassessment)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“, or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n(**a**) S.I. 2015/62.", + "page_start": 3, + "page_end": 3, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n\n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school \n\nor other institution); \n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person \n\ndoes not attend a school or other institution); \n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess \n\neducational, health care and social care provision); \n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n\n(g) regulation 33 (requirement to consider mediation); \n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails \n\nto pursue mediation); \n\n(i) regulation 35(2), (3) and (4) (mediation – health care issues); \n\n(j) regulation 36(2) (mediation - no health care issues); \n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier \n\nTribunal); \n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals); \n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and \n\n(p) regulation 56(3) (publication of comments on the local offer).”. \n\n**6.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**7.**In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**8.**In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**9.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**23.**In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the \n\nend of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**24.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**25.**In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n\n**26.**In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n\n(a) after paragraph (6) insert— \n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d) \napply.”. \n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”. \n\n**27.**In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \n\n**Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n**Recommendations Power) Regulations 2017**\n\n**28.**The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \n\nRegulations 2017(**a**) are amended as follows. \n\n**29.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**30.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and \n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.", + "page_start": 4, + "page_end": 4, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**18.**Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus, \nPublic Health Information for International Passengers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) \n(Amendment) Regulations 2021. \n\nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavirus or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 90, + "page_end": 90, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "PART 6 \n\nFinal provisions \n\n**Review of need for requirements**\n\n**24.**The Secretary of State must review the need for the requirements imposed by these \n\nRegulations by 14th June 2021 and at least once every 28 days thereafter. \n\n**Expiry of Regulations**\n\n**25.**These Regulations expire at the end of 16th May 2022. \n\n**Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked— \n\n(a) the Health Protection (Coronavirus, Public Health Information for International \n\nPassengers) (England) Regulations 2020(**a**); \n\n(b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 \n\n(“the International Travel Regulations”)(**b**); and \n\n(c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) \n(England) (Amendment) Regulations 2021(**c**). \n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that \n\nSchedule. \n\n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person).", + "page_start": 30, + "page_end": 30, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) In regulation 4ZA— \n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator \nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability \nRegulations”)”; \n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations \n2020(**a**) are amended as follows. \n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n\n(3) In regulation 6(1)— \n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and Operator Liability) (England) \nRegulations 2021”. \n\nSCHEDULE 16 Regulation 26(3) \n\nTransitional provision \n\n**1.**Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n\n**2.**Confirmation given by the Foreign, Commonwealth and Development Office that a person is \nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that \nthe person is not required to comply with regulation 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n\n**3.**A designation by the Secretary of State of a person as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n\n**4.**Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021.", + "page_start": 88, + "page_end": 88, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**). \n\nPART 1 \n\nIntroductory \n\n**Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International \n\nTravel and Operator Liability) (England) Regulations 2021. \n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \n\n**Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations— \n\n“category 1 arrival” means person who has arrived in England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n\n“category 1 country or territory” means a country or territory, or part of a country or territory, \nspecified in Schedule 1(**b**); \n\n“category 2 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 2(**c**); \n\n“category 3 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 3(**d**); \n\n“child” means a person under the age of 18; \n\n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(**e**); \n\n“coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n\n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n\n“designated port” means a port designated for the purposes of Schedule 11; \n\n“device” means an in vitro diagnostic medical device within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(**f**); \n\n“disability” has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule \n1 to, that Act); \n\n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**); \n\n“managed self-isolation package” has the meaning given in paragraph 8 of Schedule 11; \n\n“operator” except in regulation 18, means an operator of a relevant service; \n\n(**a**) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14). \n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” countries and territories. \n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” countries and territories. \n(**d**) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” countries and territories. \n(**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the common travel area”. \n\n(**f**) S.I. 2002/618. \n(**g**) 2010 c. 15. \n(**h**) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. \n1993/1813.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where the person who is the \noperator of the laboratory complies with the requirements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n\n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \n\n**Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \n\nwhere— \n\n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n\n(i) in respect of— \n\n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n\n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n\n(2) A test complies with this sub-paragraph where— \n\n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n\n(b) it is, in relation to a Schedule 11 passenger— \n\n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n\n(c) the manufacturer of any device used for the purposes of the test states that the device— \n\n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided \nconfidence interval entirely above 90%), and \n\n(iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per \n\nmillilitre; and \n\n(d) any device used for the purposes of the test— \n\n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n\n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before the test is administered or \n\nprovided to P. \n\n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \n\ngiven by paragraph 2(2) of Schedule 10. \n\n**Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \n\nparagraph where— \n\n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting; \n\n(c) they have provided the Department of Health and Social Care with a list of all \norganisations that they work with (whether by sub-contract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n\n(d) in relation to a test which requires laboratory processing— \n\n(i) the person responsible for the taking of samples meets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the \ntaking of samples, and \n\n(ii) the laboratory used by the test provider for the processing of samples meets the \nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n\n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n\n(f)", + "page_start": 62, + "page_end": 62, + "source_file": "uksi_20210582_en.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20200471_en.pdf", + "query": "When come into force the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", + "target_page": 1, + "target_passage": "These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *28th April 2020*\n\n*Laid before Parliament* *30th April 2020*\n\n*Coming into force -* *-* *1st May 2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the \nEducation Act 1996(**b**). \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the Special Educational Needs and Disability \n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \n\n**Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the \nperiod for which they have effect. \n\n(2) These Regulations cease to have effect on 25th September 2020. \n\n**Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.**The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows. \n\n**4.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**5.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \n\n(**a**) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(**b**) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(**c**) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \n\n**Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n**2015**\n\n**18.**The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are \n\namended as follows. \n\n**19.**In regulation 2(1) (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**20.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(1) and (4) (needs assessments which are not completed); \n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan); \n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans); \n\n(d) regulation 19 (requirement to consider mediation); \n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \n\npursue mediation); \n\n(f) regulation 21 (mediation); \n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n\n(h) regulation 27(3) (steps to be taken by a home authority); \n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and \n\n(j) regulation 30(3) and (6) (unopposed appeals).”. \n\n**21.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**22.**In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs \n\nassessment)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“, or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n(**a**) S.I. 2015/62.", + "page_start": 3, + "page_end": 3, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational \nneeds and disability in order to provide exceptions to time limits set out in that legislation where \nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus. \n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review \nthe effectiveness of the Regulations during the period in which they have effect. The Regulations \ncease to have effect on 25th September 2020. \n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the \nSEND Regulations 2014’). \n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain \nrequirements in those Regulations for actions to be taken within specified time limits where it is \nnot reasonably practicable for a person to meet those requirements for a reason relating to the \nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a \nrequirement for such action to be taken as soon as reasonably practicable. \n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits. \n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 \n(‘the Personal Budgets Regulations 2014’). \n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as \nregulation 5 does in respect of the SEND Regulations 2014. \n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) \nRegulations 2015 (‘the Detained Persons Regulations 2015’). \n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to \nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal \nBudgets Regulations 2014 respectively. \n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax \ntime limits. \n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal \nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’). \n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to \nthose in regulations 5, 17 and 20. \n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency \nmeasure and no significant impact on business, charities or voluntary bodies is foreseen. \n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk. \n\n© Crown copyright 2020 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 5, + "page_end": 5, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**23.**In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the \n\nend of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**24.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**25.**In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n\n**26.**In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n\n(a) after paragraph (6) insert— \n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d) \napply.”. \n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”. \n\n**27.**In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \n\n**Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n**Recommendations Power) Regulations 2017**\n\n**28.**The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \n\nRegulations 2017(**a**) are amended as follows. \n\n**29.**In regulation 2 (interpretation), at the appropriate place insert— \n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n”. \n\n**30.**After regulation 2 (interpretation) insert— \n\n“**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the \nregulations specified in paragraph (3) for action to be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and \n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.", + "page_start": 4, + "page_end": 4, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "**18.**Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n\n**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus, \nPublic Health Information for International Passengers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) \n(Amendment) Regulations 2021. \n\nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavirus or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 90, + "page_end": 90, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n\n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school \n\nor other institution); \n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person \n\ndoes not attend a school or other institution); \n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess \n\neducational, health care and social care provision); \n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n\n(g) regulation 33 (requirement to consider mediation); \n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails \n\nto pursue mediation); \n\n(i) regulation 35(2), (3) and (4) (mediation – health care issues); \n\n(j) regulation 36(2) (mediation - no health care issues); \n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier \n\nTribunal); \n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals); \n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and \n\n(p) regulation 56(3) (publication of comments on the local offer).”. \n\n**6.**In regulation 4 (determination whether or not special educational provision may be \n\nnecessary), after paragraph (2) insert— \n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason relating to the incidence or transmission of \ncoronavirus.”. \n\n**7.**In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n\n“; or \n\n(e) of a reason relating to the incidence or transmission of coronavirus”. \n\n**8.**In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n\n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n\n“; or \n\n(d) of a reason relating to the incidence or transmission of coronavirus”. \n\n**9.**In regulation 10(4) (decision not to secure an EHC plan)— \n\n2", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20200471_en.pdf" + }, + { + "text": "PART 6 \n\nFinal provisions \n\n**Review of need for requirements**\n\n**24.**The Secretary of State must review the need for the requirements imposed by these \n\nRegulations by 14th June 2021 and at least once every 28 days thereafter. \n\n**Expiry of Regulations**\n\n**25.**These Regulations expire at the end of 16th May 2022. \n\n**Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked— \n\n(a) the Health Protection (Coronavirus, Public Health Information for International \n\nPassengers) (England) Regulations 2020(**a**); \n\n(b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 \n\n(“the International Travel Regulations”)(**b**); and \n\n(c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) \n(England) (Amendment) Regulations 2021(**c**). \n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that \n\nSchedule. \n\n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person).", + "page_start": 30, + "page_end": 30, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**). \n\nPART 1 \n\nIntroductory \n\n**Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International \n\nTravel and Operator Liability) (England) Regulations 2021. \n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \n\n**Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations— \n\n“category 1 arrival” means person who has arrived in England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n\n“category 1 country or territory” means a country or territory, or part of a country or territory, \nspecified in Schedule 1(**b**); \n\n“category 2 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 2(**c**); \n\n“category 3 country or territory” means a country or territory or part of a country or territory \nspecified in Schedule 3(**d**); \n\n“child” means a person under the age of 18; \n\n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(**e**); \n\n“coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \n\n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n\n“designated port” means a port designated for the purposes of Schedule 11; \n\n“device” means an in vitro diagnostic medical device within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(**f**); \n\n“disability” has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule \n1 to, that Act); \n\n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**); \n\n“managed self-isolation package” has the meaning given in paragraph 8 of Schedule 11; \n\n“operator” except in regulation 18, means an operator of a relevant service; \n\n(**a**) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14). \n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” countries and territories. \n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” countries and territories. \n(**d**) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” countries and territories. \n(**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the common travel area”. \n\n(**f**) S.I. 2002/618. \n(**g**) 2010 c. 15. \n(**h**) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. \n1993/1813.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "(3) In regulation 4ZA— \n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator \nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability \nRegulations”)”; \n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations \n2020(**a**) are amended as follows. \n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n\n(3) In regulation 6(1)— \n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and Operator Liability) (England) \nRegulations 2021”. \n\nSCHEDULE 16 Regulation 26(3) \n\nTransitional provision \n\n**1.**Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n\n**2.**Confirmation given by the Foreign, Commonwealth and Development Office that a person is \nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that \nthe person is not required to comply with regulation 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n\n**3.**A designation by the Secretary of State of a person as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n\n**4.**Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021.", + "page_start": 88, + "page_end": 88, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "*Made* *-* *-* *-* *-* *20th April 2020*\n\n*Laid before the House of Commons* *21st April 2020*\n\n*Coming into force -* *-* *13th May 2020*\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013(**a**): \n\n**Citation and commencement**\n\n**1.**These Regulations may be cited as the International Tax Compliance (Amendment) \n\nRegulations 2020 and come into force on 13th May 2020. \n\n**Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” substitute “19th April 2020”(**c**). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n\n(a) in the table in paragraph (2), in the column headed “the CRS”— \n\n(i) at the beginning of the entry for “new account” insert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing account” insert “subject to regulation \n\n3(4A)(a) and paragraph (3)”, and \n\n(b) after paragraph (2) insert— \n\n“(3) In respect of the accounts listed in paragraph (4)— \n\n(**a**) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not \nrelevant to these Regulations. \n(**b**) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending instruments are S.I. \n\n2017/598, 2018/490 and 2019/881. \nIn accordance with the common reporting standard for automatic exchange of financial account information developed by \nthe Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom \nexchanges information received from financial institutions under the principal Regulations with a territory which is a \n“Reportable Jurisdiction” under the CRS and with which the United Kingdom has entered into international exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrc- \ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU. \n\n(**c**)", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20200438_en.pdf" + } + ] + }, + { + "references": { + "source_file": "sg248459.pdf", + "query": "Who is Daniel Casali ?", + "target_page": 12, + "target_passage": " Daniel Casali is a Thought Leader Information Technology Specialist working for 15 years at IBM with Power Systems, high-performance computing, big data, and storage. His role at IBM is to bring to reality solutions that address client’s needs by exploring new technologies for different workloads. He is also fascinated by real multicloud implementations, always trying to abstract and simplify the new challenges of the heterogeneous architectures that are intrinsic to this new consumption model, be that on-premises or in the public cloud. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Malori Dahmen \nDallas Daley \nClay Dallison \nJamal DaneshFar \nPaige Danford \nSeth Daniel \nAndy Darne \nStephen Darwent \nJohn Daugherty Jr. \nFelipe Davalos \nJohn Davenport \nKeely Davenport \nMark Davidovich \nDerek Davidson \nSteve Davidson \nWilliam Davidson \nBart Davis \nBennett Davis \nBeverly Davis \nBradley Davis \nBrian Davis \nCollette Davis \nDustin W. Davis \nFelicha Davis \nJason Davis \nJohn W. Davis \nKim Davis \nKristin Davis \nMegan Davis \nMichael Davis II \nScott Davis \nSeslie Davis \nTad Davis \nTyler Davis \nBryan Davison \nDanny Davisson II \nBrett Dawkins \nSarah Daws \nMonica Day \nRoger Day \nTrey Day III \nEric Dean \nGreg Dean \nJohn Debruin \nBenay Deckard \nJameson Deen \nBarry Dees \nDerek Dehoyos \nTimothy Delaney \nJames Delauder \nMike Delauder \nHeather Demarest \nAngela Dempsey \nJoshua Desko \nJoshua Deville \nKyle Deville \nJack Dewbre \nTimothy DeHaan \nTimothy DeKinder \nWalt DeLap II \nStacey DeLaune \nEdward DeLaO \nBronson DeLeeuw \nTom DeMann \nSean DePriest \nLance DeSpain \nKyle DeVoe \nGary De Los Santos \nAnthony De Los Santos \nNicole De Luna \nSandra Dias \nBen Dickason \nJeff Dietert \nAshlee Dieu \nDaniel Diffey \nJohn Dill \nEddie Dillard \nMichael Dinelli \nRobert Diosdado \nHilary Dittman \nBelinda Dixon \nJoel Dixon \nAmy DiMaria \nTaiz DiRienzo \nJason Doan \nBob Dobkin \nChristopher Dockery \nPeter Dodgen \nCharlie Dolezal \nJaclynn Dollins \n\nBrian Dombroski \nBeth Donaldson \nWayne Donaldson \nMatt Donley \nBrian Donovan \nThomas Donovan \nDewey Dooley II \nMatt Doporto \nJoe Doran \nStuart Doss \nJeff Dotson \nCord Doucet \nRyan Doud \nScott Doud \nCole Dougherty \nSarah Douthitt \nJohn Dowdell \nEric Dowell \nAshley Doyle \nKathy Doyon \nAaron Drabnis \nLuis Dragustinovis \nKristina Drawbridge \nMichael Driscoll \nJason Driver \nDana Drury \nMichael Dube \nBenjamin Duckworth \nRonnie Dudgeon II \nEric Dudley \nAmy Dugan \nDug Dugan \nBernard Duke \nDave Duke \nErnest Duke \nJames Duke \nJeff Dukes \nCameron Dullea \nDavid Duncan \nJames Duncan \nChelsea Dunlap \nLarry Dunlap \nCraig Dunn \nMichael Dunn \nWoody Dupre \nJoe Durham \nRobert Durham \nJessica Durrett \nAllison Dvorak \nCindy Dykes \nJude Dysart \nRichard Eads \nStephanie Eagle \nCody Eakle \nMark Earl \nReed Early \nBrian Earnest \nZach Eastham \nGarry Eastwood \nJoshua Eaton \nJose Echavarria \nDustin Eck \nJason Eddy \nWesley Eddy \nChance Edge \nDave Edgmon \nLanese Edmond \nMandy Edmonds \nMichael Edmonds \nChad Edmondson \nCody Edwards \nEric R. Edwards \nJohnson Edwards \nJonathan Edwards \nMike Edwards \nSamantha Edwards \nSeth Edwards \nWyatt Edwards \nAngela Eicholz \nDarius Ekhtiar \nTim Eklund \nRania Elghazi \nMario Elizondo \nTrey Ellers \nBrad Elliott \nMichael Emanis \nJerry Embrey \nMichael Embrey \nKevin Emfinger \nRoger Emmelhainz", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Paul Hartman \nBrett Harvey \nKeith Harvey \nRick Harvey \nChristopher Harville \nKenneth Haskey Jr. \nNathan Hassinger \nKelly Hastings \nMatt Hastings \nCody Hasty \nTimothy Hatesaul \nAlan Hatter \nFranklin Hawes Jr. \nJames Hay \nJeff Hayden \nDaniel Hayes \nKevin Hayes \nRyan Hayes \nDrew Haymaker \nRowdy Haynes \nSteve Heard \nBen Hearnsberger \nRoxanne Heath \nLee Hebert IV \nTrey Hebert \nJeremy Heck \nKyle Hedrick \nLynn Heidebrecht \nClay Heller \nJonathan Hemsley \nBob Hendricks \nAllison Hendrix \nJoseph Hendrix \nEdward Henke \nTyler Henning \nAngela Henry \nGarrett Henry \nJed Henry \nPatrick Henry \nDavid Hensley \nLaura Hensley \nAustin Henson \nChristian Hernandez \nJuan Hernandez \nJake Herod \nShelley Herod \nTacha Heron \nFernando Herrera \nGerardo Herrera \nBrent Herring \nMatthew Herring \nChristi Herrington \nKimberly Hesse \nCharles Hester \nDennis Hester \nErin Hettman \nDavid Hewitt \nClark Hickman \nAlston Hicks \nJaime Hicks \nJordan Hicks \nScott Hicks \nTracy Hicks \nDestery Hidlebaugh \nRyan Hidlebaugh \nJimmy Higginbotham \nMichael Higginbottom \nAmy Higgins \nJames Higgins \nTiffany Hight \nArrin Hill \nElgie Hill \nGeno Hill Jr. \nJaron Hill \nJeanette Hill \nMike Hill \nStephen Hill \nKristen Hillis \nGeoffrey Himmelreich \nTommy Hinchman Jr. \nFreddie Hines \nScott Hinman \nDaniel Hinton \nKevin Hlatky \nSteve Hoaglund \nDamieon Hodges \nSarah Hoffman \nRussell L. Hogue II \nClarissa Hollander \nDustin Hollen \n\nAlayne Hollis \nBrett Holloway \nSteve Holloway \nWilliam Holloway \nAllison Holman \nJames Holman \nLincoln Holman \nCori Holmes \nEric Holmes \nNick Holmes \nChad Holst \nKerra Holsted \nEric Holsten \nKevin Holt \nConrad Holub \nRagen Homesley \nMatt Hood \nWilliam Hood Jr. \nHudson Hoosier \nJoe Hoover \nJon Hoover \nJoshua Hoover \nJaime Hopkins \nJason Hopkins \nKaren Hoppe \nTami Horn \nTanner Horn \nMichael Horner \nWilliam Horner \nChristopher Hornsby \nMike Hornsby \nAaron Horton \nChaz Horton \nAmanda Horvath \nRobert Horvath \nEric Hottenstein \nKevin Hough \nMike Houlihan \nJames Houser \nLiz Houser \nJared Howard \nShaun Howard \nCharles Howdershelt \nDustin Howell \nSandra Howerton \nDagoberto Huante \nDenny Hubbard \nShane Hubbard \nCourtney Hubert \nRita Huckle \nAndrew Hudacko IV \nJohn Huddleston \nJessica Hudgens \nJohn Hudson \nAlan Hudspeth \nHelene Huff \nAlexander Huggett \nEric Huggins \nChris Hughes \nCody Hughes \nJim Hughes \nJohn Hughes \nJon Hughes \nWalter M. Hughes \nLois Hugo \nDavid Hugus II \nForrest Humphrey \nKyle Humphreys \nJoseph Humphries \nHannah Huneryager \nBill Hunt \nBobby Hunt Jr. \nGreg Hunt \nStuart Hunt \nLloyd Hunter \nAmy Huntsman \nRobert Hurlocker \nJustun Huston \nChelsey Hutches \nJason Hutchinson \nRobert Hutchinson \nChris Hutchison \nLuke Hux \nBryan Huyck \nAshley Hyde \nSean Iago \nKristin Ikard \nJeff Iliff \nClinton Imig \nEarl Ince", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Crystal Bacon \nRichard Baden \nJesse Bailey \nJoshua Bailey \nPatrick Bailey \nTommy Bailey \nBlake Baker \nCharles A. Baker Jr. \nDashawn Baker \nDonnie Baker \nKrista Baker \nLarry Baker \nDennis Balentine \nKristen Balla \nKristin Ballard \nLevi Ballard \nMelissa Bane \nRon Baranski Jr. \nGarry Barbee \nJoshua Barker \nAshley Barlow \nAdam Barnes \nRyan Barnes \nDan Barnett \nJoshua Barron \nJeff Barry \nJenni Bartel \nSteve Barwick \nChris Basler \nSusannah Batchelor \nSton Battisto \nBrooke Battle \nGil Bayer \nLuke Baze \nTimothy Beach \nJason Beagle \nDavid Bean \nRinda Beard \nBen Beaver \nZac Beavers \nCarla Beaves \nKate Beavin \nRobert Beckwith \nJohn Bedgood \nRyan Bellew \nAlifonso Beltran \nEdmund Beltran \nTroy Bending \nCynthia Benford \nLeticia Benitez \nBob Bennett \nBrandon Bennett \nDustin Bennett \nJohnny Bennett \nBrett Bentley \nJerry Bentley \nJim Benton \nKevin Bernis \nSteve Berry \nDave Bert \nTodd Bevins \nTony Biasatti \nEugene Bickel \nBob Bickham \nJoseph Billings \nDonnie Bishop \nTim Bishop \nGalyn Black \nJeremy T. Black \nBradford Blackcrow \nJoshua Blackwell \nJames Blankenship \nKevin Blankenship \nTimmy Blankenship \nDamon Blasingame \nKenny Blaylock \nBrandon M. Blevins \nShane Blevins \nChris Blockcolski \nDavid Blythe \nEmily Boecking \nDustin Boeckman \nKenton Boevers \nEmiko Bogard \nCasey Boland \nMisty Bolanos \nKelly Bond \nMichael Bone \nMitchell Boone \nErnesto Bordayo Jr. \n\nDan Borum \nJohn Bostwick \nBruce Boudman \nChristopher Boulet \nGinny Bourke \nSteve Bourke \nCooper Bourne \nVeronica Bowie \nJohnny Bowman \nKen Bowman \nBrandon Boyd \nDonald Boyd \nAmanda Boyle \nChris Brady \nJames Brakefield \nJason Bramlette \nRodger Bratton \nBrett Brayton \nAimee Breeze \nRobert Brevelle \nHeath Brewer \nGrady Briley \nKatie Brinlee \nRock Briscoe \nSammy Briscoe \nPam Brocato \nStacey Brodak \nCandace Brooks \nJohnny Brooks \nTom Brooks \nDallion Broomfield \nBrenda Brotherton \nHugh Brower \nBlaire Brown \nBrandon Brown \nDonald Brown III \nDonita Brown \nHunter Brown \nJanet Brown \nLaura Brown \nJustin Browning \nJerry Brumfield \nElaine Brummett \nCody Bruton \nSteve Bruton \nJeremy T. Bryan \nDavid Buffington \nCharli Bullard \nRussel Bumgardner II \nRose Bunkley \nGrant Bural \nAmy Burch \nCatherine Burdg \nEmily Burgess \nEddie Burk \nJason Burnett \nTyler Burris \nJosh Burroughs \nDaShawn Burse \nKelley Busby \nRyan Bushman \nAdam Butkus \nRicky Butler \nMichael Button \nTimothy Button \nWilliam Buzan \nSteven Byers Sr. \nAlan Byrnes \nHeather Cadenhead \nSharon Cahill \nJames Cain \nBrandon Calhoun \nCrystal Callahan \nAndrea Calvanese \nJoe Camacho Jr. \nRafael Cambron \nKody Cammack \nGrover Campbell \nBrandon Cantrell \nBillie Carender \nMike Carlson \nJeffrey Carpenter \nSandy Carpenter \nHarold Carr \nWilliam Carrell \nJose M. Carrizales \nJason Carroll \nTommy Carroll \nTrent Carroll \nEdward Carson", + "page_start": 37, + "page_end": 37, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "emanticscholar.org/CorpusID:4402158). \nCarnielli, Walter; Pizzi, Claudio (2008).*Modalities and Multimodalities*. Springer Science & \nBusiness Media. p. 3. ISBN 978-1-4020-8590-1.", + "page_start": 25, + "page_end": 25, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Juri Coleman \nJustin Collier \nNathan Collins \nRick Collins \nTom Comer \nRon Comes \nPaul Conti \nJud Cook \nRickey Cook \nChad Corcoran \nTammie Corkery \nJon Corley \nAdam Cornell \nJose Corralejo \nBenjamin Corso \nAgustin Cortes \nMarcus Corvino \nKeith Cowell \nStephen Cox \nJosh Craig \nJulie Craig \nBrandon Cramer \nCory Crawford \nJonathan Creagan \nRobbie Crosier \nDerik Cross \nMichael Cross \nJohnathon Crossen \nWillard Crossen \nPam Crum \nDavid Cunningham \nNatalie Cunningham \nBryan Curtis \nJimmy Cyrus \nTiffany Dailey \nJeffery Daniel \nBecky Danker \nJoe Darnell \nAdam Daugherty \nBrian Daugherty \nJoe Daugherty \nPat Davenport \nOrin David \nAndrew Davis \nDarryl Davis \nDustin A. Davis \nGary Davis \nJoel Davis \nLandon Davis \nSteven Davis \nWilliam Davis \nRyan V. Dean \nShane Dean \nEric Deeter \nDavid Dehn Jr. \nBradley Deines \nBillie Demott \nGregory Desper \nFnu Dezvita \nValente Diaz \nChase Dickens \nBentley Dill \nJerry Dilley II \nNicholas Dimauro \nDrew Dixon \nLee Dixon \nAmy Dobkin \nRenee Dollar \nCrystal Doty \nMarshall Dougherty \nKarl Doughty Jr. \nTerry Doughty \nIrene Dougrey \nAnna Dovedan \nCheryl Dowis \nJohn Dozer Jr. \nMichael Drake \nWilliam Draper \nGreg Duffy \nWill Duffy \nConnie Duke \nJustin Dulaney \nChad Duncan \nJIm Dunham \nChris Dunton \nCory Durig \nChris Duroy \nChase Dwiggins \nGreg Dykes Sr. \nJoe Eades", + "page_start": 39, + "page_end": 39, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Tim Gilpin \nShannon Glancy \nTravis Glauser \nMichael Gleason \nBradley Glosup \nKarl Goebel \nDarrell Goeringer \nDevin Golden \nJose Gonzales \nCirilo Gonzalez \nMark Goodin \nRichard Goodrich \nDaniel Gorham \nJulian Gorman \nRyan Gorman \nShawn Goss \nAdam Gossen \nJoseph Gottschall \nMelissa Goyer \nMike Grady \nInna Graham \nCaleb Grantges \nMatt Grassmyer \nMike Graves \nJames Gray Jr. \nStanford Gray \nTrey Graybill III \nLance Green \nMike Green \nWhit Green \nAllan Greenawalt \nDustin Greenway \nJosh Grellner \nLambert Grim \nBrian Grove \nChristopher Guajardo \nRich Guenther \nGlenda Guerra \nRene Guerra \nAngel Guerrero \nBrian Gunsaulis \nBoJames Gunter \nPaul Gutta \nSarah Hacker \nRyan Haffner \nAugust Hadwiger \nDavid Hagadorn \nKeith Haggard \nStephen Haggerty \nGreg Hakman \nBrian Hale \nBrandon Hall \nDustin Hall \nRenee Hall \nRick Hall \nZach Hall \nLynne Hames \nClint Hamilton \nJames Hamilton \nWilliam Han \nNick Hancock \nKristi Hanna \nSean Hansen \nDavid Harbin \nDaniel Hardy II \nStephen Hardy \nEddie Hare \nAlysia Hargus \nAaron Harper \nAdam Harper \nChristopher Harper \nJackie Harris \nJerry Harris \nBerlin Harrison \nMark R. Harrison \nCharles Hart \nKevin Hart \nLarry Hartgrave \nMatthew Harville \nLeonard Harzinski Jr. \nHeath Hatcher \nErin Hathaway \nJohn Hatton \nThomas Haun \nRobert Havens Jr. \nWilliam Hawkins Jr. \nD.J. Haydon Jr. \nAdam Haynes \nKenneth Hays \nAllen Head \n\nJennie Heard \nGreg Heater \nKellie Hefner \nJeremiah Heldreth \nJames Henderson \nRob Hendle Jr. \nSandra Hendrix \nDavid Hennessy \nMarcus Henry \nPhil Hensley \nParish Henson \nBrandi Hernandez \nJose Hernandez \nRaymond Herndon III \nMike Hershberger \nKurt Hibbard \nAlyssa Hickey \nCarlos Hicks \nGary Hicks \nJacala Hicks \nJason Hicks \nMichael Hicks \nDean Higganbotham \nDuke Hightower \nChristopher Hill \nChase Hines \nEdgar Hinojos \nKerry Hinsley \nCory Hixson \nAngi Hodge \nSteven Hodges \nJaime Hodson \nRussell L. 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Lane \nClay Langley \nMike Langley \nJimmie Laningham \nDaniel Lara \nCorey Lasley \nJoe Latham \nBrian Layman \nLucy Lazos \nJulia LaBella \nClaudia LaPlante \nCourtney Leach \nScott Ledbetter \nAaron Lee \nAlexa Lee \nChristopher Lee \nClayton Lee \nDale Lee \nTot Lee III \nWill Lee Jr. \nBryan Legg \nMarie Leifheit \nWesley Lemens \nJared Leseman \nAndy Levine \nMark Levingston \nChad Lewis", + "page_start": 40, + "page_end": 40, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Jordan Chambers \nWilliard Champagne Jr. \nAaron Chang \nGustavo Chang-Koo \nBounyeme Chansombat \nTerry Chapman \nEric Charoonsak \nKenneth Chase \nZac Chastain \nMelissa Chasteen \nJerry Chavez \nJose Chavez \nMarcos Chavez \nPaula Cheater \nWhitney Cheek \nBrian Chenault \nStephanie Cheng \nTaylor Chennault \nTerry Cheramie \nJohn Chidester Jr. \nTheo Chidester \nDave Childers \nBilly Childress \nSteve Childress \nDavid Childs Jr. \nBilly Chilson \nDaniel Chilson \nEric Chilson \nGretchen Chilson \nJason Chilson \nJeffrey Chilvers \nEric Chipps \nJoshua Chonko \nJonathan Christian \nLiza Christian \nJerome Christopher \nJacob Chrones \nEric Cindric \nJerry Circelli \nCason Clagg \nDaniel Clampet \nAbby Clapp \nCheryn Clapp \nJesse Clapp \nChris Clark \nJosh Clark \nPaul Clark \nStewart Clayton \nJames Clements \nKen Clemons \nTom Cleveland \nJosh Clifford \nZsanett Clifford \nJessica Clifton \nRichard Clifton \nCharla Cline \nJack Clinger \nPatrick Close \nBrian Closson \nGlen Clothier \nTricia Clothier \nTravis Clutter \nJessica Coats \nKristyna Coats \nChris Cobbs \nRobert Cockburn \nTimothy Cockerham II \nKyle Coe \nPaul Cogar \nWeston Cogburn \nMatt Coker \nSherry Coker \nAlex Colarusso \nQuincy Colbert \nJeremy Cole \nBrandon Coleman \nJason Coleman \nJeffrey Coleman \nAnn Coleson \nKari Collard \nSuzi Collier \nBill Collins \nBilly Collins \nCindy Collins \nCody Collins \nGary Collins \nJohn Collins \nLaurie Collins \nJack Colten \nDrew Columbus Jr. \n\nEdwin Combs \nDanielle Comer \nMaggie Conell \nDuane Confer II \nBen Conley \nChris Conner \nDavid Conner \nRobert Conner \nKandi Connor \nDenver Conrad \nJesse Conrad \nFrank Conserette III \nRobert Conway Jr. \nSeth Conway \nCody G. 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Hernandez \nMario Hernandez \nMarisol Hernandez \nRomualdo Hernandez Jr. \nJude Herring \nRichard Hess \nJosh Hicks \nWilliam Higginbotham \nHillary Higgins \nShane Hilliard \nAngelo Hilton \nWeston Hinton \nKeasha Hobbs \nCharles Hodges \nJoe Hofer \nDuston Hoffman \nEric Holcomb \nDan Holden \nAdam Holland \nJanice Holloway \nAdrianne Holmes \nDennis Holmes \nDon Holt \nKyle Holt \nTiffany Hopkins \nGreg Hopper \nRyan Horn \nTim Horne \nMatthew Horton \nBud Hoselton \nNicole Howard \nJoe Howell \nJohn Howell \nRonnie Hubbard \nMelissa Huddleston \nTara Hudson \nBarry Huggins \nKeystone Hughes \nOmar Huizar \nTracy Hulsey \nMatthew Humphrey \nJoe Hunley \nDanny Hunt \nSteven Hutchens Jr. \nDaniel Hyatt \nSteven Hyatt \nAngela Ibara \nKaty Igarta \nGerald Irwin III \nErnie Isenhart \nKate Ivey \nMonsuru Iyanda \nAlan Jackson \nAngela Jackson \nBeverly Jackson \nKristine Jackson \nLarry Jacobs \nCody Jacoway \nJeremy James \nKen James \nTommy Jamison \nVictor Jaramillo \nStephanie Jaronek \nBilly Jeffers \nClint Jennings \nLi Jett \nPablo Jimenez \nBilly Johnson \nBrenda Johnson \nDannie Johnson \nJason Johnson \nKyle Johnson \nKyle R. Johnson \nRandell Johnson \nStephen Johnson \nTyler Johnson \n\nPerry Johnston \nAaron Jones \nAnne Jones \nJeff L. Jones \nScott Jones \nChad Jongeling \nChris Jordan \nRigo Juarez \nAndy Kapchinske \nAndrew Karber \nTiffanie Karber \nDoug Kathol \nRita Keary \nBradley Keech \nClayton Keenan \nBill Keller \nKim Keller \nAmber Kelley \nJason Kelley \nPamela Kerr \nFreddie King Jr. \nLanney King \nNelson King \nRyan Kintner \nDayna Kirk \nDale Kisner \nRobert Kitchens \nKasey Kliewer \nRobert Kline \nMark Knight \nTiffany Kordic \nMichael Koss \nAllison Krittenbrink \nRyan Krittenbrink \nDan Kucab \nMiranda Lacey \nSteve Ladner \nMiranda Lair \nTodd Lamb \nKelly Lamoreaux \nMindy Lamprich \nClay Lancon \nNikki Landsberger \nLaura Lanford \nDustin Langley \nAbel Lara \nLindel Larison Jr. \nToby Lattea \nEugene Lauricella \nAndy Lawrence \nWallace Lawrence \nCheryl Lawson \nToni Lawson \nLuke Lawver \nReagan Lea \nGreg Ledbetter \nMelissa Lee \nTony Lee \nWarren Lee \nJeremy Leger \nBranden Lehoski \nTim Leierer \nDan Leiphart \nLogan Lemley \nLuis Lerma \nChrista Levescy \nChelsea Lewis \nGreg Lewis \nStacey Lewis \nJohn Libhart \nChuck Lilly \nLaura Linn \nCory Listen \nJeremy Litton \nBrian Lockart \nNicole Logsdon \nAngie Lohner \nEthel Long \nJames Long \nAlfred Loper \nJavier Lopez \nEric Loudenslager \nT.D. Louis \nShirley Lovelady \nBrandon Lovell \nMichael Lovell \nLu Lovett-Voss \nBenjamin Lucas Jr. \nDustin Lucas \nShane Luckett \n\nMartinez-Barrera \nOscar Martinez-Barrera \nLaura Martini \nDavid Masiker \nJames Mason \nRyan Mason \nSteve Mason \nJohn Masterson \nDarrick Matthews \nBobby Mattice \nPeggy Maxell \nJoseph May \nBenjamin Mayer \nAnthony Maze \nChristopher McAlvain \nHarold McArthur \nMichael McCann \nMichael McClanahan \nJosh McClary \nJosh McCollom \nRandy McCollum \nElizabeth McCormick \nJay McCormick \nWayne McCormick \nLarry McCoy \nFadoua McCray \nJoshua McCray \nRobert McCue \nJohn McCullough \nMichael McDaniel \nMiles McDaniel \nRobert McDaniel \nDustin McDaugale \nDebby McElreath \nJon McEntire \nCharles McFarland \nJulie McGill \nJP McGinley \nBilly McKamie \nJake McKeever \nMark McKelvey \nChristopher McKown \nStuart McLain \nJim McLaughlin \nRandy McLaughlin Jr. \nJonathan McLendon \nJohn McLeod \nDon McMahon \nTerry McMinn \nTyrel McNatt \nNathan McRae \nJosh McWhirter \nRobert Mecom \nMichael Medcalf \nSalvador Medina \nJessica Meek \nLindsey Melott \nJoe Melton \nChasta Mercer \nRenea Merchant \nJames Merrell \nDavid Messer \nJennifer Messer \nRenee Metcalf \nMegan Meyer \nJonice Meziere", + "page_start": 36, + "page_end": 36, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Christopher Kolb \nJosh Koon \nTom Koontz \nJon Kopec \nWilliam Kosik \nKen Kostecky \nDerek Kreischer \nCody Kroll \nBrett Kronick \nJames Kropp \nNic Kruckeberg \nScott Krueger \nBryan Krusemark \nDavid Kuntz \nTed Kuschel \nAndy Kuykendall \nChelsea Kyger \nTony Kyle \nMac Laas \nFrank Labor \nGibran Lacey \nCraig Lacher \nSeth Lady \nBrian Lageman \nScott Lair \nStephanie Lamb \nHarry Lammy \nWessley Lamoreaux \nEvan Landers \nJason Landis \nLarry Landreth \nChelsea Landrum \nBeau Landry \nTrey Landry \nKathleen Lane \nRichard S. Lane \nKarl Langer \nRonnie Langford \nJohnny Langley \nDarrel Lankford \nRandall Lantz \nLouis Lara \nEddie Large Jr. \nNeil Larsen III \nEdwin Larson \nGreg Larson \nKurtis Lasater \nAhmed Latoni \nDaniel Lavigne \nDennis Lawrence \nJosh Lawrence \nRandy Lawson \nWhitney Lawson \nJacob Lawyer \nVickie Laydera-Collins \nJames Layman \nDearl Laymon \nCorey LaCombe \nChad LaCross \nMichelle LaFluer \nDoug LaHaye \nJennifer Le \nMary Le \nLaGayle Leake \nArnulfo Leal \nRocky Leatherwood \nLaura Lechtenberg \nBrian Lee \nChris B. Lee \nDaniel Lee \nJason Lee \nKevin Lee \nMarcus Lee Jr. \nRickey Lee Jr. \nRoy Lee \nScott Lee \nLarry Legg \nAmanda Leigh \nJason Leigh \nMarty Leischer \nBrooke Lemley \nBryan Lemmerman \nThomas Lemmons \nNick Lemon \nJake Lempges \nChristopher Lentz \nBrett Leonard \nStacey Leone \nCharles Lewis II \nDennis Lewis", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Daniel Alford \nKenny Alford \nJamie Allen \nJoshua W. Allen \nJimmy Allred \nBilly Alven \nJoe E. Aly \nJames Amelung \nBob Amyx \nCarol Anderson \nGary Anderson \nRandi Anderson \nShelby Andrew \nMelanie Andrews \nHoward Arnold \nZachary Arnold \nLiz Arthur \nThad Ashcraft \nKevin Ashley \nAmy Askew \nMicah Assulin \nJennifer Atwell \nRoger Averitt \nDavid Avery \nEd Back \nMisty Baeza \nTim Bagby \nAllen Bagley \nMichael Bahrenburg \nRonald Bailey \nButch Baird \nCharles A. Baker \nDennis Baker \nSitaraman Balakrishnan \nBoomi Balasubramaniyan \nChrista Ball \nMichael T. Ball \nLisa Ballard \nJanice Balliet \nWilliam Barker \nDean Barnes \nKeith Barrett \nCecelia Barrington \nJoshua Barton \nLorie Barton \nBrandon Bashaw \nWarren Bass \nDouglas Baughman \nTammy Baxter \nTim Beard \nTiffany Beaver \nTerri Becker \nSteven Beckett \nJim Bedford \nClint Beeby \nSteve Beeson \nDanny Beets \nBo Bekendam \nRobyn Belew \nPaige Benedict \nCheryl Bennett \nGarrett Benton \nJohn Bergman \nSharon Berkley \nEric Bess \nRobert Bevel \nAmar Bhakta \nRandy Bickel Jr. \nLiz Bicoy \nJacob Biernacki \nPam Billingsley \nMatthew Birch \nJeremy Black \nDavid Black Jr \nWillis Blaker III \nPhillip Blankenship \nEmily Blaschke \nTony Blasier \nJimmy Blevins \nDoug Bohlen \nRichard Bolding \nBrandi Bonner \nDaniel Borowski \nJohn Bottrell II \nBrian Bounds \nBarbara Bowersox \nDeven Bowles \nDonald Bowman \nDrew Boyer \nPhillip Bradford III", + "page_start": 34, + "page_end": 34, + "source_file": "NYSE_CHK_2010.pdf" + } + ] + }, + { + "references": { + "source_file": "sg248459.pdf", + "query": "When does IBM close its acquisition of Red Hat ?", + "target_page": 20, + "target_passage": " On July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "This publication describes how Red Hat and IBM can advance your cloud journey and speed \ngrowth and innovation for your business by using Red Hat OpenShift on IBM Power Systems. \n\n**Note:**Red Hat joins IBM as a distinct unit, preserving the independence and neutrality of \nRed Hat’s open source development heritage and unique development culture. Red Hat’s \nunwavering commitment to open source remains unchanged and it continues to offer \ncustomers choice and flexibility.", + "page_start": 20, + "page_end": 20, + "source_file": "sg248459.pdf" + }, + { + "text": "**First Edition (March 2020)**\n\nThis edition applies to: \n\n(cid:2) Red Hat OpenShift Container Platform for Power Enterprise V3.11 \n(cid:2) Red Hat Enterprise Linux Server release V7.6 (Maipo) for ppc64le \n(cid:2) IBM Virtual I/O Server V3.1.1.0 \n(cid:2) IBM Cloud PowerVC Manager V1.4.3.1 \n(cid:2) Terraform V0.12.9 \n(cid:2) provider.null V2.1.2 \n(cid:2) provider.openstack V1.22.0 \n\n**© Copyright International Business Machines Corporation 2020. All rights reserved.**\nNote to U.S. Government Users Restricted Rights -- Use, duplication or disclosure restricted by GSA ADP Schedule \nContract with IBM Corp.", + "page_start": 3, + "page_end": 3, + "source_file": "sg248459.pdf" + }, + { + "text": "**Red Hat OpenShift and IBM Cloud**\n**Paks on IBM Power Systems**\n**Volume 1**\n\nDino Quintero Sudipto Pal \n\nRicardo Dobelin Barros Bogdan Savu \n\nDaniel Casali Richard Wale \n\nLuis Ferreira \n\nAlain Fisher \n\nFederico Fros \n\nLuis Daniel Gonzalez \n\nMiguel Gomez Gonzalez \n\nMahesh Gurugunti \n\nRogelio Rivera Gutierrez \n\nNicolas Joly \n\nBoris Litichevsky \n\nIsmael Solis Moreno \n\nGabriel Padilla \n\n\n\n**Redbooks**", + "page_start": 0, + "page_end": 0, + "source_file": "sg248459.pdf" + }, + { + "text": "**1.1 Introduction**\n\nMost companies started or are contemplating their journey to cloud. Although in recent years \nthe adoption of cloud became much more common place, the scope of what a cloud is or can \nbe also increased. This broadening of possibilities unfortunately added confusion and can \nresult in companies being unsure of how their existing application estate can change to \nintegrate with the cloud model. \n\nAs such, doubts still exist around how to start and progress on this journey. It is also true that \nalthough people understand traditional enterprise applications and more modern \ncloud-hosted applications, the integration or co-existence of both can prove equally confusing \nand contradicting. \n\nRecent industry trends, combined with the new partnership between Red Hat and IBM, seek \nto bring some clarity to the landscape while providing new modernization opportunities for \nexisting enterprise applications and familiar environments. \n\nThe main focus of this IBM Redbooks publication relates to IBM Cloud Paks and Red Hat \nOpenShift, which is hosted on IBM Power Systems. Although individually much can be written \nabout either topic, the relationship this publication highlights is between Red Hat OpenShift \nand IBM Power Systems. \n\nWe show what Red Hat OpenShift brings to the IBM Power Systems platform specifically \ndiscuss how it can be deployed and added into existing familiar Power System environments, \nand the benefits that integration and co-existence can provide from an existing enterprise \napplication viewpoint. \n\nThis publication is a first volume in a planned multi-volume publication over the next 12 - 18 \nmonths. Within this initial volume, we explain the fundamental perspective (which is accurate \nas of the time of this writing) while providing pointers to future direction that will be discussed \nin future volumes. \n\n**Note:**This initial publication relates to Red Hat OpenShift 3.11, because this release was \nthe current OpenShift Container Platform (OCP) release for IBM Power Systems at the \ntime of this writing. IBM and Red Hat intend to deliver Red Hat OpenShift 4 for IBM \nPOWER® to accelerate agility for enterprise clients through integrated tooling and a \nfeature-rich Kubernetes container platform for cloud-native development on POWER9 and \nIBM POWER8® processor-based servers. \n\n**1.2 Red Hat and IBM**\n\nOn July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and \nopen source technology. \n\nThis acquisition puts Red Hat and IBM in a unique position to unlock the true value of hybrid \ncloud for your business. By combining the power and flexibility of Red Hat’s open hybrid cloud \ntechnologies with the scale and depth of IBM innovation and industry expertise, you now have \nthe tools to accelerate your cloud journey. \n\nIBM and Red Hat worked together for more than 20 years in making open source a \ncompetitive advantage for businesses on x86, IBM Power Systems, and IBM z Systems®. \nTogether, we are both on a mission to improve open source technology and help your \ncompanies capture the business value of the cloud.", + "page_start": 19, + "page_end": 19, + "source_file": "sg248459.pdf" + }, + { + "text": "**Contents**\n\n**Notices**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii \nTrademarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiv \n\n**Preface**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv \nAuthors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv \nNow you can become a published author, too! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii \nComments welcome. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii \nStay connected to IBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii \n\n**Summary of changes**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix \nMay 2019, Eighth Edition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix \n\n**Chapter 1. Introduction to storage virtualization**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 \n1.1 Storage virtualization terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 \n1.2 Benefits of using IBM Spectrum Virtualize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 \n1.3 Latest changes and enhancements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 \n1.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7", + "page_start": 4, + "page_end": 4, + "source_file": "sg247938.pdf" + }, + { + "text": "**IBM Redbooks**\n\nThe IBM Redbooks publication IBM PowerVM Best Practices, SG24-8062, provides more \ninformation about the topic in this document. Note that this publication might be available in \nsoftcopy only. \n\nYou can search for, view, download or order this documents and other Redbooks, Redpapers, \nWeb Docs, draft, and other materials, at the following website: \n\n**ibm.com**/redbooks \n\n**Online resources**\n\nThe following websites are also relevant as further information sources: \n\n(cid:2) Deploying Red Hat OpenShift Container Platform 3.11 on Red Hat OpenStack Platform 13 \n\nhttps://red.ht/2pEFNpV \n\n(cid:2) OpenShift on POWER \n\nhttps://red.ht/337zOIT \n\n(cid:2) Kubernetes concepts \n\nhttps://kubernetes.io/docs/concepts/services-networking/service/ \n\n(cid:2) IBM PowerVC \n\nhttps://www.ibm.com/us-en/marketplace/powervc \n\n(cid:2) Using PowerVC storage \n\nhttps://ibm.co/34Cko06 \n\n(cid:2) Red Hat OpenShift Container Platform 3.11 CLI Reference \n\nhttps://red.ht/2XZGBmz", + "page_start": 264, + "page_end": 264, + "source_file": "sg248459.pdf" + }, + { + "text": "**subscription-manager refresh**\nAll local data refreshed \n**subscription-manager list --available --matches '*OpenShift*'**\nSubscription Name:**Red Hat OpenShift Container Platform for Power, LE Business Partner**\n**NFR, Self-Supported**\nProvides: Red Hat Enterprise Linux for Power, little endian - Extended Update \nSupport \n Red Hat Enterprise Linux Fast Datapath Beta for Power, little \nendian \n Red Hat Enterprise Linux for Power, little endian \n Red Hat Ansible Engine \n Red Hat OpenShift Enterprise Application Node \n Red Hat Enterprise Linux for Power 9 \n Red Hat Software Collections (for RHEL Server for IBM Power LE) \n Red Hat OpenShift Container Platform for Power \n Red Hat Software Collections Beta (for RHEL Server for IBM Power \nLE) \n RHEL for SAP HANA for Power, little endian - Extended Update \nSupport \n Red Hat Beta \n Red Hat OpenShift Container Platform Client Tools for Power \n Red Hat Enterprise Linux Fast Datapath (for RHEL Server for IBM \nPower LE) \n RHEL for SAP for Power, little endian - Extended Update Support \n Red Hat Enterprise Linux for Power, little endian Beta \n Red Hat Container Native Virtualization \n Red Hat CodeReady Linux Builder for Power, little endian - Extended \nUpdate Support \nSKU: 111111111 \nContract: 111111111 \nPool ID: <POOL_ID> \nProvides Management: No \nAvailable: Unlimited \nSuggested: 1 \nService Level: Standard \nService Type: L1-L3 \nSubscription Type: Stackable \nStarts: 05/31/2019 \nEnds: 05/31/2020 \nSystem Type: Virtual \n\nc. Assign the OpenShift subscription: \n\n**subscription-manager attach --pool=<POOL_ID>**\nSuccessfully attached a subscription for: Red Hat OpenShift Container Platform for \nPower, LE Business Partner NFR, Self-Supported \n\nd. Enable only the repositories that are required by OpenShift Container Platform 3.11. \nFor IBM POWER9, run the commands that are shown in Example 6-2. For IBM \nPOWER8, run the commands that are shown in Example 6-3 on page 107. \n\nExample 6-2 OpenShift repositories for POWER9 servers \n\n**# subscription-manager repos --disable=\"*\"**\n**# subscription-manager repos \\**\n**--enable=\"rhel-7-for-power-9-rpms\" \\**\n**--enable=\"rhel-7-for-power-9-extras-rpms\" \\**", + "page_start": 121, + "page_end": 121, + "source_file": "sg248459.pdf" + }, + { + "text": "**Blackiron Data (Blackiron)**\nOn April 17, 2013, we closed an agreement to acquire 100% of the \ncommon shares of Blackiron for cash consideration of $198 million. \nBlackiron provides Business Solutions the ability to enhance its suite of \nenterprise-level data centre and cloud computing services along with \nfibre-based network connectivity services. \n\nNOTE 7: BUSINESS COMBINATIONS \n\nWe made several acquisitions in 2013, which we describe below. We \naccounted for these using the acquisition method of accounting in \naccordance with IFRS 3, Business Combinations, and included the \nthe acquired entities from the dates of \nresults of operations of \nincome. Goodwill \nacquisition in our consolidated statements of \nrecognized on these acquisitions is not tax deductible. It represents the \nexpected operational synergies with the business acquired and/or \nintangible assets that do not qualify to be recognized separately. \n\n**Score Media Inc. (theScore)**\nOn April 30, 2013, we received final regulatory approval to acquire \ntheScore. We had already paid $167 million on October 19, 2012 to \nobtain 100% of the common shares of theScore. These shares were \nheld in trust until we received regulatory approval and obtained control \nof the business. The acquisition builds on our sports broadcasting \ncapabilities and reinforces our delivery of premium sports content to its \naudiences on their platform of choice. \n\n**Transactions with Shaw Communications Inc. (Shaw)**\nIn January 2013, we entered into an agreement with Shaw to secure an \noption to purchase Shaw’s Advanced Wireless Services (AWS) spectrum \nholdings in 2014, and to acquire Mountain Cable, Shaw’s cable system \nin Hamilton, Ontario. As part of the agreement, Shaw acquired our \none-third equity interest in TVtropolis. \n\nWe also paid deposits totalling $45 million in late 2013 related to the \nacquisition of certain dealer stores, which closed on January 2, 2014. \nThis deposit is included in other long-term assets (note 15). The fair \nvalues of the assets acquired and liabilities assumed in this acquisition is \nunder review and expected to be finalized in the first quarter of 2014. \n\n**Pivot Data Centres (Pivot)**\nOn October 1, 2013, we purchased 100% of the common shares of \nPivot for cash consideration of $158 million. Pivot further positions \nBusiness Solutions as a leader in Canadian data centre and hosting \nservices and will enhance Business Solutions’ ability to serve key markets \nwith enhanced managed and cloud service offering. \n\n*Spectrum Licence Option Deposit*\nIn 2013, we paid total deposits of $250 million for the option to \npurchase Shaw’s AWS spectrum holdings pending regulatory approval, \nand included the deposits in other long-term assets in the consolidated \nstatements of financial position. Under the agreement, $200 million of \nthis balance is refundable if the transaction does not close. We do not \nexpect to exercise the spectrum licence option until late 2014, and it is \nsubject to approval by Industry Canada. \n**Other**\nIn 2013, we completed other individually immaterial acquisitions for \ntotal cash consideration of $40 million. \n\n*Acquisition of Mountain Cable*\nOn May 1, 2013, we closed the agreement with Shaw to purchase \n100% of the common shares of Mountain Cable for cash consideration \nof $398 million. Mountain Cable delivers a full bundle of advanced \ncable television, \nits recently \nupgraded hybrid fibre and coaxial cable network. The acquisition \nexpands our cable business in the Southern Ontario area and will allow \nus to drive synergies through a larger service area and cost efficiencies. \n\nInternet and telephony services over \n\n*Sale of TVtropolis*\nIn 2013, we closed the transaction to sell our one-third interest in \nTVtropolis after obtaining regulatory approval from the CRTC. We \nreceived proceeds of $59 million and recorded a gain of $47 million in \nother income.", + "page_start": 107, + "page_end": 107, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**Notices**\n\nThis information was developed for products and services offered in the U.S.A. \n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult \nyour local IBM representative for information on the products and services currently available in your area. Any \nreference to an IBM product, program, or service is not intended to state or imply that only that IBM product, \nprogram, or service may be used. Any functionally equivalent product, program, or service that does not \ninfringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to \nevaluate and verify the operation of any non-IBM product, program, or service. \n\nIBM may have patents or pending patent applications covering subject matter described in this document. The \nfurnishing of this document does not grant you any license to these patents. You can send license inquiries, in \nwriting, to: \n*IBM Director of Licensing, IBM Corporation, North Castle Drive, Armonk, NY 10504-1785 U.S.A.*\n\n**The following paragraph does not apply to the United Kingdom or any other country where such**\n**provisions are inconsistent with local law:**INTERNATIONAL BUSINESS MACHINES CORPORATION \nPROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR \nIMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, \nMERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some states do not allow disclaimer of \nexpress or implied warranties in certain transactions, therefore, this statement may not apply to you. \n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made \nto the information herein; these changes will be incorporated in new editions of the publication. IBM may make \nimprovements and/or changes in the product(s) and/or the program(s) described in this publication at any time \nwithout notice. \n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any \nmanner serve as an endorsement of those websites. The materials at those websites are not part of the \nmaterials for this IBM product and use of those websites is at your own risk. \n\nIBM may use or distribute any of the information you supply in any way it believes appropriate without incurring \nany obligation to you. \n\nAny performance data contained herein was determined in a controlled environment. Therefore, the results \nobtained in other operating environments may vary significantly. Some measurements may have been made \non development-level systems and there is no guarantee that these measurements will be the same on \ngenerally available systems. Furthermore, some measurements may have been estimated through \nextrapolation. Actual results may vary. Users of this document should verify the applicable data for their \nspecific environment. \n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published \nannouncements or other publicly available sources. IBM has not tested those products and cannot confirm the \naccuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the \ncapabilities of non-IBM products should be addressed to the suppliers of those products. \n\nThis information contains examples of data and reports used in daily business operations. To illustrate them \nas completely as possible, the examples include the names of individuals, companies, brands, and products. \nAll of these names are fictitious and any similarity to the names and addresses used by an actual business \nenterprise is entirely coincidental. \n\nCOPYRIGHT LICENSE:", + "page_start": 12, + "page_end": 12, + "source_file": "sg246915.pdf" + }, + { + "text": "**Trademarks**\n\nIBM, the IBM logo, and ibm.com are trademarks or registered trademarks of International Business Machines \nCorporation, registered in many jurisdictions worldwide. Other product and service names might be \ntrademarks of IBM or other companies. A current list of IBM trademarks is available on the web at “Copyright \nand trademark information” at http://www.ibm.com/legal/copytrade.shtml \n\nThe following terms are trademarks or registered trademarks of International Business Machines Corporation, \nand might also be trademarks or registered trademarks in other countries. \n\nAIX® \nCognos® \nDB2® \nGuardium® \nIBM® \nIBM Cloud™ \nIBM Cloud Pak™ \nIBM Services™ \nIBM Spectrum® IBM Z® \nIBM z Systems® \nOpenCAPI™ \nPOWER® \nPOWER8® \nPOWER9™ \nPowerHA® \nPowerVM® \nQRadar® \n\nRedbooks® \nRedbooks (logo) \nSystemMirror® \nTivoli® \nWebSphere® \nXIV® \nz Systems® \n\n® \n\nThe following terms are trademarks of other companies: \n\nThe registered trademark Linux® is used pursuant to a sublicense from the Linux Foundation, the exclusive \nlicensee of Linus Torvalds, owner of the mark on a worldwide basis. \n\nWindows, and the Windows logo are trademarks of Microsoft Corporation in the United States, other \ncountries, or both. \n\nJava, and all Java-based trademarks and logos are trademarks or registered trademarks of Oracle and/or its \naffiliates. \n\nAnsible, Gluster, JBoss, OpenShift, Red Hat, are trademarks or registered trademarks of Red Hat, Inc. or its \nsubsidiaries in the United States and other countries. \n\nUNIX is a registered trademark of The Open Group in the United States and other countries. \n\nVMware, and the VMware logo are registered trademarks or trademarks of VMware, Inc. or its subsidiaries in \nthe United States and/or other jurisdictions. \n\nOther company, product, or service names may be trademarks or service marks of others.", + "page_start": 9, + "page_end": 9, + "source_file": "sg248459.pdf" + } + ] + }, + { + "references": { + "source_file": "sg248459.pdf", + "query": "What does an ITMS service provide ?", + "target_page": 30, + "target_passage": "An IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**IT Service Management and orchestration**\nAn IT Service Management (ITSM) perspective can provide automation and a global \nmanagement view, and incorporate the necessary software disciplines that are required to \nbuild a solid infrastructure for an enterprise, commercial or not. \n\nThe missing point was the orchestration and the orchestration of all containers and resources \naround them. Many people think that orchestration and automation are the same thing, but \nthe orchestration is more complex. Automation often is discussed in the context of specific \ntasks, whereas orchestration refers to the automation of processes and workflows. \n\nOrchestration deals with the end-to-end process simplify the automation and the \nadministration across specific machines and diverse dependencies (see Figure 2-3). \nAutomation attempts to move people out of the equation whereas orchestration is not about \nrigid planning, but arranging and coordination of automated tasks, which ultimately results in \na consolidated process or workflow. Parts can be automated, but the decision is still \nhuman-centric; for example, the definition of which tasks must run, the order of the tasks, role \nassignments, permission, post-deployment, failure recovery, and scaling.", + "page_start": 29, + "page_end": 29, + "source_file": "sg248459.pdf" + }, + { + "text": "| E u r o n e t A t - A - G l a n c e\nOur Solutions Offerings\nNETWORK SERVICES\nEuronet’s Network Services division provides I ATM, POS and card outsourcing\ncomplete solutions for management and outsourcing I Europe’s largest independent ATM owner\nof distribution channels and transaction processing.\nI Euronet transaction network - Europe\nThese solutions include ATM networks, point-of-sale\nI Dash transaction network - USA\n(POS) services and card management, as well as\nI Cakra transaction network - Asia Pacific\naccess to all major payment gateways and mobile\noperators.\nEFT AND PAYMENTS SOFTWARE\nI ATM management\nEuronet’s suite of EFT and payment software offers I Bill payment\none of the most secure, seamlessly integrated, I Credit card solutions\nreal-time solutions for financial institutions. I Debit card management\nIntegration is essential for delivering data and I EMV support\nelectronic transactions for multiple touchpoints, such I POS and merchant management\nas ATMs, POS devices, interactive voice response I Switching and settlement software\n(IVR) systems, Internet and mobile devices. I Telephone banking\nMOBILE OPERATOR SOLUTIONS\nWith mobile phone ownership at an all time high, I Bank account access\nEuronet’s mobile operator solutions provide their I Mobile phone recharge\ncustomers easy access to payment options. Our\ntransactions expertise helps mobile operators supply\nconsumers with the convenience of any time, any\nplace transactions.\nM- & E-COMMERCE SOLUTIONS\nConsumers are expecting more personalized service I Account access\nthan ever before with instant access to financial\nI Bill payment\naccount information. Euronet’s Account Access\nI ePOS\nand Event Messaging products meet these demands\nI Event messaging service\nwith secure, efficient, integrated transaction and\nI Internet banking\ninformation delivery functions via mobile devices\nand the Internet.\nPROFESSIONAL SERVICES\nEuronet Worldwide is uniquely qualified to offer I Design\nprofessional consulting services because of our I Gap analysis\nday-to-day expertise as a secure transaction I Implementation\nprovider. Euronet’s Professional Services\nI Management\nOrganization (PSO) supports institutions with\nI Planning\nEDGE, our proprietary, structured and phased\nI Purchasing\nmethodology for implementing solutions.\n6 | | | |\n|---|---|---|---|", + "page_start": 7, + "page_end": 7, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "Use the management GUI to manage and service your system. Select**Monitoring**→**Events**\nto list events that should be addressed and maintenance procedures that walk you through \nthe process of correcting problems. Information in the Events window can be filtered in three \nways: \n\n(cid:2) Recommended Actions \n\nShows only the alerts that require attention. Alerts are listed in priority order and should be \nresolved sequentially by using the available fix procedures. For each problem that is \nselected, you can perform the following tasks: \n\n– Run a fix procedure \n– View the properties \n\n(cid:2) Unfixed Messages and Alerts \n\nDisplays only the alerts and messages that are not fixed. For each entry that is selected, \nyou can perform the following tasks: \n\n– Run a fix procedure \n– Mark an event as fixed \n– Filter the entries to show them by specific minutes, hours, or dates \n– Reset the date filter \n– View the properties \n\n(cid:2) Show All \n\nDisplays all event types whether they are fixed or unfixed. For each entry that is selected, \nyou can perform the following tasks: \n\n– Run a fix procedure \n– Mark an event as fixed \n– Filter the entries to show them by specific minutes, hours, or dates \n– Reset the date filter \n– View the properties \n\nSome events require a certain number of occurrences in 25 hours before they are displayed \nas unfixed. If they do not reach this threshold in 25 hours, they are flagged as*expired*. \nMonitoring events are below the coalesce threshold, and are usually transient. \n\n**Important:**The management GUI is the primary tool that is used to*operate*and*service*\nyour system. Real-time*monitoring*should be established by using SNMP traps, email \nnotifications, or syslog messaging on an automatic manner. \n\n**13.6.1 Managing event log**\n\nRegularly check the status of the system using the management GUI. If you suspect a \nproblem, first use the management GUI to diagnose and resolve the problem. \n\nUse the views that are available in the management GUI to verify the status of the system, the \nhardware devices, the physical storage, and the available volumes by completing the \nfollowing steps: \n1. Click**Monitoring**→**Events**to see all problems that exist on the system (see Figure 13-34 \non page 704).", + "page_start": 724, + "page_end": 724, + "source_file": "sg247938.pdf" + }, + { + "text": "**Cloud engineering**\nIn the same line of ITSM, the application of an engineering approach on cloud infrastructures \nhelped the clients and system administrators to integrate better and manage their day-to-day \nbusiness. \n\nCloud engineering focuses on cloud services, such as SaaS, PaaS, and IaaS. It is a \nmultidisciplinary method that includes the foundation of cloud, implementation, cloud \ndevelopment-delivery lifecycle, and management. \n\nAn orchestrator normally includes a range of technologies, products, and components, as \nshown in Figure 2-4. \n\n\n\nFigure 2-4 Example of Orchestration Components \n\nThe following cloud engineering disciplines are addressed by an orchestrator: \n\n(cid:2) Platform management \n(cid:2) Virtualization services \n(cid:2) Authentication and authorization services \n(cid:2) Resources management \n(cid:2) Disaster recovery \n(cid:2) Workload resilience \n(cid:2) Monitoring, usage, and accounting \n(cid:2) Configuration services \n(cid:2) Application lifecycle \n(cid:2) Service automation \n(cid:2) Service catalog", + "page_start": 30, + "page_end": 30, + "source_file": "sg248459.pdf" + }, + { + "text": "**Chapter 17. Content Federation Services for**\n**Content Manager OnDemand and**\n**IBM Enterprise Records**\n\nIn this chapter, we describe how to enable records management for an IBM Content Manager \nOnDemand (Content Manager OnDemand) solution. By default, report and document \nexpiration are controlled by the storage managers that are integrated with Content Manager \nOnDemand. By using the storage managers, you can assign a retention period at data \ncapture time. IBM Enterprise Records enhances retention capabilities with the flexibility to \nassign event-based retention and make a report or document an official compliant record to \nmeet numerous government regulations. \n\nIn this chapter, we cover the following topics: \n\n(cid:2) Content Federation Services for Content Manager OnDemand and IBM Enterprise \nRecords overview \n\n(cid:2) Administration of Content Federation Services for Content Manager OnDemand for \nEnterprise Records \n\n(cid:2) Content Federation Services for Content Manager OnDemand architecture \n\n(cid:2) Deployment considerations", + "page_start": 388, + "page_end": 388, + "source_file": "sg246915.pdf" + }, + { + "text": "**17.2 Administration of Content Federation Services for Content**\n\n**Manager OnDemand for Enterprise Records**\n\nConfigure Content Manager OnDemand for Content Federation Services to declare records \nby using Enterprise Records. You must disable expiration processes by the storage manager \nso that it cannot expire data. You must also convert application groups with an expiration type \nof DOCUMENT, SEGMENT, or STORAGE MANAGER to an expiration type of LOAD. \n\nTo configure Content Federation Services for Content Manager OnDemand, you must \nperform the following tasks: \n\n(cid:2) Enable Content Federation Services for Content Manager OnDemand. \n\n(cid:2) Identify the application groups where Content Federation will be enabled. \n\n(cid:2) Specify the application group field. \n\n(cid:2) Enable Content Federation permissions for the application group. \n\n(cid:2) Federate document metadata to Content Federation Services for Content Manager \nOnDemand. \n\nThese items are discussed in more detail in the following sections. \n\n**17.2.1 Enabling Content Federation Services for Content Manager OnDemand**\n\nAll of the steps in this section assume that IBM FileNet P8 and FileNet Content Federation \nServices are installed correctly. \n\nIn this section, we describe the components in Content Manager OnDemand to enable the \nfederation capabilities to allow record declaration in Enterprise Records. We assume that you \nare familiar with Content Manager OnDemand administration, so detailed steps are not \nprovided in this chapter. \n\nFor more information about the installation and configuration of FileNet P8 and FileNet \nContent Federation Services, see*Federated Content Management: Accessing Content from*\n*Disparate Repositories with IBM Content Federation Services and IBM Content Integrator*, \nSG24-7742. \n\nTo use IBM FileNet P8 Content Federation Services for Content Manager OnDemand, you \nmust enable the feature in Content Manager OnDemand by modifying the ars.cfg file and \nadding the following line: \n\nARS_SUPPORT_CFSOD=1 \n\nIn Content Manager OnDemand for Windows, you can enable IBM FileNet P8 Content \nFederation Services for Content Manager OnDemand by using the Content Manager \nOnDemand Administrator Client Configurator. Figure 17-1 on page 368 shows the Content \nManager OnDemand configuration setup for Content Federation Services for Content \nManager OnDemand.", + "page_start": 390, + "page_end": 390, + "source_file": "sg246915.pdf" + }, + { + "text": "**Service IP information**\nTo view the Service IP information of your IBM Spectrum Virtualize, select**Settings**→ \n**Network**, as shown in Figure 5-56 on page 166. Click the**Service IP Address**option to view \nthe properties, as shown in Figure 5-58. \n\nFigure 5-58 Viewing service IP address \n\nThe service IP address is commonly used to provide access to the network interfaces on \neach individual node of the control enclosure. \n\nInstead of reaching the Management IP address, the service IP address directly connects to \neach individual node canister for service operations. You can select a node canister of the \ncontrol enclosure from the drop-down list and then click any of the ports that are shown in the \nGUI. The service IP address can be configure to support IPv4 or IPv6. \n\n**iSCSI information**\nFrom the iSCSI pane in the Settings menu, you can display and configure parameters for the \nsystem to connect to iSCSI-attached hosts, as shown in Figure 5-59 on page 168.", + "page_start": 188, + "page_end": 188, + "source_file": "sg247938.pdf" + }, + { + "text": "You can read high level explanations of the core services here, and an example of how they interact \n\nwithin the context of an example microservice, or you can choose to skip ahead to the hands on \n\nworkshop that uses three common services to build a working microservice.", + "page_start": 33, + "page_end": 33, + "source_file": "serverless-core.pdf" + }, + { + "text": "**Copy services topology**\nOne or more clusters can participate in a copy services relationship. One typical and simple \nuse case is disaster recovery, where one site is active and another performs only a disaster \nrecovery function. In such a case, the solution topology is simple, with one cluster per site and \nuniform replication direction for all volumes. However, multiple other topologies are possible \nthat allow you to design a solution that optimally fits your set of requirements. For more \ninformation about examples of valid relationships between systems, search for “Metro Mirror \nand Global Mirror partnerships” at this IBM Knowledge Center web page. \n\n**Global Mirror versus Metro Mirror**\nDecide which type of copy service you are going use. This decision should be requirements \ndriven. Metro Mirror allows you to prevent any data loss during a system failure, but has more \nstringent requirements, especially regarding intercluster link bandwidth and latency, and \nremote site storage performance. Also, it incurs performance penalty because writes are not \nconfirmed to host until data reception confirmation is received from the remote site. \n\nBecause of finite data transfer speeds, this remote write penalty grows with the distance \nbetween the sites. A point-to-point dark fiber-based link typically incurs a round-trip latency of \n1 ms per 100 km (62.13 miles). Other technologies provide longer round-trip latencies. \nInter-site link latency defines the maximum distance for any performance level. \n\nGlobal Mirror allows you to relax constraints on system requirements at the cost of using \nasynchronous replication, which allows the remote site to lag behind the local site. Choice of \nthe replication type has major effects on all other aspects of the copy services planning. \n\nThe use of Global Mirror and Metro Mirror between the same two clustered systems is \nsupported. \n\nIf you plan to use copy services to realize some application function (for example, disaster \nrecovery orchestration software), review the requirements of the application you plan to use. \nVerify that the complete solution is going to fulfill supportability criteria of both IBM and the \napplication vendor. \n\n**Intercluster link**\nThe local and remote clusters can be connected by FC, FCoE, or IP network. The IP network \ncan be used as a carrier for FCoIP solution or as a native data carrier. \n\nEach of the technologies has its own requirements concerning supported distance, link \nspeeds, bandwidth, and vulnerability to frame or packet loss. For the most current information \nregarding requirements and limitations of each of supported technologies, see this website. \n\nThe two major parameters of a link are its bandwidth and latency. Latency might limit \nmaximum bandwidth available over IP links, depending on the details of the technology that is \nused. \n\nWhen planning the Intercluster link, consider the peak performance that is required. This \nconsideration is especially important for Metro Mirror configurations. \n\nWhen Metro Mirror or Global Mirror is used, a certain amount of bandwidth is required for the \nIBM Storwize V7000 intercluster heartbeat traffic. The amount of traffic depends on how \nmany nodes are in each of the two clustered systems.", + "page_start": 97, + "page_end": 97, + "source_file": "sg247938.pdf" + }, + { + "text": "In some cases the user might experience the display of an error message. The geo-spatial \nvisualization tries to support all flavors of external services but cannot guarantee to work with \nbroken services. In these situations an error message dialog is presented and the user can decide if a \nsupport ticket shall be opened (see Figure 8).", + "page_start": 40, + "page_end": 40, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + } + ] + }, + { + "references": { + "source_file": "Publicdomain.pdf", + "query": "What are the two distinct public domain tools support by Creative Commons ?", + "target_page": 1, + "target_passage": "Creative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn \nOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open \nand public domain works. View full licensing and attribution information about all works included in the \nvideo on Flickr.", + "page_start": 11, + "page_end": 11, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \n\nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4 \n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as defined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be beneficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5 \n\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this \n4 \nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements. \n\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - \n5 \ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "**Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \n\nThe benefits are relatively straightforward. Both categories, by definition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \n\nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \n\nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \n For instance, relying on books from before 1929 would not \ncontent available for AI training. \nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. \n\n30 \n\n 31 \n\n*5b. Limitations & Exceptions*\n\n**Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited specifically for AI \ntraining, it is an existence proof for what such a resource might look like. \n\n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable \n30 \nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate,*Here’s Proof You Can Train an AI Model Without Slurping*\n*Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai- \nwithout-slurping-copyrighted-content/. \n\n Our workshop discussion did note that some widely available datasets for AI training have also \n31 \npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.”*ArXiv (Cornell University)*, 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", + "page_start": 13, + "page_end": 13, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***6. Cross-cutting design questions***\n\nThe workshops briefly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \n\n*Would authors, publishers, and other relevant rightsholders*\n*and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \n\nWhile a system that required affirmative “opt-in” consent would limit utility significantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so significant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \n\nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. \n Opt-outs might be more granular, by focusing on allowing or forbidding particular \nuses or other categories of users, given that rights holders have many different sets of \npreferences. \n\n38 \n\nAnother question is about*who*can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n\n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the \n38 \nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.", + "page_start": 17, + "page_end": 17, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***4. Copyright, Licensing, & Access to Books for***\n***Training***\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the \ndevelopment of a books data commons would necessarily need to navigate and comply with \ncopyright law. \n\n**Out-of-Copyright Books:**A minority of books are old enough to be in the public domain and \nout of copyright, and an AI developer could use them in training without securing any \ncopyright permission. In the United States, all books published or released before 1929 are in \nthe public domain. While use of these books provides maximal certainty for the AI developer \nto train on, it is worth noting that the status of whether a book is in the public domain can be \ndifficult to determine. \n For instance, books released between 1929 and 1963 in the U.S. are \nout of copyright if they were not subject to a copyright renewal; however, data on copyright \nrenewals is not easily accessible. \n\n14 \n\nWhat’s more, copyright definitions and term lengths vary among countries. Even if a work is \nin the public domain in the US, it may not be in other countries. \n Countries generally use the \nlife of the last living author + “x” years to determine the term of copyright protection. For \nmost countries, “x” is either 50 years (the minimum required by the Berne Convention) or 70 \nyears (this is the case for all member states of the European Union and for all works \npublished in the U.S. after 1978). This approach makes it difficult to determine copyright \nterms with certainty because it requires information about the date of death of each author, \nwhich is often not readily available. \n\n15 \n\n**In-Copyright Books:**The vast majority of books are in copyright, and, insofar as the training \nprocess requires making a copy of the book, the use in AI training may implicate copyright \nlaw. Our workshop covered three possible paths for incorporating such works. \n\n**Direct licensing**\n\nOne could directly license books from rightsholders. There may be some publishers who are \nwilling to license their works for this purpose, but it is hard to determine the scale of such \naccess, and, in any event, there are significant limits on this approach. Along with the \nchallenge (and expense) of reaching agreements with relevant rightsholders, there is also the \npractical difficulty of simply identifying and finding the rightsholder that one must negotiate \n\n For a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler.*Finding the Public Domain:*\n\n14 \n*Copyright Review Management System Toolkit*. 2016, quod.lib.umich.edu/c/crmstoolkit/ \n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. “LibGuides: Copyright at Cornell Libraries: \nCopyright Term and the Public Domain.” guides.library.cornell.edu/copyright/publicdomain; \nMannapperuma, Menesha, et al.*Is It in the Public Domain? A HANDBOOK for EVALUATING the*\n*COPYRIGHT STATUS of a WORK CREATED in the UNITED STATES*. 1923. \n\n See e.g. Moody, Glyn. “Project Gutenberg Blocks Access in Germany to All Its Public Domain Books \n\n15 \nbecause of Local Copyright Claim on 18 of Them.”*Techdirt*, 7 Mar. 2018, www.techdirt.com/ \n2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-local- \ncopyright-claim-18-them/. Accessed 20 Mar. 2024.", + "page_start": 8, + "page_end": 8, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "***5. Examining approaches to building a books data***\n***commons***\n\nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n\n*5a. Public domain and permissively licensed books*\n\n**Existing Project Example : The Pile v2**\n27 \n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28 \n\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \n\nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \n 29 \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. \nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non-fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n\n This is an illustrative example, and there are also other projects of this ilk. For instance, see the \n\n27 \nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co/blog/Pclanglais/common-corpus; see also https://huggingface.co/datasets/ \nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”) \n\n See Gao et al, supra note 8. \n28 \n\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and \n29 \n“Substantially Better.”*VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai- \ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", + "page_start": 12, + "page_end": 12, + "source_file": "creative_common_ai.pdf" + } + ] + }, + { + "references": { + "source_file": "Publicdomain.pdf", + "query": "What is Creative Commons ?", + "target_page": 1, + "target_passage": " Creative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0. \n\n**About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC \nLicenses and public domain tools, which power open sharing on popular \nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. \nSince 2002, the CC Licenses have served as an alternative to traditional \ncopyright, providing a simple, standardized, and legal way for individuals and \ninstitutions to freely share images, music, research, educational resources, and \ncultural artifacts. \n\n**Chief Executive Officer**\nAnna Tumadóttir \n\n**General Counsel**\nKat Walsh \n\n**Board of Directors**\n\nMarta Belcher \nGlenn Otis Brown \nDelia Browne \nJames Grimmelmann \nLawrence Lessig**Emeritus* Angela Oduor Lungati \nBilal Randeree \nAlek Tarkowski \nJeni Tennison \nLuis Villa", + "page_start": 1, + "page_end": 1, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "| | Understanding\nCreative Commons\nlicense\nbefore licensing your work | |\n|---|---|---|\n| | Understanding Creative Commons license before licensing your work | |\n| | | |\n| | THREE-LAYER DESIGN Creative Commons (CC) license has three layers: \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license. | |\n| | FOUR ELEMENTS BY (\"Attribution\"): users must credit the author of the work they are using. BY NC SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of SA ND the work. | |\n| | SIX LICENSES » open share, commercialize CC BY (\"Attribution\") allows people to use the work for any purpose (even & more commercially and even in modified form) as long as they give attribution to the remix, can creator. you CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or & a compatible license. share only CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for remix noncommercial purposes only, and only as long as they give attribution to the can creator. you CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to only the creator and make any adaptations they share with others available under the restrictive same or a compatible license. share CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for can any purpose (even commercially), as long as they give attribution to the creator. more you CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the « unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor. | |\n| | REMIND THAT… CC license only applicable to the work that is within the scope of copyright law. CC license can be used when … you want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work. | |\n| | CC LICENSE CAN'T BE USED FOR … fair use, fair dealing, or some other limitation and exception to copyright applies the the work. ALSO FOR … the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\"). | |\n| | NOW, SHARE YOUR WORK! https://creativecommons.org/choose/ Texts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies. | |", + "page_start": 0, + "page_end": 0, + "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" + }, + { + "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn \nOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open \nand public domain works. View full licensing and attribution information about all works included in the \nvideo on Flickr.", + "page_start": 11, + "page_end": 11, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**A Note from Leadership**\n\n\n\n2023 was a busy year at Creative \nCommons. Our**Open Culture**program \nand**Open Climate Campaign**entered \ntheir third and second years, respectively. \nWe hosted our first in-person CC Global \nSummit since 2019 in Mexico City. We \nheld critical consultations and open \npanels on AI, copyright, and the CC \nLicenses, cultural heritage, education, \nand science; and we launched our**Open**\n**Infrastructure Circle**in an effort to \nensure the CC Licenses are funded well \ninto the future. \n\nWe also marked transitions in leadership. \nAt the end of December, Catherine Stihler \nconcluded her time as Chief Executive \nOfficer (CEO) at Creative Commons, and I \ntransitioned in as Interim. In March 2024, I \nwas appointed CC’s permanent CEO. I \nlook forward to working closely with our \nBoard of Directors, staff, and larger \ncommunity on**the critical work that**\n**awaits us in 2024**. \n\n\n\n**Anna Tumadóttir, CEO**", + "page_start": 2, + "page_end": 2, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "**Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast**six CC Licenses**and \ntwo public domain tools, setting a global standard for sharing. \n\n**We’ve estimated that over 2.5 billion pieces of content**\n**were CC Licensed by the end of 2023.**\n\nOur legal and technology staff \ncontinued to make key \ninfrastructure updates and \nmanage daily maintenance to \nensure these Licenses work for \neveryone. \n\n**In 2023, we**\n**launched the Open**\n**Infrastructure Circle**\n**(OIC) to ensure**\n**consistent funding**\n**for this work.**\n\n\n\nWe’re grateful to the early \nsupporters of the OIC, \nincluding the William + Flora \nHewlett Foundation, Bill & \nMelinda Gates Foundation, \nFilecoin Foundation for the \nDecentralized Web, Robert \nWood Johnson Foundation, \nChan Zuckerberg Initiative, \nEndless, Siegel Family \nEndowment, Flickr, Microsoft, \nand Paul and Iris Brest.", + "page_start": 3, + "page_end": 3, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \n\nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4 \n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as defined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be beneficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5 \n\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this \n4 \nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements. \n\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - \n5 \ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.", + "page_start": 2, + "page_end": 2, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "**Areas of Exploration**\n\n**Support for Creators in the**\n**Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via \nroundtables, community conferences \n(e.g.**MozFest**,**Wikimania**), and public \nevents (e.g. symposium on**Generative**\n**AI & Creativity**)to debate copyright law, \nthe ethics of open sharing, and other \nrelevant areas that touch AI. \n\nAt our CC Global Summit, participants \ndrafted**community-driven principles**\non AI that are a valuable input and will \nhelp inform the organization’s thinking \nas we determine CC’s exact role in the AI \nspace. \n\n\n\n“The Pillars of Creation” by \nJames Webb Space Telescope \nis licensed under CC BY 2.0.", + "page_start": 8, + "page_end": 8, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + }, + { + "text": "***6. Cross-cutting design questions***\n\nThe workshops briefly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \n\n*Would authors, publishers, and other relevant rightsholders*\n*and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \n\nWhile a system that required affirmative “opt-in” consent would limit utility significantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so significant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \n\nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. \n Opt-outs might be more granular, by focusing on allowing or forbidding particular \nuses or other categories of users, given that rights holders have many different sets of \npreferences. \n\n38 \n\nAnother question is about*who*can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n\n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the \n38 \nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.", + "page_start": 17, + "page_end": 17, + "source_file": "creative_common_ai.pdf" + }, + { + "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \n\nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \n\n*Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n\n•**Defining and ensuring acceptable and ethical use:**Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. \n One can imagine more fine-grained \nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n\n39 \n\n•**Charging for use to support sustainability of the training corpus itself:**While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40 \n\n•**Ensuring benefits of AI are broadly shared, including with book authors or**\n**publishers:**The creation of a training resource might \nlower barriers to the \ndevelopment of AI tools, and in that way support broadly shared benefits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a significant challenge, \nAI might not look much different, and the benefits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n\n For examples of gated access to AI models, see https://huggingface.co/docs/hub/en/models-gated. \n39 \n\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume \n40 \ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/ \nwiki/Wikimedia_Enterprise.", + "page_start": 18, + "page_end": 18, + "source_file": "creative_common_ai.pdf" + } + ] + }, + { + "references": { + "source_file": "Publicdomain.pdf", + "query": "How to apply the PDM to my work ?", + "target_page": 1, + "target_passage": "Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "CC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \n\nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries. \n\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible. \n\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \n\nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work. \n\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \n\nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law. \n\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain. \n\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions. \n\nWhere public domain tools fit in the copyright spectrum \n\nCC0 \nPublic \ndomain \nSome rights \nreserved All rights \nreserved \n\nPDM \nNo known \ncopyright \n\nWhat Is Creative Commons? \nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate. \n\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.” \n\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments. \n\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http://creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website. \n\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \n\nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission. \n\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http://creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website. \n\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.", + "page_start": 0, + "page_end": 0, + "source_file": "Publicdomain.pdf" + }, + { + "text": "**10.6 Submit inventory (PM)**\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after \nbeing approved by the NFP (See section 10.5). \n\n**10.6.1 Submit select tables for preparing the general submission**\n\n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the box under column “Working inventory” (figure 68, a). \n***Note: The selected inventory year to be submitted should be in status “approved” (figure 68, b). \n5. Click on “Work on Inventories” under Submission Management (figure 68, c). \nThis opens the Submit Inventory initial screen (figure 69). \n\n6. Click the inventory year to be submitted (figure 69, a). \n7. Press the “Generate Official Submission” button (figure 69, c). \n\n***Figure 68. View Inventories Progress screen – select inventory for the preparation for the general submission***", + "page_start": 41, + "page_end": 41, + "source_file": "maiis-user-manual.pdf" + }, + { + "text": "**Installation**\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the \nclient. \n\nIf you install the client after you install Adobe Acrobat, the installation program copies the \napplication programming interface (API) file to the Acrobat plug-in directory. \n\nIf you install the client before you install Adobe Acrobat, you must copy the API file to the \nAcrobat plug-in directory manually. \n\nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat \nplug-in directory. \n\nThe default location of the ARSPDF32.API file is: \n\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF \n\nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat \n*x.y*\\Acrobat\\plug_ins. The variables*x.y*represent the version of Acrobat, for example, \nC:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug_ins. \n\n**Graphical indexer example**\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports \nwithin the application component of Content Manager OnDemand in a similar way to defining \nthem for line data. This section serves as an introduction to the PDF graphical indexer by \nstepping through an example of indexing a PDF document. \n\nThe example describes how to use the graphical indexer from the report wizard to create \nindexing information for an input file. The indexing information consists of a trigger that \nuniquely identifies the beginning of a document in the input file and the fields and indexes for \neach document. We elaborate on this example by clarifying several of the instructions, and \nthroughout each step, we add important hints, tips, and explanations. \n\nThe process consists of these steps: \n\n1. Start the Administrator Client and log on to a server. \n\n2. Start the report wizard. Click the report wizard icon on the toolbar. \n\n3. \nIn the Sample Data window, select**PDF**from the drop-down list of data types, and then \nclick**Select Sample Data**. \n\n4. \nIn the Open window, enter the name or full path name of your file in the space that is \nprovided or use the**Browse**option to locate your PDF file. \n\n5. Click**Open**. The graphical indexer opens the input file in the report window. \n\nIf the PDF data fails to display, or an error message, such as the message that is shown in \nFigure 7-2, is displayed, you must follow the steps in “Installation” on page 169 to verify \nthat the API file is in the correct Acrobat plug-in directory.", + "page_start": 192, + "page_end": 192, + "source_file": "sg246915.pdf" + }, + { + "text": "**Tasks:** **Completed:**\n\n*Before starting this exercise you MUST have completed all of the topics in*\n*the chapter Creating Charts…*\n\n \n \n \n \n Open the workbook called***PE_Creating Charts.xlsx***(it can be found in the \n Create a***Clustered Column***chart showing the sales of products for the \n Drag the chart down below the data and resize it so that it is the same \n Change the chart type to***3-D Stacked Column***and change the chart title \n\nsame folder as the student files) \n\nmonths of***January***through to***June***\n\nwidth as the data, keeping the proportions as far as possible \n\nto***Sales***\n\n*The chart should appear as shown in sample A on the following page...*\n\n Create a***Pie in 3-D***chart of the products and their totals then place it on its \n Change the***Chart Title***to***Product Sales***\n Change the layout to***Layout 6***\n Print the pie chart \n Use the***Save As***command to save the workbook as***PE_Creating Charts***\n***(Completed).xlsx***\n\n\n\nown chart sheet called***Product Sales***\n\n*PE_Creating Charts.xlsx*\n**Files required for**\n**exercise:**\n\n*PE_Creating Charts (Completed).xlsx, 1 printed copy of the Product Sales*\n*chart* **Files/work created by**\n**student:**\n\n**Exercise Completed:**", + "page_start": 58, + "page_end": 58, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**9.1.3 How to convert the data**\n\nContent Manager OnDemand uses the Generic Transform Interface to integrate Content \nManager OnDemand with third-party transform solutions. \n\nConsider the following information about target flows: \n\n(cid:2) HTML might be used with the same intent, but an HTML document is not always displayed \nidentically, depending on the web browser that is used. Additional testing that includes \nyour needs and the encountered environments might be necessary for validation before \nthe implementation. \n\n(cid:2) PDF might be used as a way to make documents available through standard and \n\nno-charge tools, such as Adobe Acrobat Reader. The transformed documents must be \ndisplayable, saveable, and printable the same way regardless of the environment on which \nthe user works. \n\n(cid:2) XML is an intermediate text-based data format for the manipulation of documents, \n\nregardless of the source data stream, and displays the documents totally or partially in a \npersonalized way. The use of XML usually involves additional development, including \nscripts and stylesheets. \n\n**9.2 Generic Transform Interface**\n\nContent Manager OnDemand uses the Generic Transform Interface to manage third-party \ndata transforms for the Content Manager OnDemand Web Enablement Kit (ODWEK) \napplication programming interface (API) set. This interface is used with the document retrieval \nAPIs. \n\nThe ODWEK Java API provides industry-standard Java classes that can be used by a \ncustomer to write a custom web application that can access data that is stored on the Content \nManager OnDemand server. This custom application can, for example, permit the user to log \non to a Content Manager OnDemand server, get a list of folders, search a specific folder, \ngenerate a hit list of matching documents, and retrieve those documents for viewing. Many \nAPIs provide advanced functionalities. \n\nFor more information, see the following resources: \n\n(cid:2) IBM TechDoc*Best practices for building Web Applications using IBM Content Manager*\n*OnDemand Java APIs*: \n\nhttps://www.ibm.com/support/techdocs/atsmastr.nsf/WebIndex/WP101203 \n\nThis document, which is prepared by the Content Manager OnDemand development \nteam, provides recommendations about how to use the ODWEK Java APIs. Use this \ndocument to understand how the ODWEK Java APIs interface with the Java virtual \nmachine (JVM) and Content Manager OnDemand systems to avoid common coding \nmistakes. \n\n(cid:2)*IBM Content Manager OnDemand Web Enablement Kit Java APIs: The Basics and*\n*Beyond*, SG24-7646: \n\nThis publication provides basic and advanced information about how to use the ODWEK \nJava APIs to develop custom applications.", + "page_start": 232, + "page_end": 232, + "source_file": "sg246915.pdf" + }, + { + "text": "*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the*\n*file E1317*\n*Charting_7.xlsx...*\n Click on the***Revenue***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it and display \nthe chart commands on \nthe ribbon \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Change***\n***Chart Type***in the***Type***\ngroup to display the \n***Change Chart Type***\ndialog box \n\n Click on***3-D Column***, \n Click on**[OK]**to apply \n Click on the***Chart Data***\n\nas shown \n\nthe change to the chart \n\nworksheet tab to return \nto the worksheet \n\n\n\n\n\n\n\n\n\n **4**\n\n**Handy to Know…**\n You can use***Change Chart Type***in the \n***Type***group on the***CHART TOOLS:***\n***DESIGN***tab for either embedded charts or \ncharts that have their own worksheet tabs. \n\n**For Your Reference…**\nTo***change***the***chart type***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Change Chart Type***in the \n***Type***group \n\n3. Click on the desired chart and click on**[OK]**", + "page_start": 52, + "page_end": 52, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "Select one of the following types of relationships that you want to create or add, as shown \nin Figure 11-126, and click**Next**: \n\n– Metro Mirror \n– Global Mirror (with or without Consistency Protection) \n– Global Mirror with Change Volumes", + "page_start": 603, + "page_end": 603, + "source_file": "sg247938.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the*\n*previous file with this*\n*exercise, or open the file*\n*E1317 Charting_8.xlsx...*\n***e***\n***m***\n***a***\n***S***\n\n***e***\n***l***\n***i***\n***F***\n\n Click on the***Revenue***\n\n***Chart***worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \n***CHART TOOLS:***\n***DESIGN***and***CHART***\n***TOOLS: FORMAT***tabs \n\n Click on the***CHART***\n\n***TOOLS: DESIGN***tab, \nthen click on***Quick***\n***Layout***in the***Chart***\n***Layouts***group to display \na gallery of layout \noptions \n\n Click on***Layout 3***to \napply this chart layout to \nthe chart \n\n Repeat steps***2***and***3***to \n\nselect other***chart***\n***layouts***and see how \nthey appear when \napplied to the chart \n\n**5**\n\n Click on***Quick Layout***in \nthe***Chart Layouts***group \nand click on***Layout 5***\n\n Click on the***Chart Data***\nworksheet tab to display \nthis worksheet \n\n\n\n\n\n\n\n**Handy to Know…**\n***Chart layouts***are predefined themes \n\ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n\n**For Your Reference…**\nTo***change***the***chart layout***: \n\n1. Ensure the chart or chart sheet is selected \n2. Click on the***CHART TOOLS: DESIGN***tab, \nthen click on***Quick Layout***in the***Chart***\n***Layouts***group \n\n3. Select the desired layout", + "page_start": 53, + "page_end": 53, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "**Chapter 2. Setting up a Content Manager**\n\n**OnDemand instance**\n\nThis chapter provides guidelines for implementing Content Manager OnDemand as a single \ninstance. \n\nIn this chapter, we cover the following topics: \n\n(cid:2) Introduction \n\n(cid:2) Architecture and platform \n\n(cid:2) Implementing a Content Manager OnDemand instance on a multiplatform UNIX \nenvironment \n\n(cid:2) Implementing a Content Manager OnDemand instance on IBM i \n\n(cid:2) Implementing a Content Manager OnDemand instance on z/OS", + "page_start": 38, + "page_end": 38, + "source_file": "sg246915.pdf" + }, + { + "text": "**2 Approach**\n\nThe approach used for this User Manual was based on the identification of the main user functions of \nthe Portal and the description of each function from the user’s perspective in terms of “*How to*…”. \n\nEach main function documentation consists of a screen snapshot, the steps required to execute the \nfunction and optionally a screenshot with the results. \n\n| | | | | Module Name | | | Function | |\n|---|---|---|---|---|---|---|---|---|\n| | | | | Module Name | | | Function | |\n| 1 | | | Portal HomePage | | | - How to browse through the Editorial Content (how to access Resources on Open Data: eLearning modules, Training Companion, Reports about Open Data) - How to view / search for “Latest News” - How to view / search for “Open Data Events” - How to subscribe to the EDP Newsletter - How to view “Tweets” on the EDP - How to switch to another User Language | | |\n| | | | | | | - How to search for EDP Site Content | | |\n| | | | | | | - How to search for Datasets by Data Category - How to search for Datasets by Keyword | | |\n| 2 | | | Datasets (Data Platform) | | | Entering the Datasets-View | | |\n| | | | | | | How to filter datasets by using “Faceted Search” | | |\n| | | | | | | How to store personal queries | | |\n| | | | | | | How to filter datasets by geographical area | | |\n| | | | | | | How to download dataset distributions | | |\n| | | | | | | How to view licensing information | | |\n| | | | | | | How to switch to another user language | | |\n| | | | | | | How to browse by data catalogues | | |\n| 3 | | | Visualization of Geo-Spatial Data (map.apps) | | | How to visualize geo-spatial data from a dataset resource | | |\n| 4 | | | Graphical Data Visualisation Tool | | | How to visualize graphical data from a dataset resource | | |\n| 5 | | | Help Desk | | | How to contact The Portal’s Help Desk | | |\n| 6 | | | Metadata Quality Assurance (MQA) | | | Monitoring tool for the metadata quality: ‐ The Global Dashboard View ‐ The Catalogue details view | | |\n| 7 | | | SPARQL Manager | | | How to run SPARQL Queries using: - SPARQL Search | | |", + "page_start": 5, + "page_end": 5, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia4.pdf", + "query": "Which rivers flow through Lyon?", + "target_page": 1, + "target_passage": "It is located at the confluence of the rivers Rhône and Saône, ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Lyon**\n\n**Lyon**[c] (Franco-Provençal:*Liyon*) is the second-largest city in France \nby urban area and the third largest by city limits.[14] It is located at the \nconfluence of the rivers Rhône and Saône, to the northwest of the \nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north \nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km \n(36 mi) northeast of Saint-Étienne. \n\n**Lyon**\n\n*Liyon*(Arpitan) \n\n**Prefecture and commune**\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census \nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but \ntogether with its suburbs and exurbs the Lyon metropolitan area had a \npopulation of 2,308,818 that same year,[7] the second most populated in \nFrance. Lyon and 58 suburban municipalities have formed since 2015 \nthe Metropolis of Lyon, a directly elected metropolitan authority now in \ncharge of most urban issues, with a population of 1,424,069 in 2021.[16] \nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of \nthe Departmental Council of Rhône (whose jurisdiction, however, no \nlonger extends over the Metropolis of Lyon since 2015). \n\nSkyline of Lyon in La Part-Dieu \n\n\n\n\n\n\n\n\n\n\n\n\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of \nan archbishopric whose holder bears the title of Primate of the Gauls. \nLyon became a major economic hub during the Renaissance. The city is \nrecognised for its cuisine and gastronomy, as well as historical and \narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière \nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on \nthe UNESCO World Heritage List. Lyon was historically an important \narea for the production and weaving of silk. Lyon played a significant \nrole in the history of cinema since Auguste and Louis Lumière invented \nthe cinematograph there. The city is also known for its light festival, the \nFête des lumières, which begins every 8 December and lasts for four \ndays, earning Lyon the title of \"Capital of Lights\". \n\nis a major centre for banking, chemical, \nEconomically, Lyon \npharmaceutical and biotech industries. The city contains a significant \nsoftware industry with a particular focus on video games; in recent years \nit has fostered a growing local start-up sector.[17] The home of renowned \nuniversities and higher education schools, Lyon is the second-largest \nstudent city in France, with a university population of nearly 200,000 \nstudents within the Metropolis of Lyon.[18] Lyon hosts the international \nheadquarters of Interpol, the International Agency for Research on \nCancer, as well as Euronews. According to the Globalization and World \nRankings Research Institute, Lyon is considered a Beta city, as of \n2018.[19] It ranked second in France and 40th globally in Mercer's 2019 \nliveability rankings.[20] \n\nFlag \nCoat of arms \n\nMotto(s):*Avant, avant, Lion le melhor*\n(old Franco-Provençal for \"Forward, forward, \nLyon the best\")[a] \n*Virtute duce, comite fortuna*\n(\"With virtue as guide and fortune as \ncompanion\")[b] \n\n**Location of Lyon**", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia4.pdf" + }, + { + "text": "500/km2 (1,300/sq mi) \n\n**Time zone**\n**• Summer (DST)** UTC+01:00 (CET) \nUTC+02:00 (CEST) \n\n**INSEE/Postal code**\n\n69123 (https://www.inse \ne.fr/fr/statistiques/14055 \n99?geo=COM-69123) \n/69001-69009 \n\n162–349 m (531– \n1,145 ft) \n\n**Website**\nlyon.fr (https://www.lyon. \nfr/) \n\n**1**French Land Register data, which excludes \nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or \n247 acres) and river estuaries. \n\n**• Metro density**\n\nEarly Christians in Lyon were martyred for their beliefs under the reigns \nof various Roman emperors, most notably Marcus Aurelius and \nSeptimius Severus.[28] Local saints from this period include Blandina, \nPothinus, and Epipodius, among others. The Greek Irenaeus was the \nsecond bishop of Lyon during the latter part of the second century.[29] \nTo this day, the archbishop of Lyon is still referred to as \"*Primat des*\n*Gaules*\".[30] \n**Elevation**\n\nBurgundians fleeing the destruction of Worms by the Huns in 437 were \nre-settled in eastern Gaul. In 443 the Romans established the Kingdom \nof the Burgundians, and Lugdunum became its capital in 461. In 843, \nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor \nLothair I. It later was made part of the Kingdom of Arles which was \nincorporated into the Holy Roman Empire in 1033. Lyon did not come \nunder French control until the \n14th century. \n\n**Timeline of Lyon**\n**Historical affiliations**\n\n\n\n**Modern Lyon**\n\n Roman Empire (Gallia Lugdunensis), 43 \n\nBC-286 \n\nFernand Braudel \nremarked, \n\"Historians of Lyon are not \nthe bi- \nsufficiently aware of \npolarity between Paris and Lyon, \nwhich is a constant structure in \nFrench development...from \nthe \nlate Middle Ages to the Industrial \nRevolution\".[31] In the late 15th century, the fairs introduced by Italian \nmerchants made Lyon the economic counting house of France. Even the \n*Bourse*(treasury), built in 1749, resembled a public bazaar where \naccounts were settled in the open air. When international banking moved \nto Genoa, then Amsterdam, Lyon remained the banking centre of \nFrance. \n\n Western Roman Empire (Gallia \n\nLugdunensis), 286-411 \n\n Kingdom of the Burgundians, 411–534 \n Francia, 534–843 \n Middle Francia, 843–855 \n Lotharingia, 855–879 \n Lower Burgundy, 879-933 \n Kingdom of Arles, 933–1312 \n Kingdom of France (Lyonnais), 1312– \n\nThe Roman-era Theatre on the \nFourvière Hill \n\n1792 \n\n French First Republic, 1792–1793 \n Counter-revolutionary, 1793 \n French First Republic, 1793–1804 \n First French Empire, 1804–1814 \n Kingdom of France, 1814–1815 \n First French Empire, 1815 \n Kingdom of France, 1815–1830 \n Kingdom of France, 1830–1848 \n French Second Republic, 1848–1852 \n Second French Empire, 1852–1870 \n French Third Republic, 1870–1940 \n Vichy France, 1940–1944 \n French Fourth Republic, 1944–1958 \n France, 1958–present \n\n\n\nDuring the Renaissance, the city's development was driven by the silk \ntrade, which strengthened its ties to Italy. Italian influence on Lyon's \narchitecture is still visible among historic buildings.[32] In the late 1400s \nand 1500s Lyon was also a key centre of literary activity and book \npublishing, both of French writers (such as Maurice Scève, Antoine \nHeroet, and Louise Labé) and of Italians in exile (such as Luigi \nAlamanni and Gian Giorgio Trissino).", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**Climate**\n\nLyon has a humid subtropical climate (Köppen:*Cfa*), bordering an oceanic climate \n(*Köppen*:*Cfb*, Trewartha:*Do*).[38] The mean temperature in Lyon in the coldest month \nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). \nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter \nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 \nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 \nDecember 1938.[39]", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**17th and 18th centuries**\n\nCity Hall on the Place des Terreaux, built by architects Jules Hardouin-Mansart and Robert de Cotte \nMusée des beaux-arts de Lyon, fine arts museum housed in a former convent of the 17th century, including \nthe Baroque*chapelle Saint-Pierre*\nHôtel-Dieu de Lyon (17th and 18th century), historical hospital with a baroque chapel \nTemple du Change (17th and 18th century), former stock exchange of Lyon, Protestant temple since the 18th \ncentury \nPlace Bellecour, one of the largest town squares in Europe \nChapelle de la Trinité (1622), the first Baroque chapel built in Lyon, and part of the former École de la Trinité, \nnow Collège-lycée Ampère \nÉglise Saint-Polycarpe (1665–1670), Classical church \nÉglise Saint-Just (16th to 18th century), Classical church \nSaint-Bruno des Chartreux (17th and 18th century), church, masterpiece of Baroque architecture \nÉglise Notre Dame Saint-Vincent (18th century), Neo-classical church", + "page_start": 10, + "page_end": 10, + "source_file": "wikipedia4.pdf" + }, + { + "text": "1,600,000 m2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48]*Cité Internationale*, created \nby the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide \nheadquarters of Interpol is located there. The district of*Confluence*, in the south of the historic centre, is a new pole of \neconomical and cultural development. \n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 \nprovided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon \nranked first in France for hostels business. The festivals most important for attracting tourists are the*Fête des lumières*, the \n*Nuits de Fourvière*every summer, the*Biennale d'art contemporain*and the*Nuits Sonores*. \n\n**Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco- \nProvençal. The Lyonnais dialect was replaced by the French language as the \nimportance of the city grew. However some \"frenchified\" Franco-Provençal words \ncan also be heard in the French of the Lyonnais, who call their little boys and girls \n\"gones\" and \"fenottes\" for example.[49] \n\n\n\nThe Lumière brothers pioneered cinema in the town in 1895. The Institut \nLumière, built as Auguste Lumiere's house, and a fascinating piece of \narchitecture in its own right, holds many of their first inventions and other \nearly cinematic and photographic artifacts. \n8 December each year is marked by the Festival of Lights (la Fête des \nlumières), a celebration of thanks to the Virgin Mary, who purportedly \nsaved the city from a deadly plague in the Middle Ages. During the event, \nthe local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale \nlight shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean. \nThe Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting \naudiences from around the world. \nThe Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house \nwas re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named \nafter him. \nLyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the \ncity. This old tradition is now finding a contemporary expression, for example in the art of Guillaume \nBottazzi.[50][51] \nThe Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North \nAmerica, was founded in Lyon in 1821. \nThe African Museum of Lyon is one of the oldest museums situated in Lyon.[52] \nThe Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance \nmovement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the \nFrench resistance and many members were shot in Place Bellecour in the town centre. The exhibition is \nlargely a series of , mini-biographies of those involved. \nLyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program. \n\nGuignol, created in the early 19th \nC., associated with the silk-workers \n\n**UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \n\"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and \nstrategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the \nRenaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture \nfrom the 12th century to modern times.[53]", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia4.pdf" + }, + { + "text": "Further down, in the current Saint-Vincent district, was the Gallic \nvillage of Condate, probably a simple hamlet of sailors or fishermen \nliving on the banks of the Saône.*Condate*is a Gallic word meaning \n\"confluence\", from which the Confluence district gets its name. \n\nIn Roman times the city was called*Caput Galliæ*, meaning \"capital of \nthe Gauls\". As an homage to this title, the Archbishop of Lyon is still \ncalled the Primate of Gaul. \n\nDuring the revolutionary period, Lyon was renamed*Commune-*\n*Affranchie*(\"Emancipated Commune\") on 12 October 1793 by a decree \nof the Convention Nationale. It resumed its name in 1794, after the end \nof the Terror. \n\nLyon is called*Liyon*in Franco-Provençal.[24] \n\n**Ancient Lyon**\n\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate \nordered the creation of a settlement for Roman refugees of war with the \nAllobroges. These refugees had been expelled from Vienne and were \nnow encamped at the confluence of the Saône and Rhône rivers. The \nfoundation was built on Fourvière hill and officially called*Colonia*\n*Copia Felix Munatia*, a name invoking prosperity and the blessing of the \ngods. The city became increasingly referred to as*Lugdunum*(and \noccasionally*Lugudunum*[25]).[26] The earliest translation of this Gaulish \nplace-name as \"Desired Mountain\" is offered by the 9th-century \n*Endlicher Glossary*.[27] In contrast, some modern scholars have \nproposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god \nLugus (cognate with Old Irish*Lugh*, Modern Irish*Lú*), and*dúnon*(hill- \nfort). \n\n**Population**(2022)[5] \n**• Rank**\n**• Density**\n\n520,774 \n3rd in France \n11,000/km2 \n(28,000/sq mi) \n1,702,921 \n\nCoordinates: 45°46′N 4°50′E \n\n**Country**\n**Region**\n**Metropolis**\n**Arrondissement** France \nAuvergne-Rhône-Alpes \nLyon Metropolis \nLyon \n\n**Subdivisions** 9 arrondissements \n\n**Government**\n**• Mayor**(2020– \n2026) \nGrégory Doucet[2] \n(EELV) \n\n47.87 km2 (18.48 sq mi) \n1,141.4 km2 \n(440.7 sq mi) \n4,605.8 km2 \n(1,778.3 sq mi) \n\n**Area1**\n**• Urban**(2020[3]) \n\n**• Metro**(2020[4]) \n\nThe Romans recognised that Lugdunum's strategic location at the \nconvergence of two navigable rivers made it a natural communications \nhub. The city became the starting point of main Roman roads in the \narea, and it quickly became the capital of the province, Gallia \nLugdunensis. Two Emperors were born in this city: Claudius, whose \nspeech is preserved in the Lyon Tablet in which he justifies the \nnomination of Gallic Senators, and Caracalla. \n\n**• Urban**(Jan. \n2021[6]) \n**• Urban density**\n**• Metro**(Jan. \n2021[7])", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**Primary and secondary schools**\n\nThere are some international private schools in the Lyon area, including: \n\nCité Scolaire Internationale de Lyon or the Lycée de Gerland; \n\nIncludes the*Section Japonaises*(リヨン‧ジェルラン補習授業校 \n*Riyon Jeruran Hoshū Jugyō Kō*\"Lyon Gerland Japanese \nSupplementary School\"), which the Japanese Ministry of Education \n(MEXT) counts as a part-time Japanese supplementary school[73] \n\nOmbrosa; \nInternational School of Lyon in nearby Sainte-Foy-lès-Lyon; \nMontessori School of Lyon. \n\n\n\n**Supplementary education**\n\nOther Japanese supplementary schools: \n\nThe*Association Pour le Développement de la Langue et de la Culture*\n*Japonaises*(ADLCJ; リヨン補習授業校*Riyon Hoshū Jugyō Kō*) is held in \nthe*Maison Berty Albrecht*in Villeurbanne, near Lyon.[73] It was formed in \n1987.[74] It serves Japanese expatriate children who wish to continue their \nJapanese education whilst abroad. \n\n\n\n**Transport**\n\n\n\nLyon–Saint-Exupéry Airport, located east of Lyon, serves as a base for domestic and \ninternational flights. It is a key transport facility for the entire Rhône-Alpes region, \nwith coach links to other cities in the area. The in-house train station Gare de Lyon \nSaint-Exupéry connects the airport to the nationwide TGV network. The Rhônexpress \ntram monopoly links the airport with the business quarter of La Part Dieu in less than \n30 minutes, and offers connections with Underground A & B, Tramway T1, T3 & T4, \nand bus lines. Lyon public transport Sytral offers a bus service, Route 47, that links \nthe airport to Meyzieu[75] where passengers can change onto Tram T3. The regular \nprice of public transport is €1.90, as opposed to €15 one way for the Rhonexpress. In \nthe suburb of Bron, the smaller Lyon-Bron Airport provides an alternative for \ndomestic aviation. \n\nIPSA Lyon Campus \n\nPlatform I, Lyon-Part-Dieu train \nstation \n\nLyon has two major railway stations: Lyon-Part-Dieu, which was built to \naccommodate the TGV, and Lyon Perrache, an older station that now provides mostly \nregional service. Smaller railway stations include Gorge-de-Loup, Vaise, Saint-Paul \nand Jean Macé. Lyon was the first city to be connected to Paris by the TGV in \n1981.[76] Since that time the TGV train network has expanded and links Lyon directly \nto Perpignan, Toulouse, Nice, Marseille, Strasbourg, Nantes and Lille. International \ntrains operate directly to Madrid, Barcelona, Milan, Turin, Geneva, Frankfurt, \nLuxembourg, Brussels and London. \n\n\n\nThe city is at the heart of a dense road network and is located at the meeting point of \nseveral highways: A6 to Paris, A7 Marseille, A42 to Geneva, and A43 to Grenoble. \nThe city is now bypassed by the A46. A double motorway tunnel passes under \nFourvière, connecting the A6 and the A7 autoroutes, both forming the \"Autoroute du \nSoleil\". \n\nT1 tramway on the Raymond Barre \nbridge", + "page_start": 18, + "page_end": 18, + "source_file": "wikipedia4.pdf" + }, + { + "text": "com/article/273644).*Digitaljournal.com*. \n\n35. (in French) Georges Duby (ed),*Histoire de la France : Dynasties et révolutions, de 1348 à 1852*(vol. 2), \nLarousse, 1999 p. 53 ISBN 2-03-505047-2 \n\n36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g \netting-around/local-transport). Lonely Planet. Retrieved 2 February 2017. \n\n37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/).*unesco.org*. UNESCO World Heritage Centre. \nRetrieved 31 July 2015. \n\n38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http \ns://www.jstor.org/stable/25636095).”*Erdkunde*, vol. 8, no. 4, 1954, pp. 246–252.*JSTOR.*\n\n39. \"Données climatiques de la station de Lyon: Relevés de 2016 – Lyon\" (https://web.archive.org/web/20161004", + "page_start": 22, + "page_end": 22, + "source_file": "wikipedia4.pdf" + }, + { + "text": "2nd arrondissement: Cordeliers, Bellecour, Ainay, Perrache, Confluence, Sainte- \nBlandine \n3rd arrondissement: Guillotière (north), Préfecture, Part-Dieu, Villette, \nDauphiné/Sans Souci, Montchat, Grange Blanche (north), Monplaisir (north) \n4th arrondissement: Plateau de la Croix-Rousse, Serin \n5th arrondissement: Vieux Lyon (Saint-Paul, Saint-Jean, Saint-Georges), Saint-Just, \nSaint-Irénée,[44] Fourvière, Point du Jour, Ménival, Battières, Champvert (south) \n6th arrondissement: Brotteaux, Bellecombe, Parc de la Tête d'or, Cité Internationale \n7th arrondissement: Guillotière (south), Jean Macé, Gerland \n8th arrondissement: Monplaisir (south), Bachut, États-Unis, Grand Trou/Moulin à \nVent, Grange Blanche (south), Laënnec, Mermoz, Monplaisir-la-Plaine \n9th arrondissement: Vaise, Duchère, Rochecardon, St-Rambert-l'Île-Barbe, Gorge \nde Loup, Observance, Champvert (north) \n\nTo the west of the Saône, the fifth arrondissement covers the old city of Vieux Lyon, Fourvière hill and the \nplateau beyond. The 9th is immediately to the north, and stretches from Gorge de Loup, through Vaise to the \nneighbouring suburbs of Écully, Champagne-au-Mont-d'Or, Saint-Didier-au-Mont-d'Or, Saint-Cyr-au-Mont-d'Or \nand Collonges-au-Mont-d'Or. \nBetween the two rivers, on the Presqu'île, are the second, first, and fourth arrondissements. The second \nincludes most of the city centre, Bellecour and Perrache railway station, and reaches as far as the confluence \nof the two rivers. The first is directly to the north of the second and covers part of the city centre (including the \nHôtel de Ville) and the slopes of La Croix-Rousse. To the north of the Boulevard is the fourth arrondissement, \nwhich covers the Plateau of La Croix-Rousse, up to its boundary with the commune of Caluire-et-Cuire. \nTo the east of the Rhône, are the third, sixth, seventh, and eighth arrondissements.", + "page_start": 7, + "page_end": 7, + "source_file": "wikipedia4.pdf" + }, + { + "text": "Lyon is served by the Eurolines intercity coach organisation. Its Lyon terminal is \nlocated at the city's Perrache railway station, which serves as an intermodal \ntransportation hub for tramways, local and regional trains and buses, the terminus of \nMetro line A, of the Tramway T2, the bicycle service Vélo'v, and taxis.[77] \n\n\n\n\n\nThe Transports en commun lyonnais (TCL), Lyon's public transit system, consisting \nof metro, tramways and buses, serves 62 communes of the Lyon metropolis.[78][79] \nThe metro network has four lines (A, B, C and D), 42 stations, and runs with a \nfrequency of up to a train every 2 minutes. There are eight Lyon tram lines since \nnovember 2020: T1 from*Debourg*in the south to*IUT-Feyssine*in the north, Tram T2 \nfrom*Hôtel de région Montrochet*to Saint-Priest in the south-east, Tram T3 from Part- \nDieu to Meyzieu, Tram T4 from 'Hôptial Feyzin Venissieux' to La Doua Gaston \nBerger. Tram T5 from Grange Blanche, in the south-east to Eurexpo in the south-west. \nTram T6 from Debourg, in the south to Hôpitaux Est-Pinel in the east. Tram T7 from \nVaux-en-Velin la soie, in the north-east to Décines – OL Vallée in the east.[79] And \nRhône Express tramline from Part-Dieu to Lyon–Saint-Exupéry Airport.[80][81] The \nLyon bus network consists of the Lyon trolleybus system, motorbuses, and coaches \nfor areas outside the centre. There are also two funicular lines from Vieux Lyon to \nSaint-Just and Fourvière. The ticketing system is relatively simple as the city has only \none public transport operator, the SYTRAL. \n\n\n\nThe public transit system was complemented in 2005 by*Vélo'v*, a bicycle network \nproviding a low-cost bicycle-hire service made up of 340 stations throughout the city. \nBorrowing a bicycle for less than 30 minutes is free. Free rental time can be extended \nfor another 30 minutes at any station. Lyon was the first city in France to introduce \nthis bicycle renting system. In 2011 the Auto'lib car rental service was introduced; it \nworks much the same way as the Velo'v but for cars. \n\nVelo'v, Ennemond Fousseret square \n(Old Lyon) \n\nThe average amount of time people spend commuting with public transit in Lyon on a \nweekday is 45 minutes. The average amount of time people wait at a stop or station \nfor public transit is 11 min, while 17% of riders wait for over 20 minutes on average \nevery day. The average distance people usually ride in a single trip with public transit \nis 4.7 km, while 4% travel for over 12 km in a single direction.[82] \n\n**International relations**\n\nLyon is a pilot city of the Council of Europe and the European Commission \"Intercultural cities\" program.[83] Lyon is \ntwinned with:[84] \n\nAddis Ababa, Ethiopia \nBamako, Mali \nBarcelona, Spain \nBeersheba, Israel Birmingham, England, United Kingdom \nBoston, United States \nCraiova, Romania \nCuritiba, Brazil", + "page_start": 19, + "page_end": 19, + "source_file": "wikipedia4.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia4.pdf", + "query": "How big was Lyon's population in 2022? ", + "target_page": 2, + "target_passage": "Population (2022) 520,774", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Lyon**\n\n**Lyon**[c] (Franco-Provençal:*Liyon*) is the second-largest city in France \nby urban area and the third largest by city limits.[14] It is located at the \nconfluence of the rivers Rhône and Saône, to the northwest of the \nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north \nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km \n(36 mi) northeast of Saint-Étienne. \n\n**Lyon**\n\n*Liyon*(Arpitan) \n\n**Prefecture and commune**\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census \nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but \ntogether with its suburbs and exurbs the Lyon metropolitan area had a \npopulation of 2,308,818 that same year,[7] the second most populated in \nFrance. Lyon and 58 suburban municipalities have formed since 2015 \nthe Metropolis of Lyon, a directly elected metropolitan authority now in \ncharge of most urban issues, with a population of 1,424,069 in 2021.[16] \nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of \nthe Departmental Council of Rhône (whose jurisdiction, however, no \nlonger extends over the Metropolis of Lyon since 2015). \n\nSkyline of Lyon in La Part-Dieu \n\n\n\n\n\n\n\n\n\n\n\n\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of \nan archbishopric whose holder bears the title of Primate of the Gauls. \nLyon became a major economic hub during the Renaissance. The city is \nrecognised for its cuisine and gastronomy, as well as historical and \narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière \nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on \nthe UNESCO World Heritage List. Lyon was historically an important \narea for the production and weaving of silk. Lyon played a significant \nrole in the history of cinema since Auguste and Louis Lumière invented \nthe cinematograph there. The city is also known for its light festival, the \nFête des lumières, which begins every 8 December and lasts for four \ndays, earning Lyon the title of \"Capital of Lights\". \n\nis a major centre for banking, chemical, \nEconomically, Lyon \npharmaceutical and biotech industries. The city contains a significant \nsoftware industry with a particular focus on video games; in recent years \nit has fostered a growing local start-up sector.[17] The home of renowned \nuniversities and higher education schools, Lyon is the second-largest \nstudent city in France, with a university population of nearly 200,000 \nstudents within the Metropolis of Lyon.[18] Lyon hosts the international \nheadquarters of Interpol, the International Agency for Research on \nCancer, as well as Euronews. According to the Globalization and World \nRankings Research Institute, Lyon is considered a Beta city, as of \n2018.[19] It ranked second in France and 40th globally in Mercer's 2019 \nliveability rankings.[20] \n\nFlag \nCoat of arms \n\nMotto(s):*Avant, avant, Lion le melhor*\n(old Franco-Provençal for \"Forward, forward, \nLyon the best\")[a] \n*Virtute duce, comite fortuna*\n(\"With virtue as guide and fortune as \ncompanion\")[b] \n\n**Location of Lyon**", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia4.pdf" + }, + { + "text": "All figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for the \ncommune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at \nthe time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and \nremain the 2nd largest city of France ahead of Marseille).[68] The 1906 figure is computed using the figure for the commune of \nLyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate \nwas smaller than 10,000. \nSource: EHESS[70] and INSEE[71] \n\n**Foreign-born**\n\nForeign-born population in Lyon by \ncountry of birth[72] \n**Education**\n\n| Country of birth | Population (2020) |\n|---|---|\n| Country of birth | Population (2020) |\n| Algeria | 14,779 |\n| Morocco | 5,245 |\n| Tunisia | 4,879 |\n| Italy | 3,351 |\n| Portugal | 3,068 |\n| Spain | 2,064 |\n| DR Congo | 1,520 |\n| China | 1,429 |\n| Cameroon | 1,364 |\n| Senegal | 1,198 |\n\n\n**Universities and tertiary education**\n\n\n\n\n\nÉcole Centrale de Lyon; \nÉcole Normale Supérieure de Lyon \nEM Lyon (École de Management de Lyon); \nECE Lyon (École de Commerce Européenne de Lyon); \nInstitut d'études politiques de Lyon (Sciences Po Lyon); \nCPE Lyon; \nCNSMD (Conservatoire national supérieur de musique et de danse de \nLyon) \nECAM Lyon (École Catholique d'Arts et Métiers de Lyon); \nEPITECH; \nEPITA; \nENTPE (École Nationale des Travaux Publiques de l'État); \nÉcole nationale vétérinaire de Lyon (ENVL); \nESME-Sudria; \nÉcole des Beaux-Arts; \nE-Artsup; \nINSA Lyon (Institut National des Sciences Appliquées de Lyon); \nPolytech Lyon; \nInstitut supérieur européen de gestion group; \nISARA (Institut Supérieur d'Agriculture Rhône Alpes); \nInstitution des Chartreux; \nInstitut polytechnique des sciences avancées; \nUniversité Claude Bernard (Lyon 1); \nUniversité Lumière (Lyon 2); \nUniversité Jean Moulin (Lyon 3); \nIAE (Institut d'Administration des Entreprises de Lyon); \nInstitut Sup'Biotech de Paris; \nCatholic University of Lyon; \nESDES Business School; \nIDRAC (International School of Management); \nWesford Graduate Business School; \nIFAG (Business Management School); \nInstitut supérieur européen de formation par l'action; \nLe Lycée du Parc; \nLa Martinière Lyon; \nWeb@cademie; \nCEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);", + "page_start": 17, + "page_end": 17, + "source_file": "wikipedia4.pdf" + }, + { + "text": "71. \"Statistiques locales - Métropole de Lyon : Intercommunalité-Métropole - Population municipale (historique \n\ndepuis 1876)\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo= \n200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024. \n\n72. \"IMG1B - Population immigrée par sexe, âge et pays de naissance en 2020 − Recensement de la population \n\n– Résultats pour toutes les communes, départements, régions, intercommunalités... −Étrangers - Immigrés en \n2020 | Insee\" (https://www.insee.fr/fr/statistiques/7633127?sommaire=7633727&geo=COM-69123).", + "page_start": 23, + "page_end": 23, + "source_file": "wikipedia4.pdf" + }, + { + "text": "500/km2 (1,300/sq mi) \n\n**Time zone**\n**• Summer (DST)** UTC+01:00 (CET) \nUTC+02:00 (CEST) \n\n**INSEE/Postal code**\n\n69123 (https://www.inse \ne.fr/fr/statistiques/14055 \n99?geo=COM-69123) \n/69001-69009 \n\n162–349 m (531– \n1,145 ft) \n\n**Website**\nlyon.fr (https://www.lyon. \nfr/) \n\n**1**French Land Register data, which excludes \nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or \n247 acres) and river estuaries. \n\n**• Metro density**\n\nEarly Christians in Lyon were martyred for their beliefs under the reigns \nof various Roman emperors, most notably Marcus Aurelius and \nSeptimius Severus.[28] Local saints from this period include Blandina, \nPothinus, and Epipodius, among others. The Greek Irenaeus was the \nsecond bishop of Lyon during the latter part of the second century.[29] \nTo this day, the archbishop of Lyon is still referred to as \"*Primat des*\n*Gaules*\".[30] \n**Elevation**\n\nBurgundians fleeing the destruction of Worms by the Huns in 437 were \nre-settled in eastern Gaul. In 443 the Romans established the Kingdom \nof the Burgundians, and Lugdunum became its capital in 461. In 843, \nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor \nLothair I. It later was made part of the Kingdom of Arles which was \nincorporated into the Holy Roman Empire in 1033. Lyon did not come \nunder French control until the \n14th century. \n\n**Timeline of Lyon**\n**Historical affiliations**\n\n\n\n**Modern Lyon**\n\n Roman Empire (Gallia Lugdunensis), 43 \n\nBC-286 \n\nFernand Braudel \nremarked, \n\"Historians of Lyon are not \nthe bi- \nsufficiently aware of \npolarity between Paris and Lyon, \nwhich is a constant structure in \nFrench development...from \nthe \nlate Middle Ages to the Industrial \nRevolution\".[31] In the late 15th century, the fairs introduced by Italian \nmerchants made Lyon the economic counting house of France. Even the \n*Bourse*(treasury), built in 1749, resembled a public bazaar where \naccounts were settled in the open air. When international banking moved \nto Genoa, then Amsterdam, Lyon remained the banking centre of \nFrance. \n\n Western Roman Empire (Gallia \n\nLugdunensis), 286-411 \n\n Kingdom of the Burgundians, 411–534 \n Francia, 534–843 \n Middle Francia, 843–855 \n Lotharingia, 855–879 \n Lower Burgundy, 879-933 \n Kingdom of Arles, 933–1312 \n Kingdom of France (Lyonnais), 1312– \n\nThe Roman-era Theatre on the \nFourvière Hill \n\n1792 \n\n French First Republic, 1792–1793 \n Counter-revolutionary, 1793 \n French First Republic, 1793–1804 \n First French Empire, 1804–1814 \n Kingdom of France, 1814–1815 \n First French Empire, 1815 \n Kingdom of France, 1815–1830 \n Kingdom of France, 1830–1848 \n French Second Republic, 1848–1852 \n Second French Empire, 1852–1870 \n French Third Republic, 1870–1940 \n Vichy France, 1940–1944 \n French Fourth Republic, 1944–1958 \n France, 1958–present \n\n\n\nDuring the Renaissance, the city's development was driven by the silk \ntrade, which strengthened its ties to Italy. Italian influence on Lyon's \narchitecture is still visible among historic buildings.[32] In the late 1400s \nand 1500s Lyon was also a key centre of literary activity and book \npublishing, both of French writers (such as Maurice Scève, Antoine \nHeroet, and Louise Labé) and of Italians in exile (such as Luigi \nAlamanni and Gian Giorgio Trissino).", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia4.pdf" + }, + { + "text": "Lyon is also home to the Lyon Hockey Club, an ice hockey team that competes in \nFrance's national ice hockey league. The Patinoire Charlemagne is the seat of Club \ndes Sports de Glace de Lyon, the club of Olympic ice dancing champions Marina \nAnissina and Gwendal Peizerat, and world champions Isabelle Delobel and Olivier \nShoenfelder.[65] Lyon-Villeurbanne also has a basketball team, ASVEL, that plays at \nthe Astroballe arena. \n\n\n\n**Street art**\n\nSince 2000, Birdy Kids, a group of graffiti artists from the city, has decorated several \nrandom buildings and walls along the Lyon ring road. In 2012, the artist collective \nwas chosen to represent the city as its cultural ambassadors.[66] \n\n**Demographics**\n\nThe population of the city (commune) of Lyon proper was 522,250 at the January 2021 census.[15] As of 2011, 14% of its \npopulation was born outside Metropolitan France.[67] \n\n**Population of Lyon (commune)**\n**(within 2020 borders)**\n\n**Year**\n**1801**\n**1806**\n**1821**\n**1831**\n**1836**\n**1841**\n**1846**\n**1851**\n**1856**\n**1861**\n**1866**\n**1872** **Pop.**\n101,760 \n114,643 \n149,611 \n182,668 \n198,683 \n206,670 \n238,466 \n259,220 \n293,743 \n320,326 \n325,219 \n324,590 \n\n**Pop.**\n464,104 \n475,343 \n535,746 \n527,800 \n456,716 \n413,095 \n415,487 \n445,452 \n484,344 \n513,275 \n522,250 **±% p.a.**\n+0.02% \n+0.29% \n+1.54% \n−0.25% \n−2.06% \n−1.42% \n+0.07% \n+0.78% \n+0.78% \n+1.17% \n+0.29% \n\n**±% p.a.**\n— \n+2.41% \n+1.79% \n+2.02% \n+1.60% \n+0.79% \n+2.86% \n+1.68% \n+2.66% \n+1.72% \n+0.30% \n−0.03% **Year**\n**1876**\n**1881**\n**1886**\n**1891**\n**1896**\n**1901**\n**1906**\n**1911**\n**1921**\n**1926**\n**1931**\n**1936**\n\n**Pop.**\n344,513 \n378,581 \n404,172 \n440,315 \n468,311 \n461,687 \n474,652 \n462,248 \n462,446 \n463,125 \n463,647 \n463,061 \nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are the redressed figures calculated by INSEE to \ncorrect the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had \nbeen added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France \nahead of Marseille).[68] The 1906 figure is the one published by the municipal authorities, probably already inflated, but not \ncorrected by INSEE because the overestimate was smaller than 10,000. \nSource: EHESS[69] and INSEE[15] \n\n**±% p.a.**\n+1.33% \n+1.84% \n+1.45% \n+1.78% \n+1.25% \n−0.29% \n+0.56% \n−0.53% \n+0.00% \n+0.03% \n+0.02% \n−0.03% \n\n**Year**\n**1946**\n**1954**\n**1962**\n**1968**\n**1975**\n**1982**\n**1990**\n**1999**\n**2010**\n**2015**\n**2021**\n\nThe city of Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected \nmetropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021.[16] \n\n**Population of Lyon (metropolis)**\n**(59 communes, within 2020 borders)**\n\n**Year**\n**1861**\n**1866**\n**1872**\n**1876**\n**1881**\n**1886**\n**1891**\n**1896**\n**1901** **Pop.**\n418,515 \n427,522 \n426,552 \n453,540 \n493,778 \n527,621 \n566,115 \n600,881 \n608,856 \n\n**Pop.**\n1,077,794 \n1,153,402 \n1,138,718 \n1,166,797 \n1,199,589 \n1,296,166 \n1,370,678 \n1,424,069 **±% p.a.**\n+2.17% \n+0.98% \n−0.18% \n+0.30% \n+0.31% \n+0.72% \n+1.12% \n+0.64% \n\n**±% p.a.**\n— \n+0.43% \n−0.04% \n+1.37% \n+1.66% \n+1.47% \n+1.46% \n+1.21% \n+0.26% **Year**\n**1906**\n**1911**\n**1921**\n**1926**\n**1931**\n**1936**\n**1946**\n**1954**\n**1962**\n\n**±% p.a.**\n+0.60% \n+0.09% \n+0.45% \n+0.97% \n+1.46% \n−0.14% \n+0.11% \n+0.71% \n+2.34% \n\n**Year**\n**1968**\n**1975**\n**1982**\n**1990**\n**1999**\n**2010**\n**2015**\n**2021**", + "page_start": 16, + "page_end": 16, + "source_file": "wikipedia4.pdf" + }, + { + "text": "1,600,000 m2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48]*Cité Internationale*, created \nby the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide \nheadquarters of Interpol is located there. The district of*Confluence*, in the south of the historic centre, is a new pole of \neconomical and cultural development. \n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 \nprovided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon \nranked first in France for hostels business. The festivals most important for attracting tourists are the*Fête des lumières*, the \n*Nuits de Fourvière*every summer, the*Biennale d'art contemporain*and the*Nuits Sonores*. \n\n**Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco- \nProvençal. The Lyonnais dialect was replaced by the French language as the \nimportance of the city grew. However some \"frenchified\" Franco-Provençal words \ncan also be heard in the French of the Lyonnais, who call their little boys and girls \n\"gones\" and \"fenottes\" for example.[49] \n\n\n\nThe Lumière brothers pioneered cinema in the town in 1895. The Institut \nLumière, built as Auguste Lumiere's house, and a fascinating piece of \narchitecture in its own right, holds many of their first inventions and other \nearly cinematic and photographic artifacts. \n8 December each year is marked by the Festival of Lights (la Fête des \nlumières), a celebration of thanks to the Virgin Mary, who purportedly \nsaved the city from a deadly plague in the Middle Ages. During the event, \nthe local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale \nlight shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean. \nThe Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting \naudiences from around the world. \nThe Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house \nwas re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named \nafter him. \nLyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the \ncity. This old tradition is now finding a contemporary expression, for example in the art of Guillaume \nBottazzi.[50][51] \nThe Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North \nAmerica, was founded in Lyon in 1821. \nThe African Museum of Lyon is one of the oldest museums situated in Lyon.[52] \nThe Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance \nmovement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the \nFrench resistance and many members were shot in Place Bellecour in the town centre. The exhibition is \nlargely a series of , mini-biographies of those involved. \nLyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program. \n\nGuignol, created in the early 19th \nC., associated with the silk-workers \n\n**UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \n\"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and \nstrategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the \nRenaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture \nfrom the 12th century to modern times.[53]", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia4.pdf" + }, + { + "text": "The division of the Metropolis of Lyon in large electoral wards often grouping various \ncommunes and dividing the commune of Lyon into six wards was criticized by the suburban \nmayors, as it ended the rule of 'one commune, one metropolitan councilor'. The goal of this \nelectoral division of the metropolis was to focus metropolitan elections more on metropolitan \nissues than parochial communal issues, and ensure the 'one person, one vote' rule be respected, \nby creating electoral wards of more homogeneous population sizes. Opponents said it diluted the \nvoice of the small suburban communes, which are now part of large electoral wards and do not \neach possess a representative in the metropolitan council anymore. \n\n**Presidents of the Metropolitan Council**\n\nThe two first presidents of the Metropolis of Lyon's metropolitan council were chosen by \nindirectly elected metropolitan councilors. The current president since July 2020 was elected by \nnew metropolitan councilors following their election by universal suffrage in March (1st round) \nand June (2nd round) 2020, the first direct election of a metropolitan council in France. \n\n| President of the Metropolitan Council | Term start | Term end | | Party |\n|---|---|---|---|---|\n| President of the Metropolitan Council | Term start | Term end | | Party |\n| Gérard Collomb | 1 January 2015 | 10 July 2017 | | PS |\n| David Kimelfeld | 10 July 2017 | 2 July 2020 | | LREM |\n| Bruno Bernard | 2 July 2020 | Incumbent | | EELV |\n\n\n**Antiquity**\n\nThe Roman ruins on the hillside near the Fourvière Basilica, with the Ancient Theatre of Fourvière, the Odeon \nof Lyon and the accompanying Gallo-Roman museum \nAmphitheatre of the Three Gauls – ruins of a Roman amphitheatre. \n\n\n\n\n\n\n\n**Middle Ages and Renaissance**\n\nCathedral of St. John, a medieval church with architectural elements of the 13th, 14th and 15th centuries, also \nthe principal religious structure in the city and the seat of the Archbishop of Lyon \nBasilica of St-Martin-d'Ainay, one of the rare surviving Romanesque basilica-style churches in Lyon \nÉglise Saint-Paul, Romanesque (12th and 13th century) and Gothic (15th–16th century) church \nÉglise Saint-Bonaventure, 14th- and 15th-century Gothic church \nÉglise Saint-Nizier, Gothic church from the 15th century, having a doorway carved in the 16th century by \nPhilibert Delorme \nVieux Lyon (English: Old Lyon) area, Medieval and Renaissance quarter of the town, with shops, dining and \ncobbled streets \nThe many Renaissance*hôtels particuliers*of the Old Lyon quarter, such as the*Hôtel de Bullioud*, were also \nbuilt by Philibert Delorme", + "page_start": 9, + "page_end": 9, + "source_file": "wikipedia4.pdf" + }, + { + "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | | |\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | −23.0 (−9.4) | −22.5 (−8.5) | −10.5 (13.1) | −4.4 (24.1) | −3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | −4.5 (23.9) | −9.4 (15.1) | −24.6 (−12.3) | −24.6 (−12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| Source 1: Meteo France[40] | | | | | | | | | | | | | |\n| Source 2: Meteo Lyon[41] | | | | | | | | | | | | | |", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia4.pdf" + }, + { + "text": "| Mayor | Term start | Term end | | Party |\n|---|---|---|---|---|\n| Mayor | Term start | Term end | | Party |\n| Antoine Gailleton | 1881 | 1900 | | |\n| Victor Augagneur | 1900 | 30 October 1905 | | PRS |\n| Édouard Herriot | 30 October 1905 | 20 September 1940 | | Radical |\n| Georges Cohendy | 20 September 1940 | 1941 | | Nominated and dismissed by Vichy |\n| Georges Villiers | 1941 | 1942 | | Nominated and dismissed by Vichy |\n| Pierre-Louis-André Bertrand | 1942 | 1944 | | Nominated by Vichy |\n| Justin Godart | 1944 | 18 May 1945 | | Radical |\n| Édouard Herriot | 18 May 1945 | 26 March 1957 | | Radical |\n| Pierre Montel, ad interim | 26 March 1957 | 14 April 1957 | | Radical |\n| Louis Pradel | 14 April 1957 | 27 November 1976 | | DVD |\n| Armand Tapernoux, ad interim | 27 November 1976 | 5 December 1976 | | DVD |\n| Francisque Collomb | 5 December 1976 | 24 March 1989 | | DVD |\n| Michel Noir | 24 March 1989 | 25 June 1995 | | RPR |\n| Raymond Barre | 25 June 1995 | 25 March 2001 | | DVD |\n| Gérard Collomb | 25 March 2001 | 17 July 2017 | | PS |\n| Georges Képénékian | 17 July 2017 | 5 November 2018 | | LREM |\n| Gérard Collomb | 5 November 2018 | 4 July 2020 | | LREM |\n| Grégory Doucet | 4 July 2020 | Incumbent | | EELV |\n\n\n**Metropolis**\nSince 2015, the commune of Lyon (48 km2 (19 sq mi) in land area) and 58 suburban communes \nhave formed the Metropolis of Lyon (534 km2 (206 sq mi) in land area), a directly elected \nmetropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only \nmetropolitan authority in France which is a territorial collectivity, on par with French communes \nand departments. Its metropolitan council was for the first time directly elected by universal \nsuffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in \nFrance. \n\nThe 14 electoral wards are the following (see map for location): \n\n Lônes et coteaux \n\nMap of the Metropolis of \nLyon and its 59 \ncommunes (the \ncommune of Lyon is in \nred) \n\n Lyon-Centre (Lyon-Centre) \n\n Lyon-Est (Lyon-East) \n Lyon-Nord (Lyon-North) \n\n Lyon-Ouest \n\n Lyon-Sud \n Lyon-Sud-Est \n\n Ouest \n Plateau Nord-Caluire \n\n Porte des Alpes \n\n Portes du Sud \n Rhône Amont \n\n Val de Saône \n\n Villeurbanne \n\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is \ncoterminous with the namesake commune. All other seven wards each group various suburban communes.", + "page_start": 8, + "page_end": 8, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**Climate**\n\nLyon has a humid subtropical climate (Köppen:*Cfa*), bordering an oceanic climate \n(*Köppen*:*Cfb*, Trewartha:*Do*).[38] The mean temperature in Lyon in the coldest month \nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). \nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter \nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 \nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 \nDecember 1938.[39]", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia4.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia4.pdf", + "query": "What is the climate in Lyon ?", + "target_page": 5, + "target_passage": " Lyon has a humid subtropical climate ( Köppen: Cfa), bordering an oceanic climate (Köppen: Cfb, Trewartha: Do).", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Climate**\n\nLyon has a humid subtropical climate (Köppen:*Cfa*), bordering an oceanic climate \n(*Köppen*:*Cfb*, Trewartha:*Do*).[38] The mean temperature in Lyon in the coldest month \nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). \nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter \nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 \nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 \nDecember 1938.[39]", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia4.pdf" + }, + { + "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | | |\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | −23.0 (−9.4) | −22.5 (−8.5) | −10.5 (13.1) | −4.4 (24.1) | −3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | −4.5 (23.9) | −9.4 (15.1) | −24.6 (−12.3) | −24.6 (−12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| Source 1: Meteo France[40] | | | | | | | | | | | | | |\n| Source 2: Meteo Lyon[41] | | | | | | | | | | | | | |", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia4.pdf" + }, + { + "text": "| Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | | | | | | | | | | | | | |\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 16.3 (61.3) | 21.4 (70.5) | 25.7 (78.3) | 28.0 (82.4) | 29.4 (84.9) | 34.4 (93.9) | 39.8 (103.6) | 37.1 (98.8) | 33.8 (92.8) | 28.4 (83.1) | 22.6 (72.7) | 20.2 (68.4) | 39.8 (103.6) |\n| Mean maximum °C (°F) | 10.2 (50.4) | 14.4 (57.9) | 15.9 (60.6) | 18.6 (65.5) | 23.1 (73.6) | 28.8 (83.8) | 32.8 (91.0) | 28.1 (82.6) | 27.3 (81.1) | 19.7 (67.5) | 14.1 (57.4) | 9.5 (49.1) | 32.8 (91.0) |\n| Mean daily maximum °C (°F) | 6.1 (43.0) | 8.2 (46.8) | 11.6 (52.9) | 15.2 (59.4) | 19.1 (66.4) | 22.9 (73.2) | 26.1 (79.0) | 26.0 (78.8) | 22.4 (72.3) | 17.1 (62.8) | 10.0 (50.0) | 6.4 (43.5) | 15.9 (60.7) |\n| Daily mean °C (°F) | 3.0 (37.4) | 4.9 (40.8) | 7.4 (45.3) | 10.2 (50.4) | 14.0 (57.2) | 17.6 (63.7) | 20.6 (69.1) | 20.0 (68.0) | 17.1 (62.8) | 12.7 (54.9) | 6.7 (44.1) | 3.9 (39.0) | 11.5 (52.7) |\n| Mean daily minimum °C (°F) | 0.2 (32.4) | 1.4 (34.5) | 2.9 (37.2) | 5.2 (41.4) | 9.1 (48.4) | 12.5 (54.5) | 14.8 (58.6) | 14.4 (57.9) | 11.7 (53.1) | 8.3 (46.9) | 3.5 (38.3) | 0.7 (33.3) | 7.1 (44.7) |\n| Mean minimum °C (°F) | −7.0 (19.4) | −4.7 (23.5) | −1.4 (29.5) | 3.2 (37.8) | 7.6 (45.7) | 10.9 (51.6) | 13.1 (55.6) | 12.9 (55.2) | 8.1 (46.6) | 4.5 (40.1) | 1.0 (33.8) | −4.7 (23.5) | −7.0 (19.4) |\n| Record low °C (°F) | −23.0 (−9.4) | −19.3 (−2.7) | −10.5 (13.1) | −3.2 (26.2) | −0.3 (31.5) | 3.6 (38.5) | 6.1 (43.0) | 5.2 (41.4) | 1.9 (35.4) | −3.2 (26.2) | −7.1 (19.2) | −16.0 (3.2) | −23.0 (−9.4) |\n| Average precipitation mm (inches) | 54.0 (2.13) | 53.8 (2.12) | 72.2 (2.84) | 56.1 (2.21) | 72.6 (2.86) | 73.2 (2.88) | 54.5 (2.15) | 71.6 (2.82) | 53.2 (2.09) | 56.2 (2.21) | 68.0 (2.68) | 55.8 (2.20) | 741.2 (29.19) |\n| Average precipitation days (≥ 1.0 mm) | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| Average snowy days | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| Average relative humidity (%) | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| Mean monthly sunshine hours | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| Percent possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| Source 1: NOAA[42] | | | | | | | | | | | | | |\n| Source 2: Infoclimat.fr (humidity)[43] | | | | | | | | | | | | | |\n\n\n**Administration**\n\n**Commune**\n\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each \nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in \n1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between \n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three \ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to \nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th – and, to date, final – \narrondissement. Within each arrondissement, the recognisable*quartiers*or neighbourhoods are: \n\n1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent", + "page_start": 6, + "page_end": 6, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**Lyon**\n\n**Lyon**[c] (Franco-Provençal:*Liyon*) is the second-largest city in France \nby urban area and the third largest by city limits.[14] It is located at the \nconfluence of the rivers Rhône and Saône, to the northwest of the \nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north \nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km \n(36 mi) northeast of Saint-Étienne. \n\n**Lyon**\n\n*Liyon*(Arpitan) \n\n**Prefecture and commune**\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census \nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but \ntogether with its suburbs and exurbs the Lyon metropolitan area had a \npopulation of 2,308,818 that same year,[7] the second most populated in \nFrance. Lyon and 58 suburban municipalities have formed since 2015 \nthe Metropolis of Lyon, a directly elected metropolitan authority now in \ncharge of most urban issues, with a population of 1,424,069 in 2021.[16] \nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of \nthe Departmental Council of Rhône (whose jurisdiction, however, no \nlonger extends over the Metropolis of Lyon since 2015). \n\nSkyline of Lyon in La Part-Dieu \n\n\n\n\n\n\n\n\n\n\n\n\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of \nan archbishopric whose holder bears the title of Primate of the Gauls. \nLyon became a major economic hub during the Renaissance. The city is \nrecognised for its cuisine and gastronomy, as well as historical and \narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière \nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on \nthe UNESCO World Heritage List. Lyon was historically an important \narea for the production and weaving of silk. Lyon played a significant \nrole in the history of cinema since Auguste and Louis Lumière invented \nthe cinematograph there. The city is also known for its light festival, the \nFête des lumières, which begins every 8 December and lasts for four \ndays, earning Lyon the title of \"Capital of Lights\". \n\nis a major centre for banking, chemical, \nEconomically, Lyon \npharmaceutical and biotech industries. The city contains a significant \nsoftware industry with a particular focus on video games; in recent years \nit has fostered a growing local start-up sector.[17] The home of renowned \nuniversities and higher education schools, Lyon is the second-largest \nstudent city in France, with a university population of nearly 200,000 \nstudents within the Metropolis of Lyon.[18] Lyon hosts the international \nheadquarters of Interpol, the International Agency for Research on \nCancer, as well as Euronews. According to the Globalization and World \nRankings Research Institute, Lyon is considered a Beta city, as of \n2018.[19] It ranked second in France and 40th globally in Mercer's 2019 \nliveability rankings.[20] \n\nFlag \nCoat of arms \n\nMotto(s):*Avant, avant, Lion le melhor*\n(old Franco-Provençal for \"Forward, forward, \nLyon the best\")[a] \n*Virtute duce, comite fortuna*\n(\"With virtue as guide and fortune as \ncompanion\")[b] \n\n**Location of Lyon**", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia4.pdf" + }, + { + "text": "com/article/273644).*Digitaljournal.com*. \n\n35. (in French) Georges Duby (ed),*Histoire de la France : Dynasties et révolutions, de 1348 à 1852*(vol. 2), \nLarousse, 1999 p. 53 ISBN 2-03-505047-2 \n\n36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g \netting-around/local-transport). Lonely Planet. Retrieved 2 February 2017. \n\n37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/).*unesco.org*. UNESCO World Heritage Centre. \nRetrieved 31 July 2015. \n\n38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http \ns://www.jstor.org/stable/25636095).”*Erdkunde*, vol. 8, no. 4, 1954, pp. 246–252.*JSTOR.*\n\n39. \"Données climatiques de la station de Lyon: Relevés de 2016 – Lyon\" (https://web.archive.org/web/20161004", + "page_start": 22, + "page_end": 22, + "source_file": "wikipedia4.pdf" + }, + { + "text": "500/km2 (1,300/sq mi) \n\n**Time zone**\n**• Summer (DST)** UTC+01:00 (CET) \nUTC+02:00 (CEST) \n\n**INSEE/Postal code**\n\n69123 (https://www.inse \ne.fr/fr/statistiques/14055 \n99?geo=COM-69123) \n/69001-69009 \n\n162–349 m (531– \n1,145 ft) \n\n**Website**\nlyon.fr (https://www.lyon. \nfr/) \n\n**1**French Land Register data, which excludes \nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or \n247 acres) and river estuaries. \n\n**• Metro density**\n\nEarly Christians in Lyon were martyred for their beliefs under the reigns \nof various Roman emperors, most notably Marcus Aurelius and \nSeptimius Severus.[28] Local saints from this period include Blandina, \nPothinus, and Epipodius, among others. The Greek Irenaeus was the \nsecond bishop of Lyon during the latter part of the second century.[29] \nTo this day, the archbishop of Lyon is still referred to as \"*Primat des*\n*Gaules*\".[30] \n**Elevation**\n\nBurgundians fleeing the destruction of Worms by the Huns in 437 were \nre-settled in eastern Gaul. In 443 the Romans established the Kingdom \nof the Burgundians, and Lugdunum became its capital in 461. In 843, \nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor \nLothair I. It later was made part of the Kingdom of Arles which was \nincorporated into the Holy Roman Empire in 1033. Lyon did not come \nunder French control until the \n14th century. \n\n**Timeline of Lyon**\n**Historical affiliations**\n\n\n\n**Modern Lyon**\n\n Roman Empire (Gallia Lugdunensis), 43 \n\nBC-286 \n\nFernand Braudel \nremarked, \n\"Historians of Lyon are not \nthe bi- \nsufficiently aware of \npolarity between Paris and Lyon, \nwhich is a constant structure in \nFrench development...from \nthe \nlate Middle Ages to the Industrial \nRevolution\".[31] In the late 15th century, the fairs introduced by Italian \nmerchants made Lyon the economic counting house of France. Even the \n*Bourse*(treasury), built in 1749, resembled a public bazaar where \naccounts were settled in the open air. When international banking moved \nto Genoa, then Amsterdam, Lyon remained the banking centre of \nFrance. \n\n Western Roman Empire (Gallia \n\nLugdunensis), 286-411 \n\n Kingdom of the Burgundians, 411–534 \n Francia, 534–843 \n Middle Francia, 843–855 \n Lotharingia, 855–879 \n Lower Burgundy, 879-933 \n Kingdom of Arles, 933–1312 \n Kingdom of France (Lyonnais), 1312– \n\nThe Roman-era Theatre on the \nFourvière Hill \n\n1792 \n\n French First Republic, 1792–1793 \n Counter-revolutionary, 1793 \n French First Republic, 1793–1804 \n First French Empire, 1804–1814 \n Kingdom of France, 1814–1815 \n First French Empire, 1815 \n Kingdom of France, 1815–1830 \n Kingdom of France, 1830–1848 \n French Second Republic, 1848–1852 \n Second French Empire, 1852–1870 \n French Third Republic, 1870–1940 \n Vichy France, 1940–1944 \n French Fourth Republic, 1944–1958 \n France, 1958–present \n\n\n\nDuring the Renaissance, the city's development was driven by the silk \ntrade, which strengthened its ties to Italy. Italian influence on Lyon's \narchitecture is still visible among historic buildings.[32] In the late 1400s \nand 1500s Lyon was also a key centre of literary activity and book \npublishing, both of French writers (such as Maurice Scève, Antoine \nHeroet, and Louise Labé) and of Italians in exile (such as Luigi \nAlamanni and Gian Giorgio Trissino).", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**17**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n\n\n**Figure 11.**Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– \nhydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show \nthe 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of \nthe range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, \nin millimetres of rain equivalent. \n\nGFDL- \nESM2M \n1.9 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.0 MIROC- \nESM-CHEM \n1.5 ensemble \nmean \n1.7 ACCESS1-0 \n1.9 1.7 \n\n15.7 \n\n16.2 \n−1.3 \n4.5 19.2 \n−5.4 \n4.6 \n\n14.1 \n\n18.3 \n−3.8 \n4.3 15.6 \n−1.6 \n3.6 \n\n0.7 0.0 \n\n3.6 4.0 \n\n0.48 n.a. 0.39 0.16 0.31 0.42 \n\n0.73 n.a. 0.73 0.79 0.73 0.75 \n\n0.9 3.1 1.3 3.9 2.4 2.2 \n\n0.7 5.4 0.7 6.7 5.0 3.9 \n\n0.3 5.9 2.2 5.9", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "1,600,000 m2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48]*Cité Internationale*, created \nby the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide \nheadquarters of Interpol is located there. The district of*Confluence*, in the south of the historic centre, is a new pole of \neconomical and cultural development. \n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 \nprovided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon \nranked first in France for hostels business. The festivals most important for attracting tourists are the*Fête des lumières*, the \n*Nuits de Fourvière*every summer, the*Biennale d'art contemporain*and the*Nuits Sonores*. \n\n**Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco- \nProvençal. The Lyonnais dialect was replaced by the French language as the \nimportance of the city grew. However some \"frenchified\" Franco-Provençal words \ncan also be heard in the French of the Lyonnais, who call their little boys and girls \n\"gones\" and \"fenottes\" for example.[49] \n\n\n\nThe Lumière brothers pioneered cinema in the town in 1895. The Institut \nLumière, built as Auguste Lumiere's house, and a fascinating piece of \narchitecture in its own right, holds many of their first inventions and other \nearly cinematic and photographic artifacts. \n8 December each year is marked by the Festival of Lights (la Fête des \nlumières), a celebration of thanks to the Virgin Mary, who purportedly \nsaved the city from a deadly plague in the Middle Ages. During the event, \nthe local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale \nlight shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean. \nThe Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting \naudiences from around the world. \nThe Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house \nwas re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named \nafter him. \nLyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the \ncity. This old tradition is now finding a contemporary expression, for example in the art of Guillaume \nBottazzi.[50][51] \nThe Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North \nAmerica, was founded in Lyon in 1821. \nThe African Museum of Lyon is one of the oldest museums situated in Lyon.[52] \nThe Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance \nmovement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the \nFrench resistance and many members were shot in Place Bellecour in the town centre. The exhibition is \nlargely a series of , mini-biographies of those involved. \nLyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program. \n\nGuignol, created in the early 19th \nC., associated with the silk-workers \n\n**UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \n\"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and \nstrategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the \nRenaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture \nfrom the 12th century to modern times.[53]", + "page_start": 14, + "page_end": 14, + "source_file": "wikipedia4.pdf" + }, + { + "text": "**21**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n–20 –10 \n0 \ndays \n10 20 \n. \n. \n. \n. \n. \n. \nGFDL-ESM2M HadGEM2-ES \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 16.**Difference in consecutive dry days between 2°C and 1.5°C global warming, for individual ensemble members and \nensemble mean. \n\n\n\n10 20 \n\nHadGEM2-ES", + "page_start": 20, + "page_end": 20, + "source_file": "pubmed11.pdf" + }, + { + "text": "**16**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n\n\n**Figure 10.**Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the \nensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile \nchanges, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses \nshow the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain \nequivalent. \n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those \nquantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a \nconsistent picture of how much wetter or drier the world is projected to be in this ensemble, even \nthough it involves a single atmosphere model. \n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C \ndifference in global mean temperature across most of the land surface in all ensemble members \n(figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C \nglobal warming than 2°C in some small regions, these are relatively localized and most regions \nare cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and \n1.0°C, but many other regions see larger differences. In several ensemble members, the difference \nis 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. \nFor example, over parts of Europe, where annual maximum daily temperature was projected \nto increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for \n1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit \nmaximum temperatures by three or four times as much in those areas (figure 14). \n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases \nshow similar geographical patterns as for 2°C in all ensemble members, with larger changes in \ncontinental interiors especially in the mid-latitudes (not shown). \n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also \nincreases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the \ntropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more", + "page_start": 15, + "page_end": 15, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "uksi_20210538_en.pdf", + "query": " What should do the rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided ?", + "target_page": 2, + "target_passage": "ensure that the register is kept in that church or chapel, and (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "*Made* *-* *-* *-* *-* *29th April 2021*\n\n*Coming into force -* *-* *4th May 2021*\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act \n1949(**a**). \n\n**Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \n\nChapels) Regulations 2021. \n\n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a chapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies(**b**). \n\n**Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in \nwhich banns of matrimony may be published. \n\n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under paragraph (1) must meet the requirements of \nparagraphs (4) and (5). \n\n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \n\nof a marriage, the register must be printed in such a way that it— \n\n(**a**) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(**b**) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(**c**) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including", + "page_start": 0, + "page_end": 0, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n\n(b) provides corresponding spaces for recording information required by each of those sub- \n\nparagraphs in relation to the marriage. \n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council \nbelongs to that parochial church council. \n\n**Duty to record information about marriages solemnized according to the rites of the Church**\n**of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the \nrites of the Church of England in a church or chapel in which banns of matrimony may be \npublished. \n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the following information in relation to that \nmarriage in a register of marriage services provided to the church or chapel under regulation \n2(1)— \n\n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) \n\nthe names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n\n(g) the name and surname of each of the witnesses in whose presence the marriage was \nsolemnized; \n\n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n\n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n\n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \n\n**Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage \n\nservices has been provided under regulation 2(1) must— \n\n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \n\ntheft, loss or damage. \n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulation 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated.", + "page_start": 1, + "page_end": 1, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "**EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other than chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \n\nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish in which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \n\nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by the member of the clergy by whom the \nmarriage was solemnized. \n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \n\nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n\n© Crown copyright 2021 \n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", + "page_start": 2, + "page_end": 2, + "source_file": "uksi_20210538_en.pdf" + }, + { + "text": "(d) to visit a person (“D”) whom P reasonably believes is dying, and where P is a member of \nD’s household or a close family member or friend of D; \n\n(e) to attend the funeral of a member of P’s household or a close family member; \n(f) \n\nin other exceptional circumstances such as— \n(i) to seek medical assistance where this is required urgently or on the advice of a \nregistered medical practitioner including to access services from dentists, opticians, \naudiologists, chiropodists, chiropractors, osteopaths and other medical and health \npractitioners, including services relating to mental health, \n\n(ii) to access critical public services including social services or services provided to \nvictims (such as victims of crime), \n\n(iii) to avoid injury or illness or to escape risk of harm, \n(iv) to access veterinary services where this is required urgently or on the advice of a \n\nveterinary surgeon. \n\n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the \n\ngrounds mentioned in sub-paragraph (1)(c), (d) or (e)— \n\n(a) if P has been given prior permission by a person authorised by the Secretary of State for \n\nthis purpose; \n\n(b) if P complies with any reasonable requirements imposed by the person so authorised in \n\nrelation to the exercise, the visit to the person or attendance at the funeral. \n\n**Meaning of “place”**\n\n**14.**For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room \nin the designated accommodation where P is staying and, if connected to the room where P is \nstaying, the room of any person referred to in paragraph 11(a) (travelling companion), including \nany balcony, and does not include the communal areas or any garden, yard, passage, stair, garage, \nouthouse or appurtenance of the accommodation in which the place is situated. \n\n**Designations**\n\n**15.**The Secretary of State must designate for the purposes of this Schedule— \n\n(a) accommodation; \n(b) transportation to the designated accommodation, \n\nand must publish details of the designations in such manner as appears to the Secretary of State to \nbe appropriate. \n\n**Duties where P is a child**\n\n**16.**If P is a child— \n\n(a) any person who has custody or charge of P when P is travelling to England must ensure, \nso far as is reasonably practicable, that P complies with the obligations in paragraphs 5 \nand 6; \n\n(b) any person who has custody or charge of P during P’s period of self-isolation must \nensure, so far as is reasonably practicable, that P self-isolates in accordance with this \nSchedule. \n\n**Person caring for P**\n\n**17.**A person may reside in the place where P is residing pursuant to this Schedule to provide \n\nassistance P reasonably requires by reason of— \n\n(a) P being a child; or \n(b) any disability of P’s,", + "page_start": 77, + "page_end": 77, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "for finance, who shall cause them to be laid before the National Assembly. \n\n(4) The Auditor-General shall perform such other duties and exercise such other \n\npowers in relation to the accounts of the Government or the accounts of other public \nauthorities or other bodies as may be prescribed by or under any Act of Parliament. \n\n(5) In the exercise of his or her functions the Auditor-General shall not be subject \n\nto the direction or control of any other person or authority. \n\n**CHAPTER IX**\n**Miscellaneous (ss 125-127)**\n\n**125. Resignations**\n\n(1) Any person who is appointed or elected to any office established by this \n\nConstitution may resign from that office by writing under his or her hand addressed to \nthe person or authority by whom he or she was appointed or elected: \n\nProvided that in the case of a person who holds office as President his or her \n\nresignation from that office shall be addressed to the Chief Justice, in the case of a \nperson who holds office as Speaker or Deputy Speaker of the National Assembly his or \nher resignation from that office shall be addressed to the Assembly, in the case of an", + "page_start": 52, + "page_end": 52, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "bankrupt under any law in force in any part of the Commonwealth and has not \nbeen discharged, or has made a composition with his or her creditors and has \nnot paid his or her debts in full; or \nhe or she has been convicted of any offence involving dishonesty in any \ncountry. \n\n(b) \n\n(7) A person appointed a member of the Commission shall not enter upon the \n\nduties of the office of Commissioner until he or she has taken and subscribed the oath of \nallegiance and such oath for the due execution of his or her office as may be prescribed \nby an Act of Parliament. \n\n(8) The Commission shall regulate its own procedure and proceedings. \n(9) The Chairman shall preside over all proceedings, and in his or her absence, \nthe legal practitioner referred to in subsection (1)(b) shall preside over the proceedings. \n(10) The quorum shall be four members, one of whom shall be the Chairman or \n\nthe said legal practitioner. \n\n(11) All issues shall be decided by the decision of the majority of the members \n\npresent and voting. \n\n(12) The Commission shall be responsible for- \n\n(a) \n\nthe conduct and supervision of elections of the Elected Members of the National \nAssembly and members of a local authority, and conduct of a referendum; \ngiving instructions and directions to the Secretary of the Commission appointed \nunder section 66 in regard to the exercise of his or her functions under the \nelectoral law prescribed by an Act of Parliament; \nensuring that elections are conducted efficiently, properly, freely and fairly; and \nperforming such other functions as may be prescribed by an Act of Parliament. \n\n(c) \n(d) \n\n(13) The Commission shall on the completion of any election conducted by it, \nsubmit a report on the exercise of its functions under the preceding provisions of this \nsection to the Minister for the time being responsible for matters relating to such \nelections, and that Minister shall, not later than seven days after the National Assembly \nfirst meets after he or she has received the report, lay it before the National Assembly. \n**66. Appointment of Secretary to Independent Electoral Commission**\n\n(1) There shall be a Secretary to the Independent Electoral Commission referred \n\nto in section 65A (in this section referred to as \"the Secretary\"). \n(2) The Secretary shall be appointed by the President. \n(3) The functions of the Secretary shall, subject to the directions and supervision \n\nof the Independent Electoral Commission, be to exercise general supervision over the \nregistration of voters for elections of- \n\n(a) \n(b) the Elected Members of the National Assembly; and \nthe members of any local authority, \n\nand over the conduct of such elections. \n\n(4) A person shall not be qualified to be appointed as Secretary to the \n\nIndependent Electoral Commission if- \n\n(a) \n(b) \n\nhe or she is not a citizen of Botswana; \nhe or she has been declared insolvent or adjudged or otherwise declared \nbankrupt under any law in force in any part of the Commonwealth and has not \nbeen discharged, or has made a composition with his or her creditors and has \nnot paid his or her debts in full; or \nhe or she has been convicted of any offence involving dishonesty in any \ncountry. \n\n(c) \n\n(5) A person shall not enter upon the duties of the office of Secretary until he or \n\nshe has taken and subscribed to the oath of allegiance and such oath for the due \nexecution of his or her office as may be prescribed by an Act of Parliament.", + "page_start": 30, + "page_end": 30, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "has more than one residence in Botswana in the constituency in which he or \nshe has his or her principal residence; or \nin the case of a person who does not have a residence in Botswana but is able \nto register in person, in the constituency in which he or she last resided, or in \nwhich he or she was born; or \nin the case of a person who is not resident in Botswana and is unable to \nregister in person, at such place as may be prescribed by Parliament and \nregistration at such place shall be treated as registration in the constituency in \nwhich he or she last resided, or in which he or she was born in Botswana. \n\n(b) \n\n(4) A person shall be entitled to be registered as a voter in one constituency only. \n(5) Every person who is registered in any constituency as a voter for the \npurposes of elections of the Elected Members of the National Assembly shall, unless he \nor she is disqualified by Parliament from voting in such elections on the grounds of his or \nher having been convicted of an offence in connection with the elections or on the \ngrounds of his or her having been reported guilty of such an offence by the court trying \nan election petition or on the grounds of his or her being in lawful custody at the date of \nthe election, be entitled so to vote in that constituency in accordance with the provisions \nmade by or under a law in that behalf; and no other person may so vote. \n**68. Tenure of office of Members**\n\n(1) The seat of an Elected Member or a Specially Elected Member of the \n\nNational Assembly shall become vacant- \n\n(a) \n(b) \n\nupon the dissolution of Parliament; \nif he or she is absent from the sittings of the Assembly for such period and in \nsuch circumstances as may be prescribed in the rules of procedure of the \nAssembly; \nsubject to the provisions of subsections (2) to (3) of this section, if any \ncircumstances arise that, if he or she were not a Member of the Assembly, \nwould cause him or her to be disqualified for election thereto. \n\n(c) \n\n(2) If circumstances such as are referred to in paragraph (c) of the preceding \n\nsubsection arise in relation to a Member of the Assembly by virtue of the fact that he or \nshe is declared insolvent, adjudged to be of unsound mind, sentenced to death or \nimprisonment, or convicted of an election offence and it is open to the Member to appeal \nagainst the decision (either with the leave of the court or other authority or without such \nleave), he or she shall forthwith cease to perform his or her functions as a Member of the \nAssembly but, subject to the next following subsection, he or she shall not vacate his or \nher seat until the expiration of a period of 30 days thereafter: \n\nProvided that the Speaker may, at the request of the Member, from time to time \n\nextend that period for further periods of 30 days to enable the Member to pursue an \nappeal against the decision, so, however, that extensions of time exceeding in the \naggregate 150 days shall not be given without the approval of the Assembly signified by \nresolution. \n\n(3) If, on the determination of any appeal, such circumstances continue to exist \n\nand no further appeal is open to the Member of the Assembly, or if, by reason of the \nexpiration of any period for entering an appeal or notice thereof or the refusal of leave to \nappeal or for any other reason, it ceases to be open to the Member to appeal, he or she \nshall forthwith vacate his or her seat. \n\n(4) If at any time before the Member of the Assembly vacates his or her seat \n\nsuch circumstances as aforesaid cease to exist, his or her seat shall not become vacant \nby reason of those circumstances, and he or she may resume the performance of his or \nher functions as a Member of the Assembly. \n**69. Determination of questions as to membership of National Assembly**", + "page_start": 32, + "page_end": 32, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "**1.**—(1) A person (“P”), other than a person described in sub-paragraph (2), who is— \n\n(a) a member of a diplomatic mission in the United Kingdom; \n(b) a member of a consular post in the United Kingdom; \n(c) an officer or servant of an international organisation; \n(d) employed by an international organisation as an expert or on a mission; \n(e) a representative to an international organisation; \n(f) a representative at an international or United Kingdom conference who is granted \nprivileges and immunities in the United Kingdom; \n\n(g) a member of the official staff of a representative to an international organisation, or of a \n\nperson falling within paragraph (f); \n\n(h) described in paragraph (a) or (b) who is passing through the United Kingdom to \ncommence or continue their functions at a diplomatic mission or consular post in another \ncountry or territory, or to return to the country of their nationality; \n\n(i) a representative of a foreign country or territory travelling to the United Kingdom to \n\nconduct official business with the United Kingdom; \n\n(j) a representative of the government of a British overseas territory; \n(k) a diplomatic courier or a consular courier; \n(l) a member of the family forming part of the household of a person falling within any of \n\nparagraphs (a) to (k). \n(2) A person (“P”) where— \n\n(a) P either— \n\n(i) travelled to the United Kingdom for the purpose of attending or facilitating a G7 \nevent, and P is in England for the purpose of attending or facilitating a G7 event or \nof travelling in order to leave England, or \n\n(ii) travelled to the United Kingdom for another purpose, and after their arrival in \n\nEngland is attending, facilitating, or travelling to or from a G7 event; \n(b) P has been invited by Her Majesty’s Government to attend or facilitate the event; \n(c) the relevant person has provided written confirmation to the relevant Department that P \nwill comply with the health protocols for the event; and \n\n(d) the relevant Department has provided written confirmation to the relevant person that P is \n\na person described in this sub-paragraph. \n\n(3) The conditions referred to in regulation 9(15)(a)(i) (persons who are not required to comply \n\nwith regulation 9) are that— \n\n(a) the relevant head of the mission, consular post, international organisation, or conference, \noffice representing a foreign territory in the United Kingdom or a Governor of a British \noverseas territory (as the case may be), or a person acting on their authority, confirms in \nwriting to the Foreign, Commonwealth and Development Office that— \n(i) P is required to undertake work which is essential to the functioning of the mission, \nconsular post, international organisation, conference, or office, or to undertake work \nwhich is essential to the foreign country represented by the mission or consular post, \nthe foreign territory represented by the office or the British overseas territory, and \n\n(ii) that work cannot be undertaken whilst P is complying with regulation 9; and \n\n(b) prior to P’s arrival in the United Kingdom the Foreign, Commonwealth and Development \n\nOffice— \n(i) has confirmed in writing to the person giving the confirmation referred to in \nparagraph (a) that it has received that confirmation, and \n\n(ii) where P is a representative of a foreign country or territory, has then confirmed in \nwriting to the person giving the confirmation referred to in paragraph (a) that P is \ntravelling to the United Kingdom to conduct official business with the United \nKingdom and is not required to comply with regulation 9. \n\n(4) For the purposes of this paragraph— \n\n(a) “consular courier” means a person who has been provided by the State on behalf of which \nthey are acting with an official document confirming their status as a consular courier in \naccordance with Article 35(5) of the Vienna Convention on Consular Relations of 1963; \n(b) “consular post” means any consulate-general, consulate, vice-consulate or consular \n\nagency;", + "page_start": 33, + "page_end": 33, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "Assistant Minister. \n\n**43. Tenure of office of Ministers and Assistant Ministers**\n\nThe office of any Minister or Assistant Minister shall become vacant- \n\n(a) \n\nin the case of a Minister or Assistant Minister appointed from among the \nMembers of the National Assembly, or in the case of a Minister or Assistant \nMinister appointed from among persons who are not Members of the Assembly \nwho becomes a Member of the Assembly before the expiration of four months \nfrom the date of his or her appointment- \n\n(i) \n\nif he or she ceases to be a Member of the National Assembly otherwise \nthan by reason of a dissolution of the National Assembly; or \nif, at the first sitting of the Assembly after a general election, he or she is \nnot a Member of the Assembly; \n\n(b) \n\nin the case of a Minister or Assistant Minister appointed from among persons \nwho are not Members of the Assembly, if before the expiration of four months \nfrom the date of his or her appointment- \n\n(i) \n\ncircumstances arise (other than a dissolution of the Assembly) that, if he or \nshe were such a Member, would cause him or her to vacate his or her seat \nin the Assembly; or \nhe or she does not become a Member of the Assembly; \nif the holder of the office is removed from office by the President; \nupon the assumption by any person of the office of President. \n\n(ii) \n\n(c) \n(d) \n\n**44. Cabinet**\n\n(1) There shall be a Cabinet which shall consist of the President, Vice-President \n\nand the Ministers. \n\n(2) There shall preside at meetings of the Cabinet- \n\n(a) \n(b) \n(c) \n\nthe President; \nin the absence of the President, the Vice-President; or \nin the absence of the President and the Vice-President, such Minister as the \nPresident may designate. \n\n(3) The Cabinet may act notwithstanding any vacancy in its membership. \n\n**45. Oaths to be taken by Ministers and Assistant Ministers**\n\nThe Vice-President, a Minister or an Assistant Minister shall not enter upon the \n\nduties of his or her office unless he or she has taken and subscribed the oath of \nallegiance and such oath for the due execution of his or her office as may be prescribed \nby Parliament. \n**46. Secretary to the Cabinet**\n\n(1) There shall be a Secretary to the Cabinet whose office shall be a public office. \n(2) The Secretary to the Cabinet shall have charge of the Cabinet Office and \n\nshall be responsible, in accordance with such instructions as may be given to him or her \nby the President, for arranging the business for, and keeping the minutes of, the \nCabinet, for conveying decisions of the Cabinet to the appropriate person or authority, \nand shall have such other functions as the President may from time to time direct. \n\n**PART III**\n**Executive Functions (ss 47-56)**\n\n**47. Functions of President**\n\n(1) The executive power of Botswana shall vest in the President and, subject to \n\nthe provisions of this Constitution, shall be exercised by him or her either directly or \nthrough officers subordinate to him or her. \n\n(2) In the exercise of any function conferred upon him or her by this Constitution \nor any other law the President shall, unless it is otherwise provided, act in his or her own \ndeliberate judgment and shall not be obliged to follow the advice tendered by any other \n\n(1) The Cabinet shall be responsible for advising the President with respect to \n\nthe policy of the Government and with respect to such other matters as may be referred \nto it by the President and shall, subject to the provisions of this Constitution, be \nresponsible to the National Assembly for all things done by or under the authority of the \nPresident, Vice-President or any Minister in the execution of his or her office. \n\n(2) The President shall, so far as practicable and subject to the provisions of this \n\nConstitution, consult the Cabinet on matters of policy and the exercise of his or her \nfunctions.", + "page_start": 22, + "page_end": 22, + "source_file": "Botswana-constitution.pdf" + }, + { + "text": "(1) The High Court shall have jurisdiction to hear and determine any question \n\nwhether- \n(a) \n\nany person has been validly elected as an Elected Member of the National \nAssembly or the seat of any such Member has become vacant; \nany person has been validly elected as Speaker of the Assembly or, having \nbeen so elected, has vacated the office of Speaker. \n\n(2) Any question whether any person has been validly elected as a Specially \n\nElected Member of the National Assembly or whether the seat of any such Member has \nbecome vacant shall be determined by the Speaker. \n\n(3) Parliament may make provision with respect to- \n\nthe persons who may apply to the High Court for the determination of any \nquestion under this section; \nthe circumstances and manner in which the conditions upon which any such \napplication may be made; and \nthe powers, practice and procedure of the High Court in relation to any such \napplication. \n**70. Clerk of the Assembly**\n\n(a) \n\n(b) \n\n(c) \n\n(1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the \n\nNational Assembly and their offices shall be offices in the public service. \n\n(2) There shall be such other offices in the department of the Clerk of the \nAssembly as may be prescribed by resolution of the National Assembly and such offices \nshall be offices in the public service. \n\n**PART II**\n**General Provisions Relating to Procedure in National Assembly (ss 71-76)**\n\n**71. Oaths to be taken by Speaker and Members**\n\nThe Speaker, before assuming the duties of his or her office, and every Member \nof the National Assembly before taking his or her seat therein, shall take and subscribe \nbefore the Assembly the oath of allegiance. \n**72. Presiding in Assembly**\n\nThere shall preside at any sitting of the National Assembly- \n\n(a) \n(b) \n(c) \n\nthe Speaker; \nin the absence of the Speaker, the Deputy Speaker; or \nin the absence of the Speaker and the Deputy Speaker, such Member of the \nAssembly (not being the President or Vice-President or a Minister or Assistant \nMinister) as the Assembly may elect for that sitting. \n\n**73. Quorum in Assembly**\n\nIf objection is taken by any Member of the National Assembly present that there \n\nare present in the Assembly (besides the person presiding) less than one third of the \nMembers of the Assembly and, after such interval as may be prescribed in the rules of \nprocedure of the Assembly, the person presiding ascertains that the number of Members \npresent is less than one third, he or she shall thereupon adjourn the Assembly. \n**74. Voting in Assembly**\n\n(1) Save as otherwise provided in this Constitution, any question proposed for \ndecision in the National Assembly shall be determined by a majority of the votes of the \nMembers present and voting. \n\n(2) ... \n(3) The person presiding in the National Assembly shall have neither an original \n\nvote nor a casting vote and if upon any question before the Assembly the votes are \nequally divided the motion shall be lost. \n**75. Unqualified persons sitting or voting**\n\nAny person who sits or votes in the National Assembly knowing or having", + "page_start": 33, + "page_end": 33, + "source_file": "Botswana-constitution.pdf" + } + ] + }, + { + "references": { + "source_file": "tesla_form_10q.pdf", + "query": "What are Tesla's total liabilities and equity in 2024?", + "target_page": 5, + "target_passage": "119,852", + "chunk_present": { + "presence": true, + "index": 9 + } + }, + "top_chunk": [ + { + "text": "Nine Months Ended September 30, \n\n2024 2023 \n\n53,821 \n2,071 \n1,380 \n\n$ \n\n57,879 \n1,357 \n1,620 \n\n57,272 \n7,025 \n7,686 60,856 \n4,597 \n6,153 \n\n71,983 71,606 \n\n45,602 \n761 47,919 \n972 \n\n46,363 \n5,157 \n7,192 48,891 \n3,770 \n5,723 \n\n58,712 58,384 \n\n13,271 13,222 \n\n3,264 \n3,837 \n677 2,875 \n3,520 \n— \n\n7,778 6,395 \n\n5,493 \n1,127 \n(254) \n(142) 6,827 \n733 \n(95) \n317 \n\n6,224 \n1,403 7,782 \n751 \n\n4,821 7,031 \n\n47 (38) \n\n4,774 $ 7,069 \n\nTesla, Inc. \n\nConsolidated Statements of Operations \n(in millions, except per share data) \n(unaudited) \n\nThree Months Ended September 30, \n\n2024 2023 \n\nRevenues \n\nAutomotive sales \nAutomotive regulatory credits \n\n$ \n\n18,831 \n739 \n446 \n\n$ \n\n18,582 \n554 \n489 \n\n$ \n\nAutomotive leasing \n\nTotal automotive revenues \nEnergy generation and storage \n\n20,016 \n2,376 \n2,790 19,625 \n1,559 \n2,166 Services and other \n\nTotal revenues 25,182 23,350 \n\nCost of revenues \n\nAutomotive sales \n\n15,743 \n247 15,656 \n301 Automotive leasing \n\nTotal automotive cost of revenues \n\n15,990 \n1,651 \n2,544 15,957 \n1,178 \n2,037 \n\nEnergy generation and storage \n\nServices and other \n\n20,185 19,172 Total cost of revenues \n\nGross profit \nOperating expenses \n\n4,997 4,178 \n\nResearch and development \nSelling, general and administrative \n\n1,039 \n1,186 \n55 1,161 \n1,253 \n— Restructuring and other \n\n2,280 2,414 Total operating expenses \n\nIncome from operations \nInterest income \nInterest expense \n\n2,717 \n429 \n(92) \n(270) 1,764 \n282 \n(38) \n37 Other (expense) income, net \n\nIncome before income taxes \n\n2,784 \n601 2,045 \n167 Provision for income taxes \n\nNet income \nNet income (loss) attributable to noncontrolling interests and \n\n2,183 1,878 \n\n16 25 redeemable noncontrolling interests in subsidiaries \n\n$ 2,167 $ 1,853 $ \nNet income attributable to common stockholders", + "page_start": 6, + "page_end": 6, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "TESLA, INC. \n\nFORM 10-Q FOR THE QUARTER ENDED SEPTEMBER 30, 2024 \n\nINDEX \n\nPART I. FINANCIAL INFORMATION \n\nItem 1. Financial Statements \n\nConsolidated Balance Sheets \n\nConsolidated Statements of Operations \n\nConsolidated Statements of Comprehensive Income \n\nConsolidated Statements of Redeemable Noncontrolling Interests and Equity \n\nConsolidated Statements of Cash Flows \n\nNotes to Consolidated Financial Statements \n\nItem 2. Management's Discussion and Analysis of Financial Condition and Results of Operations \n\nItem 3. Quantitative and Qualitative Disclosures about Market Risk \n\nItem 4. Controls and Procedures \n\nPART II. OTHER INFORMATION \n\nItem 1. Legal Proceedings \n\nItem 1A. Risk Factors \n\nItem 2. Unregistered Sales of Equity Securities and Use of Proceeds \n\nItem 3. Defaults Upon Senior Securities \n\nItem 4. Mine Safety Disclosures \n\nItem 5. Other Information \n\nItem 6. Exhibits", + "page_start": 2, + "page_end": 2, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Tesla, Inc. \n\nNotes to Consolidated Financial Statements \n\n(unaudited) \n\nNote 1 – Overview & Summary of Significant Accounting Policies \n\nOverview \n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and \nconverted to a Texas corporation on June 13, 2024. \n\nUnaudited Interim Financial Statements \n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the \nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of \nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the \nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information \ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from \nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the \naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying \nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023. \n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the \n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal \nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated \nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any \nother future years or interim periods. \n\nNine Months Ended September 30, \n\n2024 2023 \n\n53,821 $ 57,879 \n\n2,071 1,357 \n\n6,616 4,188 \n\n7,686 6,153 \n\n70,194 69,577 \n\n1,380 1,620 \n\n409 409 \n\n71,983 $ 71,606 \n\nRevenue Recognition \n\nRevenue by source \n\nThe following table disaggregates our revenue by major source (in millions): \n\nThree Months Ended September 30, \n\n2024 2023 \n\nAutomotive sales $ 18,831 $ 18,582 $ \n\nAutomotive regulatory credits 739 554 \n\nEnergy generation and storage sales 2,228 1,416 \n\n2,790 2,166 Services and other \n\nTotal revenues from sales and services 24,588 22,718 \n\nAutomotive leasing 446 489 \n\n148 143 Energy generation and storage leasing \n\n$ 25,182 $ 23,350 $ \nTotal revenues \n\nAutomotive Segment \n\nAutomotive Sales \n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their \nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on \nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively. \n\n10", + "page_start": 12, + "page_end": 12, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court of \nChancery against Elon Musk and the members of Tesla’s board of directors as then constituted, alleging corporate waste, unjust \nenrichment and that such board members breached their fiduciary duties by approving the stock-based compensation plan \nawarded to Elon Musk in 2018 (the “2018 CEO Performance Award”). Trial was held November 14-18, 2022. On January 30, \n2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff’s counsel filed \na brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June \n7, 2024, and a hearing was held on July 8, 2024. At Tesla’s 2024 Annual Meeting of Stockholders, 72% of the disinterested \nvoting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO Performance \nAward. On June 28, 2024, because Tesla’s disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr. \nMusk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court’s January 30, 2024 opinion, \nand a hearing was held on August 2, 2024. \n\nLitigation Related to Directors’ Compensation \n\nOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery, \n\npurportedly on behalf of Tesla, against certain of Tesla’s current and former directors regarding compensation awards granted \nto Tesla’s directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty and \nunjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed their \nanswer on September 17, 2020. \n\nOn July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involve \n\nan admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled and \ndismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement to \nstockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after which \nit took the settlement and plaintiff counsels’ fee request under advisement. On August 14, 2024, the parties submitted a joint \nletter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at a \nlater date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financial \nposition. \n\nBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla and \n\nElon Musk in connection with Mr. Musk’s August 7, 2018 Twitter post that he was considering taking Tesla private. On \nJanuary 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District of \nCalifornia and added as defendants the members of Tesla’s board of directors. The consolidated complaint asserts claims for \nviolations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification of \na class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3, \n2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as a \nmatter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11, \n2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appeals \nfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.", + "page_start": 26, + "page_end": 26, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Tesla, Inc. \n\nConsolidated Statements of Comprehensive Income \n(in millions) \n(unaudited) \n\nThree Months Ended September 30, \n\n2024 2023 \n\nNet income \nOther comprehensive income (loss): \n\n$ 2,183 $ 1,878 $ \n\nForeign currency translation adjustment \nUnrealized net gain on investments, net of tax \nNet loss realized and included in net income 445 \n8 \n— (289) \n7 \n— \n\n2,636 1,596 \n\nComprehensive income \nLess: Comprehensive income (loss) attributable to \nnoncontrolling interests and redeemable \nnoncontrolling interests in subsidiaries \nComprehensive income attributable to common \nstockholders \n$", + "page_start": 7, + "page_end": 7, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "LIABILITIES AND SHAREHOLDERS’ EQUITY \n\nCurrent liabilities: \n\nShort-term borrowings and current portion of \n\nlong-term debt (Note 8) \n\nNotes and accounts payable (Note 7) \n\nAccrual for warranty costs \n\nAccrued income taxes (Note 13) \n\nOther current liabilities \n\nTotal current liabilities \n\nLong-term liabilities: \n\nLong-term debt (Note 8) \n\nAccrued retirement benefits (Note 9) \n\nAccrual for warranty costs \n\nOther long-term liabilities \n\nTotal long-term liabilities \n\nMinority interests \n\nShareholders’ equity (Notes 10, 14 and 22): \n\nCommon stock, without par value: \n\nAuthorized—6,000,000,000 shares; \n\nIssued —4,520,715,112 shares in 2004 and 2003 \n\nCapital surplus \n\nRetained earnings \n\nUnrealized holding gain on securities \n\nTranslation adjustments \n\nLess treasury common stock, at cost; 141,235,573 shares in 2004 \n\nand 122,116,426 shares in 2003 \n\nTotal shareholders’ equity \n\nCommitments and contingencies (Note 17) \n\nTotal liabilities and shareholders’ equity \n\nSee notes to consolidated financial statements.", + "page_start": 74, + "page_end": 74, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "Certain Investigations and Other Matters \n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such \nas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange \nCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. The \nongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents, \nAutopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel, \nand related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other \ninquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred. \nWe cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement \naction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows, \nfinancial position or brand. \n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business \n\nactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain \nmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications \nto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain \nlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court \nfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by \nseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an \nunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the \npossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand. \n\nNote 11 – Variable Interest Entity Arrangements \n\nThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of any \nintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions): \n\nSeptember 30, \n2024 December 31, \n2023 \n\nAssets \n\nCurrent assets \n\nCash and cash equivalents $ \n\nAccounts receivable, net \n\nPrepaid expenses and other current assets \n\nTotal current assets \n\nOperating lease vehicles, net \n\nSolar energy systems, net \n\nOther non-current assets \n\nTotal assets \n\nLiabilities \n\nCurrent liabilities \n\nAccrued liabilities and other \n\nDeferred revenue \n\nCurrent portion of debt and finance leases \n\nTotal current liabilities \n\nDeferred revenue, net of current portion \n\nDebt and finance leases, net of current portion \n\nTotal liabilities", + "page_start": 29, + "page_end": 29, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla \n\nalleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the \nCompany’s 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company’s \ncorporate governance and internal procedures, unspecified damages, and attorneys’ fees. The lawsuit has been stayed pending \nresolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below. \n\nOn November 15, 2021, JPMorgan Chase Bank (“JP Morgan”) filed a lawsuit against Tesla in the Southern District of \n\nNew York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In \n2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk’s August 7, 2018 Twitter post that he \nwas considering taking Tesla private. Tesla disputed JP Morgan’s adjustment as a violation of the parties’ agreement. In 2021, \nTesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed \napproximately $162 million as the value of additional shares that it claims should have been delivered as a result of the \nadjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the \nunderlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 \nrather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. \nTesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the \nstock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September \n12, 2024, the Court denied JP Morgan’s motion. \n\nCertain Derivative Lawsuits in Delaware \n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by \npurported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly \non behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly \nTwitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek \nunspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters \ninto a single case, and a hearing on that motion is scheduled for November 18, 2024. \n\nLitigation and Investigations Relating to Alleged Discrimination and Harassment \n\nOn February 9, 2022, the California Civil Rights Department (“CRD,” formerly “DFEH”) filed a civil complaint against \n\nTesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay \nequity claims, among others. CRD’s amended complaint seeks monetary damages and injunctive relief. The case is currently in \ndiscovery. Trial is scheduled for September 15, 2025. \n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission (“EEOC”) issued a cause finding against \nTesla that closely parallels the CRD’s allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the \nUnited States District Court for the Northern District of California asserting claims for race harassment and retaliation and \nseeking, among other things, monetary and injunctive relief.", + "page_start": 27, + "page_end": 27, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "As discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis of \nFinancial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook \n—Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capital \nexpenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each of \nthe following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York and \nGigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Results \nof Operations—Liquidity and Capital Resources—Material Cash Requirements in our Annual Report on Form 10-K for the \nyear ended December 31, 2023. \n\nAs of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount of \n\nindebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, Debt, to the \nconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q. \n\nSources and Conditions of Liquidity \n\nOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used \n\nvehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equity \nofferings, when applicable.", + "page_start": 42, + "page_end": 42, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "18,111 $ \n\n15,537 \n\n3,313 \n\n14,530 \n\n4,888 \n\n56,379 \n\n5,380 \n\n5,040 \n\n36,116 \n\n4,867 \n\n184 \n\n158 \n\n253 \n\n6,486 \n\n4,989 \n\n119,852 $ \n\n16,398 \n\n12,696 \n\n3,508 \n\n13,626 \n\n3,388 \n\n49,616 \n\n5,989 \n\n5,229 \n\n29,725 \n\n4,180 \n\n184 \n\n178 \n\n253 \n\n6,733 \n\n4,531 \n\n106,618 \n\nAssets \n\nCurrent assets \n\nCash and cash equivalents \n\nShort-term investments \n\nAccounts receivable, net \n\nInventory \n\nPrepaid expenses and other current assets \n\nTotal current assets \n\nOperating lease vehicles, net \n\nSolar energy systems, net \n\nProperty, plant and equipment, net \n\nOperating lease right-of-use assets \n\nDigital assets, net \n\nIntangible assets, net \n\nGoodwill \n\nDeferred tax assets \n\nOther non-current assets \n\nTotal assets \n\nLiabilities \n\nCurrent liabilities \n\nAccounts payable \n\nAccrued liabilities and other \n\nDeferred revenue \n\nCurrent portion of debt and finance leases \n\nTotal current liabilities \n\nDebt and finance leases, net of current portion \n\nDeferred revenue, net of current portion \n\nOther long-term liabilities \n\nTotal liabilities \n\nCommitments and contingencies (Note 10) \n\nRedeemable noncontrolling interests in subsidiaries \n\nEquity \n\nStockholders’ equity \n\nPreferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding \n\nCommon stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and \noutstanding as of September 30, 2024 and December 31, 2023, respectively \n\nAdditional paid-in capital \n\nAccumulated other comprehensive loss", + "page_start": 4, + "page_end": 4, + "source_file": "tesla_form_10q.pdf" + } + ] + }, + { + "references": { + "source_file": "tesla_form_10q.pdf", + "query": "Where was Tesla incorporated? ", + "target_page": 13, + "target_passage": "State of Delaware", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Tesla, Inc. \n\nNotes to Consolidated Financial Statements \n\n(unaudited) \n\nNote 1 – Overview & Summary of Significant Accounting Policies \n\nOverview \n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and \nconverted to a Texas corporation on June 13, 2024. \n\nUnaudited Interim Financial Statements \n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the \nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of \nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the \nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information \ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from \nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the \naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying \nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023. \n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the \n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal \nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated \nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any \nother future years or interim periods. \n\nNine Months Ended September 30, \n\n2024 2023 \n\n53,821 $ 57,879 \n\n2,071 1,357 \n\n6,616 4,188 \n\n7,686 6,153 \n\n70,194 69,577 \n\n1,380 1,620 \n\n409 409 \n\n71,983 $ 71,606 \n\nRevenue Recognition \n\nRevenue by source \n\nThe following table disaggregates our revenue by major source (in millions): \n\nThree Months Ended September 30, \n\n2024 2023 \n\nAutomotive sales $ 18,831 $ 18,582 $ \n\nAutomotive regulatory credits 739 554 \n\nEnergy generation and storage sales 2,228 1,416 \n\n2,790 2,166 Services and other \n\nTotal revenues from sales and services 24,588 22,718 \n\nAutomotive leasing 446 489 \n\n148 143 Energy generation and storage leasing \n\n$ 25,182 $ 23,350 $ \nTotal revenues \n\nAutomotive Segment \n\nAutomotive Sales \n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their \nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on \nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively. \n\n10", + "page_start": 12, + "page_end": 12, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the Western \nDistrict of Texas, purportedly on behalf of Tesla, against certain of Tesla’s current and former directors. Both suits assert claims \nfor breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race and \ngender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecified \ndamages payable to Tesla, and attorneys’ fees. On July 22, 2022, the Court consolidated the two cases and on September 6, \n2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and on \nSeptember 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2, \n2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, the \ndefendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs to \namend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr. \nMusk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.", + "page_start": 27, + "page_end": 27, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Between October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery, \n\npurportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevant \ntimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuits \nchallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all have \nbeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in the \nU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Tesla \nboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal in \nthe above-referenced consolidated purported stockholder class action.", + "page_start": 26, + "page_end": 26, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "SIGNATURES \n\nPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has duly \ncaused this report to be signed on its behalf by the undersigned, thereunto duly authorized. \n\nTesla, Inc.", + "page_start": 48, + "page_end": 48, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Nine Months Ended September 30, \n\n2024 2023 \n\n53,821 \n2,071 \n1,380 \n\n$ \n\n57,879 \n1,357 \n1,620 \n\n57,272 \n7,025 \n7,686 60,856 \n4,597 \n6,153 \n\n71,983 71,606 \n\n45,602 \n761 47,919 \n972 \n\n46,363 \n5,157 \n7,192 48,891 \n3,770 \n5,723 \n\n58,712 58,384 \n\n13,271 13,222 \n\n3,264 \n3,837 \n677 2,875 \n3,520 \n— \n\n7,778 6,395 \n\n5,493 \n1,127 \n(254) \n(142) 6,827 \n733 \n(95) \n317 \n\n6,224 \n1,403 7,782 \n751 \n\n4,821 7,031 \n\n47 (38) \n\n4,774 $ 7,069 \n\nTesla, Inc. \n\nConsolidated Statements of Operations \n(in millions, except per share data) \n(unaudited) \n\nThree Months Ended September 30, \n\n2024 2023 \n\nRevenues \n\nAutomotive sales \nAutomotive regulatory credits \n\n$ \n\n18,831 \n739 \n446 \n\n$ \n\n18,582 \n554 \n489 \n\n$ \n\nAutomotive leasing \n\nTotal automotive revenues \nEnergy generation and storage \n\n20,016 \n2,376 \n2,790 19,625 \n1,559 \n2,166 Services and other \n\nTotal revenues 25,182 23,350 \n\nCost of revenues \n\nAutomotive sales \n\n15,743 \n247 15,656 \n301 Automotive leasing \n\nTotal automotive cost of revenues \n\n15,990 \n1,651 \n2,544 15,957 \n1,178 \n2,037 \n\nEnergy generation and storage \n\nServices and other \n\n20,185 19,172 Total cost of revenues \n\nGross profit \nOperating expenses \n\n4,997 4,178 \n\nResearch and development \nSelling, general and administrative \n\n1,039 \n1,186 \n55 1,161 \n1,253 \n— Restructuring and other \n\n2,280 2,414 Total operating expenses \n\nIncome from operations \nInterest income \nInterest expense \n\n2,717 \n429 \n(92) \n(270) 1,764 \n282 \n(38) \n37 Other (expense) income, net \n\nIncome before income taxes \n\n2,784 \n601 2,045 \n167 Provision for income taxes \n\nNet income \nNet income (loss) attributable to noncontrolling interests and \n\n2,183 1,878 \n\n16 25 redeemable noncontrolling interests in subsidiaries \n\n$ 2,167 $ 1,853 $ \nNet income attributable to common stockholders", + "page_start": 6, + "page_end": 6, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Certain Investigations and Other Matters \n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such \nas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange \nCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. The \nongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents, \nAutopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel, \nand related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other \ninquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred. \nWe cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement \naction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows, \nfinancial position or brand. \n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business \n\nactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain \nmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications \nto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain \nlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court \nfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by \nseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an \nunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the \npossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand. \n\nNote 11 – Variable Interest Entity Arrangements \n\nThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of any \nintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions): \n\nSeptember 30, \n2024 December 31, \n2023 \n\nAssets \n\nCurrent assets \n\nCash and cash equivalents $ \n\nAccounts receivable, net \n\nPrepaid expenses and other current assets \n\nTotal current assets \n\nOperating lease vehicles, net \n\nSolar energy systems, net \n\nOther non-current assets \n\nTotal assets \n\nLiabilities \n\nCurrent liabilities \n\nAccrued liabilities and other \n\nDeferred revenue \n\nCurrent portion of debt and finance leases \n\nTotal current liabilities \n\nDeferred revenue, net of current portion \n\nDebt and finance leases, net of current portion \n\nTotal liabilities", + "page_start": 29, + "page_end": 29, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On March 14, 2023, a proposed class action was filed against Tesla, Inc. in the U.S. District Court for the Northern \n\nDistrict of California. Several similar complaints were also filed in the same court and these cases have now all been \nconsolidated. These complaints allege that Tesla violates federal antitrust and warranty laws through its repair, service, and \nmaintenance practices and seeks, among other relief, damages for persons who paid Tesla for repairs services or Tesla \ncompatible replacement parts from March 2019 to March 2023. On July 17, 2023, these plaintiffs filed a consolidated amended \ncomplaint. On September 27, 2023, the court granted Tesla’s motion to compel arbitration as to three of the plaintiffs, and on \nNovember 17, 2023, the court granted Tesla’s motion to dismiss without prejudice. The plaintiffs filed a Consolidated Second \nAmended Complaint on December 12, 2023, which Tesla moved to dismiss. Plaintiffs also appealed the court’s arbitration \norder, which was denied. On June 17, 2024, the Court granted in part and denied in part Tesla’s motion to dismiss the \nConsolidated Second Amended Complaint.", + "page_start": 28, + "page_end": 28, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla \n\nalleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the \nCompany’s 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company’s \ncorporate governance and internal procedures, unspecified damages, and attorneys’ fees. The lawsuit has been stayed pending \nresolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below. \n\nOn November 15, 2021, JPMorgan Chase Bank (“JP Morgan”) filed a lawsuit against Tesla in the Southern District of \n\nNew York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In \n2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk’s August 7, 2018 Twitter post that he \nwas considering taking Tesla private. Tesla disputed JP Morgan’s adjustment as a violation of the parties’ agreement. In 2021, \nTesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed \napproximately $162 million as the value of additional shares that it claims should have been delivered as a result of the \nadjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the \nunderlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 \nrather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. \nTesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the \nstock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September \n12, 2024, the Court denied JP Morgan’s motion. \n\nCertain Derivative Lawsuits in Delaware \n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by \npurported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly \non behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly \nTwitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek \nunspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters \ninto a single case, and a hearing on that motion is scheduled for November 18, 2024. \n\nLitigation and Investigations Relating to Alleged Discrimination and Harassment \n\nOn February 9, 2022, the California Civil Rights Department (“CRD,” formerly “DFEH”) filed a civil complaint against \n\nTesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay \nequity claims, among others. CRD’s amended complaint seeks monetary damages and injunctive relief. The case is currently in \ndiscovery. Trial is scheduled for September 15, 2025. \n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission (“EEOC”) issued a cause finding against \nTesla that closely parallels the CRD’s allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the \nUnited States District Court for the Northern District of California asserting claims for race harassment and retaliation and \nseeking, among other things, monetary and injunctive relief.", + "page_start": 27, + "page_end": 27, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "On June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court of \nChancery against Elon Musk and the members of Tesla’s board of directors as then constituted, alleging corporate waste, unjust \nenrichment and that such board members breached their fiduciary duties by approving the stock-based compensation plan \nawarded to Elon Musk in 2018 (the “2018 CEO Performance Award”). Trial was held November 14-18, 2022. On January 30, \n2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff’s counsel filed \na brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June \n7, 2024, and a hearing was held on July 8, 2024. At Tesla’s 2024 Annual Meeting of Stockholders, 72% of the disinterested \nvoting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO Performance \nAward. On June 28, 2024, because Tesla’s disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr. \nMusk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court’s January 30, 2024 opinion, \nand a hearing was held on August 2, 2024. \n\nLitigation Related to Directors’ Compensation \n\nOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery, \n\npurportedly on behalf of Tesla, against certain of Tesla’s current and former directors regarding compensation awards granted \nto Tesla’s directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty and \nunjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed their \nanswer on September 17, 2020. \n\nOn July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involve \n\nan admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled and \ndismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement to \nstockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after which \nit took the settlement and plaintiff counsels’ fee request under advisement. On August 14, 2024, the parties submitted a joint \nletter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at a \nlater date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financial \nposition. \n\nBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla and \n\nElon Musk in connection with Mr. Musk’s August 7, 2018 Twitter post that he was considering taking Tesla private. On \nJanuary 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District of \nCalifornia and added as defendants the members of Tesla’s board of directors. The consolidated complaint asserts claims for \nviolations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification of \na class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3, \n2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as a \nmatter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11, \n2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appeals \nfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.", + "page_start": 26, + "page_end": 26, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "class actions and other consumer claims that allege, among other things, purported defects and misrepresentations related to our \nproducts and services. For example, on September 14, 2022, a proposed class action was filed against Tesla, Inc. and related \nentities in the U.S. District Court for the Northern District of California, alleging various claims about the Company’s driver \nassistance technology systems under state and federal law. This case was later consolidated with several other proposed class \nactions, and a Consolidated Amended Complaint was filed on October 28, 2022, which seeks damages and other relief on \nbehalf of all persons who purchased or leased from Tesla between January 1, 2016, to the present. On October 5, 2022, a \nproposed class action complaint was filed in the U.S. District Court for the Eastern District of New York asserting similar state \nand federal law claims against the same defendants. On September 30, 2023, the Court dismissed this action with leave to \namend the complaint. On November 20, 2023, the plaintiff moved to amend the complaint, which Tesla opposed. On August 8, \n2024, the Court denied the plaintiff’s motion for leave to file an amended complaint and entered judgment for Tesla. On \nSeptember 5, 2024, the plaintiff filed a notice of appeal to United States Court of Appeals for the Second Circuit. On March 22, \n2023, the plaintiffs in the Northern District of California consolidated action filed a motion for a preliminary injunction to order \nTesla to (1) cease using the term “Full Self-Driving Capability” (FSD Capability), (2) cease the sale and activation of FSD \nCapability and deactivate FSD Capability on Tesla vehicles, and (3) provide certain notices to consumers about proposed court- \nfindings about the accuracy of the use of the terms Autopilot and FSD Capability. Tesla opposed the motion. On September 30, \n2023, the Court denied the request for a preliminary injunction, compelled four of five plaintiffs to arbitration, and dismissed \nthe claims of the fifth plaintiff with leave to amend the complaint. On October 31, 2023, the remaining plaintiff in the Northern \nDistrict of California action filed an amended complaint, which Tesla moved to dismiss, and on May 15, 2024, the Court \ngranted in part and denied in part Tesla’s motion. On October 2, 2023, a similar proposed class action was filed in San Diego \nCounty Superior Court in California. Tesla subsequently removed the San Diego County case to federal court and on January 8, \n2024, the federal court granted Tesla’s motion to transfer the case to the U.S. District Court for the Northern District of \nCalifornia. Tesla moved to compel arbitration, which the plaintiff did not oppose, and on June 27, 2024, the Court stayed the \ncase pending arbitration. \n\nOn February 27, 2023, a proposed class action was filed in the U.S. District Court for the Northern District of California \n\nagainst Tesla, Inc., Elon Musk and certain current and former Company executives. The complaint alleges that the defendants \nmade material misrepresentations and omissions about the Company’s Autopilot and FSD Capability technologies and seeks \nmoney damages and other relief on behalf of persons who purchased Tesla stock between February 19, 2019, and February 17, \n2023. An amended complaint was filed on September 5, 2023, naming only Tesla, Inc. and Elon Musk as defendants. On \nNovember 6, 2023, Tesla moved to dismiss the amended complaint. On September 30, 2024, the Court granted Tesla’s motion \nto dismiss without prejudice. \n\nOn March 14, 2023, a proposed class action was filed against Tesla, Inc. in the U.S. District Court for the Northern", + "page_start": 28, + "page_end": 28, + "source_file": "tesla_form_10q.pdf" + } + ] + }, + { + "references": { + "source_file": "tesla_form_10q.pdf", + "query": "What is the reason for the increase in Tesla's tax rate from 2023 to 2024?", + "target_page": 26, + "target_passage": " increase in our effective tax rate is primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in the mix of our jurisdictional earnings", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Our provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased \nby $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, \n2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and \nincreased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended \nSeptember 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our \nU.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings. \n\nSee Note 9, Income Taxes, to the consolidated financial statements included elsewhere in this Quarterly Report on Form \n10-Q for further details. \n\nLiquidity and Capital Resources \n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash \n\nwe generate from our core operations enables us to fund ongoing operations and production, our research and development \nprojects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing \nmanufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, \nbody shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and \nautonomy and other artificial intelligence enabled products. \n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we \n\nwill be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing \noperations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we \nmay choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and \nmay decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, \nincluding through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time \ndetermine that it is in our best interests to voluntarily repay certain indebtedness early. \n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month \nperiod following September 30, 2024, as well as in the long-term. \n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of \nliquidity to meet such needs. \n\nMaterial Cash Requirements \n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of \ncomponents and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in \nthe precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do \nnot have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of \npurchase orders beyond such period is difficult to accurately project.", + "page_start": 42, + "page_end": 42, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Nine Months Ended September 30, \n\n2024 2023 \n\n53,821 \n2,071 \n1,380 \n\n$ \n\n57,879 \n1,357 \n1,620 \n\n57,272 \n7,025 \n7,686 60,856 \n4,597 \n6,153 \n\n71,983 71,606 \n\n45,602 \n761 47,919 \n972 \n\n46,363 \n5,157 \n7,192 48,891 \n3,770 \n5,723 \n\n58,712 58,384 \n\n13,271 13,222 \n\n3,264 \n3,837 \n677 2,875 \n3,520 \n— \n\n7,778 6,395 \n\n5,493 \n1,127 \n(254) \n(142) 6,827 \n733 \n(95) \n317 \n\n6,224 \n1,403 7,782 \n751 \n\n4,821 7,031 \n\n47 (38) \n\n4,774 $ 7,069 \n\nTesla, Inc. \n\nConsolidated Statements of Operations \n(in millions, except per share data) \n(unaudited) \n\nThree Months Ended September 30, \n\n2024 2023 \n\nRevenues \n\nAutomotive sales \nAutomotive regulatory credits \n\n$ \n\n18,831 \n739 \n446 \n\n$ \n\n18,582 \n554 \n489 \n\n$ \n\nAutomotive leasing \n\nTotal automotive revenues \nEnergy generation and storage \n\n20,016 \n2,376 \n2,790 19,625 \n1,559 \n2,166 Services and other \n\nTotal revenues 25,182 23,350 \n\nCost of revenues \n\nAutomotive sales \n\n15,743 \n247 15,656 \n301 Automotive leasing \n\nTotal automotive cost of revenues \n\n15,990 \n1,651 \n2,544 15,957 \n1,178 \n2,037 \n\nEnergy generation and storage \n\nServices and other \n\n20,185 19,172 Total cost of revenues \n\nGross profit \nOperating expenses \n\n4,997 4,178 \n\nResearch and development \nSelling, general and administrative \n\n1,039 \n1,186 \n55 1,161 \n1,253 \n— Restructuring and other \n\n2,280 2,414 Total operating expenses \n\nIncome from operations \nInterest income \nInterest expense \n\n2,717 \n429 \n(92) \n(270) 1,764 \n282 \n(38) \n37 Other (expense) income, net \n\nIncome before income taxes \n\n2,784 \n601 2,045 \n167 Provision for income taxes \n\nNet income \nNet income (loss) attributable to noncontrolling interests and \n\n2,183 1,878 \n\n16 25 redeemable noncontrolling interests in subsidiaries \n\n$ 2,167 $ 1,853 $ \nNet income attributable to common stockholders", + "page_start": 6, + "page_end": 6, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "$12 million in 2004. The increase is due to the full year of Borgata’s results, offset by a \nreduction to state income taxes in the fourth quarter of 2004. Borgata received a notice \nof refund of certain state tax credits and recorded a benefit for amounts earned in 2003 \nand 2004, which had previously been fully reserved. Our share of the adjustment was \n$12 million. We expect our share of the benefit of these tax credits to positively impact \nthis line item by approximately $8 million per year for the next three years. \n\nThe following table summarizes information related to our income taxes: \n\n| Ye | ar | En | ded | D | ece | mb | er | 31 | (In | th | ous | and | s) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Ye | ar | En | ded | D | ece | mb | er | 31 | (In | th | ous | and | s) | | | | | | 20 | 04 | | | | | | 2 | 00 | 3 | | | | | 20 | 02 |\n\n\nIncome from continuing operations \n\nbefore income tax . . . . . . . . . . . . . . . . . . . . . . .**$ 555,815** $ 343,660 $ 457,927 \n\nIncome tax provision . . . . . . . . . . . . . . . . . . . . . . **205,959**\n\nEffective income tax rate . . . . . . . . . . . . . . . . . . . **37.1%**\n\nCash paid for income taxes . . . . . . . . . . . . . . . . .**$ 128,393**\n\ntax depreciation and the utilization of tax credit carryforwards. We utilized the last of \nthese credits in 2003, which resulted in the increase in our cash paid for taxes in 2004. \n\nWe are evaluating the impact of provisions of the American Jobs Creation Act of \n2004 (the “Act”) that provide for a special one-time tax deduction of 85 percent \non certain repatriated earnings of foreign subsidiaries. Additional guidance from \nCongress and/or the United States Treasury Department will be necessary for us to \ncomplete our evaluation, as it is not clear at this time whether the Act will provide \na benefit to us. We will complete our evaluation as soon as practicable following the \nissuance of guidance and adjust our taxes accordingly, if necessary. \n\nWe have not yet repatriated the net proceeds from the sale of MGM Grand \nAustralia pending our evaluation. Nonetheless, we provided in 2004 deferred U.S. \nincome taxes of $11 million on the basis that such proceeds would be repatriated \nwithout the benefit of the 85 percent one-time deduction. Such amount was \nincluded in the provision for income taxes on discontinued operations for 2004. \nWe considered the earnings of our Australia operations permanently reinvested \nprior to the sale of such operations. \n\nIf guidance is issued that indicates our planned repatriation qualifies for the one- \ntime deduction, we will recognize a tax benefit of approximately $7 million as part \nof continuing operations in the quarter in which such guidance is issued. If no such \nguidance is issued within the applicable timeframe, then we will attempt to \npermanently reinvest the proceeds in another foreign jurisdiction, such as Macau. \nIn such case, we would recognize a tax benefit of $11 million as part of continuing \noperations in the quarter in which the reinvestment is made. We currently do not \nhave a plan to reinvest the proceeds in such manner. \n\n113,387 168,451 \n\n33.0% 36.8% \n\n$ 94,932 $ 44,579", + "page_start": 35, + "page_end": 35, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "Energy Generation and Storage Segment \n\nEnergy Generation and Storage Sales \n\nWe record as deferred revenue any non-refundable amounts that are collected from customers related to prepayments, \n\nwhich is recognized as revenue ratably over the respective customer contract term. As of September 30, 2024 and \nDecember 31, 2023, deferred revenue related to such customer payments amounted to $1.73 billion and $1.60 billion, \nrespectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balances as of \nDecember 31, 2023 and 2022 was $1.09 billion and $511 million for the nine months ended September 30, 2024 and 2023, \nrespectively. As of September 30, 2024, total transaction price allocated to performance obligations that were unsatisfied or \npartially unsatisfied for contracts with an original expected length of more than one year was $6.61 billion. Of this amount, we \nexpect to recognize $4.23 billion in the next 12 months and the rest over the remaining performance obligation period. \n\nWe have financing receivables on our consolidated balance sheets related to loans we provide for financing our energy \nproducts. As of September 30, 2024 and December 31, 2023, we had current net financing receivables of $32 million and $31 \nmillion, respectively, in Accounts receivable, net, and $641 million and $578 million, respectively, in Other non-current assets \nfor the long-term portion. \n\nIncome Taxes \n\nWe are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in \ndetermining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against \nour net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets \ntaking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred \ntax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax \ndifferences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in \nrecent prior years and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the \nCompany’s projected future results of business operations, including uncertainty in future operating results relative to historical \nresults, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions \nimpacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of \nfuture taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all \navailable information. \n\nOur provision for or benefit from income taxes for interim periods is determined using an estimate of our annual \neffective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update \nour estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment. \n\nNet Income per Share of Common Stock Attributable to Common Stockholders \n\nThe following table presents the reconciliation of net income attributable to common stockholders to net income used in \n\ncomputing basic and diluted net income per share of common stock (in millions): \n\nThree Months Ended September 30, Nine Months Ended September 30, \n\n2024 2023 2024 2023 \n\nNet income attributable to common stockholders $ 2,167 $ 1,853 $ 4,774 $ 7,069 \n\n— 2 (42) (3) Less: Buy-outs of noncontrolling interest \n\nNet income used in computing basic and diluted net \nincome per share of common stock \n$ 2,167 $ 1,851 $ 4,816 $ 7,072", + "page_start": 15, + "page_end": 15, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Energy Generation and Storage Segment \n\nEnergy generation and storage revenue increased $817 million, or 52%, in the three months ended September 30, 2024 \nas compared to the three months ended September 30, 2023. Energy generation and storage revenue increased $2.43 billion, or \n53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases \nwere primarily due to increases in Megapack and Powerwall deployments compared to the prior periods. \n\n29", + "page_start": 35, + "page_end": 35, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "We are focused on growing our manufacturing capacity, which includes capacity for manufacturing newer vehicle \nmodels such as our Cybertruck, Tesla Semi and future vehicles utilizing aspects of our next generation platform, and ramping \nthe production at our Gigafactories to their installed production capacities as well as increasing production rate and efficiency \nat our current factories. The next phase of production growth will depend on the continued ramp at our factories and be initiated \nby advances in autonomy and the introduction of new products, including those built on our next generation vehicle platform, \nas well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we are \ndeveloping to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicle \nperformance, decrease production costs and increase affordability and customer awareness. \n\nThese plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may be \n\nexacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, any \nindustry-wide component constraints, labor shortages and any future impact from events outside of our control. For example, \nduring the first quarter of 2024, we experienced a sequential decline in production volumes partially caused by the early phase \nof the production ramp of the updated Model 3 at our Fremont factory, and factory shutdowns at Gigafactory Berlin- \nBrandenburg resulting from shipping diversions caused by the Red Sea conflict and an arson attack. Moreover, we have set \nambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvements \nfor our vehicles with each new factory. \n\nAutomotive—Demand, Sales, Deliveries and Infrastructure \n\nOur cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key to \n\nour vehicles’ affordability and have allowed us to competitively price our vehicles. We will also continue to generate demand \nby improving our vehicles’ performance and functionality, including through product offerings and features based on artificial \nintelligence such as Autopilot, FSD (Supervised), and other software, and delivering new vehicles and vehicle options. In \naddition, we have been increasing awareness, and expanding our vehicle financing programs, including attractive leasing terms \nfor our customers. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector and \nincreasing environmental regulations and initiatives.", + "page_start": 33, + "page_end": 33, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "**Looking to the New Fiscal Year**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume \n\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent \n\nincrease over the prior year. \n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to \n\ntwenty regional product events. \n\n**Our sales objectives**\n\n• Japan: 933,000 units, a 10 percent increase over last year \n\n• U.S.: 1,047,000 units, an increase of 3.3 percent \n\n• Europe: 550,000 units, a 1.1 percent increase over last year \n\n• General Overseas Markets: 1,088,000 units, a 10.7 percent increase \n\n**Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of \n\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices, \n\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The \n\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively. \n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign \n\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro: \n\n• Net revenue is predicted to be ¥9 trillion, up 4.9 percent. \n\n• Operating profit is expected to be ¥870 billion, up 1 percent. \n\n• Ordinary profit is expected to reach ¥860 billion, up 0.5 percent. \n\n• Net income is predicted to be ¥517 billion, up 0.9 percent. \n\n• Capital expenditures are expected to reach ¥540 billion, up 13.1 percent. \n\n• R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent. \n\n• ROIC is expected to remain at or above 20 percent.", + "page_start": 9, + "page_end": 9, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "The increase in aggregate dollars in all periods presented is primarily a result of the expansion of our \noperations through internal growth and acquisitions. \n\nThe increase in cost of operations as a percentage of revenue from 2002 to 2003 and the decrease in cost \nof operations as a percentage of revenue from 2003 to 2004 is primarily attributable to higher self-insurance \nexpense in 2003. Self-insurance expense was $165.3 million, $189.5 million and $138.1 million for the years \nended December 31, 2004, 2003 and 2002, respectively. The increase in self-insurance expense in 2003 related \nto existing claims and was attributable to the expansion of our operations and various changes in estimates as a \nresult of continued negative trends through the 2003 policy year. \n\nExcluding self-insurance expense, cost of operations as a percentage of revenue increased during the year \nended December 31, 2004 versus the comparable 2003 period. This increase is primarily attributable to \nincreased fuel prices, labor costs and subcontracting costs associated with the long-haul transport of waste by \nthird-party vendors. Excluding self-insurance expense, cost of operations as a percentage of revenue decreased \nin 2003 versus the comparable 2002 period due to the elimination of closure and post-closure expense as a \ncomponent of cost of operations in accordance with SFAS 143 in 2003 and the termination of our operating \nlease facility in July 2002. This decrease was partially oÅset by increased fuel prices, an increase in waste taxes \nlevied on landÑll volumes in certain states, an increase in revenue generated by lines of business that produce \nlower operating margins and an increase in the long-haul transport of waste by third-party vendors. \n\nTo date in 2005, we have experienced a signiÑcant increase in fuel prices. We believe that cost of \noperations as a percentage of revenue may continue to remain high depending upon the cost of fuel, health \ninsurance, risk insurance and other key components of our cost structure and general economic conditions. \n\n*Depreciation, Amortization and Depletion of Property and Equipment.*Depreciation, amortization and \ndepletion expenses for property and equipment were $252.4 million, $233.8 million and $193.5 million, or, as a \npercentage of revenue, 9.3%, 9.3% and 8.2%, for the years ended December 31, 2004, 2003 and 2002, \nrespectively. The increase in aggregate dollars from 2003 to 2004 is primarily due to the expansion of our \noperations through internal growth and acquisitions. The increase in aggregate dollars and as a percentage of \nrevenue from 2002 to 2003 is primarily due to an increase in landÑll amortization associated with the adoption \nof SFAS 143. The remaining increase from 2002 to 2003 is due to increased depreciation expense resulting \nfrom capital expenditures, acquisitions and the purchase of equipment originally placed into service pursuant \nto an operating lease. \n\nIntangible assets consist primarily of cost in excess of fair value of \nnet assets acquired, but also includes values assigned to long-term contracts, covenants not to compete and \ncustomer relationships. Expenses for amortization of intangible assets were $7.0 million, $5.3 million and \n$6.1 million, or, as a percentage of revenue, .3%, .2% and .2%, for the years ended December 31, 2004, 2003 \nand 2002, respectively. The increase in such expenses in aggregate dollars and as a percentage of revenue from \n2003 to 2004 is primarily due to amortization expense on amounts that were recorded in other intangible assets \nduring the three months ended September 30, 2004 resulting from an extensive internal review of all recent \nacquisitions. The increase in amortization of intangible assets in aggregate dollars is also due to the \namortization of intangible assets associated with businesses acquired during 2004. \n\n*Amortization of Intangible Assets.*", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "Tesla, Inc. \n\nConsolidated Statements of Comprehensive Income \n(in millions) \n(unaudited) \n\nThree Months Ended September 30, \n\n2024 2023 \n\nNet income \nOther comprehensive income (loss): \n\n$ 2,183 $ 1,878 $ \n\nForeign currency translation adjustment \nUnrealized net gain on investments, net of tax \nNet loss realized and included in net income 445 \n8 \n— (289) \n7 \n— \n\n2,636 1,596 \n\nComprehensive income \nLess: Comprehensive income (loss) attributable to \nnoncontrolling interests and redeemable \nnoncontrolling interests in subsidiaries \nComprehensive income attributable to common \nstockholders \n$", + "page_start": 7, + "page_end": 7, + "source_file": "tesla_form_10q.pdf" + }, + { + "text": "Tesla, Inc. \n\nNotes to Consolidated Financial Statements \n\n(unaudited) \n\nNote 1 – Overview & Summary of Significant Accounting Policies \n\nOverview \n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and \nconverted to a Texas corporation on June 13, 2024. \n\nUnaudited Interim Financial Statements \n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the \nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of \nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the \nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information \ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from \nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the \naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying \nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023. \n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the \n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal \nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated \nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any \nother future years or interim periods. \n\nNine Months Ended September 30, \n\n2024 2023 \n\n53,821 $ 57,879 \n\n2,071 1,357 \n\n6,616 4,188 \n\n7,686 6,153 \n\n70,194 69,577 \n\n1,380 1,620 \n\n409 409 \n\n71,983 $ 71,606 \n\nRevenue Recognition \n\nRevenue by source \n\nThe following table disaggregates our revenue by major source (in millions): \n\nThree Months Ended September 30, \n\n2024 2023 \n\nAutomotive sales $ 18,831 $ 18,582 $ \n\nAutomotive regulatory credits 739 554 \n\nEnergy generation and storage sales 2,228 1,416 \n\n2,790 2,166 Services and other \n\nTotal revenues from sales and services 24,588 22,718 \n\nAutomotive leasing 446 489 \n\n148 143 Energy generation and storage leasing \n\n$ 25,182 $ 23,350 $ \nTotal revenues \n\nAutomotive Segment \n\nAutomotive Sales \n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their \nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on \nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively. \n\n10", + "page_start": 12, + "page_end": 12, + "source_file": "tesla_form_10q.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0764.pdf", + "query": "Which is the first candidate for experimenting the case of electrons interacting with a single boson mode?", + "target_page": 6, + "target_passage": "The primary candidate for such mode is an optical phonon", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "R \n\nTo address this issue, we took a larger λ for the same \nωsf and re-did the calculation of the conductivities and \noptical integrals. The results for σ(ω) and ∆W (ωc) are \npresented in Fig. 22. We found the same behavior as be- \nfore, i.e., ∆WK is negative. But we also found that the \nlarger is the overall scale for the self-energy, the larger is a \nfrequency of zero-crossing of ∆W (ωc). In particular, for \nthe same λ and ωsf that were used in Ref. 33 to fit the NS \nconductivity data, the zero crossing is at ∼ 0.8 eV which \nis quite close to the bandwidth. This implies that at a \ntruly strong coupling the frequency at which ∆W (ωc) \nchanges sign can well be larger than the bandwidth of \n1eV in which case ∆W integrated up to the bandwidth \ndoes indeed remain positive. Such behavior would be \nconsistent with Refs.8,9. we also see from Fig. 22 that \n∆WK becomes small at a truly strong coupling, and over \na wide range of frequencies the behavior of ∆W (ωc) is \npredominantly governed by ∆f (ωc), i.e. by the cut-off \nterm.50 The implication is that, to first approximation, \n∆WK can be neglected and positive ∆W (wc) integrated \nto a frequency where it is still positive is almost compen- \nsated by the integral over larger frequencies. This again \nwould be consistent with the experimental data in Refs. \n8,9. \n\nWe considered four models: a BCS model with impu- \nrities, a model of fermions interacting with an Einstein \nboson, a phenomenological MFL model with impurities, \nand a model of fermions interacting with collective spin \nfluctuations. \nIn all cases, we found that ∆WK is neg- \native, but how it evolves with ωc and how much of the \nsum rule is recovered by integrating up to the bandwidth \ndepends on the model. \n\nIt is also instructive to understand the interplay be- \ntween the behavior of ∆W (ωc) and the behavior of the \ndifference of the kinetic energy between the SCS and the \nNS, δKE. We computed the kinetic energy as a function \nof λωsf and present the results in Fig. 23 for λ = 1 and \n10. For a relatively weak λ = 1 the behavior is clearly \nBCS like- δKE > 0 and increases with increasing λωsf . \nHowever, at large λ = 10, we see that the kinetic energy \nbegin decreasing at large λωsf and eventually changes \nsign. The behavior of δKE at a truly strong coupling is \n\nThe result most relevant to the experiments on the \ncuprates is obtained for the spin fluctuation model. \nWe found that at strong coupling, the zero-crossing of \nδW (ωc) occurs at a frequency which increases with the \ncoupling strength and may become larger than the band- \nwidth at a truly strong coupling. Still, at even larger \nfrequencies, ∆W (ωc) is negative.", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "modes of neighboring tetrahedra. And these coupling \nconstants λx,y,z need to be tuned to produce Jx,y,z of \nthe Kitaev model. This is still not easy to implement in \nsolid state systems. At lowest non-trivial order of pertur- \nbative expansion, we do get our model (9). Higher order \nterms in expansion destroy the exact solvability, but may \nbe controlled by the small parameters λx,y,z/k. \n\nthe desired Jx,y,z terms in (8) from the first and second \norder of perturbations. \n\nThe calculation can be dramatically simplified by the \nfollowing fact that any physical spin-1/2 operator Sx,y,z \nℓ \nconverts the cluster spin singlet states \ninto \nspin-1 states of the cluster. This can be checked by \nexplicit calculations and will not be proved here. For \nall the perturbations to be considered later, the above \nmentioned fact can be exploited to replace the factor \nHcluster k]−1 in the second order pertur- \n[0 \nHcluster j − \nbation to a c-number ( \n\nτ z = 1 \n| ± i \n\n2Jcluster)−1. \nThe detailed calculations are given in Appendix B. We \n− \n\nλx Hperturbation, x = λx[Sj1 \n\nSk1 + sgn(Jx) \nSj2 + Sk1 (Sj2 \n· \nSk2). \n\nSk2)] \n· · \nJx(Sj1 \n\n− \nJx| · \n\n· · \n\nwhere λx = \nof Jx. \n\n12 Jcluster, sgn(Jx) = 1 is the sign \np | ± \n\nThe perturbation on y-links is \n\nIn this Subsection we consider more conventional per- \nturbations, magnetic interactions between the clusters, \nSk with j and k belong \ne.g. the Heisenberg coupling Sj · \nto different tetrahedra. This has the advantage over the \nprevious phonon approach for not introducing additional \ndegrees of freedom. But it also has a significant disad- \nvantage: the perturbation does not commute with the \ncluster Heisenberg Hamiltonian (2), so the cluster sin- \nglet subspace will be mixed with other total spin states. \nIn this Subsection we will use the spin-chirality represen- \ntation (6) for τ z. \n\nwill only list the results here. \nThe perturbation on x-links is given by \n\nλy Hperturbation, y \n\nSk1 + sgn(Jy) \nSj4 + Sk3 (Sj3 \nSk4) \n\nSj4) (Sk3 Sk4)] \n\nPjk = \nτ z \nj,k = s \n\n· \n(Sj3 \n· \n· \n\n− · − \n\n· \nJy| · \nThe perturbation on z-links is \n\n− | \n\nPs=±1 | ih \nJcluster. \n\nAgain consider two clusters j and k. For simplicity \nof notations define a projection operator \nPjPk, \nwhere \nPj,k is projection into the singlet subspace of clus- \nτ z \nj,k = \nter j and k, respectively, \nPj,k = \ns \n. For a given perturbation λ Hperturbation with small \n| \nparameter λ (in factor λ/Jcluster is the expansion param- \neter), lowest two orders of the perturbation series are \n\n=λy[Sj1 \nJy| \nwith λy = \n4 \np | \n\nλz Hperturbation, z \n\nPjk + λ2 \nHcluster k]−1(1 \n\n= λz[Sj2 \nJz| \nwith λz = 4 \n\n(Sk3 \n\nSk4) + sgn(Jz) \nSk4). \n\nSk2 (Sj3 Sj4)] λ \n\nPjkHperturbation \nHcluster j − \n[0 \n× \n\nPjkHperturbation(1 \n\n− Pjk) \n− Pjk)Hperturbation \n· \n(Sj3 × \nSj4 + Sk3 \n· · × \n\nPjk \n(15) \n− | \n\n· \nJz| · \n\n· \n− \n\nJcluster. \np| \nThe entire Hamiltonian Hmagnetic reads explicitly as, \n\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 Hmagnetic = \nX \ncluster j \n\n+ 12 \nJx| · \nJcluster Sj1 Sk1 + sgn(Jx) (Sj2 Sk2) Jx(Sj1 Sj2 + Sk1 Sk2) \nX \nx−links <jk> \n(cid:8)p (cid:2) (cid:3) − (cid:9) | · · · · · \n\n+ \n(cid:8)q4 Jy| · \nJcluster Sj1 (Sk3 Sk4) + sgn(Jy)Sk1 (Sj3 Sj4) \nJy| \n(Sj3 Sj4 + Sk3 \nX \ny−links <jk> \n(cid:2) (cid:3) − | | · − · − · \n\n+ \n4 \n(cid:8) Jz| · \nJcluster \nSj2 \n(cid:2) \n(Sk3 Sk4) + sgn(Jz)Sk2 (Sj3 Sj4) \nJz| \n(Sj3 Sj4 + Sk3 \nX \nz−links <jk> \np| (cid:3) − | · × · × ·", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0266.pdf" + }, + { + "text": "10 \n\nout first deriving the normal state self-energy microscop- \nically (this is what we will do in the next section). The \nresults of the calculations for the modified MFLI model \nare presented in Figs. 15 and 16. We clearly see that the \nbehavior is now different and ∆WK < 0 for all Γ. This \nis the same behavior as we previously found in BCSI \nand EB models. So we argue that the ‘unconventional’ \nbehavior exhibited by the original MFLI model is most \nlikely the manifestation of a particular modeling incon- \nsistency. Still, Ref. 30 made a valid point that the fact \nthat quasiparticles behave more close to free fermions in \na SCS than in a NS, and this effect tends to reverse the \nsigns of ∆WK and of the kinetic energy 43. It just hap- \npens that in a modified MFLI model the optical integral \nis still larger in the NS. \n\nWe now turn to a more microscopic model- the CB \nmodel. The model describes fermions interacting by ex- \nchanging soft, overdamped collective bosons in a partic- \nular, near-critical, spin or charge channel31,44,45. This \ninteraction is responsible for the normal state self-energy \nand also gives rise to a superconductivity. A peculiar \nfeature of the CB model is that the propagator of a col- \nlective boson changes below Tc because this boson is not \nan independent degree of freedom (as in EB model) but \nis made out of low-energy fermions which are affected by \nsuperconductivity32. \n\n0 \n\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’ \nMFLI model with the feedback from SC on the quasiparticle \n√−ω2+∆2 . In the SCS σ \ndamping: iΓ term transforms into \nnow begins at Ω = 2∆. The parameters are same as in Fig. \n10. Bottom – the behavior of Kubo sum with Γ. Observe \nthat W (ωc) in the NS is larger than in the SCS. \n\nΓ \n\n) \n10 \nc \nω \n( \n\nS \nN \nW \n− \n) \nc \n0 ω \n( \n\nC \nS \nW \n∆ W \nK \n\n−10 \n0.2 \n0.4 \nω \n in eV \nc \n0.6 0.8 \n\nFIG. 16: Evolution of the difference of the optical integrals \nbetween the SCS and the NS with the upper cut-off ωc for \nthe “corrected” MFLI model. Now ∆W (ωc) is negative above \nsome frequency. Parameters are same as in the Fig 15. \n\nThe most relevant point for our discussion is that this \nmodel contains the physics which we identified above as \na source of a potential sign change of ∆WK . Namely, \nat strong coupling the fermionic self-energy in the NS \nis large because there exists strong scattering between \nlow-energy fermions mediated by low-energy collective \nbosons. In the SCS, the density of low-energy fermions \ndrops and a continuum collective excitations becomes \ngaped. Both effects reduce fermionic damping and lead \nto the increase of WK in a SCS. If this increase exceeds a \nconventional loss of WK due to a gap opening, the total \n∆WK may become positive. \n\nThe CB model has been applied numerous times to the \ncuprates, most often under the assumption that near- \ncritical collective excitations are spin fluctuations with \nmomenta near Q = (π, π). This version of a CB bo- \nson is commonly known as a spin-fermion model. This \nmodel yields dx2 \ny2 superconductivity and explains in a \nquantitative way a number of measured electronic fea- \ntures of the cuprates, in particular the near-absence of \nthe quasiparticle peak in the NS of optimally doped and \nunderdoped cuprates39 and the peak-dip-hump structure \nin the ARPES profile in the SCS31,32,46,47. In our analy- \nsis we assume that a CB is a spin fluctuation. \n\n− \n\nmodel, where WK is larger in the NS for all Γ (see Fig. \nIn other words, the original MFLI model does not \n4). \nhave the BCSI theory as its limiting case. \n\nWe modified the MFLI model is a minimal way by \nΓ \nchanging the damping term in a SCS to \nω2+∆2 to be \nconsistent with BCSI model. We still use Eq. (18) for \nthe MFL term simply because this term was introduced \nin the NS on phenomenological grounds and there is no \nway to guess how it gets modified in the SCS state with- \n\n√ \n−", + "page_start": 9, + "page_end": 9, + "source_file": "1001.0764.pdf" + }, + { + "text": "FIG. 3: The BCSI case with a dispersion linearized around the \nFermi surface. Evolution of the difference of optical integrals \nin the SCS and the NS with the upper cut-off ωc Observe \nthat the zero crossing point increases with impurity scattering \nrate Γ and also the ‘dip’ spreads out with increasing Γ. ∆ = \n30 meV \n\nFIG. 2: Distribution functions in four cases (a) BCSI model, \nwhere one can see that for ε > 0, SC>NS implying KE in- \ncreases in the SCS. (b) The original MFLI model of Ref. 30, \nwhere for ε > 0, SC<NS, implying KE decreases in the SCS. \n(c) Our version of MFLI model (see text) and (d) the CB \nmodel. In both cases, SC>NS, implying KE increases in the \nSCS. Observe that in the impurity-free CB model there is no \njump in n(ǫ) indicating lack of fermionic coherence. This is \nconsistent with ARPES39 \n\nFor a constant DOS, ∆W (ωc) = WSC (ωc) − WN S(ωc) \nis zero at ωc = ∞ and Kubo sum rule reduces to FGT \nsum rule. In Fig. 3 we plot for this case ∆W (ωc) as a \nfunction of the cutoff ωc for different Γ′s. The plot shows \nthe two well known features: zero-crossing point is below \n2∆ in the clean limit Γ << ∆ and is roughly 2Γ in the \ndirty limit21,40 The magnitude of the ‘dip’ decreases quite \nrapidly with increasing Γ. Still, there is always a point \nof zero crossing and ∆W (ωc) at large ωc approaches zero \nfrom below. \n(11) \n\nA. The BCS case \n\nIn BCS theory the quantity Z(ω) is given by \n\nΓ \n∆2 − (ω + iδ)2 \nZBCSI (ω) = 1 + \n\np and \n\nΣBCSI(ω) = ω (Z(ω) − 1) = iΓ \n\nWe now perform the same calculations in the presence \nof lattice dispersion. The results are summarized in Figs \n4,5, and 6. \nω \n(ω + iδ)2 − ∆2 \n(12) \n\nFig 4 shows conductivities σ(ω) in the NS and the SCS \nand Kubo sums WK plotted against impurity scattering \nΓ. We see that the optical integral in the NS is always \ngreater than in the SCS. The negative sign of ∆WK is \nsimply the consequence of the fact that nk is larger in the \nNS for ǫk < 0 and smaller for ǫk < 0, and ∇2ε~k closely \nfollows −ε~k for our choice of dispersion38), Hence nk is \nlarger in the NS for ∇2ε~k > 0 and smaller for ∇2ε~k < \n0 and the Kubo sum rule, which is the integral of the \nproduct of nk and ∇2ε~k (Eq. 3), is larger in the normal \nstate. \n\nWe also see from Fig. 4 that ∆WK decreases with Γ \nreflecting the fact that with too much impurity scattering \nthere is little difference in nk between NS and SCS. \n\np \n\nThis is consistent with having in the NS, Σ = iΓ in accor- \ndance with Eq 6. In the SCS, Σ(ω) is purely imaginary \nfor ω > ∆ and purely real for ω < ∆. The self-energy \nhas a square-root singularity at ω = ∆. \n\nIt is worth noting that Eq.12 is derived from the in- \ntegration over infinite band. If one uses Eq.6 for finite \nband, Eq.12 acquires an additional frequency dependence \nat large frequencies of the order of bandwidth (the low \nfrequency structure still remains the same as in Eq.12). \nIn principle, in a fully self-consistent analysis, one should \nindeed evaluate the self-energy using a finite bandwidth. \nIn practice, however, the self-energy at frequencies of or- \nder bandwidth is generally much smaller than ω and con- \ntribute very little to optical conductivity which predom- \ninantly comes from frequencies where the self-energy is \ncomparable or even larger than ω. Keeping this in mind, \nbelow we will continue with the form of self-energy de- \nrived form infinite band. We use the same argument for \nall four models for the self-energy.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + }, + { + "text": "The study of low dimensional \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n4 \n\n] \nh \nc \ne \nm \n\n- \nt \na \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\n1 \nv \n0 \n1 \n5 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nz \n\n~Si × ~Sj \nh \n. \n\nThe complex phase diagram unveiled by such MC sim- \nulations awaken however a further intriguing question: \nto what extent the observed behavior may be considered \na simple consequence of the competition between helical \norder and surface effects? I.e., is it just a matter of hav- \ning such a competition or does the range of interactions \nalso play a relevant role? Indeed, when the range of the \ninteractions is large enough we have a greater number of \nplanes which can be thought of as ”surface planes”, i.e. \nfor which the number of interacting neighbors are sig- \nnificantly reduced with respect to the bulk layers; there- \nfore, we expect that the larger the interaction range, the \nstronger should be the surface effects. But, at the same \ntime, the same modulation of the magnetic order can \n\ni \n\nFor these rare-earth elements, the development of new \nand sophisticated experimental methods11 has allowed to \nobtain ultra-thin films where the non-collinear modula- \ntion is comparable with the film thickness. Under such \nconditions the lack of translational invariance due to the \npresence of surfaces results decisive in order to observe \na drastic change of the magnetic structures12. Recent \nexperimental data on ultra-thin Holmium films13 have \nbeen lately interpreted and discussed14,15 on the basis \nof detailed classical Monte Carlo (MC) simulations of a \nspin Hamiltonian, which is believed to give a realistic \nmodeling of bulk Holmium. Such Hamiltonian, proposed \nby Bohr et al.16, allows for competitive middle-range in-", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0510.pdf" + }, + { + "text": "11 \n\nhigh-energy fermions and is an input for the low-energy \ntheory. Below we follow Refs. 31,33 and assume that \nthe momentum dependence of a collective boson is flat \nnear (π, π). The self energy within such model has been \nworked out consistently in Ref. 31,33. \nIn the normal \nstate \n\na SCS a gapless continuum described by Eq. (20) trans- \nforms into a gaped continuum, with a gap about 2∆ and \na resonance at ω = ω0 < 2∆, where for a d−wave gap we \ndefine ∆ as a maximum of a d−wave gap. \nThe spin susceptibility near (π, π) in a superconductor \ncan generally be written up as \n\nχQ \n1 − i Π(Ω) \nωsf \nω2 \nω2 1 \n2 \nχ(q ∼ Q, Ω) = (21) \nΣ′′(ω) = − λnωsf log 1 + \nsf ! \n\nω \nωsf \nΣ′(ω) = −λnωsf arctan \n\nwhere Π is evaluated by adding up the bubbles made \nout of two normal and two anomalous Green’s functions. \nBelow 2∆, Π(Ω) is real (∼ Ω2/∆ for small Ω), and the \nresonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At \nfrequencies larger than 2∆, Π(Ω) has an imaginary part, \nand this gives rise to a gaped continuum in χ(Ω). \n\n(19) \n\nwhere λn is the spin-fermion coupling constant, and ωsf \nis a typical spin relaxation frequency of overdamped spin \ncollective excitations with a propagator \nThe imaginary part of the spin susceptibility around \n\nthe resonance frequency ω0 is31 \n\nχQ \n1 − i Ω \nωsf \nχ(q ∼ Q, Ω) = (20) \n\nπZoω0 \n2 \n\n′′ \nχ (q, Ω) = δ(Ω − ω0) (22) \n\nwhere χQ is the uniform static susceptibility. If we use \nOrnstein-Zernike form of χ(q) and use either Eliashberg \n45 or FLEX computational schemes48, we get rather sim- \nilar behavior of Σ as a function of frequency and rather \nsimilar behavior of optical integrals. \n\nwhere Zo ∼ 2 ωsf χ0/ ∂Π \n∂ω \n\n. The imaginary part \n| \nof the spin susceptibility describing a gaped continuum \nexists for for Ω ≥ 2∆ and is \n\nΩ=ω0 \n\nThe collective nature of spin fluctuations is reflected in \nthe fact that the coupling λ and the bosonic frequency \nωsf are related: λ scales as ξ2, where ξ is the bosonic \nmass (the distance to a bosonic instability), and ωsf ∝ \n2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf \nξ− \ndoes not depend on ξ and is the overall dimensional scale \nfor boson-mediated interactions. \n\n′′ \nχ (q, Ω) = Im \n1 − 1 \nωsf \n\" \n\n(cid:0) \n\nχ0 \nπ∆2 \nΩ + i π \n≈ Im \n1 − 1 \nωsf 2 Ω \" # \n\n(cid:1) \nIn Eq. (23) D(x) = K1(x) \nK2(x) \n, and K1(x) and K2(x) \nare Elliptic integrals of first and second kind. The real \npart of χ is obtained by Kramers-Kr¨onig transform of the \nimaginary part. \n\n(cid:0) \n− \nx \n\nχ0 \n4∆2 \nΩ D( 4∆2 \n\nΩ2 ) + iΩK2(1 − 4∆2 \nΩ2 ) \n(cid:1) \n\n# \n\nfor Ω >> 2∆ (23) \n\nIn the SCS fermionic excitations acquire a gap. This \ngap affects fermionic self-energy in two ways: directly, via \nthe change of the dispersion of an intermediate boson in \nthe exchange process involving a CB, and indirectly, via \nthe change of the propagator of a CB. We remind our- \nselves that the dynamics of a CB comes from a particle- \nhole bubble which is indeed affected by ∆. \n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the \nself-energy one obtains Σ′′(ω) in a SCS state as a sum of \ntwo terms31 The effect of a d−wave pairing gap on a CB has been \ndiscussed in a number of papers, most recently in31. In \n\nπZo \n2 \n\nω + ωo \nΣ′′A(ω) = \nλnωo Re \n(ω + ωo)2 − ∆2 ! \n\ncomes from the interaction with the resonance and \np \n\n2 \n1 − 4∆ \nx2 x \nωsf \n\nK2 \n2 \n(cid:16) \n+ \n\nE \n\nω + x \n(ω + x)2 − ∆2 \n\n| | \nΣ′′B(ω) = −λn \ndx Re \n\n(cid:17) \nK2 \n\n1 − 4∆2 \nxωsf \nh \n\n4∆2 \nx2 1 − 4∆2 \nx2 x \nωsf \n2∆ \nD \nZ \n\np \n(cid:1)i \nh \n(cid:1)i (cid:0) (cid:0) \n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", + "page_start": 10, + "page_end": 10, + "source_file": "1001.0764.pdf" + }, + { + "text": "One major drawback of the model to be presented is \nthat it contains high order spin interactions(involves up \nto six or eight spins), thus is still unnatural. However it \nopens the possibility to realize exotic (exactly solvable) \nmodels from spin-1/2 Hamiltonian with spin rotation in- \nvariant interactions. We will discuss two possible routes \nto reduce this artificialness through controlled perturba- \ntive expansions, by coupling to optical phonons or by \nmagnetic couplings between the elementary units. \n\nHcluster = (Jcluster/2) (S1 + S2 + S3 + S4)2 (2) \n\nThe energy levels should be apparent from this form: \none group of spin-2 quintets with energy 3Jcluster, three \ngroups of spin-1 triplets with energy Jcluster, and two spin \nsinglets with energy zero. We will consider large positive The outline of this paper is as follows. In Section II \nwe will lay out the pseudo-spin-1/2 construction. In Sec-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0266.pdf" + }, + { + "text": "[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja- \ncobsen, “Benchmark density functional theory calculations for \nnanoscale conductance”, J. Chem. Phys. 128(11), 114714 (Mar. \n2008), doi:10.1063/1.2839275. \n\ning theory put into practice: First-principles modeling of trans- \nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803 \n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803. \n\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, \nW.-J. Chun, Y. Koike, and K. Asakura, “X-ray absorption fine \nstructure (XAFS) analyses of Ni species trapped in graphene \nsheet of carbon nanofibers”, Phys. Rev. B 73(14), 144103 (Apr. \n2006), doi:10.1103/PhysRevB.73.144103. \n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or- \ndej´on, and D. S´anchez-Portal, “The SIESTA method for ab ini- \ntio order-n materials simulation”, J. Phys.: Condens. Matter \n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302. \n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge \n\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, \nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con- \nductance of single-walled carbon nanotubes by ion irradiation \nin the Anderson localization regime”, Nature Materials 4, 534 \n(Jun. 2005), doi:10.1038/nmat1414. \n\nUniversity Press, London, 1961). \n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford \nUniversity Press, London, 2006). \n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC- \nPress, 2006–2007). \n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2538.pdf" + }, + { + "text": "integral in the SCS at T = 0 and in the NS extrapolated \nto T = 0 and compare the cut off effect ∆f (ωc) to ∆WK \nterm. We also analyze the sign of ∆W (ωc) at large fre- \nquencies and discuss under what conditions theoretical \nW (∞) increases in the SCS. \n\nWe perform calculations for four models. First is a \nconventional BCS model with impurities (BCSI model). \nSecond is an Einstein boson (EB) model of fermions in- \nteracting with a single Einstein boson whose propaga- \ntor does not change between NS and SCS. These two \ncases will illustrate a conventional idea of the spectral \nweight in SCS being less than in NS. Then we con- \nsider two more sophisticated models: a phenomenological \n“marginal Fermi liquid with impurities” (MFLI) model \nof Norman and P´epin30, and a microscopic collective bo- \nson (CB) model31 in which in the NS fermions interact \nwith a gapless continuum of bosonic excitations, but in a \nd−wave SCS a gapless continuum splits into a resonance \nand a gaped continuum. This model describes, in par- \nticular, interaction of fermions with their own collective \nspin fluctuations32 via \n\ncase, as we said, WK does not depend on temperature) \nand analyzed the T dependence of W (ωc) due to the T \ndependence of the cut-off term. They found a good agree- \nment with the experiments. This still does not solve the \nproblem fully as amount of the T dependence of WK in \nthe same model but with a lattice dispersion has not been \nanalyzed. For a superconductor, which of the two terms \ncontributes more, remains an open issue. At small fre- \nquencies, ∆W (ωc) between a SCS and a NS is positive \nsimply because σ(Ω) in a SCS has a δ−functional term. \nIn the models with a constant DOS, for which ∆WK = 0, \nprevious calculations21 show that ∆W (ωc) changes sign \nat some ωc, becomes negative at larger ωc and approaches \nzero from a negative side. The frequency when ∆W (ωc) \nchanges sign is of order ∆ at weak coupling, but increases \nas the coupling increases, and at large coupling becomes \ncomparable to a bandwidth (∼ 1eV ). At such frequencies \nthe approximation of a DOS by a constant is question- \nable at best, and the behavior of ∆W (ωc) should gen- \nerally be influenced by a nonzero ∆WK . In particular, \nthe optical integral can either remain positive for all fre- \nquencies below interband transitions (for large enough \npositive ∆WK), or change sign and remain negative (for \nnegative ∆WK ). The first behavior would be consistent \nwith Refs. 8,9, while the second would be consistent with \nRef. 10. ∆W can even show more exotic behavior with \nmore than one sign change (for a small positive ∆WK ). \nWe show various cases schematically in Fig.1. \n\nd2q \n(2π)2 χ(q, ω)G(k + q, ω + Ω) dω \n2π \nΣ(k, Ω) = 3g2 (6) \n\nZ \n\nwhere g is the spin-fermion coupling, and χ(q, ω) is the \nspin susceptibility whose dynamics changes between NS \nand SCS. \n\nFrom our analysis we found that the introduction of \na finite fermionic bandwidth by means of a lattice has \ngenerally a notable effect on both W and ∆W . We \nfound that for all models except for BCSI model, only \n70% − 80% of the optical spectral weight is obtained by \nintegrating up to the bandwidth. In these three models, \nthere also exists a wide range of ωc in which the behavior \nof ∆W (ωc) is due to variation of ∆f (ωc) which is domi- \nnant comparable to the ∆WK term. This dominance of \nthe cut o��� term is consistent with the analysis in Refs. \n21,22,33. \n\nω \nc ω \nc \n\n(4). The \nFIG. 1: Schematic behavior of ∆W vs ωc, Eq. \nis ∆WK given by Eq. (3) \nlimiting value of ∆W at ωc = \nDepending on the value of ∆WK, there can be either one sign \nchange of ∆W (panels a and c), or no sign changes (panel b), \nor two sign changes (panel d). \n\n∞", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0764.pdf" + }, + { + "text": "∞ \n\nIn our work, we perform direct numerical calculations \nof optical integrals at T = 0 for a lattice dispersion ex- \ntracted from ARPES of the cuprates. The goal of our \nwork is two-fold. First, we perform calculations of the \noptical integral in the NS and analyze how rapidly W (ωc) \napproaches WK , in other words we check how much of \nthe Kubo sum is recovered up to the scale of the band- \nwidth. Second, we analyze the difference between optical \n\nWe also found that for all models except for the origi- \nnal version of the MFLI model the optical weight at the \nhighest frequencies is greater in the NS than in the SCS \n(i.e., ∆W < 0). This observation is consistent with the \nfindings of Abanov and Chubukov32, Benfatto et. al.28, \nand Karakozov and Maksimov34. \nIn the original ver- \nsion of the MFLI model30 the spectral weight in SCS \nwas found to be greater than in the NS (∆W > 0). We \nshow that the behavior of ∆W (ωc) in this model cru- \ncially depends on how the fermionic self-energy modeled \nto fit ARPES data in a NS is modified when a system \nbecomes a superconductor and can be of either sign. We \nalso found, however, that ωc at which ∆W becomes neg- \native rapidly increases with the coupling strength and at \nstrong coupling becomes comparable to the bandwidth. \nIn the CB model, which, we believe, is most appropriate \nfor the application to the cuprates, ∆WK = ∆W (∞) is \nquite small, and at strong coupling a negative ∆W (ωc) \nup to ωc ∼ 1eV is nearly compensated by the optical \nintegral between ωc and “infinity”, which, in practice, is", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0764.pdf", + "query": "What was the optical integral analysis proposed by Norman and Pépin?", + "target_page": 8, + "target_passage": "a phenomenological model for the self energy which fits normal state scattering rate measure- ments by ARPES", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Fig 5 shows the optical sum in NS and SCS in clean \nand dirty limits (the parameters are stated in the fig- \nure). This plot shows that the Kubo sums are almost \ncompletely recovered by integrating up to the bandwidth \nof 1eV : the recovery is 95% in the clean limit and ∼ 90% \nin the dirty limit. In Fig 6 we plot ∆W (ωc) as a function \nof ωc in clean and dirty limits. ∆W (∞) is now non-zero, \nin agreement with Fig. 4 and we also see that there is For completeness, we first present some well known \nresults about the conductivity and optical integral for a", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + }, + { + "text": "addressing the issue of the optical sum rule in the c−axis7 \nand in-plane conductivities 8–16 in overdoped, optimally \ndoped, and underdoped cuprates. The experimental re- \nsults demonstrated, above all, outstanding achievements \nof experimental abilities as these groups managed to de- \ntect the value of the optical integral with the accuracy \nof a fraction of a percent. The analysis of the change \nof the optical integral between normal and SCS is even \nmore complex because one has to (i) extend NS data to \nT < Tc and (ii) measure superfluid density with the same \naccuracy as the optical integral itself. \n\nThe analysis of the optical integral showed that in over- \ndoped cuprates it definitely decreases below Tc, in con- \nsistency with the expectations at weak coupling11. For \nunderdoped cuprates, all experimental groups agree that \na relative change of the optical integral below Tc gets \nmuch smaller. There is no agreement yet about the sign \nof the change of the optical integral : Molegraaf et al.8 \nand Santander-Syro et al.9 argued that the optical inte- \ngral increases below Tc, while Boris et al.10 argued that \nit decreases. \n\nin a given band is compensated by an appropriate change \nof the spectral weight in other bands such that the total \nspectral weight, integrated over all bands, is conserved, \nas in Eq. \n(1). Still, non-conservation of the spectral \nweight within a given band is an interesting phenomenon \nas the degree of non-conservation is an indicator of rele- \nvant energy scales in the problem. Indeed, when relevant \nenergy scales are much smaller than the Fermi energy, \ni.e., changes in the conductivity are confined to a near \nvicinity of a Fermi surface (FS), one can expand εk near \nkF as εk = vF (k − kF ) + (k − kF )2/(2mB) + O(k − kF )3 \nand obtain ∇2 \nε~k ≈ 1/mB [this approximation is equiv- \n~kx \nalent to approximating the density of states (DOS) by a \nconstant]. Then WK becomes πne2/(2mB) which does \nnot depend on temperature. The scale of the tempera- \nture dependence of WK is then an indicator how far in \nenergy the changes in conductivity extend when, e.g., a \nsystem evolves from a normal metal to a superconductor. \nBecause relevant energy scales increase with the interac- \ntion strength, the temperature dependence of WK is also \nan indirect indicator of whether a system is in a weak, \nintermediate, or strong coupling regime. \n\nTheoretical analysis of these results21,22,25,28,30 added \none more degree of complexity to the issue. It is tempt- \ning to analyze the temperature dependence of WK and \nrelate it to the observed behavior of the optical integral, \nand some earlier works25,28,30 followed this route. In the \nexperiments, however, optical conductivity is integrated \nonly up to a certain frequency ωc, and the quantity which \nis actually measured is \n\nIn a conventional BCS superconductor the only rele- \nvant scales are the superconducting gap ∆ and the impu- \nrity scattering rate Γ. Both are generally much smaller \nthan the Fermi energy, so the optical integral should be \nalmost T -independent, i.e., the spectral weight lost in a \nsuperconducting state at low frequencies because of gap \nopening is completely recovered by the zero-frequency δ- \nfunction. \nIn a clean limit, the weight which goes into \na δ−function is recovered within frequencies up to 4∆. \nThis is the essence of FGT sum rule 2,3. In a dirty limit, \nthis scale is larger, O(Γ), but still WK is T -independent \nand there was no “violation of sum rule”.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0764.pdf" + }, + { + "text": "4 \n\nan energy of interband transitions, which is roughly 2eV . \nThis would be consistent with Refs. 8,9. \njust list the formulas that we used in our computations. \nThe conductivity σ(Ω) and the optical integral W (ωc) \nare given by (see for example Ref. 35). \n\nWe begin with formulating our calculational basis in \nthe next section. Then we take up the four cases and \nconsider in each case the extent to which the Kubo sum is \nsatisfied up to the order of bandwidth and the functional \nform and the sign of ∆W (ωc). The last section presents \nour conclusions. \n\nΠ′′(Ω) \nΩ \n= − \n\nωc ωc \n\nΠ′′(Ω) \nΩ π \n2 \nW (ωc) = σ′(Ω) dΩ = − dΩ + Π′(0) \n\n0 \nZ \n0+ \nZ \nII. OPTICAL INTEGRAL IN NORMAL AND \nSUPERCONDUCTING STATES \n(7b) \n\nThe generic formalism of the computation of the op- \ntical conductivity and the optical integral has been dis- \ncussed several times in the literature21–23,26,29 and we where ‘X ′’ and ‘X ′′’ stand for real and imaginary parts \nof X. We will restrict with T = 0. The polarization \noperator Π(Ω) is (see Ref. 36) \n\nG(iω, ~k)G(iω + iΩ, ~k) + F (iω, ~k)F (iω + iΩ, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ(iΩ) = T \n\nω \nX \n1 \nπ \n\nX~k \n(cid:16) \n0 \n\nG′′(ω, ~k)G′′(ω + Ω, ~k) + F ′′(ω, ~k)F ′′(ω + Ω, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′′(Ω) = − dω \nΩ \nZ \nX~k \n(cid:16) \n− \n\n1 \nπ2 nF (y) − nF (x) \ny − x \n\n′ ′ \n\nG′′(x, ~k)G′′(y, ~k) + F ′′(x, ~k)F ′′(y, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′(Ω) = dx dy \n\nZ Z \nX~k \n(cid:16) \n\n′ denotes the principal value of the integral, \n~k,(N is the number of lat- \ntice sites), nF (x) is the Fermi function which is a step \nP \nP \nfunction at zero temperature, G and F are the normal \nand anomalous Greens functions. given by37 \n\nwhere \n~k is understood to be 1 \nThe 2 is due to the trace over spin indices. We show the \ndistribution functions in the NS and SCS under different \ncircumstances in Fig 2. \nN \nR \n\nThe ~k-summation is done over first Brillouin zone for a \n2-D lattice with a 62x62 grid. The frequency integrals are \ndone analytically wherever possible, otherwise performed \nusing Simpson’s rule for all regular parts. Contributions \nfrom the poles are computed separately using Cauchy’s \ntheorem. For comparison, in all four cases we also calcu- \nd2k = dΩkdǫkνǫk,Ωk \nlated FGT sum rule by replacing \nand keeping ν constant. We remind that the FGT is \nthe result when one assumes that the integral in W (ωc) \npredominantly comes from a narrow region around the \nFermi surface. \n\n1 \nω − Σ(k, ω) − ε~k + iδ \nZk,ωω + ε~k \nk,ω) − ε2 \n~k \n+ iδsgn(ω) \n(9b) \n\nZk,ω∆k,ω \nk,ω) − ε2 \n~k \n\nF (ω, ~k) = \nZ 2 \nk,ω(ω2 − ∆2 \n\n+ iδsgn(ω) \n(9c) \n\nWe will first use Eq 3 and compute WK in NS and SCS. \nThis will tell us about the magnitude of ∆W (ωc = ∞). \nWe next compute the conductivity σ(ω) using the equa- \ntions listed above, find W (ωc) and ∆W (ωc) and compare \n∆f (ωc) and ∆WK. \n\nwhere Zk,ω = 1 − Σ(k,ω) \n, and ∆k,ω, is the SC gap. Fol- \nlowing earlier works31,33, we assume that the fermionic \nself-energy Σ(k, ω) predominantly depends on frequency \nand approximate Σ(k, ω) ≈ Σ(ω) and also neglect the \nfrequency dependence of the gap, i.e., approximate ∆k,ω \nby a d−wave ∆k. The lattice dispersion ε~k is taken from \nRef. 38. To calculate WK , one has to evaluate the Kubo \nterm in Eq.3 wherein the distribution function n~k, is cal- \nculated from \n\nFor simplicity and also for comparisons with earlier \nstudies, for BCSI, EB, and MFLI models we assumed \nthat the gap is just a constant along the FS. For CB \nmodel, we used a d−wave gap and included into consid- \neration the fact that, if a CB is a spin fluctuation, its \npropagator develops a resonance when the pairing gap is \nd−wave. \n(10)", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0764.pdf" + }, + { + "text": "| 0.2\n0.1\n0.0\n-0.1\n-0.2\nasymmetry\n0.004\n0.000\nXMCD\n-0.004\n0.004\n0.000\n-0.004 | (a) Fe TEY |\n|---|---|\n| 0.2 0.1 0.0 -0.1 -0.2 asymmetry 0.004 0.000 XMCD -0.004 0.004 0.000 -0.004 | (a) Fe TEY |\n| | (b) Mn TEY |\n| | (c) Mn FY |\n\n\n-250 0 250 500 750 1000 \n\nField (Oe) \n\nFIG. 2. (color online) XMCD asymmetry versus applied field \nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As \n(a) Fe L3, total electron yield; (b) Mn L3, \n(10 nm) film. \ntotal electron yield; (c) Mn L3, fluorescent yield. Black and \nred points are data for increasing and decreasing fields respec- \ntively; lines are to guide the eye.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2449.pdf" + }, + { + "text": ") \ns \nt \ni \nn \nu \n. \n\nb \nr \na \n( \n\nn \no \ni \nt \n\np \nr \no \ns \nb \na \ny \na \nr \n- \nX \n\nFIG. 3. (color online) (a) Polarization-averaged Mn L2,3 spec- \ntrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured \nin remanence at 2 K; (c) XMCD spectra measured under a \n1000 Oe applied field at 2 K; (d) XMCD spectrum measured \nunder a 2000 Oe applied field at 300 K. XMCD spectra are \nobtained using TEY (thick red lines) and FY (thin blue lines) \ndetection.", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2449.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2866 \n\nimage \nand 640-nm diode lasers. Full thickness, tiled, confocal \nstacks with a 2- to 3-mm interval \nin the Z-axis were obtained \nthrough a 203 dry lens (0.8 NA) with the confocal aperture set to 1 \nAiry unit or less. All image capture was performed using Zen Blue \nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany), \nand analyses were performed using Zen Blue or FIJI.45 \n\n2.5. Image analysis \n\nDuring all image quantification, the experimenter was blind to the \nexperimental groups. For quantification of the total number of cells \nwithin the DRG, a modified optical dissector stereological method \nwas used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To \naccount for tissue shrinkage during processing, the mean thickness \n(t) of each section on one slide (ie, 1 in 5 sections) was calculated by \ntaking the mean of the thickest and thinnest cell-containing regions \n(ie, not fiber tract-containing regions) of the section (NB: no optical \ncorrection to thickness was applied; given the use of a dry lens, this \nvalue will not reflect actual section thickness, though this was kept \nconsistent \nthe study). The cell-containing, cross- \nsectional area (a) was then calculated, using the middle optical \nsection from the series and drawing around the cell-containing \nregions. Section volume (Vsec) was then calculated: \n\nthroughout \n\nVsec ¼ t 3 a", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed2.pdf" + }, + { + "text": "Optical Integral and Sum Rule Violation \n\nSaurabh Maiti, Andrey V. Chubukov \nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA \n(Dated: November 9, 2018) \n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in \nthe cuprates. We compute conductivities, optical integrals W , and ∆W between superconducting \nand normal states for 2-D systems with lattice dispersion typical of the cuprates for four different \nmodels – a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a \ncollective boson model with a feedback from superconductivity on a collective boson. The goal of \nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off (ωc) placed on \nthe optical integral because in experiments W is measured up to frequencies of order bandwidth. \nFor a BCS model, the Kubo sum rule is almost fully reproduced at ωc equal to the bandwidth. But \nfor other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for \n∆W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign \nof ∆W . In all models we studied ∆W is positive at small ωc, then crosses zero and approaches a \nnegative value at large ωc, i.e. the optical integral in a superconductor is smaller than in a normal \nstate. The point of zero crossing, however, increases with the interaction strength and in a collective \nboson model becomes comparable to the bandwidth at strong coupling. We argue that this model \nexhibits the behavior consistent with that in the cuprates. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n3 \n1 \n\n] \nl \ne \n- \nr \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nthe spectral weight under the δ-functional piece of the \nconductivity in the superconducting state. \n\nI. INTRODUCTION \n\nIn practice, the integration up to an infinite frequency \nis hardly possible, and more relevant issue for practical \napplications is whether a sum rule is satisfied, at least ap- \nproximately, for a situation when there is a single electron \nband which crosses the Fermi level and is well separated \nfrom other bands. Kubo considered this case in the same \npaper of 1957 and derived the expression for the “band”, \nor Kubo sum rule \n\nThe analysis of sum rules for optical conductivity has a \nlong history. Kubo, in an extensive paper1 in 1957, used \na general formalism of a statistical theory of irreversible \nprocesses to investigate the behavior of the conductivity \nin electronic systems. For a system of interacting elec- \ntrons, he derived the expression for the integral of the real \npart of a (complex) electric conductivity σ(Ω) and found \nthat it is independent on the nature of the interactions \nand reduces to \n′ \n∞ \n‘ \n\nπe2 \n2N \n∇2 \n~kx \nRe σ(Ω) dΩ = WK = \nε~k n~k \n(3) \n∞ \n(1) \n0 \nZ \nX~k \n\n2 \nv \n4 \n6 \n7 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nne2 \nm π \n2 \nRe σ(Ω) dΩ = \n\n0 \nZ \n\nHere n is the density of the electrons in the system and \nm is the bare mass of the electron. This expression is \nexact provided that the integration extends truly up to \ninfinity, and its derivation uses the obvious fact that at \nenergies higher than the total bandwidth of a solid, elec- \ntrons behave as free particles. \n\nThe independence of the r.h.s. of Eq. (1) on temper- \nature and the state of a solid (e.g., a normal or a super- \nconducting state – henceforth referred to as NS and SCS \nrespectively) implies that, while the functional form of \nσ(Ω) changes with, e.g., temperature, the total spectral \nweight is conserved and only gets redistributed between \ndifferent frequencies as temperature changes. This con- \nservation of the total weight of σ(Ω) is generally called a \nsum rule.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0764.pdf" + }, + { + "text": "Lett.**48**, 871 (1982). \n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and \nP. R. Rice, Phys. Rev. A**40**, 5516 (1989). \n[10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics**34**, \n297 (1995) \n[11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett,**93**, 250602 \n(2004). \n\n[12] A. D. Ludlow*et al.*, Opt. Lett.**32**, 641 (2007). \n[13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett.**101**, 260602 \n(2008). \n\n[14] J. Chen, and X.Chen, In*Proceedings of the 2005 IEEE Inter-*\n*national Frequency Control Symposium and Exposition*, (IEEE, \n2005), p.608. \n[15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bul- \n\nIn summary, we propose a new subnatural \nlinewidth spectroscopy technique, which is a laser by us- \ning Ramsey seperated-field cavity to realize the output of \nstimulated-emission radiation via multiple coherent interac- \ntion with atomic beam. We find the linewidth of Ramsey laser \nis subnatural if we choose an appropriate atomic level, and the \nbad-cavity laser mechanism will dramatically reduce cavity- \nrelated noise as discussed in active optical clock [15–19]. Our \nresults show that this new subnatural linewidth spectroscopy \nis superior to conventional optical Ramsey seperated-field \nspectroscopy and any other available subnatural spectroscopy \ntechnique at present [3–10]. Considering one have to ap- \nply the separated-field method in any phase detection as in \nRamsey-Bord*e*´interferometer [2], to investigate the effects of \nphase differences between the two oscillating fields [31] in \nthis stimulated separated-field method with such subnatural \nlinewidth will be our next research aim. \n\n*Conclusion:*\n\n[18] Y. Wang, Chinese Science Bulletin**54**, 347 (2009). \n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. \n\nletin**54**, 348 (2009). \n\n[16] D. Yu and J. Chen, Phys. Rev. A**78**, 013846 (2008). \n[17] J. Chen, In*Frequency Standards and Metrology: Proceedings*\n*of the 7th Symposium*, edited by Maleki Lute (World Scientific \nPublishing Company, 2009). \n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful \ndiscussions. This work is supported by MOST of China \n(grant 2005CB724500, National Natural Science Foundation \nof China (grant 60837004, 10874009), National Hi-Tech Re- \nsearch and Development (863) Program. \n\nLett.**102**, 163601 (2009) \n\n[20] F. Strumia, Metrologia**8**, 85 (1972). \n[21] G. Kramer, J. Opt. Soc. Am.**68**, 1634 (1978). \n[22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR**32**, 455 \n(1972). \n[23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. \n\nPhys.**9**, 171 (1976). \n[24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett.**38**, \n159 (1977). \n\n∗ E-mail: jbchen@pku.edu.cn \n† E-mail: hongguo@pku.edu.cn. \n[25] L. Davidovich, Rev. Mod. Phys.**68**, 127 (1996). \n[26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, \n\n[1] N. F. Ramsey, Phys. Rev.**76**, 996 (1949). \n[2] B. Dubetsky and P. R. Berman, In*Atom Interferometry*, edited \nby P. R. Berman (Academic Press, Cambridge, MA, 1997). \n\nPhys. Rev. A**47**, 1431 (1993). \n[27] M. Sargent III, M. O. Scully, and W. E. Lamb,*Laser Physics*\n(Addition Wesley, Reading, MA, 1974). \n\n[3] M. M. Salour, Rev. Mod. Phys.**50**, 667 (1978). \n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett.**44**, 1254 (1980). \n[5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. \n\n[28] N. A. Abraham, P. Mandel, and L. M. Narducci,*Dynamic In-*\n*stabilities and Pulsations in Lasers*, Progress in Optics XXV, \nedited by E. Wolf (Elsevier, Amsterdam, 1988). \n**13**4345 (1980). \n[29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, \n[6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A**24**, 1914 \nJ. Phys. B**13**, 2231 (1980). \n(1981).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "SURFACE TUFT PHOTOGRAPHS \nFOR RECTANGULAR WING \nAR=2.31, k-l.0 \n\n\n\n\n\n\n\n\n\n8 \n\n\n\n\n\n\n\n\n18 \n\n\nFROM NACA TN 2674", + "page_start": 97, + "page_end": 97, + "source_file": "00-80T-80.pdf" + }, + { + "text": "∞ \n\nIn our work, we perform direct numerical calculations \nof optical integrals at T = 0 for a lattice dispersion ex- \ntracted from ARPES of the cuprates. The goal of our \nwork is two-fold. First, we perform calculations of the \noptical integral in the NS and analyze how rapidly W (ωc) \napproaches WK , in other words we check how much of \nthe Kubo sum is recovered up to the scale of the band- \nwidth. Second, we analyze the difference between optical \n\nWe also found that for all models except for the origi- \nnal version of the MFLI model the optical weight at the \nhighest frequencies is greater in the NS than in the SCS \n(i.e., ∆W < 0). This observation is consistent with the \nfindings of Abanov and Chubukov32, Benfatto et. al.28, \nand Karakozov and Maksimov34. \nIn the original ver- \nsion of the MFLI model30 the spectral weight in SCS \nwas found to be greater than in the NS (∆W > 0). We \nshow that the behavior of ∆W (ωc) in this model cru- \ncially depends on how the fermionic self-energy modeled \nto fit ARPES data in a NS is modified when a system \nbecomes a superconductor and can be of either sign. We \nalso found, however, that ωc at which ∆W becomes neg- \native rapidly increases with the coupling strength and at \nstrong coupling becomes comparable to the bandwidth. \nIn the CB model, which, we believe, is most appropriate \nfor the application to the cuprates, ∆WK = ∆W (∞) is \nquite small, and at strong coupling a negative ∆W (ωc) \nup to ωc ∼ 1eV is nearly compensated by the optical \nintegral between ωc and “infinity”, which, in practice, is", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0764.pdf", + "query": "What is the Ferrel-Glover-Tinkham sum rule?", + "target_page": 1, + "target_passage": "the redistribution of the spectral weight between normal and superconducting state", + "chunk_present": { + "presence": true, + "index": 4 + } + }, + "top_chunk": [ + { + "text": "Optical Integral and Sum Rule Violation \n\nSaurabh Maiti, Andrey V. Chubukov \nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA \n(Dated: November 9, 2018) \n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in \nthe cuprates. We compute conductivities, optical integrals W , and ∆W between superconducting \nand normal states for 2-D systems with lattice dispersion typical of the cuprates for four different \nmodels – a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a \ncollective boson model with a feedback from superconductivity on a collective boson. The goal of \nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off (ωc) placed on \nthe optical integral because in experiments W is measured up to frequencies of order bandwidth. \nFor a BCS model, the Kubo sum rule is almost fully reproduced at ωc equal to the bandwidth. But \nfor other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for \n∆W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign \nof ∆W . In all models we studied ∆W is positive at small ωc, then crosses zero and approaches a \nnegative value at large ωc, i.e. the optical integral in a superconductor is smaller than in a normal \nstate. The point of zero crossing, however, increases with the interaction strength and in a collective \nboson model becomes comparable to the bandwidth at strong coupling. We argue that this model \nexhibits the behavior consistent with that in the cuprates. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n3 \n1 \n\n] \nl \ne \n- \nr \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nthe spectral weight under the δ-functional piece of the \nconductivity in the superconducting state. \n\nI. INTRODUCTION \n\nIn practice, the integration up to an infinite frequency \nis hardly possible, and more relevant issue for practical \napplications is whether a sum rule is satisfied, at least ap- \nproximately, for a situation when there is a single electron \nband which crosses the Fermi level and is well separated \nfrom other bands. Kubo considered this case in the same \npaper of 1957 and derived the expression for the “band”, \nor Kubo sum rule \n\nThe analysis of sum rules for optical conductivity has a \nlong history. Kubo, in an extensive paper1 in 1957, used \na general formalism of a statistical theory of irreversible \nprocesses to investigate the behavior of the conductivity \nin electronic systems. For a system of interacting elec- \ntrons, he derived the expression for the integral of the real \npart of a (complex) electric conductivity σ(Ω) and found \nthat it is independent on the nature of the interactions \nand reduces to \n′ \n∞ \n‘ \n\nπe2 \n2N \n∇2 \n~kx \nRe σ(Ω) dΩ = WK = \nε~k n~k \n(3) \n∞ \n(1) \n0 \nZ \nX~k \n\n2 \nv \n4 \n6 \n7 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nne2 \nm π \n2 \nRe σ(Ω) dΩ = \n\n0 \nZ \n\nHere n is the density of the electrons in the system and \nm is the bare mass of the electron. This expression is \nexact provided that the integration extends truly up to \ninfinity, and its derivation uses the obvious fact that at \nenergies higher than the total bandwidth of a solid, elec- \ntrons behave as free particles. \n\nThe independence of the r.h.s. of Eq. (1) on temper- \nature and the state of a solid (e.g., a normal or a super- \nconducting state – henceforth referred to as NS and SCS \nrespectively) implies that, while the functional form of \nσ(Ω) changes with, e.g., temperature, the total spectral \nweight is conserved and only gets redistributed between \ndifferent frequencies as temperature changes. This con- \nservation of the total weight of σ(Ω) is generally called a \nsum rule.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0764.pdf" + }, + { + "text": "Fig 5 shows the optical sum in NS and SCS in clean \nand dirty limits (the parameters are stated in the fig- \nure). This plot shows that the Kubo sums are almost \ncompletely recovered by integrating up to the bandwidth \nof 1eV : the recovery is 95% in the clean limit and ∼ 90% \nin the dirty limit. In Fig 6 we plot ∆W (ωc) as a function \nof ωc in clean and dirty limits. ∆W (∞) is now non-zero, \nin agreement with Fig. 4 and we also see that there is For completeness, we first present some well known \nresults about the conductivity and optical integral for a", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + }, + { + "text": "The issue of sum rule attracted substantial interest in \nthe studies of high Tc cuprates5–18,21–26 in which pairing \nis without doubts a strong coupling phenomenon. From a \ntheoretical perspective, the interest in this issue was orig- \ninally triggered by a similarity between WK and the ki- \nε~kn~k.18–20 For a model with a sim- \nnetic energy K = 2 \nple tight binding cosine dispersion εk ∝ (cos kx + cos ky), \nd2 ε~k \n∼ −ε~k and WK = −K. For a more complex dis- \nd k2 \nx \npersion there is no exact relation between WK and K, \nbut several groups argued 17,27,28 that WK can still be \nregarded as a good monitor for the changes in the kinetic \nenergy. Now, in a BCS superconductor, kinetic energy \nincreases below Tc because nk extends to higher frequen- \ncies (see Fig.2). At strong coupling, K not necessary \nincreases because of opposite trend associated with the \nfermions are more mobile in the \nfermionic self-energy: \nSCS due to less space for scattering at low energies than \nthey are in the NS. Model calculations show that above \nsome coupling strength, the kinetic energy decreases be- \n29. While, as we said, there is no one-to-one cor- \nlow Tc \nrespondence between K and WK, it is still likely that, \nwhen K decreases, WK increases. \n\nP \n\nωc \nW (ωc) = Re σ(Ω) dΩ = WK + f (ωc) \n\n0 \nZ ′ \n′ \n∞ \nf (ωc) = − Re σ(Ω) dΩ (4) \nωc \nZ \n\nThe Kubo formula, Eq. (3) is obtained assuming that \nthe second part is negligible. This is not guaranteed, \nhowever, as typical ωc ∼ 1 − 2eV are comparable to the \nbandwidth. \nThe differential sum rule ∆W is also a sum of two \nterms \n\n∆W (ωc) = ∆WK + ∆f (ωc) (5) \n\nwhere ∆WK is the variation of the r.h.s. of Eq. 3, \nand ∆f (ωc) is the variation of the cutoff term. Because \nconductivity changes with T at all frequencies, ∆f (ωc) \nalso varies with temperature. It then becomes the issue \nwhether the experimentally observed ∆W (ωc) is predom- \ninantly due to “intrinsic” ∆WK, or to ∆f (ωc). [A third \npossibility is non-applicability of the Kubo formula be- \ncause of the close proximity of other bands, but we will \nnot dwell on this.] \n\nFor the NS, previous works21,22 on particular models \nfor the cuprates indicated that the origin of the temper- \nature dependence of W (ωc) is likely the T dependence \nof the cutoff term f (ωc). Specifically, Norman et. al.22 \napproximated a fermionic DOS by a constant (in which", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0764.pdf" + }, + { + "text": "4 \n\nan energy of interband transitions, which is roughly 2eV . \nThis would be consistent with Refs. 8,9. \njust list the formulas that we used in our computations. \nThe conductivity σ(Ω) and the optical integral W (ωc) \nare given by (see for example Ref. 35). \n\nWe begin with formulating our calculational basis in \nthe next section. Then we take up the four cases and \nconsider in each case the extent to which the Kubo sum is \nsatisfied up to the order of bandwidth and the functional \nform and the sign of ∆W (ωc). The last section presents \nour conclusions. \n\nΠ′′(Ω) \nΩ \n= − \n\nωc ωc \n\nΠ′′(Ω) \nΩ π \n2 \nW (ωc) = σ′(Ω) dΩ = − dΩ + Π′(0) \n\n0 \nZ \n0+ \nZ \nII. OPTICAL INTEGRAL IN NORMAL AND \nSUPERCONDUCTING STATES \n(7b) \n\nThe generic formalism of the computation of the op- \ntical conductivity and the optical integral has been dis- \ncussed several times in the literature21–23,26,29 and we where ‘X ′’ and ‘X ′′’ stand for real and imaginary parts \nof X. We will restrict with T = 0. The polarization \noperator Π(Ω) is (see Ref. 36) \n\nG(iω, ~k)G(iω + iΩ, ~k) + F (iω, ~k)F (iω + iΩ, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ(iΩ) = T \n\nω \nX \n1 \nπ \n\nX~k \n(cid:16) \n0 \n\nG′′(ω, ~k)G′′(ω + Ω, ~k) + F ′′(ω, ~k)F ′′(ω + Ω, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′′(Ω) = − dω \nΩ \nZ \nX~k \n(cid:16) \n− \n\n1 \nπ2 nF (y) − nF (x) \ny − x \n\n′ ′ \n\nG′′(x, ~k)G′′(y, ~k) + F ′′(x, ~k)F ′′(y, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′(Ω) = dx dy \n\nZ Z \nX~k \n(cid:16) \n\n′ denotes the principal value of the integral, \n~k,(N is the number of lat- \ntice sites), nF (x) is the Fermi function which is a step \nP \nP \nfunction at zero temperature, G and F are the normal \nand anomalous Greens functions. given by37 \n\nwhere \n~k is understood to be 1 \nThe 2 is due to the trace over spin indices. We show the \ndistribution functions in the NS and SCS under different \ncircumstances in Fig 2. \nN \nR \n\nThe ~k-summation is done over first Brillouin zone for a \n2-D lattice with a 62x62 grid. The frequency integrals are \ndone analytically wherever possible, otherwise performed \nusing Simpson��s rule for all regular parts. Contributions \nfrom the poles are computed separately using Cauchy’s \ntheorem. For comparison, in all four cases we also calcu- \nd2k = dΩkdǫkνǫk,Ωk \nlated FGT sum rule by replacing \nand keeping ν constant. We remind that the FGT is \nthe result when one assumes that the integral in W (ωc) \npredominantly comes from a narrow region around the \nFermi surface. \n\n1 \nω − Σ(k, ω) − ε~k + iδ \nZk,ωω + ε~k \nk,ω) − ε2 \n~k \n+ iδsgn(ω) \n(9b) \n\nZk,ω∆k,ω \nk,ω) − ε2 \n~k \n\nF (ω, ~k) = \nZ 2 \nk,ω(ω2 − ∆2 \n\n+ iδsgn(ω) \n(9c) \n\nWe will first use Eq 3 and compute WK in NS and SCS. \nThis will tell us about the magnitude of ∆W (ωc = ∞). \nWe next compute the conductivity σ(ω) using the equa- \ntions listed above, find W (ωc) and ∆W (ωc) and compare \n∆f (ωc) and ∆WK. \n\nwhere Zk,ω = 1 − Σ(k,ω) \n, and ∆k,ω, is the SC gap. Fol- \nlowing earlier works31,33, we assume that the fermionic \nself-energy Σ(k, ω) predominantly depends on frequency \nand approximate Σ(k, ω) ≈ Σ(ω) and also neglect the \nfrequency dependence of the gap, i.e., approximate ∆k,ω \nby a d−wave ∆k. The lattice dispersion ε~k is taken from \nRef. 38. To calculate WK , one has to evaluate the Kubo \nterm in Eq.3 wherein the distribution function n~k, is cal- \nculated from \n\nFor simplicity and also for comparisons with earlier \nstudies, for BCSI, EB, and MFLI models we assumed \nthat the gap is just a constant along the FS. For CB \nmodel, we used a d−wave gap and included into consid- \neration the fact that, if a CB is a spin fluctuation, its \npropagator develops a resonance when the pairing gap is \nd−wave. \n(10)", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0764.pdf" + }, + { + "text": "where n~k is the electronic distribution function and ε~k is \nthe band dispersion. Prime in the upper limit of the inte- \ngration has the practical implication that the upper limit \nis much larger than the bandwidth of a given band which \ncrosses the Fermi level, but smaller than the frequencies \nof interband transitions. Interactions with external ob- \njects, e.g., phonons or impurities, and interactions be- \ntween fermions are indirectly present in the distribution \nfunction which is expressed via the full fermionic Green’s \nm G(~k, ωm). For ǫk = k2/2m, \nfunction as n~k = T \nε~k = 1/m, WK = πne2/(2m), and Kubo sum rule \n∇2 \n~kx \nreduces to Eq. (1). In general, however, ε~k is a lattice \ndispersion, and Eqs. (1) and (3) are different. Most im- \nportant, WK in Eq. (3) generally depends on T and on \nthe state of the system because of n~k. In this situation, \nthe temperature evolution of the optical integral does not \nreduce to a simple redistribution of the spectral weight \n– the whole spectral weight inside the conduction band \nchanges with T . This issue was first studied in detail by \nHirsch 4 who introduced the now-frequently-used nota- \ntion “violation of the conductivity sum rule”. \n\nP \n\nOne particular case, studied in detail for conventional \nsuperconductors, \nis the redistribution of the spectral \nweight between normal and superconducting states. This \nis known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3 \n\nπnse2 \n2m \n\n∞ \nRe σN S(Ω) = (2) \n0+ 0+ \nZ Z \n\nIn reality, as already pointed out by Hirsch, there is no \ntrue violation as the change of the total spectral weight where ns is the superfluid density, and πnse2/(2m) is", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0764.pdf" + }, + { + "text": "| Yea | r Ende | d Dece | mber | 31 (In | thousa | nds, e | xcept p | er sha | re amo | unts) | | | | | | | | | | | | | 200 | 4 | | | | 2 | 003 | | | | | | 200 | 2 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Yea | r Ende | d Dece | mber | 31 (In | thousa | nds, e | xcept p | er sha | re amo | unts) | | | | | | | | | | | | | 200 | 4 | | | | 2 | 003 | | | | | | 200 | 2 |", + "page_start": 52, + "page_end": 52, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "Sk1 + sgn(Jx) \nSj2 + Sk1 (Sj2 \n· \nSk2) \n· \nJx(Sj1 \n− · · \n\n12 \np \n\nj τ x \n\n6Jcluster PjSj2 \nUse (S)2 = 3/4 and \n\n− \n\n(Sk3 \n\nSk4) \n× \nk3Sb \n(Sa (Sk3 \nk3Sb Sk4) \nk3Sb \nSa · \nk4Sa \n× \nk4 − \n\nwith λx = \nJcluster, and r = sgn(Jx) is the sign \nJx| · \n| \nof Jx. The non-trivial terms produced by up to second \norder perturbation will be the τ x \nk term. Note that the \nlast term in the above equation commutes with cluster \nHamiltonians so it does not produce second or higher \norder perturbations. \n\nk4Sb k3Sa \n= \nk4) \nX \na,b \n\nk3Sb \nSa k4Sb \nSa \n= (Sk3 Sk3)(Sk4 Sk4) \nk3[δab/2 k4] \n\n− X \na,b \nSk4) \n\n· · − \n\n= 9/16 + (Sk3 Sk4)(Sk3 (3/8)", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0266.pdf" + }, + { + "text": "[30] K. An and M. S. Feld, Phys. Rev. A**56**, 1662(1997). \n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev.**84**, 506(1951). \n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A**28**, 2248 \n(1983). \n[8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2670.pdf" + }, + { + "text": "| Yea | r Ende | d Dece | mber | 31 (In | thousa | nds) | | | | | | | | | | | | | | | | | 200 | 4 | | | | 2 | 003 | | | | | | 200 | 2 |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Yea | r Ende | d Dece | mber | 31 (In | thousa | nds) | | | | | | | | | | | | | | | | | 200 | 4 | | | | 2 | 003 | | | | | | 200 | 2 |", + "page_start": 53, + "page_end": 53, + "source_file": "NYSE_MGM_2004.pdf" + }, + { + "text": "with frequency ω*j*\n)*j*is the “spin- \n| \nflip” operator for the jth atom, with its adjoint σ*j*\n)*j*. \n*a*\n| \n| \nThe coupling constant*g*is given by*g*= µ √ω/2~ǫ0*V*, where \nµ is the magnitude of the atomic dipole moment, and*V*is the \neffective volume of the cavity. \n\n*a*and ω*j*\n*b*, and σ*j*\n= ( *b*\n*a*\ni h | − \n+ = ( \n*b*\ni h \n\nIn order to denote the finite-time interaction between the \natoms and Ramsey separated field, we introduce the function \n\nΓ*j*(*t*) = Θ(*t* Θ(*t* τ)+Θ(*t* Θ(*t*\n\n*T*), \n(2) \nwhere Θ(*t*) is the Heaviside step function [Θ(*t*) = 1 for*t*> 0, \nΘ(*t*) = 1/2 for*t*= 0, and Θ(*t*) = 0 for*t*< 0].*T*is the free \ndrift time of the atoms, and τ is the interacting time between \nthe atom and one cavity. \n\nτ 2τ *t j*) \n*t j*− *t j*− \n*T*) \n*t j*− − − − − − − − − \n\n*Fk*(*t*)*Fl*(*t*′) \n(cid:11) \n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*t*′) +*D*(1) \n*kl*δ(*t*\n− \n*t*′ + τ) +*D*(3) \n*kl*δ(*t*\n− \n*t*′ + τ +*T*) +*D*(5) \n*kl*δ(*t*\n− \n*t*′ + 2τ +*T*) +*D*(7) \n*kl*δ(*t*\n*t*′ +*T*), \n\nτ) *t*′ \n− \nτ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(7) \n− \n\nwhere*D*(*i*) \nfusion coefficients. \n\nBy the standard way [25], we can get the Heisenberg- \nLangevin equations of the motion for the single-atom and \nfiled operators. By introducing the macroscopic atomic oper- \nator,*M*(*t*) = \n*aa*(*t*),*Nb*(*t*) = \n*j*Γ*j*(*t*)σ*j*\n*bb*(*t*), the dynamic equations for the field and macro- \n\n*c-number correlation functions:*By choosing some partic- \nular ordering for products of atomic and field operators, one \ncould derive the c-number stochastic Langevin equations from \nthe quantum Langevin equations derived above, and all of the \ndynamic equations for c-number stochastic variables are the \nsame as in [26]. The differences are from the correlation func- \ntions. On the other hand, we convert the quantum noise oper- \nators into the c-number noise variables ˜*Fk*(*t*)(*k*=*a*,*b*,*M*,*M*†), \nwhose correlation functions are expressed as \n\n˙*a*(*t*) = *a*(*t*) +*gM*(*t*) +*F*κ(*t*), (3) \n\n*A*0 +*A*1 − \n(γ*a*+ γ′*a*)*Na*(*t*) \n\n*R*(1 \n*g*[*M*†(*t*)*a*(*t*) +*a*†(*t*)*M*(*t*)] +*Fa*(*t*), \n\n*A*2) \n− \n\n˜*Fk*(*t*) ˜*Fk*(*t*′) \nE \n\n(4) \n− \nτ) *t*′ \n− − \n˙*Nb*(*t*) = *B*1 +*B*2) \n*R*(*B*0 − \n\nγ*bNb*(*t*) + γ′*aNa*(*t*) \n\n− \n+*g*[*a*†(*t*)*M*(*t*) +*M*†(*t*)*a*(*t*)] +*Fb*(*t*), \n− \n(5) \n\n=*D*(0) \n(cid:10) \n+*D*(2) \n+*D*(4) \n+*D*(6) \n+*D*(8) \n\n− \n\n− \n\n− \n\n− \n\n*kl*(*k*,*l*=*a*,*b*,*M*,*M*†;*i*= 0, 1, 2) are the quantum dif- \n\n*j*Γ*j*(*t*)σ*j* *j*Γ*j*(*t*)σ*j* (*t*),*Na*(*t*) = *i*\n− − \nP P \n\nscopic atomic operators yield \nP \n\nκ \n2 − \n\n˙*Na*(*t*) = \n− \n\nD \n= ˜*D*(0) \n+ ˜*D*(2) \n+ ˜*D*(4) \n+ ˜*D*(6) \n+ ˜*D*(8) \n\n− \n\n− \n\n− \n˙*M*(*t*) = *C*1 +*C*2) γ*ab M*(*t*) \n\n*R*(*C*0 − \n− \n+*g*[*Na*(*t*) − \n*Nb*(*t*)]*a*(*t*) +*FM*(*t*), (6) \n− \n\nwhere the macroscopic noise operators are defined as \n\n*kl*are the c-number Langevin diffusion coefficients, \n*kl*as in \n\n˙Γ*j*(*t*)σ*j* Γ*j*(*t*)*f j* *Fa*(*t*) = \n*A*0 +*A*1 − \n*A*2) + *a*(*t*) \n*R*(1 \n− − \nX*j* X*j*\n\n˙Γ*j*(*t*)σ*j* Γ*j*(*t*)*f j* *Fb*(*t*) = \n*b*(*t*) +*R*(*B*0 − \n*B*1 +*B*2) + \n*b*(*t*), \nX*j* X*j*\n\n1 \n*T*− \n\n˙Γ*j*(*t*) ˜σ*j*\n− \nΓ*j*(*t*)*f j* *FM*(*t*) = \n(*t*) +*R*(*C*0 − \n*C*1 +*C*2) σ(*t*), \n*i* *i* 1 \n− − \n≪ X*j* X*j*\n\n*t*′) + ˜*D*(1) \n*kl*δ(*t*\n− \n*t*′ + τ) + ˜*D*(3) \n*kl*δ(*t*\n− \n*t*′ + τ +*T*) + ˜*D*(5) \n*kl*δ(*t*\n− \n*t*′ + 2τ +*T*) + ˜*D*(7) \n*kl*δ(*t*\n*t*′ +*T*), \n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n*kl*δ(*t*\n\nτ *t*′ *T*) \n− − \n2τ *t*′ *T*) \n\n− \n*t*′ − \n*T*) \n− − \n(8) \n− \n\nwhere ˜*D*(*i*) \nrelated to quantum Langevin diffusion coefficients*D*(*i*) \n[27]. \n*a*(*t*),", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2670.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0266.pdf", + "query": "What does Kitaev show about spin- 1/2 model?", + "target_page": 1, + "target_passage": "spin- 1/2 model can be mapped to a model with one Majo- rana fermion per site coupled to Ising gauge fields on the links", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "The exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamil- \ntonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low \nenergy effective Hamiltonian is exact, without truncation errors in traditional perturbation series \nexpansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and \ncontains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model \nis represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet \nsector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin corre- \nlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this \nmodel. This exact construction is quite general and can be used to make other interesting spin-1/2 \nmodels from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the \nhigh order spin interactions from more natural couplings, which involves perturbative expansions \nthus breaks the exact mapping, although in a controlled manner. \n\nto realize non-Abelian anyons. The model simply reads \n\nJyτ y \nj τ y \nJxτ x \nj τ x \nHKitaev = \nk − X \nk \n− X \nx−links <jk> y−links <jk> \n\nJzτ z j τ z \nk \n− X \nz−links <jk> \n\n(1) \n\nwhere τ x,y,z are Pauli matrices, and x, y, z-links are de- \nfined in FIG. 1. It was shown by Kitaev1 that this spin- \n1/2 model can be mapped to a model with one Majo- \nrana fermion per site coupled to Ising gauge fields on the \nlinks. And as the Ising gauge flux has no fluctuation, the \nmodel can be regarded as, under each gauge flux config- \nuration, a free Majorana fermion problem. The ground \nstate is achieved in the sector of zero gauge flux through \neach hexagon. The Majorana fermions in this sector have \nDirac-like gapless dispersion resembling that of graphene, \nas long as \nsatisfy the triangular rela- \nJz| \ntion, sum of any two of them is greater than the third \none1. It was further proposed by Kitaev1 that opening of \nfermion gap by magnetic field can give the Ising vortices \nnon-Abelian anyonic statistics, because the Ising vortex \nwill carry a zero-energy Majorana mode, although mag- \nnetic field destroys the exact solvability. \n\nJx| \n, \nJy| \n, and \n| | | \n\n] \nl \ne \n- \nr \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nContents \n\nIII. Realization of the Kitaev Model. \n\nIV. Generate the High Order Physical Spin \nInteractions by Perturbative Expansion. \nA. Generate the High Order Terms by Coupling \n\n2 \nv \n6 \n6 \n2 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nto Optical Phonon. 5 \n\nB. Generate the High Order Terms by Magnetic \nInteractions between Clusters. 7 \n\nB. Derivation of the Terms Generated by \n\nGreat efforts have been invested to better understand \nthe properties of the Kitaev model. For example, sev- \neral groups have pointed out that the fractionalized Ma- \njorana fermion excitations may be understood from the \nmore familiar Jordan-Wigner transformation of 1D spin \nsystems2,3. The analogy between the non-Abelian Ising \nvortices and vortices in p + ip superconductors has been \nraised in serveral works4–7. Exact diagonalization has \nbeen used to study the Kitaev model on small lattices8. \nAnd perturbative expansion methods have been devel- \noped to study the gapped phases of the Kitaev-type \nmodels9. \n\nSecond Order Perturbation of Inter-cluster \nMagnetic Interactions 9 \n\nI. INTRODUCTION. \n\nKitaev’s exactly solvable spin-1/2 honeycomb lattice \nmodel1 (noted as the Kitaev model hereafter) has in- \nspired great interest since its debut, due to its exact \nsolvability, fractionalized excitations, and the potential", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0266.pdf" + }, + { + "text": "x x \ny y \nz z z \nx x x x \ny y y \nz z z z \nx x x x \ny y y \nz z z z \nx x x \ny y y \n\nFIG. 1: The honeycomb lattice for the Kitaev model. Filled \nand open circles indicate two sublattices. x, y, z label the links \nalong three different directions used in (1). \n\nderived as well. There have been several proposals to \nopen the fermion gap for the non-Abelian phase without \nspoiling exact solvability4,6. And many generalizations \nto other(even 3D) lattices have been developed in the \nlast few years10–16. All these efforts have significantly \nenriched our knowledge of exactly solvable models and \nquantum phases of matter. \n\nFIG. 2: Left: the physical spin lattice for the model (8). The \ndash circles are honeycomb lattice sites, each of which is ac- \ntually a cluster of four physical spins. The dash straight lines \nare honeycomb lattice bonds, with their type x, y, z labeled. \nThe interaction between clusters connected by x, y, z bonds \nare the Jx,y,z terms in (8) or (9) respectively. Note this is not \nthe 3-12 lattice used in Ref.9,10. Right: enlarged picture of \nthe clusters with the four physical spins labeled as 1, . . . , 4. \nThick solid bonds within one cluster have large antiferromag- \nnetic Heisenberg coupling Jcluster. \n\nHowever, in the original Kitaev model and its later \ngeneralizations in the form of spin models, spin rotation \nsymmetry is explicitly broken. This makes them harder \nto realize in solid state systems. There are many pro- \nposals to realized the Kitaev model in more controllable \nin cold atom optical lattices17,18, or in \nsituations, e.g. \nsuperconducting circuits19. But it is still desirable for \ntheoretical curiosity and practical purposes to realize the \nKitaev-type models in spin rotation invariant systems. \n\ntion III the Kitaev model will be explicitly constructed \nusing this formalism, and some properties of this con- \nstruction will be discussed. In Section IV we will discuss \ntwo possible ways to generate the high order spin in- \nteractions involved in the construction of Section III by \nperturbative expansions. Conclusions and outlook will \nbe summarized in Section V. \n\nIn this paper we realize the Kitaev honeycomb lattice \nmodel as the low energy Hamiltonian for a spin rotation \ninvariant system. The trick is not to use the physical spin \nas the spin in the Kitaev model, instead the spin-1/2 in \nKitaev model is from some emergent two-fold degener- \nate low energy states in the elementary unit of physical \nsystem. This type of idea has been explored recently by \nJackeli and Khaliullin20, in which the spin-1/2 in the Ki- \ntaev model is the low energy Kramers doublet created by \nstrong spin-orbit coupling of t2g orbitals. In the model \npresented below, the Hilbert space of spin-1/2 in the Ki- \ntaev model is actually the two dimensional spin singlet \nsector of four antiferromagnetically coupled spin-1/2 mo- \nments, and the role of spin-1/2 operators(Pauli matrices) \nin the Kitaev model is replaced by certain combinations \nSℓ)] between the \nof Sj · \nfour spins. \n\nII. FORMULATION OF THE PSEUDO-SPIN-1/2 \nFROM FOUR-SPIN CLUSTER. \n\nIn this Section we will construct the pseudo-spin-1/2 \nfrom a cluster of four physical spins, and map the phys- \nical spin operators to pseudo-spin operators. The map- \nping constructed here will be used in later Sections to \nconstruct the effective Kitaev model. In this Section we \nwill work entirely within the four-spin cluster, all unspec- \nified physical spin subscripts take values 1, . . . , 4. \n\nSk [or the spin-chirality Sj · (Sk × \n\nConsider a cluster of four spin-1/2 moments(called \nphysical spins hereafter), \nlabeled by S1,...,4, antiferro- \nmagnetically coupled to each other (see the right bot- \ntom part of FIG. 2). The Hamiltonian within the clus- \nter(up to a constant) is simply the Heisenberg antiferro- \nmagnetic(AFM) interactions,", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0266.pdf" + }, + { + "text": "(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 H = Jz (16/9)[Sj2 (Sj3 Sj4)][Sk2 (Sk3 Sk4)] \nX \nj \n− X · × · × \nz−links <jk> \n\nJx (2Sj1 Sj2 + 1/2)(2Sk1 Sk2 + 1/2) Jy (4/3)[Sj1 (Sj3 Sj4)][Sk1 (Sk3 Sk4)] \n− X − X · · · − · − \nx−links <jk> y−links <jk> \n\n(8) \n\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 H = \nX \nj \n\nJx (2Sj1 Sj2 + 1/2)(2Sk1 Sk2 + 1/2) Jy (4/3)[Sj1 (Sj3 Sj4)][Sk1 (Sk3 Sk4)] \n− X − X · · · − · − \nx−links <jk> y−links <jk> \n\nJz ( 4/3)(2Sj3 Sj4 + 1/2)[Sj1 (Sj3 Sj4)](2Sk3 Sk4 + 1/2)[Sk1 (Sk3 Sk4)] \n− X − · · − · · − \nz−links <jk> \n\n(9) \n\nin terms of physical spins S, has full \nspin rotation symmetry and time-reversal symmetry. A \npseudo-magnetic field term \n~τj term can also be \nincluded under this mapping, however the resulting Ki- \ntaev model with magnetic field is not exactly solvable. \nIt is quite curious that such a formidably looking Hamil- \ntonian (8), with biquadratic and six-spin(or eight-spin) \nterms, has an exactly solvable low energy sector. \n\nThis model, \n\n~h \nPj · \n\nNote that the original Kitaev model (1) has three- \nfold rotation symmetry around a honeycomb lattice site, \ncombined with a three-fold rotation in pseudo-spin space \n(cyclic permutation of τ x, τ y, τ z). This is not apparent \nin our model (8) in terms of physical spins, under the \ncurrent representation of τ x,y,z. We can remedy this by \nusing a different set of pseudo-spin Pauli matrices τ ′x,y,z \nin (7), \n\n′x = \nτ \nτ ′y = \n′z = 1/3τ z + \n1/3τ z \n1/3τ z 2/3τ x, \n1/6τ x + \n1/6τ x \n\np \n\n1/2τ y, \n1/2τ y \np \nτ \np \n− p − p \n\nWith proper representation choice, they have a symmet- \nric form in terms of physical spins, \n\n′x = \nτ \nτ ′y = \nτ ′z = (4/3)S4 (S2 S3) + 2/3(2S1 S4 + 1/2) \n\nWe emphasize that because the first intra-cluster term \nPcluster Hcluster commutes with the latter Kitaev terms \nindependent of the representation used, the Kitaev model \nis realized as the exact low energy Hamiltonian of this \nmodel without truncation errors of perturbation theories, \n/Jcluster)2 or higher order terms will \nnamely no ( \n| \nbe generated under the projection to low energy clus- \nter singlet space. This is unlike, for example, the t/U \nexpansion of the half-filled Hubbard model22,23, where \nat lowest t2/U order the effective Hamiltonian is the \nHeisenberg model, but higher order terms (t4/U 3 etc.) \nshould in principle still be included in the low energy ef- \nfective Hamiltonian for any finite t/U . Similar compari- \nson can be made to the perturbative expansion studies of \nthe Kitaev-type models by Vidal et al.9, where the low \nenergy effective Hamiltonians were obtained in certian \nanisotropic (strong bond/triangle) limits. Although the \nspirit of this work, namely projection to low energy sec- \ntor, is the same as all previous perturbative approaches \nto effective Hamiltonians. \n\nJx,y,z| \n\n(4/3)S2 (S3 S4) + 2/3(2S1 S2 + 1/2) \np \n− · × · \n(4/3)S3 (S4 S2) + 2/3(2S1 S3 + 1/2) \np \n− · × · \n\np \n− · × · \n(10) \n\nSo the symmetry mentioned above can be realized by a \nthree-fold rotation of the honeycomb lattice, with a cyclic \npermutation of S2, S3 and S4 in each cluster. This is in \nfact the three-fold rotation symmetry of the physical spin \nlattice illustrated in FIG. 2. However this more symmet- \nric representation will not be used in later part of this \npaper.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0266.pdf" + }, + { + "text": "modes of neighboring tetrahedra. And these coupling \nconstants λx,y,z need to be tuned to produce Jx,y,z of \nthe Kitaev model. This is still not easy to implement in \nsolid state systems. At lowest non-trivial order of pertur- \nbative expansion, we do get our model (9). Higher order \nterms in expansion destroy the exact solvability, but may \nbe controlled by the small parameters λx,y,z/k. \n\nthe desired Jx,y,z terms in (8) from the first and second \norder of perturbations. \n\nThe calculation can be dramatically simplified by the \nfollowing fact that any physical spin-1/2 operator Sx,y,z \nℓ \nconverts the cluster spin singlet states \ninto \nspin-1 states of the cluster. This can be checked by \nexplicit calculations and will not be proved here. For \nall the perturbations to be considered later, the above \nmentioned fact can be exploited to replace the factor \nHcluster k]−1 in the second order pertur- \n[0 \nHcluster j − \nbation to a c-number ( \n\nτ z = 1 \n| ± i \n\n2Jcluster)−1. \nThe detailed calculations are given in Appendix B. We \n− \n\nλx Hperturbation, x = λx[Sj1 \n\nSk1 + sgn(Jx) \nSj2 + Sk1 (Sj2 \n· \nSk2). \n\nSk2)] \n· · \nJx(Sj1 \n\n− \nJx| · \n\n· · \n\nwhere λx = \nof Jx. \n\n12 Jcluster, sgn(Jx) = 1 is the sign \np | ± \n\nThe perturbation on y-links is \n\nIn this Subsection we consider more conventional per- \nturbations, magnetic interactions between the clusters, \nSk with j and k belong \ne.g. the Heisenberg coupling Sj · \nto different tetrahedra. This has the advantage over the \nprevious phonon approach for not introducing additional \ndegrees of freedom. But it also has a significant disad- \nvantage: the perturbation does not commute with the \ncluster Heisenberg Hamiltonian (2), so the cluster sin- \nglet subspace will be mixed with other total spin states. \nIn this Subsection we will use the spin-chirality represen- \ntation (6) for τ z. \n\nwill only list the results here. \nThe perturbation on x-links is given by \n\nλy Hperturbation, y \n\nSk1 + sgn(Jy) \nSj4 + Sk3 (Sj3 \nSk4) \n\nSj4) (Sk3 Sk4)] \n\nPjk = \nτ z \nj,k = s \n\n· \n(Sj3 \n· \n· \n\n− · − \n\n· \nJy| · \nThe perturbation on z-links is \n\n− | \n\nPs=±1 | ih \nJcluster. \n\nAgain consider two clusters j and k. For simplicity \nof notations define a projection operator \nPjPk, \nwhere \nPj,k is projection into the singlet subspace of clus- \nτ z \nj,k = \nter j and k, respectively, \nPj,k = \ns \n. For a given perturbation λ Hperturbation with small \n| \nparameter λ (in factor λ/Jcluster is the expansion param- \neter), lowest two orders of the perturbation series are \n\n=λy[Sj1 \nJy| \nwith λy = \n4 \np | \n\nλz Hperturbation, z \n\nPjk + λ2 \nHcluster k]−1(1 \n\n= λz[Sj2 \nJz| \nwith λz = 4 \n\n(Sk3 \n\nSk4) + sgn(Jz) \nSk4). \n\nSk2 (Sj3 Sj4)] λ \n\nPjkHperturbation \nHcluster j − \n[0 \n× \n\nPjkHperturbation(1 \n\n− Pjk) \n− Pjk)Hperturbation \n· \n(Sj3 × \nSj4 + Sk3 \n· · × \n\nPjk \n(15) \n− | \n\n· \nJz| · \n\n· \n− \n\nJcluster. \np| \nThe entire Hamiltonian Hmagnetic reads explicitly as, \n\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 Hmagnetic = \nX \ncluster j \n\n+ 12 \nJx| · \nJcluster Sj1 Sk1 + sgn(Jx) (Sj2 Sk2) Jx(Sj1 Sj2 + Sk1 Sk2) \nX \nx−links <jk> \n(cid:8)p (cid:2) (cid:3) − (cid:9) | · · · · · \n\n+ \n(cid:8)q4 Jy| · \nJcluster Sj1 (Sk3 Sk4) + sgn(Jy)Sk1 (Sj3 Sj4) \nJy| \n(Sj3 Sj4 + Sk3 \nX \ny−links <jk> \n(cid:2) (cid:3) − | | · − · − · \n\n+ \n4 \n(cid:8) Jz| · \nJcluster \nSj2 \n(cid:2) \n(Sk3 Sk4) + sgn(Jz)Sk2 (Sj3 Sj4) \nJz| \n(Sj3 Sj4 + Sk3 \nX \nz−links <jk> \np| (cid:3) − | · × · × ·", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0266.pdf" + }, + { + "text": "chirality interactions in cold atom optical lattices has \nbeen proposed38. system. And convert them to pseudo-spin notation in \nthe physical spin singlet sector. \n\nOur model (8) is achieved at second order of the per- \nturbation series. Higher order terms become trunca- \ntion errors but may be controlled by small parameters \nλx,y,z/Jcluster \n\nConsider a general small distortion of the tetrahedron, \nthe spin Hamiltonian becomes \n\nJx,y,z| \n′ \nSℓ)2 + J Hcluster, SL = (Jcluster/2)( \nδrℓm(Sℓ · \nSm) \n∼ p| \nX \nℓ X \nℓ<m \n\n(A1) \nwhere δrℓm is the change of bond length between spins \nℓ and m, J ′ is the derivative of Jcluster with respect to \nbond length. \n\nThere are six orthogonal distortion modes of the tetra- \nhedron [TABLE 1.1 in Ref.35]. One of the modes A is the \ntrivial representation of the tetrahedral group Td; two E \nmodes form the two dimensional irreducible representa- \ntion of Td; and three T2 modes form the three dimen- \nsional irreducible representation. The E modes are also \nillustrated in FIG. 3. \n\n′ \n2 + QT2 1 f T2 1 + QT2 2 f T2 2 + QT2 3 f T2 \n3 ) \n(QAf A + QE \n1 f E 1 + QE 2 f E \nJ \n\nWe constructed the exactly solvable Kitaev honeycomb \nmodel1 as the exact low energy effective Hamiltonian of \na spin-1/2 model [equations (8) or (9)] with spin-rotation \nand time reversal symmetry. The spin in Kitaev model is \nrepresented as the pseudo-spin in the two-fold degenerate \nspin singlet subspace of a cluster of four antiferromag- \nnetically coupled spin-1/2 moments. The physical spin \nmodel is a honeycomb lattice of such four-spin clusters, \nwith certain inter-cluster interactions. The machinery \nfor the exact mapping to pseudo-spin Hamiltonian was \ndeveloped (see e.g. TABLE I), which is quite general \nand can be used to construct other interesting (exactly \nsolvable) spin-1/2 models from spin rotation invariant \nsystems. \n\nThe generic couplings in (A1) [second term] can be \nconverted to couplings to these orthogonal modes, \n\nwhere Q are generalized coordinates of the corresponding \nmodes, functions f can be read off from TABLE 1.2 of \nRef.35. For the A mode, δrℓm = 2/3QA, so f A is \np \n\nf A = \n\nIn this construction the pseudo-spin correlations in the \nKitaev model will be mapped to dimer or spin-chirality \ncorrelations in the physical spin system. The correspond- \ning picture of the fractionalized Majorana fermion exci- \ntations and Ising vortices still remain to be clarified. \n\nf E \n2 = (1/2)(S2 \nf E \n1 = \n\nS4 + S1 S3 S1 S4 S2 S3), \n\n· \n1/12(S1 · \nS4 + S2 · \nS3 + S2 \n− \n· \nS4 + S1 \n− \nS3 \np \n· \n2S1 · \n2S3 · \nS4). \n· \nS2 \n− · − · \n\nThe functions f T2 \n1,2,3 for the T2 modes are \n\nS3 S1 S4), \n\n2/3 (S1 S2 + S3 S4 + S1 S3 \np \n· \n+ S2 · \nS4 + S1 · \nS4 + S2 \n\nThis exact construction contains high order physical \nspin interactions, which is undesirable for practical im- \nplementation. We described two possible approaches to \nreduce this problem: generating the high order spin in- \nteractions by perturbative expansion of the coupling to \noptical phonon, or the magnetic coupling between clus- \nters. This perturbative construction will introduce trun- \ncation error of perturbation series, which may be con- \ntrolled by small expansion parameters. Whether these \nconstructions can be experimentally engineered is how- \never beyond the scope of this study. It is conceivable that \nother perturbative expansion can also generate these high \norder spin interactions, but this possibility will be left for \nfuture works. \n\nS3). \n· · · \n\nThe functions f E \nbut are reproduced here, \n1,2 for the E modes have been given before \n\nf T2 \n1 = (S2 \nf T2 \n2 = (S1 \nf T2 \n3 = (S1 \n\n· − · \nS3 S2 S4), \n· − · \nS2 S3 S4) Acknowledgments \n\nThe author thanks Ashvin Vishwanath, Yong-Baek \nKim and Arun Paramekanti for inspiring discussions, and \nTodadri Senthil for critical comments. The author is sup- \nported by the MIT Pappalardo Fellowship in Physics.", + "page_start": 7, + "page_end": 7, + "source_file": "1001.0266.pdf" + }, + { + "text": "One major drawback of the model to be presented is \nthat it contains high order spin interactions(involves up \nto six or eight spins), thus is still unnatural. However it \nopens the possibility to realize exotic (exactly solvable) \nmodels from spin-1/2 Hamiltonian with spin rotation in- \nvariant interactions. We will discuss two possible routes \nto reduce this artificialness through controlled perturba- \ntive expansions, by coupling to optical phonons or by \nmagnetic couplings between the elementary units. \n\nHcluster = (Jcluster/2) (S1 + S2 + S3 + S4)2 (2) \n\nThe energy levels should be apparent from this form: \none group of spin-2 quintets with energy 3Jcluster, three \ngroups of spin-1 triplets with energy Jcluster, and two spin \nsinglets with energy zero. We will consider large positive The outline of this paper is as follows. In Section II \nwe will lay out the pseudo-spin-1/2 construction. In Sec-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0266.pdf" + }, + { + "text": "Another note to take is that it is not necessary to have \nsuch a highly symmetric cluster Hamiltonian (2). The \nmappings to pseudo-spin-1/2 should work as long as the \nground states of the cluster Hamiltonian are the two-fold \ndegenerate singlets. One generalization, which conforms \nthe symmetry of the lattice in FIG. 2, is to have \n\nHcluster = (Jcluster/2)(r \n\n4 \n3 3 \n\n1 2 \n2 \n(a) (b) \n\n3 \n4 \n3 2 3 \n\nQE \n2 \n\n2 \n1 4 1 \n1 (a) (b) (c) \n\nIllustration of the tetragonal to orthorhombic \nFIG. 3: \nQE \n2 (bottom) distortion modes. (a) Perspective \nview of the tetrahedron. 1, . . . , 4 label the spins. Arrows in- \ndicate the motion of each spin under the distortion mode. (b) \nTop view of (a). (c)(d) Side view of (a). \n\n1 (top) and QE \n\nS1 + S2 + S3 + S4)2 (11) \n\n· \nwith Jcluster > 0 and 0 < r < 3. However this is not \nconvenient for later discussions and will not be used. \n\nWe briefly describe some of the properties of (8). Its \nlow energy states are entirely in the space that each of the \nclusters is a physical spin singlet (called cluster singlet \nsubspace hereafter). Therefore physical spin correlations \nare strictly confined within each cluster. The excitations \ncarrying physical spin are gapped, and their dynamics \nare ‘trivial’ in the sense that they do not move from one \ncluster to another. But there are non-trivial low energy \nphysical spin singlet excitations, described by the pseudo- \nspins defined above. The correlations of the pseudo-spins \ncan be mapped to correlations of their corresponding \nphysical spin observables (the inverse mappings are not \nunique, c.f. TABLE I). For example τ x,y correlations \nbecome certain dimer-dimer correlations, τ z correlation \nbecomes chirality-chirality correlation, or four-dimer cor- \nrelation. It will be interesting to see the corresponding \npicture of the exotic excitations in the Kitaev model, e.g. \nthe Majorana fermion and the Ising vortex. However this \nwill be deferred to future studies. \n\nof the two clusters can generate at lowest order the de- \nsired high order spin interactions. In Subsection IV B we \nwill introduce certain magnetic, e.g. Heisenberg-type, in- \nteractions between physical spins of different clusters, at \nlowest order(second order) of perturbation theory the de- \nsired high order spin interactions can be achieved. These \napproaches involve truncation errors in the perturbation \nseries, thus the mapping to low energy effect Hamilto- \nnian will no longer be exact. However the error intro- \nduced may be controlled by small expansion parameters. \nIn this Section we denote the physical spins on cluster \nj(k) as j1, . . . , j4 (k1, . . . , k4), and denote pseudo-spins \non cluster j(k) as ~τj (~τk). \n\nIt is tempting to call this as an exactly solved spin liq- \nuid with spin gap ( \nJcluster), an extremely short-range \nresonating valence bond(RVB) state, from a model with \nspin rotation and time reversal symmetry. However it \nshould be noted that the unit cell of this model contains \nan even number of spin-1/2 moments (so does the orig- \ninal Kitaev model) which does not satisfy the stringent \ndefinition of spin liquid requiring odd number of elec- \ntrons per unit cell. Several parent Hamiltonians of spin \nliquids have already been constructed. See for example, \nRef.24–27. \n\n∼", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0266.pdf" + }, + { + "text": "form \n\nJ ′(QE \n1 f E 1 + QE 2 f E \n2 ) \n\nwhere J ′ is the derivative of Heisenberg coupling Jcluster \nbetween two spins ℓ and m with respect to their distance \nrℓm, J ′ = dJcluster/drℓm; QE \n1,2 are the generalized coor- \ndinates of these two modes; and the functions f E \n1,2 are \n\nwhere λ (in fact λ/k) is the expansion parameter. \nConsider the perturbation Hperturbation = QE \n\nQE \n1k, \n1j · \nwhich means a coupling between the QE \n1 distortion \nmodes of the two tetrahedra. Integrate out the optical \nphonons, at lowest non-trivial order, it produces a term \n(3 J ′2 λ)/(4 k2) τ x \nτ x \nk . This can be seen by minimizing \nj · \nseparately the two cluster Hamiltonians with respect to \n1 = (√3 J ′)/(2 k)τ x, then plug this \nQE \ninto the perturbation term. Thus we have produced the \n(3 J ′2 λ)/(4 k2). \nJx term in the Kitaev model with Jx = \nQE \n2k \nτ y \nk at lowest non-trivial \n\n1 , which gives QE \n\n− \nSimilarly the perturbation Hperturbation = QE \n2j · \n\nwill generate (3 J ′2 λ)/(4 k2) τ y \nj · \n(3 J ′2 λ)/(4 k2). \norder. So we can make Jy = \n− \nτ z \nk coupling is more difficult to get. We \nj τ y \nτ x \nk . By the above reasoning, we \nj · \n2j · \nIt will produce at lowest non-trivial or- \nk . Thus we have Jz = \nj τ y \nj · \nk τ y \nτ x \n\nf E \n2 = (1/2)(S2 \nf E \n1 = \n\nS4 + S1 S3 S1 S4 S2 S3), \n\n· \n1/12(S1 · \nS4 + S2 · \nS3 + S2 \n− \n· \nS4 + S1 \n− \nS3 \np \n· \n2S1 · \n2S3 · \nS4). \n· \nS2 \n\n− \n· \nAccording to TABLE I we have f E \n2 = (√3/2)τ y. Then the coupling becomes \nf E \n\n· − \n\nThe τ z \nj · \ntreat it as \nneed an anharmonic coupling Hperturbation = QE \nQE \nder (9 J ′4 λ)/(16 k4) τ x \n(9 J ′4 λ)/(16 k4). \n\n(√3/2)τ x and \n1 = \n− \nk τ y \nτ x \n\nis [equation (1.8) in Ref.35], \n\nFinally we have made up a spin-lattice model HSL, \nSm interaction for physical spins, \nwhich involves only Sℓ · \n2j)2 \n(QE \n\n(13) \nHcluster, SL + \n\nX \nx−links <jk> \nQE \n2k \nλy QE \n2j · \n\nQE \n\nλx QE \nQE \n1k \nHSL = \n1j · \nX \ncluster \n\n+ \nX \ny−links <jk> \n\nλz QE \n1jQE 1kQE \n2k \n+ \n2j · \nX \nz−links <jk> \n\n1j is the generalized coordinate for the QE \n2j, QE 1k, QE \n\n− \n\nHamiltonian HSL explicitly written as, \n\nk \n2 \nJ ′(QE \n\nk \n2 \n1j)2 + \n(QE Hcluster j, SL =Hcluster j + \n\n√3 \n2 \n2jτ y 1jτ x \nQE \nj ), \nj − − \n\nwhere k > 0 is the elastic constant for these phonon \nmodes, J ′ is the spin-lattice coupling constant, QE \n1j and \nQE \n1 and QE \n2j are the generalized coordinates of the QE \n2 \ndistortion modes of cluster j, Hcluster j is (2). As al- \nready noted in Ref.35, this model does not really break \nthe pseudo-spin rotation symmetry of a single cluster. \n\nwhere QE \n1 mode \non cluster j, and QE \n2k are similarly defined; \n(4Jx,yk2)/(3J ′2) and λz = (16Jzk4)/(9J ′4); the \nλx,y = \nsingle cluster spin-lattice Hamiltonian Hcluster, SL is (13). \nCollect the results above we have the spin-lattice \n\nNow we put two clusters j and k together, and in- \nclude a perturbation λ Hperturbation to the optical phonon \nHamiltonian, \n\nHjk,SL =Hcluster j, SL + Hcluster k, SL \n+ λ Hperturbation[QE \n1j, QE 2j, QE 1k, QE \n2k] \n\nk \n2 k \n2 \nh(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 + \n1j)2 + 2j)2 \n(QE (QE \nX \ncluster j \n\nSj1 Sj4 + Sj2 Sj3 + Sj2 \n\nSj4 + Sj1 \n√12 \n\nSj3 2Sj1 Sj2 2Sj3 Sj4 \n+ J ′ \n(cid:16)QE \n· · · · − · − · \n1j \n\nSj2 Sj4 + Sj1 Sj3 Sj1 Sj4 Sj2 Sj3 \n+ QE \n2j \n· · \n− \n2 \n· − · \n(cid:17)i \n\n4Jxk2 \n3J ′2 QE \n1j · 4Jyk2 \n3J ′2 QE \n2j · 16Jzk4 \n9J ′4 QE \nQE \n2k + \n1k − X 2j · − X \nX \nz−links <jk> x−links <jk> y−links <jk> \n\nThe single cluster spin-lattice Hamiltonian [first three \nlines in (14)] is quite natural. However we need some harmonic(on x- and y-links of honeycomb lattice) and an- \nharmonic coupling (on z-links) between optical phonon", + "page_start": 5, + "page_end": 5, + "source_file": "1001.0266.pdf" + }, + { + "text": "Jcluster limit. So only the singlet sector remains in low \nenergy. \n\nThe singlet sector is then treated as a pseudo-spin-1/2 \nHilbert space. From now on we denote the pseudo-spin- \n1/2 operators as T = (1/2)~τ , with ~τ the Pauli matri- \nces. It is convenient to choose the following basis of the \npseudo-spin \n\n1 \n√6 (cid:16)| ↓↓↑↑i \n\nz z \n−τ \nτ z = + ωτ 1 = + ω \n| ± i | ↓↑↓↑i | ↓↑↑↓i \nz z \n−τ \n+ ωτ + + ω \n| ↑↑↓↓i | ↑↓↑↓i \n\n3 \n\nphysical spin \n\npseudo-spin \nτ x \n\nP12, and P34 \nP13, and P24 \nP14, and P23 \nχ234, χ341, (1/2)τ x + (√3/2)τ y \n(√3/2)τ y \n(1/2)τ x \nχ412, and χ123 (√3/4)τ z \n− \n− − \n\n− − \n\nTABLE I: Correspondence between physical spin operators \nand pseudo-spin operators in the physical spin singlet sector of \nthe four antiferromagnetically coupled physical spins. Pjk = \n2Sj \nSℓ) \nare spin-chirality operators. Note that several physical spin \noperators may correspond to the same pseudo-spin operator. \n| ↑↓↓↑i(cid:17) \n(3) \n\nwhere ω = e2πi/3 is the complex cubic root of unity, \nand other states on the right-hand-side(RHS) are \n| ↓↓↑↑i \nbasis states of the four-spin system, in terms of Sz quan- \ntum numbers of physical spins 1, . . . , 4 in sequential or- \nder. This pseudo-spin representation has been used by \nHarris et al. to study magnetic ordering in pyrochlore \nantiferromagnets21. \n\nHowever there is another simpler representation of τ z, \nSℓ). Ex- \nby the spin-chirality operator χjkℓ = Sj · \nS4) is \nplicit calculation shows that the effect of S2 \n(√3/4)τ z in the physical singlet sector. This can also \n− \nS3, S2 \nbe proved by using the commutation relation [S2 \n· \nS4). A complete list of all chirality \nS4] = iS2 \noperators is given in TABLE I. Therefore we can choose \nanother representation of τ z, \n\n(Sk × \n(S3 \n· × \n\n· \n\nWe now consider the effect of Heisenberg-type inter- \nSk inside the physical singlet sector. Note \nactions Sj · \nSk within the cluster commutes with \nthat since any Sj · \nthe cluster Hamiltonian Hcluster (2), their action do not \nmix physical spin singlet states with states of other total \nphysical spin. This property is also true for the spin- \nchirality operator used later. So the pseudo-spin Hamil- \ntonian constructed below will be exact low energy Hamil- \ntonian, without truncation errors in typical perturbation \nseries expansions. \n\nτ z = χ234/(√3/4) = (4/√3)S2 (S3 S4) (6) \n\n− \nThe above representations of τ x,y,z are all invariant under \nglobal spin rotation of the physical spins. \n\n− · × \n\nWith the machinery of equations (4), (5), and (6), it \nwill be straightforward to construct various pseudo-spin- \n1/2 Hamiltonians on various lattices, of the Kitaev vari- \nety and beyond, as the exact low energy effective Hamil- \ntonian of certain spin-1/2 models with spin-rotation sym- \nmetry. In these constructions a pseudo-spin lattice site \nactually represents a cluster of four spin-1/2 moments. It is simpler to consider the permutation operators \nSk + 1/2, which just exchange the states \n= k). \nPjk ≡ \nof the two physical spin-1/2 moments j and k (j \nAs an example we consider the action of P34, \n\n2Sj · \n\nIII. REALIZATION OF THE KITAEV MODEL. \n+ ω2 + ω \n| ↓↑↑↓i | ↓↑↓↑i \n\n+ ω2 \n| ↑↓↑↓i(cid:17) \n\nIn this Section we will use directly the results of the \nprevious Section to write down a Hamiltonian whose low \nenergy sector is described by the Kitaev model. The \nHamiltonian will be constructed on the physical spin lat- \ntice illustrated in FIG. 2. \nIn this Section we will use \nj, k to label four-spin clusters (pseudo-spin-1/2 sites), the \nphysical spins in cluster j are labeled as Sj1, . . . , Sj4. \nApply the mappings developed in Section II, we have \n\n1 \n√6 (cid:16)| ↓↓↑↑i \nτ z = P34 1 = \n| − i \n\n+ + ω \n| ↑↑↓↓i | ↑↓↓↑i \nτ z = +1 = \n\n| \nτ z = \n\ni \n\nτ z = +1 \n\nand similarly P34 \n. Therefore P34 \n= \ni \ni \nis just τ x in the physical singlet sector. A complete list \nof all permutation operators is given in TABLE I. We \ncan choose the following representation of τ x and τ y,", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0266.pdf" + }, + { + "text": "11 \n\nhigh-energy fermions and is an input for the low-energy \ntheory. Below we follow Refs. 31,33 and assume that \nthe momentum dependence of a collective boson is flat \nnear (π, π). The self energy within such model has been \nworked out consistently in Ref. 31,33. \nIn the normal \nstate \n\na SCS a gapless continuum described by Eq. (20) trans- \nforms into a gaped continuum, with a gap about 2∆ and \na resonance at ω = ω0 < 2∆, where for a d−wave gap we \ndefine ∆ as a maximum of a d−wave gap. \nThe spin susceptibility near (π, π) in a superconductor \ncan generally be written up as \n\nχQ \n1 − i Π(Ω) \nωsf \nω2 \nω2 1 \n2 \nχ(q ∼ Q, Ω) = (21) \nΣ′′(ω) = − λnωsf log 1 + \nsf ! \n\nω \nωsf \nΣ′(ω) = −λnωsf arctan \n\nwhere Π is evaluated by adding up the bubbles made \nout of two normal and two anomalous Green’s functions. \nBelow 2∆, Π(Ω) is real (∼ Ω2/∆ for small Ω), and the \nresonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At \nfrequencies larger than 2∆, Π(Ω) has an imaginary part, \nand this gives rise to a gaped continuum in χ(Ω). \n\n(19) \n\nwhere λn is the spin-fermion coupling constant, and ωsf \nis a typical spin relaxation frequency of overdamped spin \ncollective excitations with a propagator \nThe imaginary part of the spin susceptibility around \n\nthe resonance frequency ω0 is31 \n\nχQ \n1 − i Ω \nωsf \nχ(q ∼ Q, Ω) = (20) \n\nπZoω0 \n2 \n\n′′ \nχ (q, Ω) = δ(Ω − ω0) (22) \n\nwhere χQ is the uniform static susceptibility. If we use \nOrnstein-Zernike form of χ(q) and use either Eliashberg \n45 or FLEX computational schemes48, we get rather sim- \nilar behavior of Σ as a function of frequency and rather \nsimilar behavior of optical integrals. \n\nwhere Zo ∼ 2 ωsf χ0/ ∂Π \n∂ω \n\n. The imaginary part \n| \nof the spin susceptibility describing a gaped continuum \nexists for for Ω ≥ 2∆ and is \n\nΩ=ω0 \n\nThe collective nature of spin fluctuations is reflected in \nthe fact that the coupling λ and the bosonic frequency \nωsf are related: λ scales as ξ2, where ξ is the bosonic \nmass (the distance to a bosonic instability), and ωsf ∝ \n2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf \nξ− \ndoes not depend on ξ and is the overall dimensional scale \nfor boson-mediated interactions. \n\n′′ \nχ (q, Ω) = Im \n1 − 1 \nωsf \n\" \n\n(cid:0) \n\nχ0 \nπ∆2 \nΩ + i π \n≈ Im \n1 − 1 \nωsf 2 Ω \" # \n\n(cid:1) \nIn Eq. (23) D(x) = K1(x) \nK2(x) \n, and K1(x) and K2(x) \nare Elliptic integrals of first and second kind. The real \npart of χ is obtained by Kramers-Kr¨onig transform of the \nimaginary part. \n\n(cid:0) \n− \nx \n\nχ0 \n4∆2 \nΩ D( 4∆2 \n\nΩ2 ) + iΩK2(1 − 4∆2 \nΩ2 ) \n(cid:1) \n\n# \n\nfor Ω >> 2∆ (23) \n\nIn the SCS fermionic excitations acquire a gap. This \ngap affects fermionic self-energy in two ways: directly, via \nthe change of the dispersion of an intermediate boson in \nthe exchange process involving a CB, and indirectly, via \nthe change of the propagator of a CB. We remind our- \nselves that the dynamics of a CB comes from a particle- \nhole bubble which is indeed affected by ∆. \n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the \nself-energy one obtains Σ′′(ω) in a SCS state as a sum of \ntwo terms31 The effect of a d−wave pairing gap on a CB has been \ndiscussed in a number of papers, most recently in31. In \n\nπZo \n2 \n\nω + ωo \nΣ′′A(ω) = \nλnωo Re \n(ω + ωo)2 − ∆2 ! \n\ncomes from the interaction with the resonance and \np \n\n2 \n1 − 4∆ \nx2 x \nωsf \n\nK2 \n2 \n(cid:16) \n+ \n\nE \n\nω + x \n(ω + x)2 − ∆2 \n\n| | \nΣ′′B(ω) = −λn \ndx Re \n\n(cid:17) \nK2 \n\n1 − 4∆2 \nxωsf \nh \n\n4∆2 \nx2 1 − 4∆2 \nx2 x \nωsf \n2∆ \nD \nZ \n\np \n(cid:1)i \nh \n(cid:1)i (cid:0) (cid:0) \n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", + "page_start": 10, + "page_end": 10, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0266.pdf", + "query": "How can fractionalised Majorana fermion excitations be understood?", + "target_page": 1, + "target_passage": "from the more familiar Jordan-Wigner transformation of 1D spin systems", + "chunk_present": { + "presence": true, + "index": 7 + } + }, + "top_chunk": [ + { + "text": "R \n\nTo address this issue, we took a larger λ for the same \nωsf and re-did the calculation of the conductivities and \noptical integrals. The results for σ(ω) and ∆W (ωc) are \npresented in Fig. 22. We found the same behavior as be- \nfore, i.e., ∆WK is negative. But we also found that the \nlarger is the overall scale for the self-energy, the larger is a \nfrequency of zero-crossing of ∆W (ωc). In particular, for \nthe same λ and ωsf that were used in Ref. 33 to fit the NS \nconductivity data, the zero crossing is at ∼ 0.8 eV which \nis quite close to the bandwidth. This implies that at a \ntruly strong coupling the frequency at which ∆W (ωc) \nchanges sign can well be larger than the bandwidth of \n1eV in which case ∆W integrated up to the bandwidth \ndoes indeed remain positive. Such behavior would be \nconsistent with Refs.8,9. we also see from Fig. 22 that \n∆WK becomes small at a truly strong coupling, and over \na wide range of frequencies the behavior of ∆W (ωc) is \npredominantly governed by ∆f (ωc), i.e. by the cut-off \nterm.50 The implication is that, to first approximation, \n∆WK can be neglected and positive ∆W (wc) integrated \nto a frequency where it is still positive is almost compen- \nsated by the integral over larger frequencies. This again \nwould be consistent with the experimental data in Refs. \n8,9. \n\nWe considered four models: a BCS model with impu- \nrities, a model of fermions interacting with an Einstein \nboson, a phenomenological MFL model with impurities, \nand a model of fermions interacting with collective spin \nfluctuations. \nIn all cases, we found that ∆WK is neg- \native, but how it evolves with ωc and how much of the \nsum rule is recovered by integrating up to the bandwidth \ndepends on the model. \n\nIt is also instructive to understand the interplay be- \ntween the behavior of ∆W (ωc) and the behavior of the \ndifference of the kinetic energy between the SCS and the \nNS, δKE. We computed the kinetic energy as a function \nof λωsf and present the results in Fig. 23 for λ = 1 and \n10. For a relatively weak λ = 1 the behavior is clearly \nBCS like- δKE > 0 and increases with increasing λωsf . \nHowever, at large λ = 10, we see that the kinetic energy \nbegin decreasing at large λωsf and eventually changes \nsign. The behavior of δKE at a truly strong coupling is \n\nThe result most relevant to the experiments on the \ncuprates is obtained for the spin fluctuation model. \nWe found that at strong coupling, the zero-crossing of \nδW (ωc) occurs at a frequency which increases with the \ncoupling strength and may become larger than the band- \nwidth at a truly strong coupling. Still, at even larger \nfrequencies, ∆W (ωc) is negative.", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "∞ \n\nIn our work, we perform direct numerical calculations \nof optical integrals at T = 0 for a lattice dispersion ex- \ntracted from ARPES of the cuprates. The goal of our \nwork is two-fold. First, we perform calculations of the \noptical integral in the NS and analyze how rapidly W (ωc) \napproaches WK , in other words we check how much of \nthe Kubo sum is recovered up to the scale of the band- \nwidth. Second, we analyze the difference between optical \n\nWe also found that for all models except for the origi- \nnal version of the MFLI model the optical weight at the \nhighest frequencies is greater in the NS than in the SCS \n(i.e., ∆W < 0). This observation is consistent with the \nfindings of Abanov and Chubukov32, Benfatto et. al.28, \nand Karakozov and Maksimov34. \nIn the original ver- \nsion of the MFLI model30 the spectral weight in SCS \nwas found to be greater than in the NS (∆W > 0). We \nshow that the behavior of ∆W (ωc) in this model cru- \ncially depends on how the fermionic self-energy modeled \nto fit ARPES data in a NS is modified when a system \nbecomes a superconductor and can be of either sign. We \nalso found, however, that ωc at which ∆W becomes neg- \native rapidly increases with the coupling strength and at \nstrong coupling becomes comparable to the bandwidth. \nIn the CB model, which, we believe, is most appropriate \nfor the application to the cuprates, ∆WK = ∆W (∞) is \nquite small, and at strong coupling a negative ∆W (ωc) \nup to ωc ∼ 1eV is nearly compensated by the optical \nintegral between ωc and “infinity”, which, in practice, is", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0764.pdf" + }, + { + "text": "11 \n\nhigh-energy fermions and is an input for the low-energy \ntheory. Below we follow Refs. 31,33 and assume that \nthe momentum dependence of a collective boson is flat \nnear (π, π). The self energy within such model has been \nworked out consistently in Ref. 31,33. \nIn the normal \nstate \n\na SCS a gapless continuum described by Eq. (20) trans- \nforms into a gaped continuum, with a gap about 2∆ and \na resonance at ω = ω0 < 2∆, where for a d−wave gap we \ndefine ∆ as a maximum of a d−wave gap. \nThe spin susceptibility near (π, π) in a superconductor \ncan generally be written up as \n\nχQ \n1 − i Π(Ω) \nωsf \nω2 \nω2 1 \n2 \nχ(q ∼ Q, Ω) = (21) \nΣ′′(ω) = − λnωsf log 1 + \nsf ! \n\nω \nωsf \nΣ′(ω) = −λnωsf arctan \n\nwhere Π is evaluated by adding up the bubbles made \nout of two normal and two anomalous Green’s functions. \nBelow 2∆, Π(Ω) is real (∼ Ω2/∆ for small Ω), and the \nresonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At \nfrequencies larger than 2∆, Π(Ω) has an imaginary part, \nand this gives rise to a gaped continuum in χ(Ω). \n\n(19) \n\nwhere λn is the spin-fermion coupling constant, and ωsf \nis a typical spin relaxation frequency of overdamped spin \ncollective excitations with a propagator \nThe imaginary part of the spin susceptibility around \n\nthe resonance frequency ω0 is31 \n\nχQ \n1 − i Ω \nωsf \nχ(q ∼ Q, Ω) = (20) \n\nπZoω0 \n2 \n\n′′ \nχ (q, Ω) = δ(Ω − ω0) (22) \n\nwhere χQ is the uniform static susceptibility. If we use \nOrnstein-Zernike form of χ(q) and use either Eliashberg \n45 or FLEX computational schemes48, we get rather sim- \nilar behavior of Σ as a function of frequency and rather \nsimilar behavior of optical integrals. \n\nwhere Zo ∼ 2 ωsf χ0/ ∂Π \n∂ω \n\n. The imaginary part \n| \nof the spin susceptibility describing a gaped continuum \nexists for for Ω ≥ 2∆ and is \n\nΩ=ω0 \n\nThe collective nature of spin fluctuations is reflected in \nthe fact that the coupling λ and the bosonic frequency \nωsf are related: λ scales as ξ2, where ξ is the bosonic \nmass (the distance to a bosonic instability), and ωsf ∝ \n2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf \nξ− \ndoes not depend on ξ and is the overall dimensional scale \nfor boson-mediated interactions. \n\n′′ \nχ (q, Ω) = Im \n1 − 1 \nωsf \n\" \n\n(cid:0) \n\nχ0 \nπ∆2 \nΩ + i π \n≈ Im \n1 − 1 \nωsf 2 Ω \" # \n\n(cid:1) \nIn Eq. (23) D(x) = K1(x) \nK2(x) \n, and K1(x) and K2(x) \nare Elliptic integrals of first and second kind. The real \npart of χ is obtained by Kramers-Kr¨onig transform of the \nimaginary part. \n\n(cid:0) \n− \nx \n\nχ0 \n4∆2 \nΩ D( 4∆2 \n\nΩ2 ) + iΩK2(1 − 4∆2 \nΩ2 ) \n(cid:1) \n\n# \n\nfor Ω >> 2∆ (23) \n\nIn the SCS fermionic excitations acquire a gap. This \ngap affects fermionic self-energy in two ways: directly, via \nthe change of the dispersion of an intermediate boson in \nthe exchange process involving a CB, and indirectly, via \nthe change of the propagator of a CB. We remind our- \nselves that the dynamics of a CB comes from a particle- \nhole bubble which is indeed affected by ∆. \n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the \nself-energy one obtains Σ′′(ω) in a SCS state as a sum of \ntwo terms31 The effect of a d−wave pairing gap on a CB has been \ndiscussed in a number of papers, most recently in31. In \n\nπZo \n2 \n\nω + ωo \nΣ′′A(ω) = \nλnωo Re \n(ω + ωo)2 − ∆2 ! \n\ncomes from the interaction with the resonance and \np \n\n2 \n1 − 4∆ \nx2 x \nωsf \n\nK2 \n2 \n(cid:16) \n+ \n\nE \n\nω + x \n(ω + x)2 − ∆2 \n\n| | \nΣ′′B(ω) = −λn \ndx Re \n\n(cid:17) \nK2 \n\n1 − 4∆2 \nxωsf \nh \n\n4∆2 \nx2 1 − 4∆2 \nx2 x \nωsf \n2∆ \nD \nZ \n\np \n(cid:1)i \nh \n(cid:1)i (cid:0) (cid:0) \n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", + "page_start": 10, + "page_end": 10, + "source_file": "1001.0764.pdf" + }, + { + "text": "10 \n\nout first deriving the normal state self-energy microscop- \nically (this is what we will do in the next section). The \nresults of the calculations for the modified MFLI model \nare presented in Figs. 15 and 16. We clearly see that the \nbehavior is now different and ∆WK < 0 for all Γ. This \nis the same behavior as we previously found in BCSI \nand EB models. So we argue that the ‘unconventional’ \nbehavior exhibited by the original MFLI model is most \nlikely the manifestation of a particular modeling incon- \nsistency. Still, Ref. 30 made a valid point that the fact \nthat quasiparticles behave more close to free fermions in \na SCS than in a NS, and this effect tends to reverse the \nsigns of ∆WK and of the kinetic energy 43. It just hap- \npens that in a modified MFLI model the optical integral \nis still larger in the NS. \n\nWe now turn to a more microscopic model- the CB \nmodel. The model describes fermions interacting by ex- \nchanging soft, overdamped collective bosons in a partic- \nular, near-critical, spin or charge channel31,44,45. This \ninteraction is responsible for the normal state self-energy \nand also gives rise to a superconductivity. A peculiar \nfeature of the CB model is that the propagator of a col- \nlective boson changes below Tc because this boson is not \nan independent degree of freedom (as in EB model) but \nis made out of low-energy fermions which are affected by \nsuperconductivity32. \n\n0 \n\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’ \nMFLI model with the feedback from SC on the quasiparticle \n√−ω2+∆2 . In the SCS σ \ndamping: iΓ term transforms into \nnow begins at Ω = 2∆. The parameters are same as in Fig. \n10. Bottom – the behavior of Kubo sum with Γ. Observe \nthat W (ωc) in the NS is larger than in the SCS. \n\nΓ \n\n) \n10 \nc \nω \n( \n\nS \nN \nW \n− \n) \nc \n0 ω \n( \n\nC \nS \nW \n∆ W \nK \n\n−10 \n0.2 \n0.4 \nω \n in eV \nc \n0.6 0.8 \n\nFIG. 16: Evolution of the difference of the optical integrals \nbetween the SCS and the NS with the upper cut-off ωc for \nthe “corrected” MFLI model. Now ∆W (ωc) is negative above \nsome frequency. Parameters are same as in the Fig 15. \n\nThe most relevant point for our discussion is that this \nmodel contains the physics which we identified above as \na source of a potential sign change of ∆WK . Namely, \nat strong coupling the fermionic self-energy in the NS \nis large because there exists strong scattering between \nlow-energy fermions mediated by low-energy collective \nbosons. In the SCS, the density of low-energy fermions \ndrops and a continuum collective excitations becomes \ngaped. Both effects reduce fermionic damping and lead \nto the increase of WK in a SCS. If this increase exceeds a \nconventional loss of WK due to a gap opening, the total \n∆WK may become positive. \n\nThe CB model has been applied numerous times to the \ncuprates, most often under the assumption that near- \ncritical collective excitations are spin fluctuations with \nmomenta near Q = (π, π). This version of a CB bo- \nson is commonly known as a spin-fermion model. This \nmodel yields dx2 \ny2 superconductivity and explains in a \nquantitative way a number of measured electronic fea- \ntures of the cuprates, in particular the near-absence of \nthe quasiparticle peak in the NS of optimally doped and \nunderdoped cuprates39 and the peak-dip-hump structure \nin the ARPES profile in the SCS31,32,46,47. In our analy- \nsis we assume that a CB is a spin fluctuation. \n\n− \n\nmodel, where WK is larger in the NS for all Γ (see Fig. \nIn other words, the original MFLI model does not \n4). \nhave the BCSI theory as its limiting case. \n\nWe modified the MFLI model is a minimal way by \nΓ \nchanging the damping term in a SCS to \nω2+∆2 to be \nconsistent with BCSI model. We still use Eq. (18) for \nthe MFL term simply because this term was introduced \nin the NS on phenomenological grounds and there is no \nway to guess how it gets modified in the SCS state with- \n\n√ \n−", + "page_start": 9, + "page_end": 9, + "source_file": "1001.0764.pdf" + }, + { + "text": "modified MFLI models. It is interesting that this holds \ndespite the fact that for large λ CB model displays the \nphysics one apparently needs to reverse the sign of ∆WK \n– the absence of the quasiparticle peak in the NS and its \nemergence in the SCS accompanied by the dip and the \nhump at larger energies. The absence of coherent quasi- \nparticle in the NS at large λ is also apparent form Fig \n21 where we show the normal state distribution functions \nfor two different λ. For large λ the jump (which indicates \nthe presence of quasiparticles) virtually disappears. \n\nconsistent with earlier calculation of the kinetic energy \nfor Ornstein-Zernike form of the spin susceptibility43. \n\nWe clearly see that the increase of the zero crossing \nfrequency of ∆W (ωc) at a truly strong coupling is cor- \nrelated with the non-BCS behavior of δKE. At the same \ntime, the behavior of δW (ωc) is obviously not driven by \nthe kinetic energy as eventually δW (ωc) changes sign and \nbecome negative. Rather, the increase in the frequency \nrange where ∆W (ωc) remains positive and non-BCS be- \nhavior of δKE are two indications of the same effect that \nfermions are incoherent in the NS but acquire coherence \nin the SCS. \n\nOn a more careful look, we found that indifference of \nδW (ωc) to the increase of λ is merely the consequence of \nthe fact that above we kept λωsf constant. Indeed, at \nsmall frequencies, fermionic self-energy in the NS is Σ′ = \nλω, Σ” = λ2ω2/(λωsf ), and both Σ′ and Σ′′ increase \nwith λ if we keep λωsf constant. But at frequencies larger \nthan ωsf , which we actually probe by ∆W (ωc), the self- \nenergy essentially depends only on λωsf , and increasing λ \nbut keeping λωsf constant does not bring us closer to the \nphysics associated with the recovery of electron coherence \nin the SCS. To detect this physics, we need to see how \nthings evolve when we increase λωsf above the scale of \n∆ , i.e., consider a truly strong coupling when not only \nλ ≫ 1 but also the normal state ΣN S(ω ≥ ∆) >> ∆. \n\nIn this work we analyzed the behavior of optical in- \nωc \no σ(ω)dω and Kubo sum rules in \ntegrals W (ωc) ∝ \nthe normal and superconducting states of interacting \nfermionic systems on a lattice. Our key goal was to \nunderstand what sets the sign of ∆WK = ∆W (∞) be- \ntween the normal and superconducting states and what \nis the behavior of W (ωc) and ∆W (ωc) at finite ωc. In a \nweak coupling BCS superconductor, ∆W (ωc) is positive \nat ωc < 2∆ due to a contribution from superfluid den- \nsity, but becomes negative at larger ωc, and approach a \nnegative value of ∆WK. Our study was motivated by fas- \ncinating optical experiments on the cuprates7–10. In over- \ndoped cuprates, there is clear indication11 that ∆W (ωc) \nbecomes negative above a few ∆, consistent with BCS \nbehavior. In underdoped cuprates, two groups argued8,9 \nthat ∆W integrated up to the bandwidth remains posi- \ntive, while the other group argued10 that it is negative. \nThe reasoning why ∆WK may potentially change sign \nat strong coupling involves the correlation between −WK \nand the kinetic energy. \nIn the BCS limit, kinetic en- \nergy obviously increases in a SCS because of gap opening, \nhence −WK increases, and ∆WK is negative. At strong \ncoupling, there is a counter effect – fermions become more \nmobile in a SCS due to a smaller self-energy. \n\nR", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "integral in the SCS at T = 0 and in the NS extrapolated \nto T = 0 and compare the cut off effect ∆f (ωc) to ∆WK \nterm. We also analyze the sign of ∆W (ωc) at large fre- \nquencies and discuss under what conditions theoretical \nW (∞) increases in the SCS. \n\nWe perform calculations for four models. First is a \nconventional BCS model with impurities (BCSI model). \nSecond is an Einstein boson (EB) model of fermions in- \nteracting with a single Einstein boson whose propaga- \ntor does not change between NS and SCS. These two \ncases will illustrate a conventional idea of the spectral \nweight in SCS being less than in NS. Then we con- \nsider two more sophisticated models: a phenomenological \n“marginal Fermi liquid with impurities” (MFLI) model \nof Norman and P´epin30, and a microscopic collective bo- \nson (CB) model31 in which in the NS fermions interact \nwith a gapless continuum of bosonic excitations, but in a \nd−wave SCS a gapless continuum splits into a resonance \nand a gaped continuum. This model describes, in par- \nticular, interaction of fermions with their own collective \nspin fluctuations32 via \n\ncase, as we said, WK does not depend on temperature) \nand analyzed the T dependence of W (ωc) due to the T \ndependence of the cut-off term. They found a good agree- \nment with the experiments. This still does not solve the \nproblem fully as amount of the T dependence of WK in \nthe same model but with a lattice dispersion has not been \nanalyzed. For a superconductor, which of the two terms \ncontributes more, remains an open issue. At small fre- \nquencies, ∆W (ωc) between a SCS and a NS is positive \nsimply because σ(Ω) in a SCS has a δ−functional term. \nIn the models with a constant DOS, for which ∆WK = 0, \nprevious calculations21 show that ∆W (ωc) changes sign \nat some ωc, becomes negative at larger ωc and approaches \nzero from a negative side. The frequency when ∆W (ωc) \nchanges sign is of order ∆ at weak coupling, but increases \nas the coupling increases, and at large coupling becomes \ncomparable to a bandwidth (∼ 1eV ). At such frequencies \nthe approximation of a DOS by a constant is question- \nable at best, and the behavior of ∆W (ωc) should gen- \nerally be influenced by a nonzero ∆WK . In particular, \nthe optical integral can either remain positive for all fre- \nquencies below interband transitions (for large enough \npositive ∆WK), or change sign and remain negative (for \nnegative ∆WK ). The first behavior would be consistent \nwith Refs. 8,9, while the second would be consistent with \nRef. 10. ∆W can even show more exotic behavior with \nmore than one sign change (for a small positive ∆WK ). \nWe show various cases schematically in Fig.1. \n\nd2q \n(2π)2 χ(q, ω)G(k + q, ω + Ω) dω \n2π \nΣ(k, Ω) = 3g2 (6) \n\nZ \n\nwhere g is the spin-fermion coupling, and χ(q, ω) is the \nspin susceptibility whose dynamics changes between NS \nand SCS. \n\nFrom our analysis we found that the introduction of \na finite fermionic bandwidth by means of a lattice has \ngenerally a notable effect on both W and ∆W . We \nfound that for all models except for BCSI model, only \n70% − 80% of the optical spectral weight is obtained by \nintegrating up to the bandwidth. In these three models, \nthere also exists a wide range of ωc in which the behavior \nof ∆W (ωc) is due to variation of ∆f (ωc) which is domi- \nnant comparable to the ∆WK term. This dominance of \nthe cut off term is consistent with the analysis in Refs. \n21,22,33. \n\nω \nc ω \nc \n\n(4). The \nFIG. 1: Schematic behavior of ∆W vs ωc, Eq. \nis ∆WK given by Eq. (3) \nlimiting value of ∆W at ωc = \nDepending on the value of ∆WK, there can be either one sign \nchange of ∆W (panels a and c), or no sign changes (panel b), \nor two sign changes (panel d). \n\n∞", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0764.pdf" + }, + { + "text": "FIG. 3: The BCSI case with a dispersion linearized around the \nFermi surface. Evolution of the difference of optical integrals \nin the SCS and the NS with the upper cut-off ωc Observe \nthat the zero crossing point increases with impurity scattering \nrate Γ and also the ‘dip’ spreads out with increasing Γ. ∆ = \n30 meV \n\nFIG. 2: Distribution functions in four cases (a) BCSI model, \nwhere one can see that for ε > 0, SC>NS implying KE in- \ncreases in the SCS. (b) The original MFLI model of Ref. 30, \nwhere for ε > 0, SC<NS, implying KE decreases in the SCS. \n(c) Our version of MFLI model (see text) and (d) the CB \nmodel. In both cases, SC>NS, implying KE increases in the \nSCS. Observe that in the impurity-free CB model there is no \njump in n(ǫ) indicating lack of fermionic coherence. This is \nconsistent with ARPES39 \n\nFor a constant DOS, ∆W (ωc) = WSC (ωc) − WN S(ωc) \nis zero at ωc = ∞ and Kubo sum rule reduces to FGT \nsum rule. In Fig. 3 we plot for this case ∆W (ωc) as a \nfunction of the cutoff ωc for different Γ′s. The plot shows \nthe two well known features: zero-crossing point is below \n2∆ in the clean limit Γ << ∆ and is roughly 2Γ in the \ndirty limit21,40 The magnitude of the ‘dip’ decreases quite \nrapidly with increasing Γ. Still, there is always a point \nof zero crossing and ∆W (ωc) at large ωc approaches zero \nfrom below. \n(11) \n\nA. The BCS case \n\nIn BCS theory the quantity Z(ω) is given by \n\nΓ \n∆2 − (ω + iδ)2 \nZBCSI (ω) = 1 + \n\np and \n\nΣBCSI(ω) = ω (Z(ω) − 1) = iΓ \n\nWe now perform the same calculations in the presence \nof lattice dispersion. The results are summarized in Figs \n4,5, and 6. \nω \n(ω + iδ)2 − ∆2 \n(12) \n\nFig 4 shows conductivities σ(ω) in the NS and the SCS \nand Kubo sums WK plotted against impurity scattering \nΓ. We see that the optical integral in the NS is always \ngreater than in the SCS. The negative sign of ∆WK is \nsimply the consequence of the fact that nk is larger in the \nNS for ǫk < 0 and smaller for ǫk < 0, and ∇2ε~k closely \nfollows −ε~k for our choice of dispersion38), Hence nk is \nlarger in the NS for ∇2ε~k > 0 and smaller for ∇2ε~k < \n0 and the Kubo sum rule, which is the integral of the \nproduct of nk and ∇2ε~k (Eq. 3), is larger in the normal \nstate. \n\nWe also see from Fig. 4 that ∆WK decreases with Γ \nreflecting the fact that with too much impurity scattering \nthere is little difference in nk between NS and SCS. \n\np \n\nThis is consistent with having in the NS, Σ = iΓ in accor- \ndance with Eq 6. In the SCS, Σ(ω) is purely imaginary \nfor ω > ∆ and purely real for ω < ∆. The self-energy \nhas a square-root singularity at ω = ∆. \n\nIt is worth noting that Eq.12 is derived from the in- \ntegration over infinite band. If one uses Eq.6 for finite \nband, Eq.12 acquires an additional frequency dependence \nat large frequencies of the order of bandwidth (the low \nfrequency structure still remains the same as in Eq.12). \nIn principle, in a fully self-consistent analysis, one should \nindeed evaluate the self-energy using a finite bandwidth. \nIn practice, however, the self-energy at frequencies of or- \nder bandwidth is generally much smaller than ω and con- \ntribute very little to optical conductivity which predom- \ninantly comes from frequencies where the self-energy is \ncomparable or even larger than ω. Keeping this in mind, \nbelow we will continue with the form of self-energy de- \nrived form infinite band. We use the same argument for \nall four models for the self-energy.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0764.pdf" + }, + { + "text": "The exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamil- \ntonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low \nenergy effective Hamiltonian is exact, without truncation errors in traditional perturbation series \nexpansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and \ncontains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model \nis represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet \nsector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin corre- \nlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this \nmodel. This exact construction is quite general and can be used to make other interesting spin-1/2 \nmodels from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the \nhigh order spin interactions from more natural couplings, which involves perturbative expansions \nthus breaks the exact mapping, although in a controlled manner. \n\nto realize non-Abelian anyons. The model simply reads \n\nJyτ y \nj τ y \nJxτ x \nj τ x \nHKitaev = \nk − X \nk \n− X \nx−links <jk> y−links <jk> \n\nJzτ z j τ z \nk \n− X \nz−links <jk> \n\n(1) \n\nwhere τ x,y,z are Pauli matrices, and x, y, z-links are de- \nfined in FIG. 1. It was shown by Kitaev1 that this spin- \n1/2 model can be mapped to a model with one Majo- \nrana fermion per site coupled to Ising gauge fields on the \nlinks. And as the Ising gauge flux has no fluctuation, the \nmodel can be regarded as, under each gauge flux config- \nuration, a free Majorana fermion problem. The ground \nstate is achieved in the sector of zero gauge flux through \neach hexagon. The Majorana fermions in this sector have \nDirac-like gapless dispersion resembling that of graphene, \nas long as \nsatisfy the triangular rela- \nJz| \ntion, sum of any two of them is greater than the third \none1. It was further proposed by Kitaev1 that opening of \nfermion gap by magnetic field can give the Ising vortices \nnon-Abelian anyonic statistics, because the Ising vortex \nwill carry a zero-energy Majorana mode, although mag- \nnetic field destroys the exact solvability. \n\nJx| \n, \nJy| \n, and \n| | | \n\n] \nl \ne \n- \nr \nt \ns \n. \nt \na \nm \n- \nd \nn \no \nc \n[ \n\nContents \n\nIII. Realization of the Kitaev Model. \n\nIV. Generate the High Order Physical Spin \nInteractions by Perturbative Expansion. \nA. Generate the High Order Terms by Coupling \n\n2 \nv \n6 \n6 \n2 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nto Optical Phonon. 5 \n\nB. Generate the High Order Terms by Magnetic \nInteractions between Clusters. 7 \n\nB. Derivation of the Terms Generated by \n\nGreat efforts have been invested to better understand \nthe properties of the Kitaev model. For example, sev- \neral groups have pointed out that the fractionalized Ma- \njorana fermion excitations may be understood from the \nmore familiar Jordan-Wigner transformation of 1D spin \nsystems2,3. The analogy between the non-Abelian Ising \nvortices and vortices in p + ip superconductors has been \nraised in serveral works4–7. Exact diagonalization has \nbeen used to study the Kitaev model on small lattices8. \nAnd perturbative expansion methods have been devel- \noped to study the gapped phases of the Kitaev-type \nmodels9. \n\nSecond Order Perturbation of Inter-cluster \nMagnetic Interactions 9 \n\nI. INTRODUCTION. \n\nKitaev’s exactly solvable spin-1/2 honeycomb lattice \nmodel1 (noted as the Kitaev model hereafter) has in- \nspired great interest since its debut, due to its exact \nsolvability, fractionalized excitations, and the potential", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0266.pdf" + }, + { + "text": "0 \n0.5 \nω in eV \n\n∆ W (CB model−larger λ ω \n) \nsf \n\nV \ne \nm \nn \nwith lattice \nwithout lattice \n8 \ni \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.4 \n0.6 \nω \n in eV \nc \n\nFIG. 22: Top – conductivity at a larger value of ωsf λ (ωsf = \n26 meV ,λ = 7) consistent with the one used in Ref.33). Bot- \ntom – ∆W with and without lattice. Observe that the fre- \nquency of zero crossing of ∆W enhances compared to the case \nof a smaller λωsf and becomes comparable to the bandwidth. \nAt energies smaller than the bandwidth, ∆W > 0, as in the \nNorman- P´epin model. \n\n0 \n\nFIG. 21: Distribution functions n(ǫ) for CB model for λ = 1 \nand λ = 7 and a constant ωsf = 26 meV . We set ∆ = 30meV . \nFor smaller λ (top), quasiparticles near the FS are well defined \nas indicated by the well pronounced jump in n(ǫ). For λ = 7, \nn(ǫ) is rather smooth implying that a coherence is almost lost. \nSome irregularities is the SCS distribution function are due \nto finite sampling in the frequency domain. The irregularities \ndisappear when finer mesh for frequencies is chosen. \nV \ne \nm \nn \nλ=10 \nλ=1 \n\n30 \ni \nE \nK \nδ \n\n10 \n\n0 2 4 6 \nSelf Energy prefactor \n\nFIG. 23: Kinetic energy difference between the SCS and the \nNS, δKE We set λ to be either λ = 1 or λ = 10 and varied ωsf \nthus changing the overall prefactor in the self-energy. At weak \ncoupling (λ = 1) the behavior is BCS-like – δKE is positive \nand increases with the overall factor in the self-energy. At \nstrong coupling (λ = 7), δKE shows a reverse trend at larger \nωsf . \n\nThe negative sign of ∆W (ωc) above a relatively small \nωc ∼ 0.1 − 0.2eV implies that the ‘compensating’ ef- \nfect from the fermionic self-energy on ∆W is not strong \nenough to overshadow the decrease of the optical inte- \ngral in the SCS due to gap opening. In other words,the \nCB model displays the same behavior as BCSI, EB, and \n\nshows up in the optical gap), where as in the BCSI case \nit would have always begun from 2∆. In Fig 18 we plot \nthe Kubo sums WK vs coupling λ. We see that for all λ, \nWK in the NS stays larger than in the SCS. Fig 19 shows \nthe cutoff dependence of the optical integrals W (ωc) for \nλ = 1 separately in the NS and the SCS. We again see \nthat only about 73% of the Kubo sum is recovered up \nto the bandwidth of 1 eV indicating that there is a sig- \nnificant amount left to recover beyond this energy scale. \nFig 20 shows ∆W for the two different couplings. We \nsee that, for both λ’s, there is only one zero-crossing for \nthe ∆W curve, and ∆W is negative at larger frequen- \ncies. The only difference between the two plots is that \nfor larger coupling the dip in ∆W gets ‘shallower’. Ob- \nserve also that the solid line in Fig. 20 is rather far away \nfrom the dashed line at ωc > 1meV , which indicates that, \nalthough ∆W (ωc) in this region has some dependence on \nωc, still the largest part of ∆W (ωc) is ∆WK, while the \ncontribution from ∆f (ωc) is smaller.", + "page_start": 12, + "page_end": 12, + "source_file": "1001.0764.pdf" + }, + { + "text": "modes of neighboring tetrahedra. And these coupling \nconstants λx,y,z need to be tuned to produce Jx,y,z of \nthe Kitaev model. This is still not easy to implement in \nsolid state systems. At lowest non-trivial order of pertur- \nbative expansion, we do get our model (9). Higher order \nterms in expansion destroy the exact solvability, but may \nbe controlled by the small parameters λx,y,z/k. \n\nthe desired Jx,y,z terms in (8) from the first and second \norder of perturbations. \n\nThe calculation can be dramatically simplified by the \nfollowing fact that any physical spin-1/2 operator Sx,y,z \nℓ \nconverts the cluster spin singlet states \ninto \nspin-1 states of the cluster. This can be checked by \nexplicit calculations and will not be proved here. For \nall the perturbations to be considered later, the above \nmentioned fact can be exploited to replace the factor \nHcluster k]−1 in the second order pertur- \n[0 \nHcluster j − \nbation to a c-number ( \n\nτ z = 1 \n| ± i \n\n2Jcluster)−1. \nThe detailed calculations are given in Appendix B. We \n− \n\nλx Hperturbation, x = λx[Sj1 \n\nSk1 + sgn(Jx) \nSj2 + Sk1 (Sj2 \n· \nSk2). \n\nSk2)] \n· · \nJx(Sj1 \n\n− \nJx| · \n\n· · \n\nwhere λx = \nof Jx. \n\n12 Jcluster, sgn(Jx) = 1 is the sign \np | ± \n\nThe perturbation on y-links is \n\nIn this Subsection we consider more conventional per- \nturbations, magnetic interactions between the clusters, \nSk with j and k belong \ne.g. the Heisenberg coupling Sj · \nto different tetrahedra. This has the advantage over the \nprevious phonon approach for not introducing additional \ndegrees of freedom. But it also has a significant disad- \nvantage: the perturbation does not commute with the \ncluster Heisenberg Hamiltonian (2), so the cluster sin- \nglet subspace will be mixed with other total spin states. \nIn this Subsection we will use the spin-chirality represen- \ntation (6) for τ z. \n\nwill only list the results here. \nThe perturbation on x-links is given by \n\nλy Hperturbation, y \n\nSk1 + sgn(Jy) \nSj4 + Sk3 (Sj3 \nSk4) \n\nSj4) (Sk3 Sk4)] \n\nPjk = \nτ z \nj,k = s \n\n· \n(Sj3 \n· \n· \n\n− · − \n\n· \nJy| · \nThe perturbation on z-links is \n\n− | \n\nPs=±1 | ih \nJcluster. \n\nAgain consider two clusters j and k. For simplicity \nof notations define a projection operator \nPjPk, \nwhere \nPj,k is projection into the singlet subspace of clus- \nτ z \nj,k = \nter j and k, respectively, \nPj,k = \ns \n. For a given perturbation λ Hperturbation with small \n| \nparameter λ (in factor λ/Jcluster is the expansion param- \neter), lowest two orders of the perturbation series are \n\n=λy[Sj1 \nJy| \nwith λy = \n4 \np | \n\nλz Hperturbation, z \n\nPjk + λ2 \nHcluster k]−1(1 \n\n= λz[Sj2 \nJz| \nwith λz = 4 \n\n(Sk3 \n\nSk4) + sgn(Jz) \nSk4). \n\nSk2 (Sj3 Sj4)] λ \n\nPjkHperturbation \nHcluster j − \n[0 \n× \n\nPjkHperturbation(1 \n\n− Pjk) \n− Pjk)Hperturbation \n· \n(Sj3 × \nSj4 + Sk3 \n· · × \n\nPjk \n(15) \n− | \n\n· \nJz| · \n\n· \n− \n\nJcluster. \np| \nThe entire Hamiltonian Hmagnetic reads explicitly as, \n\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 Hmagnetic = \nX \ncluster j \n\n+ 12 \nJx| · \nJcluster Sj1 Sk1 + sgn(Jx) (Sj2 Sk2) Jx(Sj1 Sj2 + Sk1 Sk2) \nX \nx−links <jk> \n(cid:8)p (cid:2) (cid:3) − (cid:9) | · · · · · \n\n+ \n(cid:8)q4 Jy| · \nJcluster Sj1 (Sk3 Sk4) + sgn(Jy)Sk1 (Sj3 Sj4) \nJy| \n(Sj3 Sj4 + Sk3 \nX \ny−links <jk> \n(cid:2) (cid:3) − | | · − · − · \n\n+ \n4 \n(cid:8) Jz| · \nJcluster \nSj2 \n(cid:2) \n(Sk3 Sk4) + sgn(Jz)Sk2 (Sj3 Sj4) \nJz| \n(Sj3 Sj4 + Sk3 \nX \nz−links <jk> \np| (cid:3) − | · × · × ·", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0266.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0266.pdf", + "query": "What happens when the spin-rotation symmetry is explicitly broken?", + "target_page": 2, + "target_passage": "makes them harder to realize in solid state systems", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "+ \n4 \n(cid:8) Jz| · \nJcluster \nSj2 \n(cid:2) \n(Sk3 Sk4) + sgn(Jz)Sk2 (Sj3 Sj4) \nJz| \n(Sj3 Sj4 + Sk3 \nX \nz−links <jk> \np| (cid:3) − | · × · × · \n\nIn (16), we have been able to reduce the four spin in- \nteractions in (8) to inter-cluster Heisenberg interactions, \nand the six-spin interactions in (8) to inter-cluster spin- \nchirality interactions. The inter-cluster Heisenberg cou- \nplings in Hperturbation x,y may be easier to arrange. The inter-cluster spin-chirality coupling in Hperturbation z ex- \nplicitly breaks time reversal symmetry and is probably \nharder to implement in solid state systems. However \nspin-chirality order may have important consequences \nin frustrated magnets36,37, and a realization of spin-", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0266.pdf" + }, + { + "text": "One major drawback of the model to be presented is \nthat it contains high order spin interactions(involves up \nto six or eight spins), thus is still unnatural. However it \nopens the possibility to realize exotic (exactly solvable) \nmodels from spin-1/2 Hamiltonian with spin rotation in- \nvariant interactions. We will discuss two possible routes \nto reduce this artificialness through controlled perturba- \ntive expansions, by coupling to optical phonons or by \nmagnetic couplings between the elementary units. \n\nHcluster = (Jcluster/2) (S1 + S2 + S3 + S4)2 (2) \n\nThe energy levels should be apparent from this form: \none group of spin-2 quintets with energy 3Jcluster, three \ngroups of spin-1 triplets with energy Jcluster, and two spin \nsinglets with energy zero. We will consider large positive The outline of this paper is as follows. In Section II \nwe will lay out the pseudo-spin-1/2 construction. In Sec-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0266.pdf" + }, + { + "text": "Appendix A: Coupling between Distortions of a \nTetrahedron and the Pseudo-spins \n\nIn this Appendix we reproduce from Ref.35 the cou- \nplings of all tetrahedron distortion modes to the spin \n\n· − · \n\nNow we can use TABLE I to convert the above cou- \nIt is easy to see that f A and \nplings into pseudo-spin. \nf T2 \n1,2,3 are all zero when converted to pseudo-spins, namely \nprojected to the physical spin singlet sector. But f E \n1 = \n(√3/2)τ x \n2P34)/(4√3) = \n(P14 +P23 +P24 +P13 \n− \nand f E \nP23)/4 = (√3/2)τ y. This \n2 = (P24 + P13 \n− \nhas already been noted by Tchernyshyov et al.28, only \nthe E modes can lift the degeneracy of the physical spin \nsinglet ground states of the tetrahedron. Therefore the \ngeneral spin lattice coupling is the form of (12) given in \nthe main text. \n\n2P12 \nP14 \n− \n− \n\n−", + "page_start": 7, + "page_end": 7, + "source_file": "1001.0266.pdf" + }, + { + "text": "∼ \n\nIn this Subsection we regard each four-spin cluster \nas a tetrahedron, and consider possible optical phonon \nmodes(distortions) and their couplings to the spin sys- \ntem. The basic idea is that the intra-cluster Heisen- \nberg coupling Jcluster can linearly depend on the dis- \ntance between physical spins. Therefore certain distor- \ntions of the tetrahedron couple to certain linear combi- \nSm. Integrating out phonon modes will \nnations of Sℓ · \nthen generate high order spin interactions. This idea has \nbeen extensively studied and applied to several magnetic \nmaterials28–34. More details can be found in a recent \nreview by Tchernyshyov and Chern35. And we will fre- \nquently use their notations. In this Subsection we will \nuse the representation (5) for τ z. \n\nIV. GENERATE THE HIGH ORDER PHYSICAL \nSPIN INTERACTIONS BY PERTURBATIVE \nEXPANSION. \n\nOne major drawback of the present construction is that \nit involves high order interactions of physical spins[see \n(8) and (9)], thus is ‘unnatural’. In this Section we will \nmake compromises between exact solvability and natu- \nralness. We consider two clusters j and k and try to \ngenerate the Jx,y,z interactions in (7) from perturbation \nseries expansion of more natural(lower order) physical \nspin interactions. Two different approaches for this pur- \npose will be laid out in the following two Subsections. In \nSubsection IV A we will consider the two clusters as two \ntetrahedra, and couple the spin system to certain opti- \ncal phonons, further coupling between the phonon modes \n\nConsider first a single tetrahedron with four spins \n1, . . . , 4. The general distortions of this tetrahedron can \nbe classified by their symmetry (see for example Ref.35). \nOnly two tetragonal to orthorhombic distortion modes, \nQE \n2 (illustrated in FIG. 3), couple to the pseudo- \nspins defined in Section II. A complete analysis of all \nmodes is given in Appendix A. The coupling is of the \n\n1 and QE", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0266.pdf" + }, + { + "text": "Another note to take is that it is not necessary to have \nsuch a highly symmetric cluster Hamiltonian (2). The \nmappings to pseudo-spin-1/2 should work as long as the \nground states of the cluster Hamiltonian are the two-fold \ndegenerate singlets. One generalization, which conforms \nthe symmetry of the lattice in FIG. 2, is to have \n\nHcluster = (Jcluster/2)(r \n\n4 \n3 3 \n\n1 2 \n2 \n(a) (b) \n\n3 \n4 \n3 2 3 \n\nQE \n2 \n\n2 \n1 4 1 \n1 (a) (b) (c) \n\nIllustration of the tetragonal to orthorhombic \nFIG. 3: \nQE \n2 (bottom) distortion modes. (a) Perspective \nview of the tetrahedron. 1, . . . , 4 label the spins. Arrows in- \ndicate the motion of each spin under the distortion mode. (b) \nTop view of (a). (c)(d) Side view of (a). \n\n1 (top) and QE \n\nS1 + S2 + S3 + S4)2 (11) \n\n· \nwith Jcluster > 0 and 0 < r < 3. However this is not \nconvenient for later discussions and will not be used. \n\nWe briefly describe some of the properties of (8). Its \nlow energy states are entirely in the space that each of the \nclusters is a physical spin singlet (called cluster singlet \nsubspace hereafter). Therefore physical spin correlations \nare strictly confined within each cluster. The excitations \ncarrying physical spin are gapped, and their dynamics \nare ‘trivial’ in the sense that they do not move from one \ncluster to another. But there are non-trivial low energy \nphysical spin singlet excitations, described by the pseudo- \nspins defined above. The correlations of the pseudo-spins \ncan be mapped to correlations of their corresponding \nphysical spin observables (the inverse mappings are not \nunique, c.f. TABLE I). For example τ x,y correlations \nbecome certain dimer-dimer correlations, τ z correlation \nbecomes chirality-chirality correlation, or four-dimer cor- \nrelation. It will be interesting to see the corresponding \npicture of the exotic excitations in the Kitaev model, e.g. \nthe Majorana fermion and the Ising vortex. However this \nwill be deferred to future studies. \n\nof the two clusters can generate at lowest order the de- \nsired high order spin interactions. In Subsection IV B we \nwill introduce certain magnetic, e.g. Heisenberg-type, in- \nteractions between physical spins of different clusters, at \nlowest order(second order) of perturbation theory the de- \nsired high order spin interactions can be achieved. These \napproaches involve truncation errors in the perturbation \nseries, thus the mapping to low energy effect Hamilto- \nnian will no longer be exact. However the error intro- \nduced may be controlled by small expansion parameters. \nIn this Section we denote the physical spins on cluster \nj(k) as j1, . . . , j4 (k1, . . . , k4), and denote pseudo-spins \non cluster j(k) as ~τj (~τk). \n\nIt is tempting to call this as an exactly solved spin liq- \nuid with spin gap ( \nJcluster), an extremely short-range \nresonating valence bond(RVB) state, from a model with \nspin rotation and time reversal symmetry. However it \nshould be noted that the unit cell of this model contains \nan even number of spin-1/2 moments (so does the orig- \ninal Kitaev model) which does not satisfy the stringent \ndefinition of spin liquid requiring odd number of elec- \ntrons per unit cell. Several parent Hamiltonians of spin \nliquids have already been constructed. See for example, \nRef.24–27. \n\n∼", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0266.pdf" + }, + { + "text": "(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 H = Jz (16/9)[Sj2 (Sj3 Sj4)][Sk2 (Sk3 Sk4)] \nX \nj \n− X · × · × \nz−links <jk> \n\nJx (2Sj1 Sj2 + 1/2)(2Sk1 Sk2 + 1/2) Jy (4/3)[Sj1 (Sj3 Sj4)][Sk1 (Sk3 Sk4)] \n− X − X · · · − · − \nx−links <jk> y−links <jk> \n\n(8) \n\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 H = \nX \nj \n\nJx (2Sj1 Sj2 + 1/2)(2Sk1 Sk2 + 1/2) Jy (4/3)[Sj1 (Sj3 Sj4)][Sk1 (Sk3 Sk4)] \n− X − X · · · − · − \nx−links <jk> y−links <jk> \n\nJz ( 4/3)(2Sj3 Sj4 + 1/2)[Sj1 (Sj3 Sj4)](2Sk3 Sk4 + 1/2)[Sk1 (Sk3 Sk4)] \n− X − · · − · · − \nz−links <jk> \n\n(9) \n\nin terms of physical spins S, has full \nspin rotation symmetry and time-reversal symmetry. A \npseudo-magnetic field term \n~τj term can also be \nincluded under this mapping, however the resulting Ki- \ntaev model with magnetic field is not exactly solvable. \nIt is quite curious that such a formidably looking Hamil- \ntonian (8), with biquadratic and six-spin(or eight-spin) \nterms, has an exactly solvable low energy sector. \n\nThis model, \n\n~h \nPj · \n\nNote that the original Kitaev model (1) has three- \nfold rotation symmetry around a honeycomb lattice site, \ncombined with a three-fold rotation in pseudo-spin space \n(cyclic permutation of τ x, τ y, τ z). This is not apparent \nin our model (8) in terms of physical spins, under the \ncurrent representation of τ x,y,z. We can remedy this by \nusing a different set of pseudo-spin Pauli matrices τ ′x,y,z \nin (7), \n\n′x = \nτ \nτ ′y = \n′z = 1/3τ z + \n1/3τ z \n1/3τ z 2/3τ x, \n1/6τ x + \n1/6τ x \n\np \n\n1/2τ y, \n1/2τ y \np \nτ \np \n− p − p \n\nWith proper representation choice, they have a symmet- \nric form in terms of physical spins, \n\n′x = \nτ \nτ ′y = \nτ ′z = (4/3)S4 (S2 S3) + 2/3(2S1 S4 + 1/2) \n\nWe emphasize that because the first intra-cluster term \nPcluster Hcluster commutes with the latter Kitaev terms \nindependent of the representation used, the Kitaev model \nis realized as the exact low energy Hamiltonian of this \nmodel without truncation errors of perturbation theories, \n/Jcluster)2 or higher order terms will \nnamely no ( \n| \nbe generated under the projection to low energy clus- \nter singlet space. This is unlike, for example, the t/U \nexpansion of the half-filled Hubbard model22,23, where \nat lowest t2/U order the effective Hamiltonian is the \nHeisenberg model, but higher order terms (t4/U 3 etc.) \nshould in principle still be included in the low energy ef- \nfective Hamiltonian for any finite t/U . Similar compari- \nson can be made to the perturbative expansion studies of \nthe Kitaev-type models by Vidal et al.9, where the low \nenergy effective Hamiltonians were obtained in certian \nanisotropic (strong bond/triangle) limits. Although the \nspirit of this work, namely projection to low energy sec- \ntor, is the same as all previous perturbative approaches \nto effective Hamiltonians. \n\nJx,y,z| \n\n(4/3)S2 (S3 S4) + 2/3(2S1 S2 + 1/2) \np \n− · × · \n(4/3)S3 (S4 S2) + 2/3(2S1 S3 + 1/2) \np \n− · × · \n\np \n− · × · \n(10) \n\nSo the symmetry mentioned above can be realized by a \nthree-fold rotation of the honeycomb lattice, with a cyclic \npermutation of S2, S3 and S4 in each cluster. This is in \nfact the three-fold rotation symmetry of the physical spin \nlattice illustrated in FIG. 2. However this more symmet- \nric representation will not be used in later part of this \npaper.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0266.pdf" + }, + { + "text": "modified MFLI models. It is interesting that this holds \ndespite the fact that for large λ CB model displays the \nphysics one apparently needs to reverse the sign of ∆WK \n– the absence of the quasiparticle peak in the NS and its \nemergence in the SCS accompanied by the dip and the \nhump at larger energies. The absence of coherent quasi- \nparticle in the NS at large λ is also apparent form Fig \n21 where we show the normal state distribution functions \nfor two different λ. For large λ the jump (which indicates \nthe presence of quasiparticles) virtually disappears. \n\nconsistent with earlier calculation of the kinetic energy \nfor Ornstein-Zernike form of the spin susceptibility43. \n\nWe clearly see that the increase of the zero crossing \nfrequency of ∆W (ωc) at a truly strong coupling is cor- \nrelated with the non-BCS behavior of δKE. At the same \ntime, the behavior of δW (ωc) is obviously not driven by \nthe kinetic energy as eventually δW (ωc) changes sign and \nbecome negative. Rather, the increase in the frequency \nrange where ∆W (ωc) remains positive and non-BCS be- \nhavior of δKE are two indications of the same effect that \nfermions are incoherent in the NS but acquire coherence \nin the SCS. \n\nOn a more careful look, we found that indifference of \nδW (ωc) to the increase of λ is merely the consequence of \nthe fact that above we kept λωsf constant. Indeed, at \nsmall frequencies, fermionic self-energy in the NS is Σ′ = \nλω, Σ” = λ2ω2/(λωsf ), and both Σ′ and Σ′′ increase \nwith λ if we keep λωsf constant. But at frequencies larger \nthan ωsf , which we actually probe by ∆W (ωc), the self- \nenergy essentially depends only on λωsf , and increasing λ \nbut keeping λωsf constant does not bring us closer to the \nphysics associated with the recovery of electron coherence \nin the SCS. To detect this physics, we need to see how \nthings evolve when we increase λωsf above the scale of \n∆ , i.e., consider a truly strong coupling when not only \nλ ≫ 1 but also the normal state ΣN S(ω ≥ ∆) >> ∆. \n\nIn this work we analyzed the behavior of optical in- \nωc \no σ(ω)dω and Kubo sum rules in \ntegrals W (ωc) ∝ \nthe normal and superconducting states of interacting \nfermionic systems on a lattice. Our key goal was to \nunderstand what sets the sign of ∆WK = ∆W (∞) be- \ntween the normal and superconducting states and what \nis the behavior of W (ωc) and ∆W (ωc) at finite ωc. In a \nweak coupling BCS superconductor, ∆W (ωc) is positive \nat ωc < 2∆ due to a contribution from superfluid den- \nsity, but becomes negative at larger ωc, and approach a \nnegative value of ∆WK. Our study was motivated by fas- \ncinating optical experiments on the cuprates7–10. In over- \ndoped cuprates, there is clear indication11 that ∆W (ωc) \nbecomes negative above a few ∆, consistent with BCS \nbehavior. In underdoped cuprates, two groups argued8,9 \nthat ∆W integrated up to the bandwidth remains posi- \ntive, while the other group argued10 that it is negative. \nThe reasoning why ∆WK may potentially change sign \nat strong coupling involves the correlation between −WK \nand the kinetic energy. \nIn the BCS limit, kinetic en- \nergy obviously increases in a SCS because of gap opening, \nhence −WK increases, and ∆WK is negative. At strong \ncoupling, there is a counter effect – fermions become more \nmobile in a SCS due to a smaller self-energy. \n\nR", + "page_start": 13, + "page_end": 13, + "source_file": "1001.0764.pdf" + }, + { + "text": "**(a)**\n1 \n*TN*(8) = 92(2)K \n\n90K \n91K \n92K \n93K \n94K \n95K \n\n*e*\n*P*\n0.5 \n\n0 \n-140 -139 -138 -137 -136 -135 -134 -133 -132 -131 \n*e*\n**(b)**\n\n129K \n130K \n131K \n132K \n133K \n134K \n\n*TC*(8) = 133.3(3)K \n0.4 \n*e*\n*P*\n0.2 \n\n0 \n-94 -92 -90 -88 \n-86 \n*e*\n-84 -82 -80 -78 \n\nFIG. 10: (colors online) Equilibrium probability distribution \nof the energy for the thickness n = 8 for some temperatures \naround TN (8), (a), and TC(8), (b), respectively. \n\nopposite magnetization. We can thus confidently assert \nthat, regardless of the underlying lattice structure, by \ndecreasing the number of the out-of-plane interactions, \nfor thicknesses close to the helical bulk pitch, the block \n\nAs a final issue we address the problem of the order \nof the transitions observed at TN (n) and TC(n), respec- \ntively. In particular, we focus our attention to the thick- \nness ranges where the chiral order parameter is relevant, \nregions i) and ii) as defined at the beginning of \ni.e. \nthis Section. In Fig. 10 the equilibrium probability dis- \ntribution of the energy for temperatures around TN (8) \n(Fig. 10a) and TC(8) (Fig. 10b) is plotted: \nfor both \ntemperatures, no double peak structure is observed, so \nthat we have no direct indication for a first order tran- \nsition even if, according to precedent studies of Loison \nand Diep17,18, the presence of a first-order transition at \nTN (n), cannot be completely excluded, as it could reveal \nitself only when the lateral dimension L are much larger \nthan the largest correlation length. The same conclusion \nabout the order of transition is reached for any other in- \nvestigated film thickness, as the energy probability distri- \nbution shape does not qualitatively change. This findings \nagree with the results we got in previous MC simulations \ndiscussed in Ref. 15, so that we may conclude that the \norder of the observed transitions is not affected by the \nrange of interactions. \n\n1 Frustrated spin Systems, edited by H. T. Diep (World Sci- 134420 (2009). \n\n16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. \nD’Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, \nand J. Jensen, Physica B 159, 93 (1989). \n17 H. T. Diep, Phys. Rev. B 39, 397 (1989). \n18 D. Loison, Physica A 275, 207 (2000). \n19 N. Metropolis, et al., J. Chem. Phys. 21, 1087 (1953). \n20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58, 2394 \n\nentific, 2004). \n\n2 H. Kawamura, J. Phys.: Cond. Matt. 10, 4707 (1998). \n3 T. Kimura et al., Nature (London) 426, 55 (2003). \n4 F. Cinti et al., Phys. Rev. Lett. 100, 057203 (2008). \n5 J.H. Park, S. Onoda, N. Nagaosa, and J. H. Han, Phys. \nRev. Lett. 101, 167202 (2008), and references therein. \n6 S. W. Cheong and M. Mostovoy, Nature Materials (Lon- \n\ndon) 6, 13 (2007). (1987). \n7 Minhyea Lee, W. Kang, Y. Onose, Y. Tokura, and N. P. \n\n21 D. P. Landau, and K. Binder, A Guide to Monte Carlo \nSimulation in Statistical Physics, Cambridge University \nPress, Cambridge (2000). \nOng, Phys. Rev. Lett. 102, 186601 (2009) \n\n8 P. Pedrazzini et al., Phys. Rev. Lett. 98, 047204 (2007). \n9 H. Kawamura and M. S. Li, Phys. Rev. Lett. 87, 187204 \n22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Meth- \nods in Statistical Physics, Clarendon Press, Oxford (1999). (2001). \n\n10 P. J. Jensen, and A. R. Mackintosh, Rere Earth Mag- \nnetism (Structure and Excitations), Clarendon Press, Ox- \nford (1991). \n11 S. Konings, C. Schuessler-Langeheine, H. Ott, E. Weschke, \n\n23 B. Efron, The Annals of Statistics 7, 1 (1979). \n24 P. M. Chaikin, T. C. Lubensky Principles of condensed \nmatter physics, Cambridge University Press, New York \n(1995). \n25 K. Binder, Z. Phys. B 43, 119 (1981). K. Binder, Phys. E. Schierle, J. B. Goedkoop, arXiv 0707.2765v2 \n12 P.J. Jensen, and K.H. Bennemann, Surface Science Re- Rev. Lett. 47, 693 (1981). \n\n26 Such observable has been obtained from instantaneous \nevaluation of the structure factor during the stochastic \nprocess, and subsequently statistically analyzed as all the \nother macroscopic quantities.", + "page_start": 6, + "page_end": 6, + "source_file": "1001.0510.pdf" + }, + { + "text": "chirality interactions in cold atom optical lattices has \nbeen proposed38. system. And convert them to pseudo-spin notation in \nthe physical spin singlet sector. \n\nOur model (8) is achieved at second order of the per- \nturbation series. Higher order terms become trunca- \ntion errors but may be controlled by small parameters \nλx,y,z/Jcluster \n\nConsider a general small distortion of the tetrahedron, \nthe spin Hamiltonian becomes \n\nJx,y,z| \n′ \nSℓ)2 + J Hcluster, SL = (Jcluster/2)( \nδrℓm(Sℓ · \nSm) \n∼ p| \nX \nℓ X \nℓ<m \n\n(A1) \nwhere δrℓm is the change of bond length between spins \nℓ and m, J ′ is the derivative of Jcluster with respect to \nbond length. \n\nThere are six orthogonal distortion modes of the tetra- \nhedron [TABLE 1.1 in Ref.35]. One of the modes A is the \ntrivial representation of the tetrahedral group Td; two E \nmodes form the two dimensional irreducible representa- \ntion of Td; and three T2 modes form the three dimen- \nsional irreducible representation. The E modes are also \nillustrated in FIG. 3. \n\n′ \n2 + QT2 1 f T2 1 + QT2 2 f T2 2 + QT2 3 f T2 \n3 ) \n(QAf A + QE \n1 f E 1 + QE 2 f E \nJ \n\nWe constructed the exactly solvable Kitaev honeycomb \nmodel1 as the exact low energy effective Hamiltonian of \na spin-1/2 model [equations (8) or (9)] with spin-rotation \nand time reversal symmetry. The spin in Kitaev model is \nrepresented as the pseudo-spin in the two-fold degenerate \nspin singlet subspace of a cluster of four antiferromag- \nnetically coupled spin-1/2 moments. The physical spin \nmodel is a honeycomb lattice of such four-spin clusters, \nwith certain inter-cluster interactions. The machinery \nfor the exact mapping to pseudo-spin Hamiltonian was \ndeveloped (see e.g. TABLE I), which is quite general \nand can be used to construct other interesting (exactly \nsolvable) spin-1/2 models from spin rotation invariant \nsystems. \n\nThe generic couplings in (A1) [second term] can be \nconverted to couplings to these orthogonal modes, \n\nwhere Q are generalized coordinates of the corresponding \nmodes, functions f can be read off from TABLE 1.2 of \nRef.35. For the A mode, δrℓm = 2/3QA, so f A is \np \n\nf A = \n\nIn this construction the pseudo-spin correlations in the \nKitaev model will be mapped to dimer or spin-chirality \ncorrelations in the physical spin system. The correspond- \ning picture of the fractionalized Majorana fermion exci- \ntations and Ising vortices still remain to be clarified. \n\nf E \n2 = (1/2)(S2 \nf E \n1 = \n\nS4 + S1 S3 S1 S4 S2 S3), \n\n· \n1/12(S1 · \nS4 + S2 · \nS3 + S2 \n− \n· \nS4 + S1 \n− \nS3 \np \n· \n2S1 · \n2S3 · \nS4). \n· \nS2 \n− · − · \n\nThe functions f T2 \n1,2,3 for the T2 modes are \n\nS3 S1 S4), \n\n2/3 (S1 S2 + S3 S4 + S1 S3 \np \n· \n+ S2 · \nS4 + S1 · \nS4 + S2 \n\nThis exact construction contains high order physical \nspin interactions, which is undesirable for practical im- \nplementation. We described two possible approaches to \nreduce this problem: generating the high order spin in- \nteractions by perturbative expansion of the coupling to \noptical phonon, or the magnetic coupling between clus- \nters. This perturbative construction will introduce trun- \ncation error of perturbation series, which may be con- \ntrolled by small expansion parameters. Whether these \nconstructions can be experimentally engineered is how- \never beyond the scope of this study. It is conceivable that \nother perturbative expansion can also generate these high \norder spin interactions, but this possibility will be left for \nfuture works. \n\nS3). \n· · · \n\nThe functions f E \nbut are reproduced here, \n1,2 for the E modes have been given before \n\nf T2 \n1 = (S2 \nf T2 \n2 = (S1 \nf T2 \n3 = (S1 \n\n· − · \nS3 S2 S4), \n· − · \nS2 S3 S4) Acknowledgments \n\nThe author thanks Ashvin Vishwanath, Yong-Baek \nKim and Arun Paramekanti for inspiring discussions, and \nTodadri Senthil for critical comments. The author is sup- \nported by the MIT Pappalardo Fellowship in Physics.", + "page_start": 7, + "page_end": 7, + "source_file": "1001.0266.pdf" + }, + { + "text": "175 \n0 \n20 \nΓ in meV \n40 \n\nFIG. 13: Behavior of WK with Γ for the original MFLI model \nat very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe \nthe inconsistency with WK in the BCSI model in Fig 4. \n\n0.4 \n) \nc \nω \n( \n\nS \nN \nW \n− \n) \n0 \nc \nω \n( \n\nC \nS \nW \n\n−0.4 \n0.2 0.4 \n0.6 \n in eV \n0.8 \nω \nc \n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other pa- \nrameters the same as in Fig. 10. These parameters are chosen \nto illustrate that two sign changes (indicated by arrows in the \nfigure) are also possible within the original MFLI model. \n\n1 \n) \n\n∞ \nW \n( \n\n0.6 \n/ \n) \nc \n\nω \nW \n( \n\n0.2 \n\n0 \n0.5 \nω \n in eV \nc \n\nFIG. 11: The evolution of the optical integral in the NS (top) \nand the SCS (bottom) in the original MFLI model. Parame- \nters are the same as above. Note that only \n80% of the \nspectral weight is recovered up to 1eV . \n75 \n∼ − \n\nNS and SCS ∆W (Original MFLI) \n\nwith lattice \nwithout lattice \n\n) \nc \n20 \nω \n( \n\nS \nN \nW \n− \n) \n10 \n\nnot not a generic one. There exists a range of parame- \nters α and Γ where ∆WK is still positive, but ∆W (ωc) \nchanges the sign twice and is negative at intermediate \nfrequencies. We show an example of such behavior in \nFig14. Still, for most of the parameters, the behavior of \n∆W (ωc) is the same as in Fig. 12. \n\nc \nω \n( \n\nC \nS \nW \n0 \n0.2 \n0.6 \n0.4 \nω \n in eV \nc \n\nFIG. 12: Evolution of the difference of the optical integrals in \nthe SCS and the NS with the upper cut-off ωc. Parameters are \nthe same as before. Observe that the optical sum in the SCS \nis larger than in the NS and that ∆W has not yet reached \n∆WK up to the bandwidth. The dashed line is the FGT \nresult. \n\nOn more careful looking we found the problem with the \noriginal MFLI model. We recall that in this model the \nself-energy in the SCS state was obtained by just cutting \nthe NS self energy at ω1 (see Eq.18). We argue that \nthis phenomenological formalism is not fully consistent, \nat least for small α. Indeed, for α = 0, the MFLI model \nreduces to BCSI model for which the behavior of the self- \nenergy is given by Eq. (12). This self-energy evolves with \nhas a square-root singularity at ω = ∆ + ωo \nω and Σ \nin the original MFLI model \n(with ωo = 0). Meanwhile Σ \nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and \nthis happens for all values of α including α = 0 where the \nMFLI and BCSI model should merge. This inconsistency \nis reflected in Fig 13, where we plot the near-BCS limit \nof MFLI model by taking a very small α = 0.05. We \nsee that the optical integral WK in the SCS still remains \nlarger than in the NS over a wide range of Γ, in clear \ndifference with the exactly known behavior in the BCSI \n\n′′ \n\nThis clearly affects nk because it is expressed via the full \nGreen’s function and competes with the conventional ef- \nfect of the gap opening. The distribution function from \nthis model, which we show in Fig.2b brings this point \nout by showing that in a MFLI model, at ǫ < 0, nk in a \nsuperconductor is larger than nk in the normal state, in \nclear difference with the BCSI case. \n\nWe analyzed the original MFLI model for various pa- \nrameters and found that the behavior presented in Fig. \n12, where ∆W (ωc) > 0 for all frequencies, is typical but", + "page_start": 8, + "page_end": 8, + "source_file": "1001.0764.pdf" + } + ] + }, + { + "references": { + "source_file": "basic-english-language-skills.PDF", + "query": "What is the Oxbridge Academy email?", + "target_page": 59, + "target_passage": "Email: info@oxbridgeacademy.co.za", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "SEND YOUR REGISTRATION FORM \n\nSend your registration form to the \nregistrations office at Oxbridge Academy via \none of the following channels: \n\nFax: \nPost: \nE-mail: registrar@oxbridgeacademy.co.za \n086 262 5550 \nPO Box 12723, Die Boord, 7613", + "page_start": 26, + "page_end": 26, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Applying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a \ndaunting experience. Not only do you need to choose a course, but you \nalso need to make sure that you: \n• meet the entry requirements \n• meet the deadlines \n• \n• \n• fill in the forms correctly \nsend the forms to the right address \ninclude all the necessary attachments \n\nTo make the college registration process easier for you, we’ve compiled a \ncomprehensive guide on how to register at Oxbridge Academy \n(www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general \ntips that will be relevant to the application and registration processes at \nother colleges. \n\n**There are 4 steps you need to follow when you want to**\n**register as a student at Oxbridge Academy:**\n\n**1.**Select Your Course \n\n**2.** Fill in Your Student Details \n\n**3.**Select Your Delivery Option \n\n**4.** Pay Your Registration Fee and Send in Your Form", + "page_start": 20, + "page_end": 20, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "With our head office in Stellenbosch in the Western Cape, we cater to our \nstudents’ needs by recruiting industry-expert tutors to provide academic \nassistance via telephone and e-mail, as well as by designing our study \nmaterial in such a way that it is clear, simple, and easy for our students \nto understand. \n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section \n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070. \n\n*Developed for Oxbridge Academy*", + "page_start": 58, + "page_end": 58, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Different courses have different registration fees. Please check the course \nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to \nfind out how much you need to pay to register for your chosen course, and \npay this amount using the banking details provided at the bottom of the \nregistration form. Remember to attach your proof of payment. \n\nIf you are under the age of 18, your parent or guardian will need to sign \nthis section of the form to state that they are aware of your registration \nwith Oxbridge Academy, and that they do not have any objections. If you \nare unemployed, you will need a guarantor to sign this section of the \nform. Your parent or guarantor will be held responsible if you miss any of \nyour payments in relation to your course fees.", + "page_start": 25, + "page_end": 25, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "You can find the course name and course code for your chosen course on \nthe relevant detailed course information page on our website. Have a look \nat the example in the screenshot below (the course name and course code \nare circled in red): \n\n\n\nPlease make sure to check the accreditation status of your chosen course. \nSome of our courses are non-credit bearing skills development courses, \nwhich are neither accredited by external bodies nor registered on the NQF. \nPlease go to our website:*oxbridgeacademy.co.za*for more \nabout our skills development courses. \n\ninformation", + "page_start": 21, + "page_end": 21, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Depending on which course you study, you will either be assessed \nby means of written assignments, or through a combination of \nwritten assignments and exams. Assignments not only help to \ndeepen your understanding of the work, but they often also count \ntoward your final mark. \n\nIf you are an Oxbridge Academy student, we’d like you to know \nthat we are here to help you every step of the way, and that we will \ngive you the opportunity to resubmit your assignments if you don’t \nachieve a pass mark the first time around.", + "page_start": 36, + "page_end": 36, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "1. Read (and follow) the instructions carefully. \nIf you are an Oxbridge Academy student, the general assignment \nguidelines will be provided in your “Success” Study Guide. Specific \ninstructions will also be included at the beginning of each of your \nassignments. \n\n2. Read the questions carefully. \nMake sure you understand what is being asked of you, so that you \nfocus on answering the right questions, instead of providing irrelevant \ninformation. \n\n3. Remember that presentation is important. \nNeatness, spelling, and the structure of your assignment will all count \ntoward the mark that you receive for your assignment. \n\n4. \nto the assignment questions. \nBut make sure to use your own words – don’t just copy. You need to show \nthe person marking your assignment that you have developed a sound \nunderstanding of the subject. \n\nUse your course material and other external sources to find answers \n\n5. When you use external resources, remember to reference them \nproperly, and to include them in a bibliography. \nIf you don’t, you may be guilty of plagiarism (www.oxforddictionaries. \ncom/definition/english/plagiarism), which is a serious offence. \n\n6. \nown words when you formulate your answers. \n\nAlways hand in your own work, and make sure that you use your", + "page_start": 37, + "page_end": 37, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "And if you are studying via distance learning (www.oxbridgeacademy.co. \nza/distance-learning/), where you don’t have any face-to-face interac- \ntion with lecturers, you will need to rely on your tutors for the necessary \nacademic support.", + "page_start": 32, + "page_end": 32, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**Don’t use text-speak (such as “ur” and “pls”) in your e-mail.**\nNot only does this look unprofessional, but your tutor may have a hard \ntime understanding what it is that you are trying to say. You should also \navoid using emoticons ( ;-) ), as these don’t belong in formal communica- \ntion. \n\n**Take care when sending attachments.**\nIf you need to send an attachment, make sure that it is in an accessible \nfile \nlimit. Many e-mail clients limit the size of attachments to 5 MB -- and if \nyour attachment exceeds this size, your e-mail might not be delivered. \n\nformat, and that the size doesn’t exceed the maximum", + "page_start": 35, + "page_end": 35, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "If you have any questions about your course work, you are always \nwelcome to approach your tutors for help. Just remember that your \ntutors cannot guess what your needs are: you will have to make \ncontact with your tutors and communicate your questions clearly if \nyou want to get the assistance that you need. \n\n\n\n**Use a relevant and descriptive subject line.**\nThis way, your tutor will immediately know what your e-mail is \nabout, and he or she will be more likely to open it. A good subject \nline might read as follows: “Enquiry regarding Assignment 1 for \nSafety Management 101” \n\n**Be polite, and use an appropriate form of address.**\nAlways start your e-mail with an appropriate form of address, \nsuch as “Hello Mr/Ms …” and sign it off with your full name and \nstudent number. This will help to give your message a friendly, yet \nprofessional tone.", + "page_start": 33, + "page_end": 33, + "source_file": "basic-english-language-skills.PDF" + } + ] + }, + { + "references": { + "source_file": "sg247938.pdf", + "query": "When is it necessary to use a host multipathing driver for load balancing?", + "target_page": 340, + "target_passage": "For load balancing and access redundancy on the host side, the use of a host multipathing driver is required in the following situations: Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize system nodes Protection from a host HBA failure (if two HBAs are in use) Protection from fabric failures if the host is connected through two HBAs to two separate fabrics Provide load balancing across the host HBA", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "(cid:2) Balanced host load across HBA ports \n\nIf the host has more than one HBA port per fabric, zone each host port with a separate \ngroup of Storwize V7000 ports. \n\n(cid:2) Balanced host load across Storwize V7000 ports \n\nTo obtain the best overall performance of the subsystem and to prevent overloading, the \nload of each Storwize V7000 port should be equal. Assuming a similar load is generated \nby each host, you can achieve this balance by zoning approximately the same number of \nhost ports to each Storwize V7000 port. \n\nFigure 3-4 on page 56 shows an example of a balanced zoning configuration that was \ncreated by completing the following steps: \n\n1. Divide ports on the I/O Group into two disjoint sets, such that each set contains two ports \nfrom each I/O Group node, each connected to a different fabric. \n\nFor consistency, use the same port number on each I/O Group node. The example that is \nshown in Figure 3-4 on page 56 assigns ports 1 and 4 to one port set, and ports 2 and 3 to \nthe second set. \n\nBecause the I/O Group nodes have four FC ports each, two port sets are created. \n\n2. Divide hosts attached to the I/O Group into two equally numerous groups. \n\nIn general, for I/O Group nodes with more than four ports, divide the hosts into as many \ngroups as you created sets in step 1. \n\n3. Map each host group to exactly one port set. \n\n4. Zone all hosts from each group to the corresponding set of I/O Group node ports. \n\nThe host connections in the example on Figure 3-4 on page 56 are defined in the following \nmanner: \n\n– Hosts in group one are always zoned to ports 1 and 4 on both nodes. \n– Hosts in group two are always zoned to ports 2 and 3 on both nodes of the I/O Group. \n\n**Tip:**Create an alias for the I/O Group port set. This step makes it easier to correctly zone \nhosts to the correct set of I/O Group ports. It also makes host group membership visible in \nthe FC switch configuration. \n\nThe use of this schema provides four paths to one I/O Group for each host, and helps to \nmaintain an equal distribution of host connections on Storwize V7000 ports. \n\n**Tip:**To maximize performance from the host point of view, distribute volumes that are \nmapped to each host between both I/O Group nodes.", + "page_start": 76, + "page_end": 76, + "source_file": "sg247938.pdf" + }, + { + "text": "Figure 3-4 Overview of four-path host zoning \n\nWhen possible, use the minimum number of paths that are necessary to achieve a sufficient \nlevel of redundancy. For the Storwize V7000 environment, no more than four paths per I/O \nGroup are required to accomplish this layout. \n\nAll paths must be managed by the multipath driver on the host side. Make sure that the \nmultipath driver on each server can handle the number of paths required to access all \nvolumes mapped to the host. \n\nFor hosts that use four HBAs/ports with eight connections to an I/O Group, use the zoning \nschema that is shown in Figure 3-5 on page 57. You can combine this schema with the \nprevious four-path zoning schema.", + "page_start": 77, + "page_end": 77, + "source_file": "sg247938.pdf" + }, + { + "text": "(cid:2) Number of paths per host multipath device \n\nThe maximum supported number of paths per multipath device that is visible on the host is \neight. Although the IBM Subsystem Device Driver Path Control Module (SDDPCM), \nrelated products, and most vendor multipathing software can support more paths, the \nStorwize V7000 expects a maximum of eight paths. In general, you see only an effect on \nperformance from more paths than eight. Although the IBM Spectrum Virtualize can work \nwith more than eight paths, this design is technically unsupported. \n\n(cid:2) Do not intermix dissimilar array types or sizes \n\nAlthough the IBM Spectrum Virtualize supports an intermix of differing storage within \nstorage pools, it is best to always use the same array model, Redundant Array of \nIndependent Disks (RAID) mode. RAID size (RAID 5 6+P+S does not mix well with RAID 6 \n14+2), and drive speeds. \n\nRules and guidelines are no substitution for monitoring performance. Monitoring performance \ncan provide a validation that design expectations are met, and identify opportunities for \nimprovement. \n\n**IBM Spectrum Virtualize performance perspectives**\n\nIBM Spectrum Virtualize software was developed by the IBM Research Group. It is designed \nto run on commodity hardware (mass-produced Intel-based processors [CPUs] with \nmass-produced expansion cards) and to provide distributed cache and a scalable cluster \narchitecture. One of the main goals of this design was to use refreshes in hardware. Currently, \nthe Storwize V7000 cluster is scalable up to eight nodes (four control enclosures). \n\nThe performance is near linear when nodes are added into the cluster until performance \neventually becomes limited by the attached components. Although virtualization provides \nsignificant flexibility in terms of the components that are used, it does not diminish the \nnecessity of designing the system around the components so that it can deliver the level of \nperformance that you want. \n\nThe key item for planning is your SAN layout. Switch vendors have slightly different planning \nrequirements, but the goal is that you always want to maximize the bandwidth that is available \nto the Storwize V7000 ports. The Storwize V7000 is one of the few devices that can drive \nports to their limits on average; therefore, it is imperative that you put significant thought into \nplanning the SAN layout. \n\nEssentially, performance improvements are gained by selecting the most appropriate internal \ndisk drive types, spreading the workload across a greater number of back-end resources \nwhen using external storage, and adding more caching. These capabilities are provided by \nthe Storwize V7000 cluster. However, the performance of individual resources eventually \nbecomes the limiting factor.", + "page_start": 762, + "page_end": 762, + "source_file": "sg247938.pdf" + }, + { + "text": "Figure 3-5 Overview of eight-path host zoning \n\nFor more information, see Chapter 8, “Hosts” on page 317. \n\n**3.6.6 Zoning considerations for Metro Mirror and Global Mirror**\n\nThe SAN configurations that use intercluster Metro Mirror and Global Mirror relationships \nrequire the following other switch zoning considerations: \n\n(cid:2) Review the latest requirements and recommendations at this website. \n\n(cid:2) If two ISLs are connecting the sites, split the ports from each node between the ISLs. That \nis, exactly one port from each node must be zoned across each ISL. \n\n(cid:2) Local clustered system zoning continues to follow the standard requirement for all ports on \nall nodes in a clustered system to be zoned to one another. \n\nWhen designing zoning for a geographically dispersed solution, consider the effect of the \ncross-site links on the performance of the local system. \n\n**Important:**Be careful when you perform the zoning so that ports that are dedicated for \nintra-cluster communication are*not*used for Host/Storage traffic in the 8-port and 12-port \nconfigurations. \n\nThe use of mixed port speeds for intercluster communication can lead to port congestion, \nwhich can negatively affect the performance and resiliency of the SAN. Therefore, it is not \nsupported.", + "page_start": 78, + "page_end": 78, + "source_file": "sg247938.pdf" + }, + { + "text": "**TCP/IP**\n**Net work** Library \nServer (1) \nodbc \nDB2 \n\n\n\n\n\n\n\n**Architectu ral flexibility**\n**& scalability**\nTemp \nS torage \n\n| HFS\nzFS (z/ | O |\n|---|---|\n| HFS zFS (z/ | O |\n\n\nCache \nS torage \n**Vertical**\nbig ger bo x \n\n**Horizonta l**\nmultip le systems \n\n**C lient**\n\n**Arc hitec tur al**\nmultip le serve r p latforms \nMultip le lo cation s \n2 ti er and 3 tie r \nMultip le cli ent typ es \n\nTem p \nStorage \n\nHFS \nzFS ( z/OS) \nCache \nStorage \n\n**Data Stora ge**\nNumb er of ca bin ets, \nFo lde r, AGs, App lica ti ons \n\n| TCP/IP or\nNo TCP/IP\nLoad process | |\n|---|---|\n| TCP/IP or No TCP/IP Load process | |\n\n\nObjec t S erver(s) \n(1 or more) \nArchive St orage \nTS M – OA M - V SAM \n\nSame o r d iffe rent machi ne/pl atfo rm \n**T esti ng comp lexity**\n\n*Figure 12-7 Horizontal and vertical scalability*\n\nA Content Manager OnDemand server can scale from a Windows server up to a cluster of \nz/OS systems. It is important to initially select an installation that meets the following \nrequirements: \n\n(cid:2) Appropriate for your current workload in terms of the following items: \n\n– Performance \n– Reliability \n– Availability \n– Scalability \n\n(cid:2) Support for your future growth requirements if the following actions are necessary: \n\n– Increase the number of users that access the system \n– Increase the quantity of data that is stored in the system \n\n(cid:2) Change in the types of archived data \n\n(cid:2) Change in the preprocessing requirements", + "page_start": 318, + "page_end": 318, + "source_file": "sg246915.pdf" + }, + { + "text": "Table 3-5 lists the amount of heartbeat traffic (in megabits per second) that is generated by \nvarious sizes of clustered systems. \n\nTable 3-5 Intersystem heartbeat traffic in Mbps \n\n| Storwize V7000\nSystem 1 | Storwize V7000 System 2 | | | |\n|---|---|---|---|---|\n| Storwize V7000 System 1 | Storwize V7000 System 2 | | | |\n| | 2 nodes | 4 nodes | 6 nodes | 8 nodes |\n| 2 nodes | 5 | 06 | 06 | 06 |\n| 4 nodes | 6 | 10 | 11 | 12 |\n| 6 nodes | 6 | 11 | 16 | 17 |\n| 8 nodes | 6 | 12 | 17 | 21 |\n\n\nThese numbers estimate the amount of traffic between the two clustered systems when no \nI/O is taking place to mirrored volumes. Half of the data is sent by each of the systems. The \ntraffic is divided evenly over all available intercluster links. Therefore, if you have two \nredundant links, half of this traffic is sent over each link. \n\nThe bandwidth between sites must be sized to meet the peak workload requirements. You \ncan estimate the peak workload requirement by measuring the maximum write workload \naveraged over a period of 1 minute or less, and adding the heartbeat bandwidth. Statistics \nmust be gathered over a typical application I/O workload cycle, which might be days, weeks, \nor months, depending on the environment in which the Storwize V7000 is used. \n\nWhen planning the inter-site link, consider also the initial sync and any future resync \nworkloads. It might be worthwhile to secure additional link bandwidth for the initial data \nsynchronization. \n\nIf the link between the sites is configured with redundancy so that it can tolerate single \nfailures, you must size the link so that the bandwidth and latency requirements are met even \nduring single failure conditions. \n\nWhen planning the inter-site link, make a careful note whether it is dedicated to the \ninter-cluster traffic or is going to be used to carry any other data. Sharing link with other traffic \n(for example, cross-site IP traffic) might reduce the cost of creating the inter-site connection \nand improve link utilization. However, doing so might affect the links’ ability to provide the \nrequired bandwidth for data replication. \n\nVerify carefully that the devices that you plan to use to implement the intercluster link are \nsupported. \n\n**Cluster configuration**\nIf you configure replication services, you might decide to dedicate ports for intercluster \ncommunication, intracluster traffic, or both. In that case, make sure that your cabling and \nzoning reflects that decision. Also, such dedicated ports are inaccessible for host or back-end \nstorage traffic, so plan your volume mappings and hosts and back-end storage connections \naccordingly.", + "page_start": 98, + "page_end": 98, + "source_file": "sg247938.pdf" + }, + { + "text": "**3.12.1 Queue depth**\n\nTypically, hosts issue subsequent I/O requests to storage systems without waiting for \ncompletion of previous ones. The number of outstanding requests is called*queue depth*. \nSending multiple I/O requests in parallel (asynchronous I/O) provides significant performance \nbenefits compared to sending them one-by-one (synchronous I/O). However, if the number of \nqueued requests exceeds the maximum that is supported by the storage controller, you \nexperience performance degradation. \n\nTherefore, for large storage networks, plan for setting correct SCSI commands queue depth \non your hosts. For this purpose, a large storage network is defined as one that contains at \nleast 1000 volume mappings. For example, a deployment with 50 hosts with 20 volumes \nmapped to each of them is considered a large storage network. For more information about \nthe queue depth calculations, search for “Queue depth in large SANs” at this IBM Knowledge \nCenter web page. \n\n**3.12.2 Offloaded data transfer**\n\nIf your Windows hosts are configured to use Microsoft Offloaded Data Transfer (ODX) to \noffload the copy workload to the storage controller, consider the benefits of this technology \nagainst extra load on storage controllers. The benefits and effects of enabling ODX are \nespecially prominent in Microsoft Hyper-V environments with ODX enabled. \n\n**3.13 Host mapping and LUN masking**\n\nHost mapping is similar in concept to LUN mapping or masking. LUN mapping is the process \nof controlling which hosts have access to specific LUs within the disk controllers. LUN \nmapping is typically done at the storage system level. Host mapping is done at the software \nlevel. \n\nLUN masking is usually implemented in the device driver software on each host. The host has \nvisibility of more LUNs than it is intended to use. The device driver software masks the LUNs \nthat are not to be used by this host. After the masking is complete, only some disks are visible \nto the operating system. The system can support this type of configuration by mapping all \nvolumes to every host object and by using operating system-specific LUN masking \ntechnology. However, the default (and preferred) system behavior is to map only those \nvolumes that the host is required to access. \n\nThe act of mapping a volume to a host makes the volume accessible to the WWPNs or iSCSI \nnames such as iSCSI qualified names (IQNs) or extended-unique identifiers (EUIs) that are \nconfigured in the host object. \n\n**3.13.1 Planning for large deployments**\n\nEach I/O Group can have up to 512 host objects defined. This limit is the same whether hosts \nare attached by using FC, iSCSI, or a combination of both. To allow more than 512 hosts to \naccess the storage, you must divide them into groups of 512 hosts or less, and map each \ngroup to single I/O Group only. This approach allows you to configure up to 2048 host objects \non a system with four I/O Groups (eight nodes). \n\nFor best performance, split each host group into two sets. For each set, configure the \npreferred access node for volumes presented to the host set to one of the I/O Group nodes. \nThis approach helps to evenly distribute load between the I/O Group nodes. \n\n**71** Chapter 3. Planning", + "page_start": 92, + "page_end": 92, + "source_file": "sg247938.pdf" + }, + { + "text": "**Note:**With 12 or more ports per node, four ports should be dedicated for node-to-node \ntraffic. Doing so is especially important when high write data rates are expected because \nall writes are mirrored between I/O Group nodes over these ports. \n\nThe port designation patterns that are shown in 3.6, “SAN configuration planning” on page 50 \nprovide the required traffic isolation and simplify migrations to configurations with greater \nnumber of ports. More complicated port mapping configurations that spread the port traffic \nacross the adapters are supported and can be considered. However, these approaches do \nnot appreciably increase availability of the solution. \n\nAlternative port mappings that spread traffic across HBAs might allow adapters to come back \nonline following a failure. However, they do not prevent a node from going offline temporarily \nto restart and attempt to isolate the failed adapter and then rejoin the cluster. Also, the mean \ntime between failures (MTBF) of the adapter is not significantly shorter than that of the \nnon-redundant node components. The presented approach takes all of these considerations \ninto account with a view that increased complexity can lead to migration challenges in the \nfuture, and simpler approach is usually better. \n\n**3.6.8 Port masking**\n\nYou can use a port mask to control the node target ports that a host can access. By using \nlocal FC port masking, you can set which ports can be used for node-to-node/intracluster \ncommunication. By using remote FC port masking, you can set which ports can be used for \nreplication communication. Port masking, combined with zoning, enables you to dedicate \nports to particular type of traffic. Setting up Fibre Channel port masks is particularly useful \nwhen you have more than four Fibre Channel ports on any node in the system, as it saves \nsetting up many SAN zones. \n\nTwo Fibre Channel port masks are on a system. The local port mask controls connectivity to \nother nodes in the same system; the partner port mask controls connectivity to nodes in \nremote, partnered systems. By default, all ports are enabled for both local and partner \nconnectivity. \n\nThe port masks apply to all nodes on a system; a different port mask cannot be set on nodes \nin the same system. You do not have to have the same port mask on partnered systems. \n\nA mixed traffic of host, back-end, intracluster, and replication might cause congestion and \nbuffer to buffer credit exhaustion. This type of traffic can result in heavy degradation of \nperformance in your storage environment. \n\nFibre Channel I/O ports are logical ports, which can be on Fibre Channel platform ports or \nFCoE platform ports. \n\nThe port mask is a 64-bit field that applies to all nodes in the cluster. In the local FC port \nmasking, you can set a port to be dedicated to node-to-node/intracluster traffic by setting a 1 \nto that port. Remote FC port masking allows you to set which ports can be used for replication \ntraffic by setting 1 to that port. \n\nIf a port has a 0 in the specific mask, it means no traffic of that type is allowed. Therefore, in a \nlocal FC port map, a 0 means no node-to-node traffic occurs. A 0 on the remote FC port \nmasking means that no replication traffic occurs on that port. Therefore, if a port has a 0 on \nlocal and remote FC port masking, only host and back-end storage traffic is allowed on it.", + "page_start": 80, + "page_end": 80, + "source_file": "sg247938.pdf" + }, + { + "text": "When configuring multiple masters, the cluster installation process supports the native HA \nmethod. This method uses the native HA master capabilities that are built into OpenShift \nContainer Platform and can be combined with any Load Balancing solution. \n\nIf a host is defined in the [lb] section of the inventory file, Ansible installs and configures \nHAProxy automatically as the load balancing solution. If no host is defined, it is assumed that \nyou pre-configured an external load balancing solution of your choice to balance the master \nAPI (port 8443) on all master hosts. \n\n**Note:**The HAProxy Load Balancer is intended to demonstrate the API server’s HA mode \nand is not recommended for production environments. If you are deploying to a cloud \nprovider, Red Hat recommends deploying a cloud-native TCP-based Load Balancer or \ntake other steps to provide a highly available load balancer. \n\n**DNS**\nDNS service is an important component in the Red Hat OpenShift Container Platform \nenvironment. Regardless of the provider of DNS, an organization is required to have certain \nrecords in place to serve the various Red Hat OpenShift Container Platform components. \n\nConsidering the Load Balancer values for the Red Hat OpenShift Container Platform master \nservice and infrastructure nodes running router Pods are known beforehand, entries must be \nconfigured into the DNS before starting the deployment procedure. \n\n**DNS for OpenShift applications**\nApplications that are served by OpenShift are accessible by the router on ports 80/TCP and \n443/TCP. The router uses a wildcard record to map all host names under a specific sub \ndomain to the same IP address without requiring a separate record for each name. This \nprocess allows Red Hat OpenShift Container Platform to add applications with arbitrary \nnames if they are under that sub domain. \n\nFor example, a wildcard record for*.apps.example.com causes DNS name lookups for \napp1.apps.example.com and app2.apps.example.com to both return the same IP address: \n9.109.x.y. All traffic is forwarded to the OpenShift Infrastructure Nodes (Routers). The \nRouters examine the HTTP headers of the queries and forward them to the correct \ndestination. \n\nWith a load-balancer host address of 9.109.x.y, the wildcard DNS record for \n*.apps.example.com resolves IP address 9.109.x.y. \n\nA simple DNS round-robin resolution can be used to spread traffic across infrastructure \nnodes. \n\nFor production environments, it is recommended to have more advanced load balancing \ncapabilities to distribute the traffic among the OpenShift Routers. In those cases, an external \nLoad Balancer is used. \n\n**OpenShift Software Defined Networking (SDN)**\nRed Hat OpenShift Container Platform offers the ability to specify how pods communicate \nwith each other. This process can be done by using Red Hat provided Software-defined \nnetworks (SDN) or a third-party SDN. \n\nDeciding on the suitable internal network for an Red Hat OpenShift Container Platform step is \na crucial step. Unfortunately, no correct answer exists regarding the suitable pod network to \nchose because this choice varies based on the specific scenario requirements for how a Red \nHat OpenShift Container Platform environment is to be used.", + "page_start": 109, + "page_end": 109, + "source_file": "sg248459.pdf" + }, + { + "text": "**OnD ema nd Insta nc e**\n\n\n+ \n\nObje ct \nServe r Ob ject \nSe rver \n\n| LPAR\n1 | LPAR\n2 | | LPAR\nn |\n|---|---|---|---|\n| LPAR 1 | LPAR 2 | | LPAR n |\n\n\n**Syste m B**\n\n| LPAR\n1 | LLLPPPAAARRR\n222 | | LPAR\nn |\n|---|---|---|---|\n| LPAR 1 | LLLPPPAAARRR 222 | | LPAR n |\n\n\n**Syst em A**\n\n*Figure 12-4 Horizontal and vertical scaling with multiple LPARs*\n\nThis scenario is in organizations with large systems, such as AIX or z/OS, that are installed \nand that have enough available capacity to support the required Content Manager \nOnDemand workload. One advantage of this configuration is that you can control the priority \nof work and computer resource distribution to each of the LPARs, such as the number of \nprocessors or the processing priority (depending on the computer system/operating system \narchitecture) that is allocated to each of the LPARs. So, for example, load jobs can be \nassigned a low priority during the day when the focus is on data retrieval and a high priority \nduring the night when the focus is on data loading. \n\nThis setup supports horizontal scalability by using multiple technologies as appropriate. The \nmain constraint is that clients must have access to all systems through TCP/IP. \n\n**12.2.6 Multiple server configuration rules**\n\nThe following general rules apply when you configure multiple Content Manager OnDemand \nservers. In all cases, for additional guidance, see the appropriate Content Manager \nOnDemand documentation or contact Content Manager OnDemand Lab Services. \n\n(cid:2) Each Content Manager OnDemand server has its own set of configuration files. \n\n(cid:2) The parameters in all configuration files must be set so that all of the servers are part of \nthe same instance. \n\n(cid:2) The Content Manager OnDemand clients connect to the IP address listening port of the \nContent Manager OnDemand server (library server module). \n\n(cid:2) The documents are retrieved from the various object servers based on the location \n\ninformation that is returned by the library server. This retrieval is transparent to the client \nsystems. \n\n(cid:2) Parallel load processes must have separate temp directories.", + "page_start": 314, + "page_end": 314, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0955.pdf", + "query": "Which orbiting instrument provides near-continuous full-sky coverage in the hard X-ray/low-energy gamma-ray range?", + "target_page": 1, + "target_passage": "Gamma ray Burst Monitor", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\nObservations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation \nwith GBM \n\nG.L. Case, M.L. Cherry, J. Rodi \nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA \n\nA. Camero-Arranz \nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain \n\nE. Beklen \nMiddle East Technical University (METU), 06531, Ankara, Turkey \n\nC. A. Wilson-Hodge \nNASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP. Jenke \nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece \nUniversity of Alabama in Huntsville, Huntsville, AL 35899 \n\nM.H. Finger \nUSRA, National Space Science and Technology Center, Huntsville, AL 35899 \n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being \nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth \noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma \nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient \noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage \nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies \nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results \nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: \nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source \nXTE J1752-223. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n6 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n2 \nv \n5 \n5 \n9 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nsists of 12 NaI detectors 5(cid:48)(cid:48) in diameter by 0.5(cid:48)(cid:48) thick \nmounted on the corners of the spacecraft and oriented \nsuch that they view the entire sky not occulted by the \nEarth. GBM also contains 2 BGO detectors 5(cid:48)(cid:48) in di- \nameter by 5(cid:48)(cid:48) thick located on opposite sides of the \nspacecraft. None of the GBM detectors have direct \nimaging capability. \n\nI. INTRODUCTION \n\nThe Gamma ray Burst Monitor (GBM) on Fermi is \ncurrently the only instrument in orbit providing nearly \ncontinuous full sky coverage in the hard X-ray/low \nenergy gamma ray energy range. The Earth occul- \ntation technique, used very successfully on BATSE, \nhas been adapted to GBM. An initial catalog of 64 \nsources is currently being monitored and continuously \naugmented. At energies above 100 keV, six steady \nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, GRS 1915+105) and one transient \nsource (XTE J1752-223) have been detected in the \nfirst year of observation. We describe the instrument, \noutline the technique, and present light curves for the \nseven sources. \n\nKnown sources of gamma ray emission can be mon- \nitored with non-imaging detectors using the Earth oc- \ncultation technique, as was successfully demonstrated \nwith BATSE [3, 4]. When a source of gamma rays \nis occulted by the Earth, the count rate measured by \nthe detector will drop, producing a step-like feature. \nWhen the source reappears from behind the Earths \nlimb, the count rate will increase, producing another \nstep. The diameter of the Earth seen from Fermi is \n∼ 140◦, so roughly 30% of the sky is occulted by the \nEarth at any one time. Coupled with the ±35◦ slew- \ning of the pointing direction every orbit, this means \nthat the entire sky is occulted every two orbits. With \nan altitude of 565 km, a period of 96 minutes, and \nan orbital inclination of 26.5◦, individual occultation \nsteps last for ∼10 seconds (Fig. 1). \n\nII. GBM AND THE EARTH OCCULTATION \nOBSERVATIONAL TECHNIQUE \n\nThe Gamma ray Burst Monitor is the secondary \ninstrument onboard the Fermi satellite [1, 2]. It con-", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0955.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "FIG. 2: Crab light curve. Horizontal scale is in modified \nJulian days over the 490 day GBM exposure period. Ver- \ntical scale is in photons/cm2/sec/keV averaged over daily \nintervals. Horizontal lines show the average flux in each of \nfive energy bands increasing from top to bottom \n\nThe shape of the individual occultation steps de- \npends on energy and occultation angle. Transmis- \nsion as a function of time is modeled as T (t) = \nexp[−µ(E)A(h)], where µ(E) is the mass attenuation \ncoefficient of gamma rays at energy E in air and A(h) \nis the air mass along the line of sight at a given alti- \ntude h(t). Account is taken of the detector response \nas it changes as a function of angle across the fit win- \ndow. For each source, occultation times are predicted. \nEach step is fit over a 4-minute window along with a \nquadratic background and using an assumed spectrum \nto determine the detector count rate due to the source. \nThe instrument response is used to convert the count \nrate to a flux. Up to 31 steps are possible for a given \nsource in a day, and these steps are summed to get a \nsingle daily average flux. The GBM occultation sensi- \ntivity exceeds that of BATSE at energies below ∼ 25 \nkeV and above ∼ 1.5 MeV [5]. \n\neral sources over the same time intervals in ref. [2], \nwhere it is seen that the results measured by the two \ninstruments compare well. At energies above the up- \nper energy limit of ∼ 195 keV of the Swift 22-month \ncatalog [6], however, the GBM observations provide \nthe only wide-field monitor available of the low en- \nergy gamma ray sky. \n\nThis work uses the GBM CTIME data, with its \n8 broad energy channels and 0.256-second resolution, \nrebinned to 2-second resolution. The occultation tech- \nnique relies on an input catalog of known sources. \nCurrently, we are monitoring 64 sources. Of these \n64 sources, 6 steady sources are detected above 100 \nkeV with a significance of at least 5σ after ∼ 490 days \nof observations, and one transient source. \n\nA. Steady Sources \n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, and GRS 1915+105 are detected by \nGBM at energies above 100 keV. We show GBM light \ncurves generated from the Earth occultation analysis \nin several energy bands with one day resolution for \nthese six sources in Figures 2 - 7. \n\nIII. RESULTS \n\nTable I gives the fluxes and significances averaged \nover all the days from Aug. 12, 2008 (the beginning of \nscience operations) to Dec. 15, 2009, approximately \n490 days. \n\nThe results presented here are preliminary. We \nhave not completed the fine tuning of our algorithms, \nthough the average fluxes are not expected to change \nmuch. Future work will \ninclude using the GBM \nCSPEC data, with its finer energy binning, to exam- \nine the detailed spectra for these sources. \n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low \nenergy gamma-ray region can be described by a bro- \nken power law, with the spectrum steepening at 100 \nkeV and then hardening at 650 keV [7, 8]. While the \nGBM CTIME data do not have the spectral resolution The measured 20 - 50 keV GBM light curves are \ncompared to Swift’s 15 - 50 keV light curves for sev- \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0955.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + }, + { + "text": "tion of correlated VHE and X-ray flux variability, as \nwell as correlated spectral hardening in both the VHE \nand X-ray bands. The VHE MWL observations were \nperformed in both ”quiescent” and flaring states for \nsome of the observed blazars. For the observed HBL \nobjects, the SEDs can be well described by a simple \nSSC model in both high and low states. However, an \nadditional external Compton component is necessary \nto adequately fit the SEDs of the IBL objects. \n\norating institutions in the construction and operation \nof the instrument. \n\n**References**\n\n[1] F. Aharonian et al. 2007, ApJ, 664, L71 \n[2] F. Aharonian et al. 2006, Nature, 440, 1018 \n[3] F. Aharonian et al. 2007, A&A, 475, L9 \n[4] J. Holder, et al. 2008, AIPC, 1085, 657 \n[5] L. Costamante & G. Ghisellini 2002, A&A, 384, \n\nThe Fermi-LAT is already having a significant im- \npact on the blazar KSP. In future seasons, the VER- \nITAS blazar discovery program will focus its dis- \ncovery program on hard-spectrum blazars detected \nby Fermi-LAT, and will likely have a greater focus \non high-risk/high-reward objects at larger redshifts \n(0.3 < z < 0.7). \nIn addition, the number of VHE \nblazars studied in pre-planned MWL campaigns will \nincrease as data from the Fermi-LAT will be publicly \navailable. \nIn particular, the extensive pre-planned \nMWL campaigns will focus on objects that are note- \nworthy for the impact their data may have on under- \nstanding the EBL. The simultaneous observations of \nblazars by VERITAS and Fermi-LAT will completely \nresolve the higher-energy SED peak, often for the first \ntime, enabling unprecedented constraints on the un- \nderlying blazar phenomena to be derived. \n\n[6] E.S. Perlman 2000, AIPC, 515, 53 \n[7] F.W. Stecker et al. 1996, ApJ, 473, L75 \n[8] P. Giommi et al. 2005, A&A, 434, 385 \n[9] S. Turriziani et al. 2007, A&A, 472, 699 \n[10] L. Costamante 2006, arXiv:0612709 \n[11] P. Padovani et al. 2002, ApJ, 581, 895 \n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324 \n[13] A.A. Abdo et al. 2009, ApJ, 700, 597 \n[14] V.A. Acciari et al. 2008, ApJ, 684, L73 \n[15] V.A. Acciari et al. 2009, ApJ, 707, 612 \n[16] V.A. Acciari et al. 2009, ApJ, 690, L126 \n[17] V.A. Acciari et al. 2009, ApJ, 693, L104 \n[18] L.C. Reyes 2009, arXiv:0907.5175 \n[19] R.A. Ong 2009, ATel, 1941 \n[20] R.A. Ong et al. 2009, ATel, 2272 \n[21] V.A. Acciari et al. 2009, ApJ, 708, L100 \n[22] R.A. Ong et al. 2009, ATel, 2301 \n[23] R.A. Ong et al. 2009, ATel, 2260 \n[24] R.A. Ong et al. 2009, ATel, 2309 \n[25] W. Benbow 2009, arXiv:0908.1412 \n[26] V.A. Acciari et al. 2009, ApJ, submitted \n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370 \n[28] V.A. Acciari et al. 2009, ApJ, in press \n[29] J. Grube 2009, arXiv:0907.4862 \n\n**Acknowledgments**\n\nThis research is supported by grants from the US \nDepartment of Energy, the US National Science Foun- \ndation, and the Smithsonian Institution, by NSERC in \nCanada, by Science Foundation Ireland, and by STFC \nin the UK. We acknowledge the excellent work of the \ntechnical support staff at the FLWO and the collab-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0770.pdf" + }, + { + "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified \nJulian days. FIG. 4: Cyg X-1 light curve. Horizontal scale is in modi- \nfied Julian days. \n\nto observe these breaks, GBM is able to see significant \nemission above 300 keV, consistent with the canonical \nhard spectrum. \n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest \nAGN in hard x-rays/low energy gamma rays. It has \na hard spectrum (Γ = 1.8) and has been observed at \nenergies > 1 MeV [9]. The GBM results are consis- \ntent with this hard spectrum, though GBM does not \nhave the sensitivity to determine if the hard spectrum \ncontinues beyond 300 keV or if the spectrum cuts off. \nCyg X-1 (Fig. 4) is a HMXB and one of the \nfirst systems determined to contain a black hole. It \nhas been observed to emit significant emission above \n100 keV including a power law tail extending out to \ngreater than 1 MeV [10, 11]. The GBM results show \nsignificant emission above 300 keV, consistent with \nthe power law tail observed when Cyg X-1 is in its \nhard state. \n\n\n\nGRS 1915+105 (Fig. 5) is a LMXB with the com- \npact object being a massive black hole. Evidence for \nemission above 100 keV has been seen previously [12] \nwith BATSE. The GBM light curve integrated over \n490 days shows significant emission above 100 keV. \n\n1E 1740-29 (Fig. 6) is a LMXB very near the \nGalactic Center. It is a microquasar, and spends most \nIntegral observa- \nof its time in the low/hard state. \ntions indicate the presence of a power law tail above \n200 keV [13]. The present GBM results are consis- \ntent with this high energy emission. In the future, we \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0955.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n12-25 keV band, where the flux initially rose to about \n240 mCrab (2009 Oct 25-28), suddenly dropped to \nnon-detectable on 2009 October 29-30, then rose again \nduring the period 2009 October 31 to November 2. As \nof mid December 2009, the source remains in a high \nintensity state. The light curve is shown for the pe- \nriod MJD 54700-55200, again with 1-day resolution, \nin Fig. 8. The fluxes for XTE J1752-223 in Table 1 \nare given are for the interval of flaring activity, TJD \n55130-55180. \n\n\n\nThis work is supported by the NASA Fermi Guest \nInvestigator program. At LSU, additional support is \nprovided by NASA/Louisiana Board of Regents Co- \noperative Agreement NNX07AT62A. \nFIG. 8: XTEJ1752-223 light curve. Horizontal scale is in \nmodified Julian days. \n\n[1] C. Meegan et al., Ap. J. 702, 791 (2009). \n[2] C. Wilson-Hodge et al. (2010), these proceedings. \n[3] B. A. Harmon et al., Ap. J. Suppl. 138, 149 (2002). \n[4] B. A. Harmon et al., Ap. J. Suppl. 154, 585 (2004). \n[5] G. L. Case et al., in The First GLAST Symposium, \nedited by S. Ritz, P. Michelson, and C. Meegan \n(2007), vol. 921 of AIP Conf. Proceedings, p. 538. \n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub- \n\n(1998). \n\n[10] M. McConnell et al., Ap. J. 523, 928 (2000). \n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. \nAstrophys. Suppl. 5, 80 (2005). \n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. \n5, 341 (2005). \n\n[13] L. Bouchet et al., Ap. J. 693, 1871 (2009). \n[14] M. C. Bell et al., Ap. J. 659, 549 (2007). \n[15] G. L. Case et al. (2010), to be submitted. \n[16] C. Wilson-Hodge et al., Astron. Telegram 2280 \nlished), astro-ph/0903.3037. \n[7] J. C. Ling and W. A. Wheaton, Ap. J. 598, 334 \n(2003). (2009). \n\n[8] E. Jourdain and J. P. Roques, Ap. J. 704, 17 (2009). \n[9] H. Steinle et al., Astron. and Astrophys. 330, 97", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0955.pdf" + }, + { + "text": "| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n|---|---|---|---|---|---|---|---|---|---|\n| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n| | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\n\n\n\n\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod- \nified Julian days. FIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale \nis in modified Julian days. \n\nsource while it is in the hard state, with longer obser- \nvations potentially verifying significant emission above \n300 keV. \nwill use the GBM CSPEC data with their finer energy \nbins to obtain a fit to the spectrum and compare the \npower law index to that measured by Integral. \n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with \nthe compact object likely being a black hole. Swift \ndiscovered this source when it observed a large flare \nin July of 2005. The source did not return to qui- \nescence but settled into a low intensity hard state \n[14]. BATSE occultation measurements from 1991- \n2000 showed no significant emission from this source \nabove 25 keV [15]. The GBM results show that this \nsource is still in a hard state, with significant emis- \nsion above 100 keV. We will continue to monitor this \n\nB. Transient Source \n\nThe new transient black hole candidate XTE \nJ1752-223 rose from undetectable on 2009 October \n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab \n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and \n330 ± 100 mCrab (100 - 300 keV) on 2009 November \n2 [2, 16]. The light curve is variable, especially in the", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0955.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0955.pdf", + "query": "What is Cyg X-1?", + "target_page": 3, + "target_passage": "is a HMXB and one of the first systems determined to contain a black hole", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified \nJulian days. FIG. 4: Cyg X-1 light curve. Horizontal scale is in modi- \nfied Julian days. \n\nto observe these breaks, GBM is able to see significant \nemission above 300 keV, consistent with the canonical \nhard spectrum. \n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest \nAGN in hard x-rays/low energy gamma rays. It has \na hard spectrum (Γ = 1.8) and has been observed at \nenergies > 1 MeV [9]. The GBM results are consis- \ntent with this hard spectrum, though GBM does not \nhave the sensitivity to determine if the hard spectrum \ncontinues beyond 300 keV or if the spectrum cuts off. \nCyg X-1 (Fig. 4) is a HMXB and one of the \nfirst systems determined to contain a black hole. It \nhas been observed to emit significant emission above \n100 keV including a power law tail extending out to \ngreater than 1 MeV [10, 11]. The GBM results show \nsignificant emission above 300 keV, consistent with \nthe power law tail observed when Cyg X-1 is in its \nhard state. \n\n\n\nGRS 1915+105 (Fig. 5) is a LMXB with the com- \npact object being a massive black hole. Evidence for \nemission above 100 keV has been seen previously [12] \nwith BATSE. The GBM light curve integrated over \n490 days shows significant emission above 100 keV. \n\n1E 1740-29 (Fig. 6) is a LMXB very near the \nGalactic Center. It is a microquasar, and spends most \nIntegral observa- \nof its time in the low/hard state. \ntions indicate the presence of a power law tail above \n200 keV [13]. The present GBM results are consis- \ntent with this high energy emission. In the future, we \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0955.pdf" + }, + { + "text": "SQUID \n\nFigure 2(a)-(c) shows the magnetic field dependence of \nXMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where \nIl(r) is the absorption for left- (right-) circularly polarized \nx-rays. This is measured at the Fe and Mn L3 absorption \npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. \nThe external field is applied along the photon incidence \ndirection, which is at 70◦ to the surface normal with \nan in-plane projection along the [110] axis. The XMCD \ndata show that the Fe film displays a square hysteresis \nloop with a single magnetization switch, as expected for \na monocrystalline Fe film with strong uniaxial magnetic \nanisotropy. The Mn XMCD shows a more complicated \nloop due to the effect of the interlayer coupling. The pro- \njected Mn moment aligns antiparallel to the Fe moment \nat remanence, and undergoes a magnetization reversal of \nopposite sign to the Fe. With further increase of the ex- \nternal magnetic field, the Mn moment gradually rotates \naway from antiparallel alignment with the Fe layer, and \ninto the field direction. Qualitatively similar behavior \nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam- \nple: the (Ga,Mn)As layer is aligned antiparallel to the \nFe layer at zero field, although the bias field is lower by \napproximately a factor of two. \n\nSimilar behavior is observed for bilayer samples con- \ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a \nbias field which is approximately inversely proportional \nto the thickness d of the ferromagnetic semiconductor \nlayer (Fig. 1, inset). This 1/d dependence of HE was \nfound previously for MnAs/(Ga,Mn)As bilayers4, and \nis generally observed in exchanged-biased thin films12. \nFrom this dependence it is possible to describe the ex- \nchange bias in terms of an interface energy per unit area, \n∆E = MF SHEd = 0.003 erg/cm2. This value is rather \nsmall compared to typical exchange bias systems12, re- \nflecting the low moment density MF S of the diluted \nFM semiconductor layer. However, the bias field for a \ngiven (Ga,Mn)As thickness is larger than is observed for \nMnO/(Ga,Mn)As structures13, while the reproducibility \nand flexibility of the present structures is much higher \ndue to the single-crystalline ferromagnetic nature of the \nFe layer. \n\nClear differences are observed between the Mn XMCD \nhysteresis loops obtained using TEY and FY detection \nmodes. For FY the magnitude of the XMCD is similar \n(but of opposite sign) at remanence and at high mag- \nnetic fields, whereas for TEY at remanence it is approx- \nimately a factor of two larger than at 1000 Oe. The \nMn L2,3 XMCD spectra recorded at remanence and at \n1000 Oe, shown in Fig. 3, confirm this result. At re- \nmanence the FY and TEY detected XMCD have similar \nmagnitudes. However, under a large external field the \nXMCD is substantially smaller in TEY than in FY, con- \nfirming that the net magnetization of the Mn ions near \nthe interface is significantly less than in the bulk of the \n(Ga,Mn)As film. This is the case even up to the high- \nest field applied (20 kOe). By applying the XMCD sum \nrules14 to the TEY data, and by comparing the spectra to \nprevious measurements on well-characterized (Ga,Mn)As", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "TYPICAL GUILD-UP 0F tzci~m~ENTs \n\n\n\n,-WING+ FUSELAGE \n\nWING ONLY/. \n\n\n\n- - \n\n- \n\n\n\nC.G. @ 30% MAC \n\n\n\n\nEFFECT OF C.G. WsITION \n\n\n\n50% MAC \n\n\n\n40% MAC (NEUTRAL pOlNn \n---", + "page_start": 277, + "page_end": 277, + "source_file": "00-80T-80.pdf" + }, + { + "text": "| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n|---|---|---|---|---|---|---|---|---|---|\n| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n| | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\n\n\n\n\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod- \nified Julian days. FIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale \nis in modified Julian days. \n\nsource while it is in the hard state, with longer obser- \nvations potentially verifying significant emission above \n300 keV. \nwill use the GBM CSPEC data with their finer energy \nbins to obtain a fit to the spectrum and compare the \npower law index to that measured by Integral. \n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with \nthe compact object likely being a black hole. Swift \ndiscovered this source when it observed a large flare \nin July of 2005. The source did not return to qui- \nescence but settled into a low intensity hard state \n[14]. BATSE occultation measurements from 1991- \n2000 showed no significant emission from this source \nabove 25 keV [15]. The GBM results show that this \nsource is still in a hard state, with significant emis- \nsion above 100 keV. We will continue to monitor this \n\nB. Transient Source \n\nThe new transient black hole candidate XTE \nJ1752-223 rose from undetectable on 2009 October \n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab \n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and \n330 ± 100 mCrab (100 - 300 keV) on 2009 November \n2 [2, 16]. The light curve is variable, especially in the", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0955.pdf" + }, + { + "text": ") \ns \nt \ni \nn \nu \n. \n\nb \nr \na \n( \n\nn \no \ni \nt \n\np \nr \no \ns \nb \na \ny \na \nr \n- \nX \n\nFIG. 3. (color online) (a) Polarization-averaged Mn L2,3 spec- \ntrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured \nin remanence at 2 K; (c) XMCD spectra measured under a \n1000 Oe applied field at 2 K; (d) XMCD spectrum measured \nunder a 2000 Oe applied field at 300 K. XMCD spectra are \nobtained using TEY (thick red lines) and FY (thin blue lines) \ndetection.", + "page_start": 5, + "page_end": 5, + "source_file": "1001.2449.pdf" + }, + { + "text": "FIG. 2: Crab light curve. Horizontal scale is in modified \nJulian days over the 490 day GBM exposure period. Ver- \ntical scale is in photons/cm2/sec/keV averaged over daily \nintervals. Horizontal lines show the average flux in each of \nfive energy bands increasing from top to bottom \n\nThe shape of the individual occultation steps de- \npends on energy and occultation angle. Transmis- \nsion as a function of time is modeled as T (t) = \nexp[−µ(E)A(h)], where µ(E) is the mass attenuation \ncoefficient of gamma rays at energy E in air and A(h) \nis the air mass along the line of sight at a given alti- \ntude h(t). Account is taken of the detector response \nas it changes as a function of angle across the fit win- \ndow. For each source, occultation times are predicted. \nEach step is fit over a 4-minute window along with a \nquadratic background and using an assumed spectrum \nto determine the detector count rate due to the source. \nThe instrument response is used to convert the count \nrate to a flux. Up to 31 steps are possible for a given \nsource in a day, and these steps are summed to get a \nsingle daily average flux. The GBM occultation sensi- \ntivity exceeds that of BATSE at energies below ∼ 25 \nkeV and above ∼ 1.5 MeV [5]. \n\neral sources over the same time intervals in ref. [2], \nwhere it is seen that the results measured by the two \ninstruments compare well. At energies above the up- \nper energy limit of ∼ 195 keV of the Swift 22-month \ncatalog [6], however, the GBM observations provide \nthe only wide-field monitor available of the low en- \nergy gamma ray sky. \n\nThis work uses the GBM CTIME data, with its \n8 broad energy channels and 0.256-second resolution, \nrebinned to 2-second resolution. The occultation tech- \nnique relies on an input catalog of known sources. \nCurrently, we are monitoring 64 sources. Of these \n64 sources, 6 steady sources are detected above 100 \nkeV with a significance of at least 5σ after ∼ 490 days \nof observations, and one transient source. \n\nA. Steady Sources \n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, and GRS 1915+105 are detected by \nGBM at energies above 100 keV. We show GBM light \ncurves generated from the Earth occultation analysis \nin several energy bands with one day resolution for \nthese six sources in Figures 2 - 7. \n\nIII. RESULTS \n\nTable I gives the fluxes and significances averaged \nover all the days from Aug. 12, 2008 (the beginning of \nscience operations) to Dec. 15, 2009, approximately \n490 days. \n\nThe results presented here are preliminary. We \nhave not completed the fine tuning of our algorithms, \nthough the average fluxes are not expected to change \nmuch. Future work will \ninclude using the GBM \nCSPEC data, with its finer energy binning, to exam- \nine the detailed spectra for these sources. \n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low \nenergy gamma-ray region can be described by a bro- \nken power law, with the spectrum steepening at 100 \nkeV and then hardening at 650 keV [7, 8]. While the \nGBM CTIME data do not have the spectral resolution The measured 20 - 50 keV GBM light curves are \ncompared to Swift’s 15 - 50 keV light curves for sev- \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0955.pdf" + }, + { + "text": "l--J-@ $!?e \n\n+Y \n\nI \nDRAG \n\nSIN 7 = - j \n\n\\ \nWEIGHT \n\nGLIDE RATIO*L/o \n\n\ni \n\n LIFT-OR&G \nRATIO \n-CLEAN CONFIGURATION \n\nL4l \nr )M \n\n\nA <LANDING \n\n\n\n! \nLIFT COEFFICIENT, CL \n\n\n\n\n\nRATE OF \nDESCENT, \nFPM \n\nCLEAN CONFIGURATION \n\n\n\n\n\nPOWER OFF", + "page_start": 387, + "page_end": 387, + "source_file": "00-80T-80.pdf" + }, + { + "text": "TYPlChL L&i. PER kT. OF ‘SPAN ’ \nLIFT DISTRIBUTION", + "page_start": 92, + "page_end": 92, + "source_file": "00-80T-80.pdf" + }, + { + "text": "L2,3 absorption edges in order to determine the magnetic \nresponse of the individual elements. In L2,3 XMCD, elec- \ntrons are excited from a 2p core level to the unoccupied \n3d valence states of the element of interest by circularly \npolarized x-rays at the resonance energies of the transi- \ntions. The difference in absorption for opposite polariza- \ntions gives a direct and element-specific measurement of \nthe projection of the 3d magnetic moment along the x- \nray polarization vector. The absorption cross-section is \nconventionally obtained by measuring the decay products \n– either fluorescent x-rays or electrons – of the photoex- \ncited core hole. The type of decay product measured \ndetermines the probing depth of the technique. For Mn \nL2,3 absorption, the probing depths for FY and TEY de- \ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. \nIn the \ncurrent experiment, the Mn XMCD measured using FY \nand TEY are thus sensitive to the bulk of the (Ga,Mn)As \nfilm and the near-interface layers, respectively. \n\nmeasurements were performed on beamline I06 at the \nDiamond Light Source, and on beamline 4.0.2 at the Ad- \nvanced Light Source. Total-electron yield (TEY) and \nfluorescence yield (FY) were monitored simultaneously \nusing the sample drain current and the photocurrent of a \ndiode mounted at 90◦ to the incident beam, respectively. \nwere \nmagnetometry \nand \ncontrol Fe/GaAs(001) \nfirst \non \nperformed \ngrown under \nthe \nsamples, \n(Ga,Mn)As/GaAs(001) \nsame conditions as the bilayers, \nto determine the \nmagnetic anisotropies of the individual layers and the \nCurie temperature of the (Ga,Mn)As layer. The Fe film \nhas a uniaxial magnetic anisotropy with easy axis along \nthe [110] orientation, similar to previous studies6. For \nthe (Ga,Mn)As control sample, there is a competition \nbetween cubic and uniaxial magnetic anisotropies, with \nthe former dominant at low temperatures and favoring \neasy axes along the in-plane h100i orientations, and the \nlatter dominant close to TC (∼35 K) giving an easy axis \nalong the [1¯10] orientation. Figure 1 shows [110] magne- \ntization versus temperature curves and low temperature \nhysteresis loops for a bilayer film containing a 20 nm \nthick (Ga,Mn)As layer. The total remnant moment of \nthe bilayer film decreases on cooling under zero magnetic \nfield below the TC of the (Ga,Mn)As, indicating that \nthis layer aligns antiparallel to the Fe magnetization \nat zero field. The hysteresis curve shows a two-step \nmagnetization reversal, indicating different behavior of \nthe Fe and (Ga,Mn)As layers, with the smaller loop \nattributed to the dilute moment (Ga,Mn)As film. The \nminor hysteresis loop shown in Fig. 1 clearly shows a \nshift from zero field by a bias field HE, indicating that \nthe Fe layer induces an exchange bias in the magnetic \nsemiconductor. The shape and size of the minor loop \nis in agreement with the hysteresis loop for the control \n(Ga,Mn)As sample, also shown in Fig. 1. This strongly \nindicates that the exchange bias affects the whole of the \n(Ga,Mn)As layer in the bilayer sample. \n\nSQUID", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2449.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\nObservations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation \nwith GBM \n\nG.L. Case, M.L. Cherry, J. Rodi \nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA \n\nA. Camero-Arranz \nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain \n\nE. Beklen \nMiddle East Technical University (METU), 06531, Ankara, Turkey \n\nC. A. Wilson-Hodge \nNASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP. Jenke \nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece \nUniversity of Alabama in Huntsville, Huntsville, AL 35899 \n\nM.H. Finger \nUSRA, National Space Science and Technology Center, Huntsville, AL 35899 \n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being \nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth \noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma \nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient \noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage \nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies \nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results \nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: \nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source \nXTE J1752-223. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n6 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n2 \nv \n5 \n5 \n9 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nsists of 12 NaI detectors 5(cid:48)(cid:48) in diameter by 0.5(cid:48)(cid:48) thick \nmounted on the corners of the spacecraft and oriented \nsuch that they view the entire sky not occulted by the \nEarth. GBM also contains 2 BGO detectors 5(cid:48)(cid:48) in di- \nameter by 5(cid:48)(cid:48) thick located on opposite sides of the \nspacecraft. None of the GBM detectors have direct \nimaging capability. \n\nI. INTRODUCTION \n\nThe Gamma ray Burst Monitor (GBM) on Fermi is \ncurrently the only instrument in orbit providing nearly \ncontinuous full sky coverage in the hard X-ray/low \nenergy gamma ray energy range. The Earth occul- \ntation technique, used very successfully on BATSE, \nhas been adapted to GBM. An initial catalog of 64 \nsources is currently being monitored and continuously \naugmented. At energies above 100 keV, six steady \nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, GRS 1915+105) and one transient \nsource (XTE J1752-223) have been detected in the \nfirst year of observation. We describe the instrument, \noutline the technique, and present light curves for the \nseven sources. \n\nKnown sources of gamma ray emission can be mon- \nitored with non-imaging detectors using the Earth oc- \ncultation technique, as was successfully demonstrated \nwith BATSE [3, 4]. When a source of gamma rays \nis occulted by the Earth, the count rate measured by \nthe detector will drop, producing a step-like feature. \nWhen the source reappears from behind the Earths \nlimb, the count rate will increase, producing another \nstep. The diameter of the Earth seen from Fermi is \n∼ 140◦, so roughly 30% of the sky is occulted by the \nEarth at any one time. Coupled with the ±35◦ slew- \ning of the pointing direction every orbit, this means \nthat the entire sky is occulted every two orbits. With \nan altitude of 565 km, a period of 96 minutes, and \nan orbital inclination of 26.5◦, individual occultation \nsteps last for ∼10 seconds (Fig. 1). \n\nII. GBM AND THE EARTH OCCULTATION \nOBSERVATIONAL TECHNIQUE \n\nThe Gamma ray Burst Monitor is the secondary \ninstrument onboard the Fermi satellite [1, 2]. It con-", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0955.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0955.pdf", + "query": "What satellite is the Gamma Ray Burst Observatory on?", + "target_page": 1, + "target_passage": " Fermi satellite", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\nObservations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation \nwith GBM \n\nG.L. Case, M.L. Cherry, J. Rodi \nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA \n\nA. Camero-Arranz \nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain \n\nE. Beklen \nMiddle East Technical University (METU), 06531, Ankara, Turkey \n\nC. A. Wilson-Hodge \nNASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP. Jenke \nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812 \n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece \nUniversity of Alabama in Huntsville, Huntsville, AL 35899 \n\nM.H. Finger \nUSRA, National Space Science and Technology Center, Huntsville, AL 35899 \n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being \nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth \noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma \nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient \noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage \nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies \nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results \nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: \nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source \nXTE J1752-223. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n6 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n2 \nv \n5 \n5 \n9 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nsists of 12 NaI detectors 5(cid:48)(cid:48) in diameter by 0.5(cid:48)(cid:48) thick \nmounted on the corners of the spacecraft and oriented \nsuch that they view the entire sky not occulted by the \nEarth. GBM also contains 2 BGO detectors 5(cid:48)(cid:48) in di- \nameter by 5(cid:48)(cid:48) thick located on opposite sides of the \nspacecraft. None of the GBM detectors have direct \nimaging capability. \n\nI. INTRODUCTION \n\nThe Gamma ray Burst Monitor (GBM) on Fermi is \ncurrently the only instrument in orbit providing nearly \ncontinuous full sky coverage in the hard X-ray/low \nenergy gamma ray energy range. The Earth occul- \ntation technique, used very successfully on BATSE, \nhas been adapted to GBM. An initial catalog of 64 \nsources is currently being monitored and continuously \naugmented. At energies above 100 keV, six steady \nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, GRS 1915+105) and one transient \nsource (XTE J1752-223) have been detected in the \nfirst year of observation. We describe the instrument, \noutline the technique, and present light curves for the \nseven sources. \n\nKnown sources of gamma ray emission can be mon- \nitored with non-imaging detectors using the Earth oc- \ncultation technique, as was successfully demonstrated \nwith BATSE [3, 4]. When a source of gamma rays \nis occulted by the Earth, the count rate measured by \nthe detector will drop, producing a step-like feature. \nWhen the source reappears from behind the Earths \nlimb, the count rate will increase, producing another \nstep. The diameter of the Earth seen from Fermi is \n∼ 140◦, so roughly 30% of the sky is occulted by the \nEarth at any one time. Coupled with the ±35◦ slew- \ning of the pointing direction every orbit, this means \nthat the entire sky is occulted every two orbits. With \nan altitude of 565 km, a period of 96 minutes, and \nan orbital inclination of 26.5◦, individual occultation \nsteps last for ∼10 seconds (Fig. 1). \n\nII. GBM AND THE EARTH OCCULTATION \nOBSERVATIONAL TECHNIQUE \n\nThe Gamma ray Burst Monitor is the secondary \ninstrument onboard the Fermi satellite [1, 2]. It con-", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0955.pdf" + }, + { + "text": "(z = 0.341) detected in the VHE band. In addition, \nVER J0521+211, likely associated with the radio-loud \nAGN RGB J0521.8+2112, was detected by VERTAS \nin ∼4 h of observations in October 2009 [23]. These \nobservations were motivated by its identification as a \n>30 GeV γ-ray source in the public Fermi-LAT data. \nIts VHE flux is 5% of the Crab Nebula flux, placing it \namong the brightest VHE blazars detected in recent \nyears. VERITAS later observed even brighter VHE \nflaring from VER J0521+211 in November 2009 [24], \nleading to deeper VHE observations. \n\nTable I VERITAS AGN Detections. The only non-blazar \nobject is the radio galaxy M 87. The blazars discovered \nat VHE by VERITAS are marked with a dagger. \n\nObject Class Redshift \n\nFR I \nHBL \nHBL \n1ES 2344+514 HBL \n1ES 1959+650 HBL \nIBL \nRGB J0710+591† HBL \nHBL \n1ES 0806+524† HBL \n1ES 0229+200 HBL \n1ES 1218+304 HBL \nHBL \n1ES 0502+675† HBL \nIBL \nIBL \n? \n\nM 87 \nMkn 421 \nMkn 501 \n\nW Comae† \n\n0.004 \n0.030 \n0.034 \n0.044 \n0.047 \n0.102 \n0.125 \n0.129 \n0.138 \n0.139 \n0.182 \n0.190 \n0.341 \n0.444? \n? \n? \n\nH 1426+428 \n**6. Blazars Upper Limits**\n\nRBS 0413† \n\n3C 66A† \nPKS 1424+240† \nVER J0521+211† \n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) \nduring VERITAS observations from December 2008 \nto March 2009. The initial announcement of the VHE \ndiscovery [19] led to its discovery above 1 GeV in the \nFermi-LAT data using a special analysis. RBS 0413, \na relatively distant HBL (z=0.19), was observed for \n16 h good-quality live time in 2008-092. These data \nresulted in the discovery of VHE gamma-rays (>270γ, \n∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Neb- \nula flux. The discovery [20] was announced simultane- \nously with the LAT MeV-GeV detection. The VHE \nand other MWL observations, including Fermi-LAT \ndata, for each of these three sources will be the sub- \nject of a joint publication involving both the VERI- \nTAS and LAT collaborations. \n\nMore than 50 VHE blazar candidates were observed \nby VERITAS between September 2007 and June 2009. \nThe total exposure on the 49 non-detected candi- \ndates is ∼305 h live time (average of 6.2 h per can- \ndidate). Approximately 55% of the total exposure is \nsplit amongst the 27 observed HBL. The remainder is \ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9 \nFSRQ (13%). There are no clear indications of signifi- \ncant VHE γ-ray emission from any of these 49 blazars \n[25]. However, the observed significance distribution is \nclearly skewed towards positive values (see Figure 1). \nA stacking analysis performed on the entire data sam- \nple shows an overall excess of 430 γ-rays, correspond- \ning to a statistical significance of 4.8σ, observed from \nthe directions of the candidate blazars. The IBL and \nHBL targets make up 96% of the observed excess. Ob- \nservations of these objects also comprise ∼80% of the \ntotal exposure. An identical stacked analysis of all \nthe extragalactic non-blazar targets observed, but not \nclearly detected (>5σ), by VERITAS does not show \na significant excess (∼120 h exposure). The stacked \nexcess persists using alternate methods for estimating \nthe background at each blazar location, and with dif- \nferent event selection criteria (e.g. soft cuts optimized \nfor sources with ΓVHE > 4). The distribution of VHE \nflux upper limits is shown in Figure 1. These 49 VHE \nflux upper limits are generally the most-constraining \never reported for these objects. \n\n**5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by \nVERITAS of three blazars was motivated primarily \nby results from the first year of LAT data taking. In \nparticular, the VHE detections of PKS 1424+240 [21] \nand 1ES 0502+675 [22] were the result of VERITAS \nobservations triggered by the inclusion of these objects \nin the Fermi-LAT Bright AGN List [13]. The former \nis only the third IBL known to emit VHE gamma- \nrays, and the latter is the most distant BL Lac object \n\n**7. Multi-wavelength Studies of VHE**\n**Blazars**", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n12-25 keV band, where the ���ux initially rose to about \n240 mCrab (2009 Oct 25-28), suddenly dropped to \nnon-detectable on 2009 October 29-30, then rose again \nduring the period 2009 October 31 to November 2. As \nof mid December 2009, the source remains in a high \nintensity state. The light curve is shown for the pe- \nriod MJD 54700-55200, again with 1-day resolution, \nin Fig. 8. The fluxes for XTE J1752-223 in Table 1 \nare given are for the interval of flaring activity, TJD \n55130-55180. \n\n\n\nThis work is supported by the NASA Fermi Guest \nInvestigator program. At LSU, additional support is \nprovided by NASA/Louisiana Board of Regents Co- \noperative Agreement NNX07AT62A. \nFIG. 8: XTEJ1752-223 light curve. Horizontal scale is in \nmodified Julian days. \n\n[1] C. Meegan et al., Ap. J. 702, 791 (2009). \n[2] C. Wilson-Hodge et al. (2010), these proceedings. \n[3] B. A. Harmon et al., Ap. J. Suppl. 138, 149 (2002). \n[4] B. A. Harmon et al., Ap. J. Suppl. 154, 585 (2004). \n[5] G. L. Case et al., in The First GLAST Symposium, \nedited by S. Ritz, P. Michelson, and C. Meegan \n(2007), vol. 921 of AIP Conf. Proceedings, p. 538. \n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub- \n\n(1998). \n\n[10] M. McConnell et al., Ap. J. 523, 928 (2000). \n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. \nAstrophys. Suppl. 5, 80 (2005). \n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. \n5, 341 (2005). \n\n[13] L. Bouchet et al., Ap. J. 693, 1871 (2009). \n[14] M. C. Bell et al., Ap. J. 659, 549 (2007). \n[15] G. L. Case et al. (2010), to be submitted. \n[16] C. Wilson-Hodge et al., Astron. Telegram 2280 \nlished), astro-ph/0903.3037. \n[7] J. C. Ling and W. A. Wheaton, Ap. J. 598, 334 \n(2003). (2009). \n\n[8] E. Jourdain and J. P. Roques, Ap. J. 704, 17 (2009). \n[9] H. Steinle et al., Astron. and Astrophys. 330, 97", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0955.pdf" + }, + { + "text": "| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n|---|---|---|---|---|---|---|---|---|---|\n| | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | | |\n| | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) | Flux (mCrab) | Error (mCrab) | Signif. (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\n\n\n\n\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod- \nified Julian days. FIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale \nis in modified Julian days. \n\nsource while it is in the hard state, with longer obser- \nvations potentially verifying significant emission above \n300 keV. \nwill use the GBM CSPEC data with their finer energy \nbins to obtain a fit to the spectrum and compare the \npower law index to that measured by Integral. \n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with \nthe compact object likely being a black hole. Swift \ndiscovered this source when it observed a large flare \nin July of 2005. The source did not return to qui- \nescence but settled into a low intensity hard state \n[14]. BATSE occultation measurements from 1991- \n2000 showed no significant emission from this source \nabove 25 keV [15]. The GBM results show that this \nsource is still in a hard state, with significant emis- \nsion above 100 keV. We will continue to monitor this \n\nB. Transient Source \n\nThe new transient black hole candidate XTE \nJ1752-223 rose from undetectable on 2009 October \n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab \n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and \n330 ± 100 mCrab (100 - 300 keV) on 2009 November \n2 [2, 16]. The light curve is variable, especially in the", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0955.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "FIG. 2: Crab light curve. Horizontal scale is in modified \nJulian days over the 490 day GBM exposure period. Ver- \ntical scale is in photons/cm2/sec/keV averaged over daily \nintervals. Horizontal lines show the average flux in each of \nfive energy bands increasing from top to bottom \n\nThe shape of the individual occultation steps de- \npends on energy and occultation angle. Transmis- \nsion as a function of time is modeled as T (t) = \nexp[−µ(E)A(h)], where µ(E) is the mass attenuation \ncoefficient of gamma rays at energy E in air and A(h) \nis the air mass along the line of sight at a given alti- \ntude h(t). Account is taken of the detector response \nas it changes as a function of angle across the fit win- \ndow. For each source, occultation times are predicted. \nEach step is fit over a 4-minute window along with a \nquadratic background and using an assumed spectrum \nto determine the detector count rate due to the source. \nThe instrument response is used to convert the count \nrate to a flux. Up to 31 steps are possible for a given \nsource in a day, and these steps are summed to get a \nsingle daily average flux. The GBM occultation sensi- \ntivity exceeds that of BATSE at energies below ∼ 25 \nkeV and above ∼ 1.5 MeV [5]. \n\neral sources over the same time intervals in ref. [2], \nwhere it is seen that the results measured by the two \ninstruments compare well. At energies above the up- \nper energy limit of ∼ 195 keV of the Swift 22-month \ncatalog [6], however, the GBM observations provide \nthe only wide-field monitor available of the low en- \nergy gamma ray sky. \n\nThis work uses the GBM CTIME data, with its \n8 broad energy channels and 0.256-second resolution, \nrebinned to 2-second resolution. The occultation tech- \nnique relies on an input catalog of known sources. \nCurrently, we are monitoring 64 sources. Of these \n64 sources, 6 steady sources are detected above 100 \nkeV with a significance of at least 5σ after ∼ 490 days \nof observations, and one transient source. \n\nA. Steady Sources \n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E \n1740-29, Cen A, and GRS 1915+105 are detected by \nGBM at energies above 100 keV. We show GBM light \ncurves generated from the Earth occultation analysis \nin several energy bands with one day resolution for \nthese six sources in Figures 2 - 7. \n\nIII. RESULTS \n\nTable I gives the fluxes and significances averaged \nover all the days from Aug. 12, 2008 (the beginning of \nscience operations) to Dec. 15, 2009, approximately \n490 days. \n\nThe results presented here are preliminary. We \nhave not completed the fine tuning of our algorithms, \nthough the average fluxes are not expected to change \nmuch. Future work will \ninclude using the GBM \nCSPEC data, with its finer energy binning, to exam- \nine the detailed spectra for these sources. \n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low \nenergy gamma-ray region can be described by a bro- \nken power law, with the spectrum steepening at 100 \nkeV and then hardening at 650 keV [7, 8]. While the \nGBM CTIME data do not have the spectral resolution The measured 20 - 50 keV GBM light curves are \ncompared to Swift’s 15 - 50 keV light curves for sev- \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0955.pdf" + }, + { + "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified \nJulian days. FIG. 4: Cyg X-1 light curve. Horizontal scale is in modi- \nfied Julian days. \n\nto observe these breaks, GBM is able to see significant \nemission above 300 keV, consistent with the canonical \nhard spectrum. \n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest \nAGN in hard x-rays/low energy gamma rays. It has \na hard spectrum (Γ = 1.8) and has been observed at \nenergies > 1 MeV [9]. The GBM results are consis- \ntent with this hard spectrum, though GBM does not \nhave the sensitivity to determine if the hard spectrum \ncontinues beyond 300 keV or if the spectrum cuts off. \nCyg X-1 (Fig. 4) is a HMXB and one of the \nfirst systems determined to contain a black hole. It \nhas been observed to emit significant emission above \n100 keV including a power law tail extending out to \ngreater than 1 MeV [10, 11]. The GBM results show \nsignificant emission above 300 keV, consistent with \nthe power law tail observed when Cyg X-1 is in its \nhard state. \n\n\n\nGRS 1915+105 (Fig. 5) is a LMXB with the com- \npact object being a massive black hole. Evidence for \nemission above 100 keV has been seen previously [12] \nwith BATSE. The GBM light curve integrated over \n490 days shows significant emission above 100 keV. \n\n1E 1740-29 (Fig. 6) is a LMXB very near the \nGalactic Center. It is a microquasar, and spends most \nIntegral observa- \nof its time in the low/hard state. \ntions indicate the presence of a power law tail above \n200 keV [13]. The present GBM results are consis- \ntent with this high energy emission. In the future, we \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0955.pdf" + }, + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed3.pdf", + "query": "When in present-day Poland did the first shift away from earlier ancestry occur?", + "target_page": 3, + "target_passage": "in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "In the region of present-day Poland, our analysis suggests several \nclear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce \nto 1000 bce), we observe a clear shift away from preceding ancestry \noriginally associated with Corded Ware cultures55 (Fig. 3a). Second, \nin the first to fifth century ce, individuals associated with Wielbark \nculture5,12 show an additional strong shift away from the preceding \nBronze Age groups, and can only be modelled with a >75% component \nattributed to the EIA Scandinavian Peninsula. Multiple individuals, \nespecially from earlier Wielbark cemeteries, have approximately 100%", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "a \nTime \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| Poland EBA MLBA Wielbark Middle | | |\n| | EBA | |\n| | | |\n| Southeastern Europe | | |\n| | | |\n\n\nb \n\nc \n2000 BCE \n2000 BCE 0 3000 BCE 1000 BCE 1000 CE \nCentral Europe \n\nBell Beaker/EBA Iron Roman Early Medieval \n\nBaiuvarii \n\n\n\n\n\n\n\nScandinavia \n\n\n\n3000 BCE 2000 BCE \n\n| | Iron Roman Early Medieval Me |\n|---|---|\n| | Iron Roman Early Medieval Me |\n| Driffeld Terrace | |\n\n\nBA \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| BA EIA Viking Age Me | | |\n| | | EIA Viking Age Me |\n| | | |\n\n\n**Fig. 3 | Time transects across six geographical regions in Europe.**\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze \nAge to the present day in Poland (**a**), southeastern Europe (**b**), central Europe \n(**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample \nlocations of all available ancient genomes with at least 0.5× coverage from these regions (Supplementary Table 1). Their ancestry is shown on the same \nMDS model as in Fig. 2a for each time period. For each geographic region, \nthe early medieval period is highlighted in orange and the area in the MDS \ncorresponding to Scandinavian and central European ancestries is highlighted \nin an orange box. \n\nmedieval individuals (*P*≪ 1 × 10−32). Instead, the majority of individuals \nfrom medieval Poland can be modelled only as a mixture of ancestries \nrelated to Roman Iron Age Lithuania, which is similar to ancestries of \nindividuals from middle to late Bronze Age Poland (44%, 95% confidence \ninterval 36–51%), an ancestry component related to Hungarian Scyth- \nians or Slovakian La Tène individuals (49%, 95% confidence interval \n41–57%) and potentially a minority component of ancestry related to \nSarmatians from the Caucasus (*P*= 0.13) (Fig. 2c). Four out of twelve \nindividuals from medieval Poland, three of whom are from the late \nViking Age6, carried detectable Scandinavian-related ancestry. Some \nof the ancestry detected in individuals from later medieval Poland may \nhave persisted during the late first millennium ce in the cremating \nportion of the population, but regardless, this points to large-scale \nancestry transformation in medieval Poland (Fig. 3a). Future data could \nshed light on the extent to which this reflects the influence of groups \nspeaking Slavic languages in the region. \n\nIn present-day Slovakia, individuals associated with the Iron \nAge La Tène period appear close to Hungarian Scythians in the two \ndimensions of our MDS analysis, and are modelled as a mixture of \ncentral and eastern European ancestry. However, a first-century ce \nburial of a 50–60-year-old woman from Zohor is modelled only with \nScandinavian-related ancestry, providing evidence of ancestry related \nto the Scandinavian EIA appearing southwest of the range of the Wiel- \nbark archaeological complex5,57 (Fig. 3b). Later early medieval individu- \nals from Slovakia have partial Scandinavian-related ancestry, providing \nevidence for the integration between expanding and local groups. \n\nNearby, in present-day Hungary, we observe Scandinavian-related \nancestry components in several burials dating to the sixth century \nce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). \nThis is consistent with the original study10, which reported affinity to \npresent-day groups from northwestern Europe (GBR, CEU and FIN in \nthe 1000 Genomes Project (1000GP))10 but which we can resolve with", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Influx into pre-Viking Age Scandinavia**\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo- \ngeneity. Specifically, individuals from Denmark (100 ce–300 ce) were \nindistinguishable from contemporary people in the Scandinavian Pen- \ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry \nalready in the eighth century ce (Late Iron Age/early Viking Age) on \nZealand (present-day Denmark) for which a 100% EIA ancestry model \nis rejected (*P*= 1 × 10−17 using Twigstats;*P*= 7.5 × 10−4 without). This \nshift in ancestry persists among later Viking Age groups in Denmark, \nwhere all groups are modelled with varying proportions of ancestry \nrelated to Iron Age continental groups in central Europe (Figs. 3f \nand 4c). A non-parametric MDS of Viking Age individuals suggests \nthat variation between individuals forms a cline spanning from the \nEIA Scandinavian Peninsula individuals to ancestry characteristic of \ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark \ncannot be confounded by potentially earlier unknown gene flow into \nIron Age source groups in Austria, France and Germany, but such gene \nflow could affect the exact ancestry proportions. \n\nIn southern Germany, the genetic ancestry of individuals from \nearly medieval Bavaria probably associated with the historical \nGermanic-language-speaking Baiuvarii59 cannot be modelled as deriv- \ning ancestry solely from earlier groups in Iron Age central Germany \n(*P*≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the \nfifth century ce59, but their origins remain unresolved. Our current \nbest model indicates a mixture with ancestry derived from EIA Pen- \ninsular Scandinavia and central Europe, suggesting an expansion of \nScandinavian-related ancestry producing a regional ancestry shift \n(Figs. 2c and 3c). \n\nIn Italy, southward expansions of northern and central European ances- \ntries appear by the Late Antiquity (approximately fourth century ce), \nwhere a clear diversification of ancestry can be observed compared \nwith preceding time periods (Fig. 3d). However, no individuals with \nnear 100% Scandinavian ancestry can be observed in the sampling \ndata available so far. \n\nIn Britain, the ancestries of Iron Age and Roman individuals form a \ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available \npreceding Bronze Age individuals from Ireland and Orkney, and adja- \ncent to, but distinct from, available individuals in Iron Age and Roman \ncentral Europe. However, two first- to second-century ce burials from a \nRoman military fortress site in Austria (Klosterneuburg)5 carry ancestry \nthat is currently indistinguishable from Iron Age or Roman popula- \ntions of Britain, to the exclusion of other groups (qpWave cladality \n*P*= 0.11). One option is that they had ancestry from Britain; alternatively, \ncurrently unsampled populations from western continental Europe \ncarried ancestries similar to Iron Age southern Britain.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed3.pdf" + }, + { + "text": "**High-resolution genomic history of early**\n**medieval Europe**\n\n**Leo Speidel1,2,3**✉**, Marina Silva1, Thomas Booth1, Ben Raffield4, Kyriaki Anastasiadou1,**\n**Christopher Barrington5, Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1**✉ \nhttps://doi.org/10.1038/s41586-024-08275-2 \n\nReceived: 14 December 2023 \n\nAccepted: 23 October 2024 \n\nPublished online: 1 January 2025 \n\nOpen access \n\n Check for updates \n\nMany known and unknown historical events have remained below detection thresholds \nof genetic studies because subtle ancestry changes are challenging to reconstruct. \nMethods based on shared haplotypes1,2 and rare variants3,4 improve power but are not \nexplicitly temporal and have not been possible to adopt in unbiased ancestry models. \nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can \nimprove statistical power by an order of magnitude by focusing on coalescences in \nrecent times, while remaining unbiased by population-specific drift. We apply this \nframework to 1,556 available ancient whole genomes from Europe in the historical \nperiod. We are able to model individual-level ancestry using preceding genomes to \nprovide high resolution. During the first half of the first millennium ce, we observe \nat least two different streams of Scandinavian-related ancestry expanding across \nwestern, central and eastern Europe. By contrast, during the second half of the first \nmillennium ce, ancestry patterns suggest the regional disappearance or substantial \nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx \nby approximately 800 ce, when a large proportion of Viking Age individuals carried \nancestry from groups related to central Europe not seen in individuals from the early \nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a \nhigher-resolution lens for genetic history. \n\nAncient genome sequencing has revolutionized our ability to recon- \nstruct expansions, migrations and admixture events in the ancient past \nand understand their impact on human genetic variation today. How- \never, tracing history using genetic ancestry has remained challenging, \nparticularly in historical periods for which the richest comparative \ninformation from history and archaeology often exists. This is because \nancestries in many geographical regions are often so similar as to be \nstatistically indistinguishable with current approaches. One example is \nnorthern and central Europe since the start of the Iron Age around 500 \nbce, a period for which many long-standing questions remain, such as \nthe nature of large-scale patterns of human migration during the fourth \nto sixth centuries ce, their impact on the Mediterranean world and later \npatterns of human mobility during the Viking Age (around 750–1050 ce). \nSeveral recent studies have documented substantial mobility and \ngenetic diversity in these time periods, suggesting stable population \nstructure despite high mobility5, and have revealed genetic variation \nin Viking Age Scandinavia6–8, early medieval England3,9, early medieval \nHungary10,11 and Iron Age and medieval Poland12. However, previous \nstudies mostly used large modern cohorts to study ancestry change \nthrough time and space. This is because the differentiation between \nIron Age groups in central and northern Europe is an order of magnitude \nlower (fixation index (*F*ST) = 0.1–0.7%; Extended Data Fig. 1) than, for \nexample, the more commonly studied hunter-gatherer, early farmer \nand steppe-pastoralist groups that shaped the ancestry landscape of", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed3.pdf" + }, + { + "text": "These patterns are consistent with northward expansion of ancestry, \npotentially starting before the Viking Age, into the Jutland peninsula \nand Zealand island towards southern Sweden. The geographical ori- \ngin of this ancestry is currently difficult to discern, as the available \nsamples from Iron Age central Europe remain sparse. The timing \nof this expansion is constrained only by the samples available: this \nancestry is not observed in individuals from the Copenhagen area of \nDenmark (around 100 ce–300 ce)6, an individual from the southern tip \nof Sweden (around 500 ce)16, individuals from the Sandby Borg mas- \nsacre site on Öland in present-day Sweden (around 500 ce)7 and 31 indi- \nviduals from the mid-eighth century Salme ship burials in present-day \nEstonia (Extended Data Fig. 9), who probably originated in central \nSweden6. Therefore, this ancestry transformation most likely post- \ndated these individuals in each particular region and mostly occurred \nin the second half of the first millennium ce. \n\nTo assess the full extent of the impact of this ancestry influx into \nScandinavia, we next aimed to understand the ancestry of individu- \nals in Scandinavia during the Viking Age. Previous studies have sug- \ngested that there was a diversity of ancestries in Scandinavia during this \nperiod6,7,65, due to increased maritime mobility, but have not reported \nper-individual ancestry estimates based on preceding ancestry. We \nanalysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted \nto recent coalescences with Twigstats (more than 80% of accepted \none-source models in Twigstats were also accepted one-source models \nusing all SNPs, compared with less than 17% for the inverse). \n\nTwigstats substantially improves models of admixture between \nancestries from Iron Age Britain and northern Europe in early medi- \neval England9, halving standard errors from 9% with SNPs to 4% when \nusing time stratification (point estimates 80% and 79% Iron Age \nBritain-related ancestry, respectively). We used this improved reso- \nlution to demonstrate that an earlier Roman individual (6DT3) dating \nto approximately second to fourth century ce from the purported \ngladiator or military cemetery at Driffield Terrace in York (Roman \n*Eboracum*), England60, who was previously identified as an ancestry \noutlier61,62, specifically carried approximately 25% EIA Scandinavian \nPeninsula-related ancestry (Fig. 2c). This documents that people with \nScandinavian-related ancestry already were in Britain before the fifth \ncentury ce, after which there was a substantial influx associated with \nAnglo-Saxon migrations9. Although it is uncertain whether this indi- \nvidual was a gladiator or soldier, individuals and groups from northern \nEurope are indeed recorded in Roman sources both as soldiers and as \nenslaved gladiators63,64. \n\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early \nmedieval groups from present-day Poland and Slovakia carry spe- \ncific ancestry from one of the Scandinavian EIA groups—the one with \nindividuals primarily from the northern parts of Scandinavia in the \nEIA—with no evidence of ancestry related to the other primary group \nin more southern Scandinavia (Fig. 2d). By contrast, in southern and \nwestern Europe, Scandinavian-related ancestry either derives from", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Conclusions**\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica- \nble to*f*-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi- \ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world. \n\nInterestingly, we detect ancestry from Bronze and Iron Age sources \nfrom Eastern Europe (present-day Lithuania and Poland), concentrated \nin southeastern parts of Sweden, particularly the island of Gotland \n(14 individuals; Fig. 4a). This is consistent with previous genetic \nstudies6,7. We find that this ancestry is enriched in male individuals \n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. \nThe closest match tends to be Roman Iron Age Lithuanian genomes \nassociated with Balts, which would be consistent with mobility across \nthe Baltic Sea, but we caution that the geographical representation of \navailable genomes is still limited. \n\n**Online content**\nAny methods, additional references, Nature Portfolio reporting summa- \nries, source data, extended data, supplementary information, acknowl- \nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2. \n\n**Viking Age expansion from Scandinavia**\nTraditionally, historical perspectives on what is now often referred \nto as the Viking diaspora placed an emphasis on the movements and \nsettlements of population groups from various parts of Scandinavia67. \nOur explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10). \n\n1. \nLawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data.*PLoS Genet.***8**, 11–17 (2012). \n2. Hellenthal, G. et al. A genetic atlas of human admixture history.*Science***343**, 747–751 \n(2014). \n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British \n\nmigration history.*Nat. Commun.***7**, 10408 (2016). \nFlegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and \nNorth America.*Nature***570**, 236–240 (2019). \n4. \n\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high \nmobility.*eLife***13**, e79714 (2024). \n\nNature | Vol 637 | 2 January 2025 |**125**", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed3.pdf" + }, + { + "text": "PolandUkraine_M\nPolandUkraine_M\nPortugal.lronRoma\nRussia_Sarmatian\nSaami\nScandinavian_Pen\nScandinavian_Pen\nSlovakia_Zohor_G\nSlovakia.Migration\nSlovenia.lronRoma\nSlovenia.Roman.o |\n|---|---|---|\n| andinavian Peninsula EIA Central Europe Iron Roman Britain Iron Roman Southern Europe c 1.00 Denmark_EVA(3) Funen_VA(12) Jutland_VA(13) Langeland_VA(18) ancestry 1 2 1 2 1 2 1 2 1 0.75 1.0 Continental-related proportion 0.5 0.50 0 3.1 3.2 0.25 1.0 Ancestry 0.5 0 0 1 0.72 0.73 0.74 17.0 1.7 15.7 6.1 20.8 17.5 87Srf/86Sr Scandinavian Peninsula Central Europe Britain f Gree 0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00 Proportion of ancestry Norway_VA Sweden_VA Scandinavian Peninsula EIA Scandinavian Peninsula EIA Britain Britain Eastern Europe Eastern Europe Central Central Icela Europe Europe Southern Europe Southern Europe enmark_VA Farfung_VA Scandinavian Peninsula EIA Scandinavian Peninsula EIA Britain Britain Eastern Europe Eastern Europe Central Central Europe Europe Southern Europe Southern Europe ncestry in the Viking world. a, Map showing ancestry carried by around the regression line. vian Viking Age individuals as inferred using the best-fitting qpAdm groups using qpAdm on all S hese are chosen by either choosing the one-source model with largest all two-source models with P nd P > 0.01 or the two-source model with the largest P value and P > 0.01. is shown under the plot. Sam d Data Fig. 7 shows the same map with all accepted models. b, Stable d, The ancestry proportion | Eastern Europe Zealand_VA(7) 2 All SNPs 1.6 Twigstats 1,000 Faroes nland Ireland Isle of Man Orkney_VA Oxford_VA nd Dorset_VA c, The ancestry shift observe NPs or Twigstats. We show t > 0.05. For models with P < ple sizes for each group are across Viking Age individua | Anatolia EBA Austria_Klosterneu Baiuvarii_EMED Britain.lronRoma CentraIEurope.lro CentraIEurope.lro CentraIEurope.Ir CordedWare_EBA Croatia.lronRoman Denmark_BA Denmark_EVA Denmark_IA England_Saxon_hi England_Saxon_lo England_Saxon_m England.Roman.G Hungary_EM(I) Hungary_EM(II) HungarySlovakia. IrelandOrkney_BA Italy.lmperial(l) ltaly.lmperial(lI) ltaly.lronRepublic Kyrgyzstan_Tian Lithuania.lronRo Longobard_EMED Longobard_EMED Montenegro_EM Netherlands_Friesl Poland_BA Poland_Middle_Ag Poland_Middle_Ag Poland_Wielbark(I) Poland_Wielbark(II Poland_Wielbark(II PolandUkraine_M PolandUkraine_M Portugal.lronRoma Russia_Sarmatian Saami Scandinavian_Pen Scandinavian_Pen Slovakia_Zohor_G Slovakia.Migration Slovenia.lronRoma Slovenia.Roman.o |\n| | | d in Viking he best one 0.05, the −l shown in b ls in Denma |", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed3.pdf" + }, + { + "text": "55. Chyleński, M. et al. Patrilocality and hunter-gatherer-related ancestry of populations in \nEast-Central Europe during the Middle Bronze Age.*Nat. Commun.***14**, 4395 (2023). \n(2012). \n\n21. Patterson, N. et al. Ancient admixture in human history.*Genetics***192**, 1065–1093 (2012). \n22. Durand, E. Y., Patterson, N., Reich, D. & Slatkin, M. Testing for ancient admixture between \n56. Heather, P.*The Goths*(Wiley-Blackwell, 1996). \n57. Elschek, K. in*Grundprobleme. Thema: Macht des Goldes - Gold der Macht (Forschungen* closely related populations.*Mol. Biol. Evol.***28**, 2239–2252 (2011). \n\n*zu Spätantike und Mittelalter 2)*(eds Hardt, M. & Heinrich-Tamáska, O.) 91–123 (Greiner, \nBernhard A., 2013). 23. Harney, É., Patterson, N., Reich, D. & Wakeley, J. Assessing the performance of qpAdm: \na statistical tool for studying population admixture.*Genetics***217**, iyaa045 (2021). \n58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin 24. Antonio, M. L. et al. Ancient Rome: a genetic crossroads of Europe and the Mediterranean. \n\nand rapid trans-Eurasian migration of 7th century Avar elites.*Cell***185**, 1402–1413 (2022). \n59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive \nfemale-biased immigration in Early Medieval Bavaria.*Proc. Natl Acad. Sci. USA***115**, \n3494–3499 (2018). \n\n*Science***366**, 708–714 (2019). \n25. Leslie, S. et al. The fine-scale genetic structure of the British population.*Nature***519**, 309 \n(2015). \n26. Ringbauer, H. et al. Accurate detection of identity-by-descent segments in human ancient \n\nDNA.*Nat. Genet.***56**, 143–151 (2024). \n27. Mallick, S. et al. The Allen Ancient DNA Resource (AADR): a curated compendium of \nancient human genomes.*Sci. Data***11**, 182 (2023). \n\n60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the \nAnglo-Saxons.*Nat. Commun.***7**, 10326 (2016). \n61. Schiffels, S. & Sayer, D. in*Migration and Integration From Prehistory to the Middle Ages*\n\n(eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, \n2017). \n28. Lewanski, A. L., Grundler, M. C. & Bradburd, G. S. The era of the ARG: an introduction to \nancestral recombination graphs and their significance in empirical evolutionary \ngenomics.*PLoS Genet.***20**, e1011110 (2024). 62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early \n\nmedieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and \nthe modern people of the UK.*PLoS Genet.***19**, e1010360 (2023). \n29. Brandt, D. Y. C., Huber, C. D., Chiang, C. W. K. & Ortega-Del Vecchyo, D. The promise of \n\ninferring the past using the ancestral recombination graph.*Genome Biol. Evol.***16**, evae005 \n(2024). 63. Symmachus, Letters 2. 46.1-2.*WordPress*https://aleatorclassicus.wordpress.com/2011/08/ \n19/symmachus-letters-2-46-1-2/ (2011). 30. Rasmussen, M. D., Hubisz, M. J., Gronau, I. & Siepel, A. Genome-wide inference of \n64. Emperor, J.*The Works of the Emperor Julian*(translator Wright, W. C.) Vol. 1 (Project ancestral recombination graphs.*PLoS Genet.***10**, e1004342 (2014). \nGutenberg, 2015); https://www.gutenberg.org/ebooks/48664. 31. Speidel, L. et al. Inferring population histories for ancient genomes using genome-wide \n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration genealogies.*Mol. Biol. Evol.***38**, 3497–3511 (2021). \n\n32. Speidel, L., Forest, M., Shi, S. & Myers, S. R. A method for genome-wide genealogy \nestimation for thousands of samples.*Nat. Genet.***51**, 1321–1329 (2019). \n\npatterns in a Viking Age town.*Curr. Biol.***28**, 2730–2738 (2018). \n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the \nIron Age.*J. Archaeol. Sci. Rep.***12**, 183–196 (2017). 33. Kelleher, J. et al. Inferring whole-genome histories in large population datasets.*Nat. Genet.*", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed3.pdf" + }, + { + "text": "reduces standard errors (s.e.) by up to tenfold and potentially more, \ndepending on sample sizes and details of the genetic history model. The \napproach does not produce detectable bias in estimates of admixture \nproportions (Fig. 1b–d and Extended Data Fig. 3). Furthermore, we \ndemonstrate that computing*f*-statistics on genotypes ascertained \nfor young mutation ages produce a power gain nearly equal to that \nproduced when using full genealogies in many examples, while add- \ning flexibility by allowing lower-quality genomes to be grafted onto a \ngenealogy reconstructed with higher-quality genomes31. \n\nIn the first half of the first millennium ce, Roman historians such as \nTacitus and Ammianus Marcellinus described the geographical dis- \ntribution and movements of groups beyond the imperial frontier and \nsuggested a potential role for them in the fall of the western Roman \nEmpire52. However, the exact nature and scale of these historically \nattested demographic phenomena—and their genetic impact— \nhave been questioned53, and have been difficult to test with genetic \napproaches owing to the close relations shared between many groups \nthat were ostensibly involved. Less is understood at further distances \nfrom the Roman frontier owing to a lack of historical accounts. The \nimproved statistical power of time-restricted ancestry in Twigstats \nthus offers an opportunity to revisit these questions. \n\nTo develop an ancestry model for early medieval individuals (Supple- \nmentary Table 1), we first need a broad characterization of the ancestry \nof the earlier sources from the early Iron Age (EIA) and Roman periods. \nWe use hierarchical UPGMA clustering based on pairwise clade testing \nbetween all individuals, and formally test the cladality of proposed \nancestry groups with qpWave5 (cladality in this sense means whether \nthey are consistent with being symmetrically related to all other tested \ngroups; Methods). This resulted in a set of model ancestry sources \nthat included Iron Age and Roman Britain (*n*= 11), the Iron Age of cen- \ntral European regions of mostly Germany, Austria and France (*n*= 10), \nRoman Portugal (*n*= 4), Roman Italy (*n*= 10), Iron Age Lithuania (*n*= 5), \nthe EIA Scandinavian Peninsula (Sweden and Norway,*n*= 10) and several \nother more eastern groups dating to the Bronze Age and EIA (*n*= 25) \n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm \napproach54 to narrow down the set of contributing sources from this \nlarger pool of putative sources. \n\nWe further confirm with simulations that genealogy-based*f*-statistics \nestimates are robust to sequencing and phase-switch errors of expected \nmagnitude (Extended Data Fig. 3b). In fact, although sequence errors \ncan affect SNP-based population-genetic approaches substantially, \nerrors can be ‘corrected’ in genealogies as they take all variants in a \nregion into account32. \n\nPrevious studies have suggested ascertaining rare mutations as a \nproxy for recent history3,4, but we show that this approach is prone to \nbias when effective population sizes vary between populations, and \nthat using full time-restricted genealogies is both unbiased and more \npowerful (Fig. 1b and Extended Data Fig. 3). We attribute this to the \nobservation that mutation age is not fully predictive of allele frequency \n(Extended Data Fig. 4) and that the genealogy-based approach gains \npower from the inclusion also of higher-frequency young mutations \nthat ‘tag’ recent coalescences by closely pre-dating them. We demon- \nstrate that a widely used ‘chromosome painting’ approach, and any \nconceptually similar modelling based on identity by descent, that finds \nthe nearest neighbours between chromosomal segments in a sample \nand model groups using a non-negative least squares of genome-wide \npainting profiles2 is also prone to bias, when source groups have under- \ngone strong drift since the admixture event (Fig. 1b and Extended Data \nFig. 3b).", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "College, Oxford6, show ancestries typical of those seen in Viking Age \nsouthern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age \nindividuals in the Faroe Islands, Iceland and Greenland carry ancestry \nfrom the Scandinavian Peninsula, with several individuals showing the \ncontinental central Europe-related ancestry signal found in south- \nern Scandinavia (Fig. 4f) and others who share substantial ancestry \nwith Iron Age Britain. In contrast to previous hypotheses68, we found \na marginal enrichment of ancestry related to Britain and Ireland in \nmen (15 out of 17 men and 3 out of 6 women with at least one accepted \nmodel involving Iron or Roman Age Britain as source; Fisher’s exact \ntest*P*= 0.089) (Extended Data Fig. 7c,e). However, sampling of addi- \ntional individuals to improve distinction between early English- and \nNorse-related ancestries would be required to fully test this hypothesis. \nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking \nAge burial from Ukraine, and these ancestries are overrepresented \nin Viking Age burials from present-day Russia. At Staraya Ladoga in \nwestern Russia, we observe several individuals with EIA Scandinavian \nPeninsula-related ancestry and at least one individual dated to the \neleventh century with apparent ancestry related to Iron Age Britain. \nThe relative absence of Iron Age central European ancestry, which was \nlargely restricted to southern Scandinavia during the Viking Age, is thus \nindicative that these individuals may have originated in the central/ \nnorthern parts of Sweden or Norway, where Viking Age individuals \nshow the most similar ancestry profiles to them. \n\n**Viking Age mobility into Scandinavia**\nPrevious studies had suggested a major influx of ancestry related to \nBritain into Viking Age Scandinavia6,7. Although we detect this ances- \ntry in some individuals (7 individuals in Norway, 14 in Denmark and \n14 in Sweden), including some individuals whose ancestry appears to \nbe entirely derived from Iron Age Britain, its overall impact appears \nreduced compared with previous reports. Our analysis indicates a pro- \nportionally larger impact of ancestry from Iron Age Britain in northern \nNorway, with southern Scandinavia predominantly influenced by \ncontinental central European ancestries (Fig. 4d). We hypothesize \nthat our estimates of ancestry from Britain are reduced relative to \nprevious studies because ancestry related to Britain and continen- \ntal central Europe may have been indistinguishable. This could be \ndue to a lack of statistical power to distinguish these closely related \nsources with standard methods, as well as through potential biases \nintroduced by using modern surrogate populations that have since \nbeen influenced by later gene flow (such as gene flow into Britain). \nWe illustrate this by replicating the analyses previously described6,7 \n(Extended Data Fig. 8). \n\nSimilarly, a previous study has suggested that individuals at sites such \nas Kärda in southern Sweden carried ancestry from southern Europe6. \nIn our models, two Kärda individuals fit with central European-related \nancestry, but none of the individuals has a substantial proportion of \nancestry related to southern European sources (Extended Data Fig. 9). \nInstead, we detect ancestry from southern European sources in only \nthree individuals from Scandinavia, and in relatively small propor- \ntions (Fig. 4a).", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed3.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed3.pdf", + "query": "How many clusters has the Scandinavian peninsula been divided into thanks to Twigstats?", + "target_page": 12, + "target_passage": "This approach results in two clusters in the Scandinavian Penin- sula, approximately separating northern from southern Scandinavia", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "**Conclusions**\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica- \nble to*f*-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi- \ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world. \n\nInterestingly, we detect ancestry from Bronze and Iron Age sources \nfrom Eastern Europe (present-day Lithuania and Poland), concentrated \nin southeastern parts of Sweden, particularly the island of Gotland \n(14 individuals; Fig. 4a). This is consistent with previous genetic \nstudies6,7. We find that this ancestry is enriched in male individuals \n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. \nThe closest match tends to be Roman Iron Age Lithuanian genomes \nassociated with Balts, which would be consistent with mobility across \nthe Baltic Sea, but we caution that the geographical representation of \navailable genomes is still limited. \n\n**Online content**\nAny methods, additional references, Nature Portfolio reporting summa- \nries, source data, extended data, supplementary information, acknowl- \nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2. \n\n**Viking Age expansion from Scandinavia**\nTraditionally, historical perspectives on what is now often referred \nto as the Viking diaspora placed an emphasis on the movements and \nsettlements of population groups from various parts of Scandinavia67. \nOur explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10). \n\n1. \nLawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data.*PLoS Genet.***8**, 11–17 (2012). \n2. Hellenthal, G. et al. A genetic atlas of human admixture history.*Science***343**, 747–751 \n(2014). \n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British \n\nmigration history.*Nat. Commun.***7**, 10408 (2016). \nFlegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and \nNorth America.*Nature***570**, 236–240 (2019). \n4. \n\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high \nmobility.*eLife***13**, e79714 (2024). \n\nNature | Vol 637 | 2 January 2025 |**125**", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed3.pdf" + }, + { + "text": "We additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-*f*3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-*f*3 sta- \ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig. 2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured. \n\nWe next test the Twigstats time-restricted genealogy approach \non a range of empirical examples. First, we boost pairwise outgroup \n*f*3-statistics44 to quantify fine-scale population structure; we demon- \nstrate this improvement using a previously proposed simulation39 \n(Extended Data Fig. 5a). When applied to published genomes from \nNeolithic Europe (Methods and Supplementary Table 1), we can repli- \ncate the previously suggested fine-scale structure between individuals \nburied in megalithic structures in Ireland compared with others45, a \nrelationship that is not apparent from SNP data alone (Extended Data \nFig. 5b). For the well-studied example of three major ancestries contrib- \nuting to prehistoric Europe, that is, Mesolithic hunter-gatherers, early \nfarmers and steppe populations13–16, we obtain unbiased estimates and \nan approximately 20% improvement in standard errors in an already \nwell-powered qpAdm model46 (Extended Data Fig. 5c). \n\nFinally, we demonstrate that Twigstats can be used to resolve com- \npeting models of punctual admixture and long-standing gene flow, or \nconstrain the time of admixture. For instance, it has previously been \nsuggested that long-standing deep structure and gene flow between \nNeanderthals and early modern humans in Africa may produce genetic \npatterns that resemble a punctual admixture event some 60,000 years \nago47–49, casting doubt on the model of Neanderthal admixture into \nancestors of Eurasians49–51. However, whereas such long-standing deep \nsubstructure would confound SNP-based*f*-statistics to produce pat- \nterns similar to Neanderthal admixture, we demonstrate, in simula- \ntions, that Twigstats can clearly distinguish this history from recent \nadmixture (Extended Data Fig. 5d). Application of Twigstats on empiri- \ncal whole genomes produces results inconsistent with deep substruc- \nture alone, but consistent with punctual admixture. \n\n**Expansions of Scandinavian-like ancestry**\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing \nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup- \nplementary Table 3).", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Extended Data Fig. 9 | Ancestry models of Viking Age individuals in**\n**Scandinavia. a**, MDS of each Scandinavian Viking group plotted on top of \npreceding Iron age and Roman individuals.**b**, All accepted qpAdm models using \nTwigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, \nand Norway, computed in a rotational qpAdm with source groups identical to \nFig. 4. We only retain models with feasible admixture proportions, standard \nerrors of <0.25, and show models with 1 source and a p-value greater than 0.01 \nor otherwise with 2 sources and a p-value greater than 0.01. If several models \nsatisfy p > 0.05, we show all such models, otherwise we select the model with \nthe largest p-value. The -log10 p-values are shown to the left of each model. \nWe combine models involving related sources, if they exist, by averaging their \nrespective admixture proportions, standard errors, and p-values. We plot one \nstandard error.", + "page_start": 20, + "page_end": 20, + "source_file": "pubmed3.pdf" + }, + { + "text": "These patterns are consistent with northward expansion of ancestry, \npotentially starting before the Viking Age, into the Jutland peninsula \nand Zealand island towards southern Sweden. The geographical ori- \ngin of this ancestry is currently difficult to discern, as the available \nsamples from Iron Age central Europe remain sparse. The timing \nof this expansion is constrained only by the samples available: this \nancestry is not observed in individuals from the Copenhagen area of \nDenmark (around 100 ce–300 ce)6, an individual from the southern tip \nof Sweden (around 500 ce)16, individuals from the Sandby Borg mas- \nsacre site on Öland in present-day Sweden (around 500 ce)7 and 31 indi- \nviduals from the mid-eighth century Salme ship burials in present-day \nEstonia (Extended Data Fig. 9), who probably originated in central \nSweden6. Therefore, this ancestry transformation most likely post- \ndated these individuals in each particular region and mostly occurred \nin the second half of the first millennium ce. \n\nTo assess the full extent of the impact of this ancestry influx into \nScandinavia, we next aimed to understand the ancestry of individu- \nals in Scandinavia during the Viking Age. Previous studies have sug- \ngested that there was a diversity of ancestries in Scandinavia during this \nperiod6,7,65, due to increased maritime mobility, but have not reported \nper-individual ancestry estimates based on preceding ancestry. We \nanalysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted \nto recent coalescences with Twigstats (more than 80% of accepted \none-source models in Twigstats were also accepted one-source models \nusing all SNPs, compared with less than 17% for the inverse). \n\nTwigstats substantially improves models of admixture between \nancestries from Iron Age Britain and northern Europe in early medi- \neval England9, halving standard errors from 9% with SNPs to 4% when \nusing time stratification (point estimates 80% and 79% Iron Age \nBritain-related ancestry, respectively). We used this improved reso- \nlution to demonstrate that an earlier Roman individual (6DT3) dating \nto approximately second to fourth century ce from the purported \ngladiator or military cemetery at Driffield Terrace in York (Roman \n*Eboracum*), England60, who was previously identified as an ancestry \noutlier61,62, specifically carried approximately 25% EIA Scandinavian \nPeninsula-related ancestry (Fig. 2c). This documents that people with \nScandinavian-related ancestry already were in Britain before the fifth \ncentury ce, after which there was a substantial influx associated with \nAnglo-Saxon migrations9. Although it is uncertain whether this indi- \nvidual was a gladiator or soldier, individuals and groups from northern \nEurope are indeed recorded in Roman sources both as soldiers and as \nenslaved gladiators63,64. \n\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early \nmedieval groups from present-day Poland and Slovakia carry spe- \ncific ancestry from one of the Scandinavian EIA groups—the one with \nindividuals primarily from the northern parts of Scandinavia in the \nEIA—with no evidence of ancestry related to the other primary group \nin more southern Scandinavia (Fig. 2d). By contrast, in southern and \nwestern Europe, Scandinavian-related ancestry either derives from", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed3.pdf" + }, + { + "text": "PolandUkraine_M\nPolandUkraine_M\nPortugal.lronRoma\nRussia_Sarmatian\nSaami\nScandinavian_Pen\nScandinavian_Pen\nSlovakia_Zohor_G\nSlovakia.Migration\nSlovenia.lronRoma\nSlovenia.Roman.o |\n|---|---|---|\n| andinavian Peninsula EIA Central Europe Iron Roman Britain Iron Roman Southern Europe c 1.00 Denmark_EVA(3) Funen_VA(12) Jutland_VA(13) Langeland_VA(18) ancestry 1 2 1 2 1 2 1 2 1 0.75 1.0 Continental-related proportion 0.5 0.50 0 3.1 3.2 0.25 1.0 Ancestry 0.5 0 0 1 0.72 0.73 0.74 17.0 1.7 15.7 6.1 20.8 17.5 87Srf/86Sr Scandinavian Peninsula Central Europe Britain f Gree 0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00 Proportion of ancestry Norway_VA Sweden_VA Scandinavian Peninsula EIA Scandinavian Peninsula EIA Britain Britain Eastern Europe Eastern Europe Central Central Icela Europe Europe Southern Europe Southern Europe enmark_VA Farfung_VA Scandinavian Peninsula EIA Scandinavian Peninsula EIA Britain Britain Eastern Europe Eastern Europe Central Central Europe Europe Southern Europe Southern Europe ncestry in the Viking world. a, Map showing ancestry carried by around the regression line. vian Viking Age individuals as inferred using the best-fitting qpAdm groups using qpAdm on all S hese are chosen by either choosing the one-source model with largest all two-source models with P nd P > 0.01 or the two-source model with the largest P value and P > 0.01. is shown under the plot. Sam d Data Fig. 7 shows the same map with all accepted models. b, Stable d, The ancestry proportion | Eastern Europe Zealand_VA(7) 2 All SNPs 1.6 Twigstats 1,000 Faroes nland Ireland Isle of Man Orkney_VA Oxford_VA nd Dorset_VA c, The ancestry shift observe NPs or Twigstats. We show t > 0.05. For models with P < ple sizes for each group are across Viking Age individua | Anatolia EBA Austria_Klosterneu Baiuvarii_EMED Britain.lronRoma CentraIEurope.lro CentraIEurope.lro CentraIEurope.Ir CordedWare_EBA Croatia.lronRoman Denmark_BA Denmark_EVA Denmark_IA England_Saxon_hi England_Saxon_lo England_Saxon_m England.Roman.G Hungary_EM(I) Hungary_EM(II) HungarySlovakia. IrelandOrkney_BA Italy.lmperial(l) ltaly.lmperial(lI) ltaly.lronRepublic Kyrgyzstan_Tian Lithuania.lronRo Longobard_EMED Longobard_EMED Montenegro_EM Netherlands_Friesl Poland_BA Poland_Middle_Ag Poland_Middle_Ag Poland_Wielbark(I) Poland_Wielbark(II Poland_Wielbark(II PolandUkraine_M PolandUkraine_M Portugal.lronRoma Russia_Sarmatian Saami Scandinavian_Pen Scandinavian_Pen Slovakia_Zohor_G Slovakia.Migration Slovenia.lronRoma Slovenia.Roman.o |\n| | | d in Viking he best one 0.05, the −l shown in b ls in Denma |", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed3.pdf" + }, + { + "text": "We investigated regional differences in non-local ancestry across \nScandinavia. In Denmark, 25 out of 53 Viking Age individuals had detect- \nable (*z-*score > 1) central European-related ancestry (CentralEurope. \nIronRoman or Portugal.IronRoman) in their best accepted qpAdm \nmodels. In Sweden 20 out of 62 individuals had detectable central \nEuropean-related ancestry, concentrated almost entirely in southern \nregions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed \nin only 2 out of 24 individuals, indicating a wide-ranging impact of \nincoming ancestry in southern Scandinavia and suggesting more \n\nNature | Vol 637 | 2 January 2025 |**123**", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed3.pdf" + }, + { + "text": "individuals form a clade with respect to reference groups. The reason \nwhy this is a principled approach despite the 1000GP groups post-dating \nthe ancient individuals is that if a group of ancient individuals are truly \nhomogeneous, they will be so also with respect to later individuals. \n\n**Code availability**\nTwigstats is freely available under an MIT licence through GitHub \n(https://github.com/leospeidel/twigstats), and detailed documenta- \ntion, as well as example data, is available at https://leospeidel.github. \nio/twigstats/. The code has also been deposited at Zenodo (https:// \nzenodo.org/records/13833120)76. All scripts to reproduce simulations, \nand to run Relate on imputed ancient genomes, and downstream \nanalyses, including computation of*f*-statistics and running qpAdm \nmodels, are available through GitHub (https://github.com/leospeidel/ \ntwigstats_paper). \nWe then define clusters by running UPGMA (unweighted pair group \nmethod with arithmetic mean) on −log10[*P*values] obtained from \nqpwave between all pairs of individuals and cut the resulting dendro- \ngram at a height corresponding to a*P*value of 0.01. We then further \nsubdivide clusters by requiring all samples to be within 500 years of \nthe mean cluster age. \n\nTo choose the source groups shown in Fig. 2a and Extended Data \nFig. 1d, we run this algorithm on samples from Iron and Roman Age \nEurope (Supplementary Table 1). We retain groups that have at least \nthree individuals and, therefore, exclude clusters of size one or two. \n\n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting \n\ncomplex models of population history to*f*-statistics.*eLife***12**, e85492 (2023). \n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and \n\ngenealogical analysis for large sample sizes.*PLoS Comput. Biol.***12**, e1004842 \n(2016). \n72. da Mota, B. S. et al. Imputation of ancient human genomes.*Nat. Commun.***14**, 3660 \n(2023). \n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation \n\nof low-coverage sequencing data using large reference panels.*Nat. Genet.***53**, 120–126 \n(2021). \n\nThis approach results in two clusters in the Scandinavian Penin- \nsula, approximately separating northern from southern Scandinavia, \nthree clusters in Poland and Ukraine that separate samples tempo- \nrally between the early and later Bronze Age, a cluster combining the \nHungarian Scythian and Slovakian La Tène-associated individuals, \nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu- \nania. In present-day Austria, Germany and France, this approach \nidentifies three clusters, with each cluster spanning multiple archae- \nological sites in different countries, indicating genetic diversity in \nthis region in the first millennium ce. Encouragingly, these clusters \nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that \nwe are capturing real genetic differences between groups using this \napproach. \n\n74. The 1000 Genomes Project Consortium. A global reference for human genetic variation. \n*Nature***526**, 68–74 (2015). \n75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse \npopulations.*Nature***538**, 201–206 (2016). \n76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1.*Zenodo*https://doi.org/10.5281/zenodo. \n13833119 (2024). \n77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas.*Nature*\n**525**, 104–108 (2015). \n78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains. \n*Nature***505**, 43–49 (2014). \n79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia.*Science*\n**358**, 655–658 (2017).", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed3.pdf" + }, + { + "text": "Hunter-gatherers, early European farmers, and Yamnaya Steppe people46. \nWe show results for Twigstats-5000. Bias is measured as the difference in \nadmixture proportions obtained from Twigstats-5000 and all SNPs, and \nwe show standard errors of the latter. We plot two standard errors around \nthe mean. The standard error improvement shown is one minus the ratio of \nstandard errors obtained from Twigstats-5000 and using all SNPs.**d**, Neanderthal \nadmixture proportion inferred using an*f*4-ratio of the form*f*4(outgroup, Altai, \ntarget, Mbuti)/*f*4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic \nvariation data from the Simon’s Genome Diversity Project (SGDP)75 and use the \nhigh-coverage Altai and Vindija Neanderthals78,79. We also compute equivalent \n*f*4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years \nago and a second simulation involving no Neanderthal admixture but deep \nstructure that leads to a similar inference unless deep coalescences are ignored \nby Twigstats. We plot two standard errors around the mean. \n\n**Extended Data Fig. 5 | Three examples of applying Twigstats. a**Fine-scale \npopulation structure simulation emulating ref. 39 (see Methods for simulation \ndetails). First two principal components are computed from pairwise outgroup \n*f*3 statistics on the genotypes directly and on Relate trees inferred from the \n50 target individuals. Labels in plots show the average coordinates of members \nof that population. For each panel, we calculate a separation index (SI) as in39, \nwhich we define as the proportion of individuals for which the closest \nindividual (by the Euclidean distance in PC space) is in the same population. \n**b**, Fine-scale genetic structure in Neolithic Europe quantified using an MDS \ncalculated on a symmetric matrix that contains all pairwise outgroup*f*3 \nstatistics (outgroup: YRI) between individuals. These are either calculated \ndirectly on genotypes or calculated using Twigstats on Relate genealogies \nwith a cutoff of 1000 generations. Individuals were selected by filtering based \non Steppe and Western Hunter-gatherer ancestry (Methods).**c**, Admixture \nproportions inferred using qpAdm with three distal sources of Western", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.**\n**a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \n*f*3 statistics (outgroup: Han Chinese people). These are calculated using \nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The \ngeographical map shows sampling locations of these individuals.**b**, The \ngenetic structure of ancient groups predominantly from early medieval \ncontexts shown on the same MDS as in**a**. The magnified inset shows an MDS \ncomputed without Twigstats on the same samples as the Twigstats MDS and \nfocusing on early medieval or later individuals.**c**, Ancestry models of early \nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are shown in black boxes. Sources are highlighted in**a**and marked as bold in the \nkey, and were used in a rotational qpAdm scheme. For each target group, we \nremove models with infeasible admixture proportions (falling outside [0, 1]) \nand use a Twigstats cut-off of 1,000 generations. All models satisfy*P*> 0.01, \nunless a −log10[*P*value] is shown next to the model. If models satisfy*P*> 0.05, \nwe show all such models; otherwise, we show only the model with the largest \n*P*value.**d**, The ancestry proportion derived from EIA Scandinavia in groups \nwith a non-zero component of this ancestry. We show groups modelled in**c**\nthat have a feasible model (*P*> 0.01). In**c**,**d**, we show one s.e. BA, Bronze Age; \nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking \nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age. \n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul- \nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \n\nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record). \n\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre- \nceding Iron Age or Bronze Age group providing a reasonable fit for the", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Extended Data Fig. 10 | Ancestry models of farflung Viking individuals.**\n**a**, MDS of each farflung Viking group plotted on top of preceding Iron age and \nRoman individuals.**b**, All accepted qpAdm models using Twigstats-1000 for \nevery non-Scandinavian Viking individual computed in a rotational qpAdm \nwith source groups identical to Fig. 4. We plot one standard error.", + "page_start": 21, + "page_end": 21, + "source_file": "pubmed3.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed3.pdf", + "query": "What are the cultures with which the Wielbark culture is associated?", + "target_page": 4, + "target_passage": "linked to the later Chernyakhov cul- ture to the southeast and to early Goths", + "chunk_present": { + "presence": true, + "index": 9 + } + }, + "top_chunk": [ + { + "text": "In the region of present-day Poland, our analysis suggests several \nclear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce \nto 1000 bce), we observe a clear shift away from preceding ancestry \noriginally associated with Corded Ware cultures55 (Fig. 3a). Second, \nin the first to fifth century ce, individuals associated with Wielbark \nculture5,12 show an additional strong shift away from the preceding \nBronze Age groups, and can only be modelled with a >75% component \nattributed to the EIA Scandinavian Peninsula. Multiple individuals, \nespecially from earlier Wielbark cemeteries, have approximately 100%", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Fine-scale structure in Neolithic Europe.**To quantify fine-scale struc- \nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select \nindividuals in Neolithic Europe who have not yet been affected by the \narrival of Steppe ancestry and do not show excess hunter-gatherer \nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and \nWestern Hunter-gatherers as source groups and reference groups \naccording to a previously proposed qpAdm setup46 (Supplementary \nTable 1). For this analysis, we infer ancestry using qpAdm applied to \n1.2 million SNP sites of imputed genomes. We retain only Neolithic \nindividuals with*P*> 0.01,*z*< 2 for Yamnaya ancestry, and*z*< 2 or \nproportion <0.25 for Western Hunter-gatherer ancestry. \n\n**Acknowledgements**L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z). \nP.S. was supported by the European Molecular Biology Organization, the Vallee Foundation, \nthe European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis \nCrick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research \nCouncil and the Wellcome Trust. B.R. was supported by the Swedish Research Council \n(2021-03333). \n\n**Author contributions**P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S. \nand P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S., \nM.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript. \n\n**Funding**Open Access funding provided by The Francis Crick Institute. \n\n**Competing interests**The authors declare no competing interests. \n\n**Reporting summary**\nFurther information on research design is available in the Nature Port- \nfolio Reporting Summary linked to this article. \n\n**Additional information**\n**Supplementary information**The online version contains supplementary material available at \nhttps://doi.org/10.1038/s41586-024-08275-2. \n**Correspondence and requests for materials**should be addressed to Leo Speidel or \nPontus Skoglund. \n**Peer review information***Nature*thanks Jerome Kelleher, Duncan Sayer and the other, \nanonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer \nreports are available. \n**Reprints and permissions information**is available at http://www.nature.com/reprints. **Data availability**\nAll aDNA data used in this study were publicly available, and accession \ncodes are listed in Supplementary Table 1.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed3.pdf" + }, + { + "text": "55. Chyleński, M. et al. Patrilocality and hunter-gatherer-related ancestry of populations in \nEast-Central Europe during the Middle Bronze Age.*Nat. Commun.***14**, 4395 (2023). \n(2012). \n\n21. Patterson, N. et al. Ancient admixture in human history.*Genetics***192**, 1065–1093 (2012). \n22. Durand, E. Y., Patterson, N., Reich, D. & Slatkin, M. Testing for ancient admixture between \n56. Heather, P.*The Goths*(Wiley-Blackwell, 1996). \n57. Elschek, K. in*Grundprobleme. Thema: Macht des Goldes - Gold der Macht (Forschungen* closely related populations.*Mol. Biol. Evol.***28**, 2239–2252 (2011). \n\n*zu Spätantike und Mittelalter 2)*(eds Hardt, M. & Heinrich-Tamáska, O.) 91–123 (Greiner, \nBernhard A., 2013). 23. Harney, É., Patterson, N., Reich, D. & Wakeley, J. Assessing the performance of qpAdm: \na statistical tool for studying population admixture.*Genetics***217**, iyaa045 (2021). \n58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin 24. Antonio, M. L. et al. Ancient Rome: a genetic crossroads of Europe and the Mediterranean. \n\nand rapid trans-Eurasian migration of 7th century Avar elites.*Cell***185**, 1402–1413 (2022). \n59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive \nfemale-biased immigration in Early Medieval Bavaria.*Proc. Natl Acad. Sci. USA***115**, \n3494–3499 (2018). \n\n*Science***366**, 708–714 (2019). \n25. Leslie, S. et al. The fine-scale genetic structure of the British population.*Nature***519**, 309 \n(2015). \n26. Ringbauer, H. et al. Accurate detection of identity-by-descent segments in human ancient \n\nDNA.*Nat. Genet.***56**, 143–151 (2024). \n27. Mallick, S. et al. The Allen Ancient DNA Resource (AADR): a curated compendium of \nancient human genomes.*Sci. Data***11**, 182 (2023). \n\n60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the \nAnglo-Saxons.*Nat. Commun.***7**, 10326 (2016). \n61. Schiffels, S. & Sayer, D. in*Migration and Integration From Prehistory to the Middle Ages*\n\n(eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, \n2017). \n28. Lewanski, A. L., Grundler, M. C. & Bradburd, G. S. The era of the ARG: an introduction to \nancestral recombination graphs and their significance in empirical evolutionary \ngenomics.*PLoS Genet.***20**, e1011110 (2024). 62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early \n\nmedieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and \nthe modern people of the UK.*PLoS Genet.***19**, e1010360 (2023). \n29. Brandt, D. Y. C., Huber, C. D., Chiang, C. W. K. & Ortega-Del Vecchyo, D. The promise of \n\ninferring the past using the ancestral recombination graph.*Genome Biol. Evol.***16**, evae005 \n(2024). 63. Symmachus, Letters 2. 46.1-2.*WordPress*https://aleatorclassicus.wordpress.com/2011/08/ \n19/symmachus-letters-2-46-1-2/ (2011). 30. Rasmussen, M. D., Hubisz, M. J., Gronau, I. & Siepel, A. Genome-wide inference of \n64. Emperor, J.*The Works of the Emperor Julian*(translator Wright, W. C.) Vol. 1 (Project ancestral recombination graphs.*PLoS Genet.***10**, e1004342 (2014). \nGutenberg, 2015); https://www.gutenberg.org/ebooks/48664. 31. Speidel, L. et al. Inferring population histories for ancient genomes using genome-wide \n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration genealogies.*Mol. Biol. Evol.***38**, 3497–3511 (2021). \n\n32. Speidel, L., Forest, M., Shi, S. & Myers, S. R. A method for genome-wide genealogy \nestimation for thousands of samples.*Nat. Genet.***51**, 1321–1329 (2019). \n\npatterns in a Viking Age town.*Curr. Biol.***28**, 2730–2738 (2018). \n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the \nIron Age.*J. Archaeol. Sci. Rep.***12**, 183–196 (2017). 33. Kelleher, J. et al. Inferring whole-genome histories in large population datasets.*Nat. Genet.*", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed3.pdf" + }, + { + "text": "a \nTime \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| Poland EBA MLBA Wielbark Middle | | |\n| | EBA | |\n| | | |\n| Southeastern Europe | | |\n| | | |\n\n\nb \n\nc \n2000 BCE \n2000 BCE 0 3000 BCE 1000 BCE 1000 CE \nCentral Europe \n\nBell Beaker/EBA Iron Roman Early Medieval \n\nBaiuvarii \n\n\n\n\n\n\n\nScandinavia \n\n\n\n3000 BCE 2000 BCE \n\n| | Iron Roman Early Medieval Me |\n|---|---|\n| | Iron Roman Early Medieval Me |\n| Driffeld Terrace | |\n\n\nBA \n\n| 3000 BCE 2000 BCE 1000 BCE 0 1000 CE | | |\n|---|---|---|\n| BA EIA Viking Age Me | | |\n| | | EIA Viking Age Me |\n| | | |\n\n\n**Fig. 3 | Time transects across six geographical regions in Europe.**\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze \nAge to the present day in Poland (**a**), southeastern Europe (**b**), central Europe \n(**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample \nlocations of all available ancient genomes with at least 0.5× coverage from these regions (Supplementary Table 1). Their ancestry is shown on the same \nMDS model as in Fig. 2a for each time period. For each geographic region, \nthe early medieval period is highlighted in orange and the area in the MDS \ncorresponding to Scandinavian and central European ancestries is highlighted \nin an orange box. \n\nmedieval individuals (*P*≪ 1 × 10−32). Instead, the majority of individuals \nfrom medieval Poland can be modelled only as a mixture of ancestries \nrelated to Roman Iron Age Lithuania, which is similar to ancestries of \nindividuals from middle to late Bronze Age Poland (44%, 95% confidence \ninterval 36–51%), an ancestry component related to Hungarian Scyth- \nians or Slovakian La Tène individuals (49%, 95% confidence interval \n41–57%) and potentially a minority component of ancestry related to \nSarmatians from the Caucasus (*P*= 0.13) (Fig. 2c). Four out of twelve \nindividuals from medieval Poland, three of whom are from the late \nViking Age6, carried detectable Scandinavian-related ancestry. Some \nof the ancestry detected in individuals from later medieval Poland may \nhave persisted during the late first millennium ce in the cremating \nportion of the population, but regardless, this points to large-scale \nancestry transformation in medieval Poland (Fig. 3a). Future data could \nshed light on the extent to which this reflects the influence of groups \nspeaking Slavic languages in the region. \n\nIn present-day Slovakia, individuals associated with the Iron \nAge La Tène period appear close to Hungarian Scythians in the two \ndimensions of our MDS analysis, and are modelled as a mixture of \ncentral and eastern European ancestry. However, a first-century ce \nburial of a 50–60-year-old woman from Zohor is modelled only with \nScandinavian-related ancestry, providing evidence of ancestry related \nto the Scandinavian EIA appearing southwest of the range of the Wiel- \nbark archaeological complex5,57 (Fig. 3b). Later early medieval individu- \nals from Slovakia have partial Scandinavian-related ancestry, providing \nevidence for the integration between expanding and local groups. \n\nNearby, in present-day Hungary, we observe Scandinavian-related \nancestry components in several burials dating to the sixth century \nce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). \nThis is consistent with the original study10, which reported affinity to \npresent-day groups from northwestern Europe (GBR, CEU and FIN in \nthe 1000 Genomes Project (1000GP))10 but which we can resolve with", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed3.pdf" + }, + { + "text": "continuity from the EIA in Norway and northern Sweden (Fig. 4a). When \nconsidered collectively, the individuals who show evidence of central \nEuropean-related ancestry are mostly observed in regions histori- \ncally within the Danish sphere of influence and rule. Currently, no such \nindividuals, for example, are noted in eastern central Sweden, which \nwas a focus of regional power of the Svear (Fig. 4a). The difference in \ndistribution could suggest that the central European-related ancestry \nwas more common in regions dominated by the historical Götar and \ngroups inhabiting the lands on the borders of the Danish kingdom. \n\nthat of established groups, we focused on the island of Öland in south- \neast Sweden, where 23 individuals for whom we could reconstruct \nancestry portraits also had associated strontium stable isotope data66. \nStrontium isotope data from dental enamel reflect the geology of the \nregion where an individual grew to maturity, and there are considerable \ndifferences in expectations between Öland and many other regions \nin northern Europe. The full range of strontium isotope ratios in 109 \nindividuals show two modes, a majority group with low ratios and a \nsecond minority group with high ratios falling outside the expected \nrange of local fauna (Fig. 4b). Among 23 individuals with genomes in \nour data, all 5 individuals with 100% ancestry relating to central Europe To test the extent to which the variation in ancestry was consistent \nwith mobility during the lifetime of the individuals or, alternatively,", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Conclusions**\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica- \nble to*f*-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi- \ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world. \n\nInterestingly, we detect ancestry from Bronze and Iron Age sources \nfrom Eastern Europe (present-day Lithuania and Poland), concentrated \nin southeastern parts of Sweden, particularly the island of Gotland \n(14 individuals; Fig. 4a). This is consistent with previous genetic \nstudies6,7. We find that this ancestry is enriched in male individuals \n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. \nThe closest match tends to be Roman Iron Age Lithuanian genomes \nassociated with Balts, which would be consistent with mobility across \nthe Baltic Sea, but we caution that the geographical representation of \navailable genomes is still limited. \n\n**Online content**\nAny methods, additional references, Nature Portfolio reporting summa- \nries, source data, extended data, supplementary information, acknowl- \nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2. \n\n**Viking Age expansion from Scandinavia**\nTraditionally, historical perspectives on what is now often referred \nto as the Viking diaspora placed an emphasis on the movements and \nsettlements of population groups from various parts of Scandinavia67. \nOur explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10). \n\n1. \nLawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data.*PLoS Genet.***8**, 11–17 (2012). \n2. Hellenthal, G. et al. A genetic atlas of human admixture history.*Science***343**, 747–751 \n(2014). \n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British \n\nmigration history.*Nat. Commun.***7**, 10408 (2016). \nFlegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and \nNorth America.*Nature***570**, 236–240 (2019). \n4. \n\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high \nmobility.*eLife***13**, e79714 (2024). \n\nNature | Vol 637 | 2 January 2025 |**125**", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed3.pdf" + }, + { + "text": "We additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-*f*3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-*f*3 sta- \ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig. 2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured. \n\nWe next test the Twigstats time-restricted genealogy approach \non a range of empirical examples. First, we boost pairwise outgroup \n*f*3-statistics44 to quantify fine-scale population structure; we demon- \nstrate this improvement using a previously proposed simulation39 \n(Extended Data Fig. 5a). When applied to published genomes from \nNeolithic Europe (Methods and Supplementary Table 1), we can repli- \ncate the previously suggested fine-scale structure between individuals \nburied in megalithic structures in Ireland compared with others45, a \nrelationship that is not apparent from SNP data alone (Extended Data \nFig. 5b). For the well-studied example of three major ancestries contrib- \nuting to prehistoric Europe, that is, Mesolithic hunter-gatherers, early \nfarmers and steppe populations13–16, we obtain unbiased estimates and \nan approximately 20% improvement in standard errors in an already \nwell-powered qpAdm model46 (Extended Data Fig. 5c). \n\nFinally, we demonstrate that Twigstats can be used to resolve com- \npeting models of punctual admixture and long-standing gene flow, or \nconstrain the time of admixture. For instance, it has previously been \nsuggested that long-standing deep structure and gene flow between \nNeanderthals and early modern humans in Africa may produce genetic \npatterns that resemble a punctual admixture event some 60,000 years \nago47–49, casting doubt on the model of Neanderthal admixture into \nancestors of Eurasians49–51. However, whereas such long-standing deep \nsubstructure would confound SNP-based*f*-statistics to produce pat- \nterns similar to Neanderthal admixture, we demonstrate, in simula- \ntions, that Twigstats can clearly distinguish this history from recent \nadmixture (Extended Data Fig. 5d). Application of Twigstats on empiri- \ncal whole genomes produces results inconsistent with deep substruc- \nture alone, but consistent with punctual admixture. \n\n**Expansions of Scandinavian-like ancestry**\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing \nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup- \nplementary Table 3).", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed3.pdf" + }, + { + "text": "Hunter-gatherers, early European farmers, and Yamnaya Steppe people46. \nWe show results for Twigstats-5000. Bias is measured as the difference in \nadmixture proportions obtained from Twigstats-5000 and all SNPs, and \nwe show standard errors of the latter. We plot two standard errors around \nthe mean. The standard error improvement shown is one minus the ratio of \nstandard errors obtained from Twigstats-5000 and using all SNPs.**d**, Neanderthal \nadmixture proportion inferred using an*f*4-ratio of the form*f*4(outgroup, Altai, \ntarget, Mbuti)/*f*4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic \nvariation data from the Simon’s Genome Diversity Project (SGDP)75 and use the \nhigh-coverage Altai and Vindija Neanderthals78,79. We also compute equivalent \n*f*4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years \nago and a second simulation involving no Neanderthal admixture but deep \nstructure that leads to a similar inference unless deep coalescences are ignored \nby Twigstats. We plot two standard errors around the mean. \n\n**Extended Data Fig. 5 | Three examples of applying Twigstats. a**Fine-scale \npopulation structure simulation emulating ref. 39 (see Methods for simulation \ndetails). First two principal components are computed from pairwise outgroup \n*f*3 statistics on the genotypes directly and on Relate trees inferred from the \n50 target individuals. Labels in plots show the average coordinates of members \nof that population. For each panel, we calculate a separation index (SI) as in39, \nwhich we define as the proportion of individuals for which the closest \nindividual (by the Euclidean distance in PC space) is in the same population. \n**b**, Fine-scale genetic structure in Neolithic Europe quantified using an MDS \ncalculated on a symmetric matrix that contains all pairwise outgroup*f*3 \nstatistics (outgroup: YRI) between individuals. These are either calculated \ndirectly on genotypes or calculated using Twigstats on Relate genealogies \nwith a cutoff of 1000 generations. Individuals were selected by filtering based \non Steppe and Western Hunter-gatherer ancestry (Methods).**c**, Admixture \nproportions inferred using qpAdm with three distal sources of Western", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Extended Data Fig. 9 | Ancestry models of Viking Age individuals in**\n**Scandinavia. a**, MDS of each Scandinavian Viking group plotted on top of \npreceding Iron age and Roman individuals.**b**, All accepted qpAdm models using \nTwigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, \nand Norway, computed in a rotational qpAdm with source groups identical to \nFig. 4. We only retain models with feasible admixture proportions, standard \nerrors of <0.25, and show models with 1 source and a p-value greater than 0.01 \nor otherwise with 2 sources and a p-value greater than 0.01. If several models \nsatisfy p > 0.05, we show all such models, otherwise we select the model with \nthe largest p-value. The -log10 p-values are shown to the left of each model. \nWe combine models involving related sources, if they exist, by averaging their \nrespective admixture proportions, standard errors, and p-values. We plot one \nstandard error.", + "page_start": 20, + "page_end": 20, + "source_file": "pubmed3.pdf" + }, + { + "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.**\n**a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \n*f*3 statistics (outgroup: Han Chinese people). These are calculated using \nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The \ngeographical map shows sampling locations of these individuals.**b**, The \ngenetic structure of ancient groups predominantly from early medieval \ncontexts shown on the same MDS as in**a**. The magnified inset shows an MDS \ncomputed without Twigstats on the same samples as the Twigstats MDS and \nfocusing on early medieval or later individuals.**c**, Ancestry models of early \nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are shown in black boxes. Sources are highlighted in**a**and marked as bold in the \nkey, and were used in a rotational qpAdm scheme. For each target group, we \nremove models with infeasible admixture proportions (falling outside [0, 1]) \nand use a Twigstats cut-off of 1,000 generations. All models satisfy*P*> 0.01, \nunless a −log10[*P*value] is shown next to the model. If models satisfy*P*> 0.05, \nwe show all such models; otherwise, we show only the model with the largest \n*P*value.**d**, The ancestry proportion derived from EIA Scandinavia in groups \nwith a non-zero component of this ancestry. We show groups modelled in**c**\nthat have a feasible model (*P*> 0.01). In**c**,**d**, we show one s.e. BA, Bronze Age; \nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking \nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age. \n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul- \nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \n\nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record). \n\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre- \nceding Iron Age or Bronze Age group providing a reasonable fit for the", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed3.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0806.pdf", + "query": "What do the timescales during which high-amplitude flaring events occur in blazars indicate?", + "target_page": 1, + "target_passage": "that much of the en- ergy is being produced deep within the jet on small, sub-parsec scales", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "• Mkn 421: This HBL exhibited major flaring be- \nhavior for several months in 2008. Correlations \nof the VHE and X-ray flux were observed, along \nwith spectral hardening with increased flux in \nboth bands [29]. The MWL aspect of the VERITAS blazar KSP has \nalso been highly successful. Every VERITAS obser- \nvation of a known, or newly discovered, VHE blazar \nhas been accompanied by contemporaneous MWL ob- \nservations. These data have resulted in the identifica-", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**Submillimeter Variability and the Gamma-ray Connection in Fermi**\n**Blazars**\n\nA. Strom \nUniv. of Arizona, AZ 85721, USA \nA. Siemiginowska, M. Gurwell, B. Kelly \nCfA, MA 02138, USA \n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, \n43 of which were detected by Fermi during the first three months of observations. We explore the correlation \nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special \nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de- \ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), \nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate \nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands \nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous \nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ- \nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. \nAll of the the light curves are consistent with being produced by a single process that accounts for both low \nand high states, and there is additional evidence that objects may be transitioning between blazar class during \nflaring epochs. \n\nlimeter Array 1 (SMA) at 1mm and 850µm, including \nan investigation of variable behavior and the deter- \nmination of submillimeter energy spectral indices. In \naddition, we consider the connection to the observed \nγ-ray indices and luminosities. \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n**1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring \nevents occur in blazars indicate that much of the en- \nergy is being produced deep within the jet on small, \nsub-parsec scales [1, 2]. Understanding if/how emis- \nsion differs between blazar subclasses (i.e., BL Lacs \nobjects and flat-spectrum radio quasars (FSRQs)) \nmay offer important insight into the similarity be- \nfurthermore, can provide con- \ntween blazars and, \nstraints on the formation and acceleration of the jets \nthemselves. \n\n**2. SMA BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m \nantennas located near the summit of Mauna Kea. The \nSMA is used in a variety of baseline configurations \nand typically operates in the 1mm and 850µm win- \ndows, achieving spatial resolution as fine as 0.25” at \n850µm. The sources used as phase calibrators for the \narray are compiled in a database known as the SMA \nCalibrator List2 [5]. Essentially a collection of bright \nobjects (stronger than 750 mJy at 230 GHz and 1 Jy \nat 345 GHz), these sources are monitored regularly, \nboth during science observations and dedicated ob- \nserving tracks. \n\nTo select our sample, we identified objects in the \ncalibrator list that were also classified as BL Lacs or \nFSRQs by the Candidate Gamma-Ray Blazar Sur- \nvey [6, CGRaBS]. Of the 243 total objects in the \ncalibrator list, 171 (35 BL Lacs and 136 FSRQs) \nhave positive blazar class identifications, although \nthere are three sources (J0238+166, J0428-379, and \n\n1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "tion of correlated VHE and X-ray flux variability, as \nwell as correlated spectral hardening in both the VHE \nand X-ray bands. The VHE MWL observations were \nperformed in both ”quiescent” and flaring states for \nsome of the observed blazars. For the observed HBL \nobjects, the SEDs can be well described by a simple \nSSC model in both high and low states. However, an \nadditional external Compton component is necessary \nto adequately fit the SEDs of the IBL objects. \n\norating institutions in the construction and operation \nof the instrument. \n\n**References**\n\n[1] F. Aharonian et al. 2007, ApJ, 664, L71 \n[2] F. Aharonian et al. 2006, Nature, 440, 1018 \n[3] F. Aharonian et al. 2007, A&A, 475, L9 \n[4] J. Holder, et al. 2008, AIPC, 1085, 657 \n[5] L. Costamante & G. Ghisellini 2002, A&A, 384, \n\nThe Fermi-LAT is already having a significant im- \npact on the blazar KSP. In future seasons, the VER- \nITAS blazar discovery program will focus its dis- \ncovery program on hard-spectrum blazars detected \nby Fermi-LAT, and will likely have a greater focus \non high-risk/high-reward objects at larger redshifts \n(0.3 < z < 0.7). \nIn addition, the number of VHE \nblazars studied in pre-planned MWL campaigns will \nincrease as data from the Fermi-LAT will be publicly \navailable. \nIn particular, the extensive pre-planned \nMWL campaigns will focus on objects that are note- \nworthy for the impact their data may have on under- \nstanding the EBL. The simultaneous observations of \nblazars by VERITAS and Fermi-LAT will completely \nresolve the higher-energy SED peak, often for the first \ntime, enabling unprecedented constraints on the un- \nderlying blazar phenomena to be derived. \n\n[6] E.S. Perlman 2000, AIPC, 515, 53 \n[7] F.W. Stecker et al. 1996, ApJ, 473, L75 \n[8] P. Giommi et al. 2005, A&A, 434, 385 \n[9] S. Turriziani et al. 2007, A&A, 472, 699 \n[10] L. Costamante 2006, arXiv:0612709 \n[11] P. Padovani et al. 2002, ApJ, 581, 895 \n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324 \n[13] A.A. Abdo et al. 2009, ApJ, 700, 597 \n[14] V.A. Acciari et al. 2008, ApJ, 684, L73 \n[15] V.A. Acciari et al. 2009, ApJ, 707, 612 \n[16] V.A. Acciari et al. 2009, ApJ, 690, L126 \n[17] V.A. Acciari et al. 2009, ApJ, 693, L104 \n[18] L.C. Reyes 2009, arXiv:0907.5175 \n[19] R.A. Ong 2009, ATel, 1941 \n[20] R.A. Ong et al. 2009, ATel, 2272 \n[21] V.A. Acciari et al. 2009, ApJ, 708, L100 \n[22] R.A. Ong et al. 2009, ATel, 2301 \n[23] R.A. Ong et al. 2009, ATel, 2260 \n[24] R.A. Ong et al. 2009, ATel, 2309 \n[25] W. Benbow 2009, arXiv:0908.1412 \n[26] V.A. Acciari et al. 2009, ApJ, submitted \n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370 \n[28] V.A. Acciari et al. 2009, ApJ, in press \n[29] J. Grube 2009, arXiv:0907.4862 \n\n**Acknowledgments**\n\nThis research is supported by grants from the US \nDepartment of Energy, the US National Science Foun- \ndation, and the Smithsonian Institution, by NSERC in \nCanada, by Science Foundation Ireland, and by STFC \nin the UK. We acknowledge the excellent work of the \ntechnical support staff at the FLWO and the collab-", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\ndetailed variability analysis for one of two reasons: \n(1) too few data points or (2) flux measurement un- \ncertainties on the order of the amplitude of observed \nvariability. It is important to note that, due to dis- \ncrepancies between the sampling frequency in both \nbands, the variability indices for the 850µm band may \nbe artificially depressed due to the fact that there are \nnot always corresponding measurements at higher fre- \nquencies during flaring epochs. \n\nWe follow the method of Kelly et al. [9], who model \nquasar optical light curves as a continuous time first- \norder autoregressive process (CAR(1)) in order to ex- \ntract characteristic time scales and the amplitude of \nflux variations. Although flaring behavior is not typi- \ncally thought of as an autoregressive process, we find \nthat the light curves are well-fit by the models and \ntherefore adopt the method here to study blazar sub- \nmillimeter light curves. \n\nFigure 3: Characteristic timescale (days) versus \nsubmillimeter luminosity (erg s−1) in the 1mm band for \nall objects. Physically, τ represents a “relaxation \ntimescale”, the timescale beyond which events are no \nlonger correlated. \n\nThe CAR(1) process is described by a stochastic \ndifferential equation [9], \n\n√ \n\n1 \nτ \ndS(t) = S(t) dt + σ dt (cid:15) (t) + b dt, (3) \n\nboth classes extending across a large range in τ . Be- \ncause of the uncertainty for objects with shorter char- \nacteristic timescales, it is hard to draw any definitive \nconclusions about the differences between classes. It \nis important to note that τ does not necessarily rep- \nresent a flaring timescale, which is a behavior that \ntypically operates on a scale of ∼10–100 days and not \non the longer timescales we see in τ . \n\n(4) \n\nIn equations 3 and 4, τ is called the “relaxation \ntime” of the process S(t) and is identified by the \nbreak in PX (f ). The power spectrum appears flat \nfor timescales longer than this and falls off as 1/f 2 for \ntimescales shorter than the characteristic timescale of \nthe process. **4. CONNECTION WITH GAMMA-RAYS**\n\nTaking the logarithm of the blazar light curve (in \nJy) to be S(t), we adopt τ (in days) as the character- \nistic timescale of variability, after which the physical \nprocess “forgets” about what has happened at time \nlags of greater than τ . The two other relevant pa- \nrameters, σ and µ = b/a, are the overall amplitude \nof variability and the logarithm of mean value of the \nlight curve, respectively. \n\nIn the routine, we construct an autoregressive \nmodel for the light curves for a minimum of 100,000 \niterations and calculate the value of τ from the break \nin the power spectrum in each instance. Due to the \nlimited number of observations in the 850µm band, \nwe performed this autoregressive analysis only for the \n1mm light curves, which typically have more than 10 \npoints per light curve. \n\nIn general, we find that in the submillimeter, we \nare observing these blazars at or near the peak of the \nsynchrotron component (αS ∼ 0), but that Fermi - \ndetected sources have more negative energy spectral \nindices overall than Fermi -nondetected sources. \nIn \nFigure 4, we see that while the majority of Fermi \nblazars are observed on the rising part of the syn- \nchrotron component (at lower energies than the peak), \nall of the objects have very steeply falling γ-ray energy \nspectral indexes, putting the γ-ray peak at lower en- \nergies than the observed Fermi band. Knowing that \nwe are not observing the synchrotron and γ-ray com- \nponents at analagous points in the spectrum may al- \nlow us to better understand the magnetic field in the \nparsec-scale jet region and the population of external \nphotons that is being upscattered to γ-rays. \n\nThis method yielded some surprising results. \nIn \nFigure 3, we see that the BL Lacs and FSRQs exhibit \nvirtually no difference in characteristic timescale, with", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the \nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, \nwhere the blazars are more distributed around αS ∼ 0. \n\nas the presence of SSC versus ERC. Here, we use sub- \nmillimeter luminosity as a proxy for jet power, which \nis correlated with the integrated luminosity of the syn- \nchrotron component. Elevated γ-ray luminosity with \nrespect to the synchrotron component (which is often \nseen in FSRQs) suggests the upscattering of external \nphotons off the synchrotron-emitting electrons. These \nobjects should occupy the upper right of the ratio/jet \npower plot, and BL Lacs, which generally exhibit com- \nponents with roughly comparable luminosities, should \noccupy the lower left. It is clear from the figure, how- \never, that many FSRQs exhibit ratios similar to those \nof the BL Lacs and vis versa. \n\nlow luminosity ratios and high luminosity, which sug- \ngest they may be undergoing the same changes as 3C \n454.3. A possible interpretation of the elevated lumi- \nnosity ratios observed in some BL Lacs objects is that \nthere has been a dramatic increase in γ-ray luminos- \nity due to ERC, which would not be reflected in the \nsynchrotron component. \n\n**5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub- \nmillimeter is to study behavior close to the central \nengine, where the jet material is presumably still be- \ning accelerated. The separate emission processes that \ncontribute to overall SED may present differently in \nBL Lacs and FSRQs, allowing us to understand the \nsimilarities and differences between blazar types. We \nhave investigated these differences between objects in \nterms of submillimeter behavior and, in conclusion, \nfind that \n\n• The SMA blazars exhibit submillimeter energy \nindexes that follow the spectral se- \nspectral \nquence interpretation of blazars. \n\n[10] report that, during its flaring \nepochs, 3C 454.3 transitions from its typical FSRQ \nstate to a more BL Lac-like state, where the syn- \nchrotron component emits much more strongly com- \npared to the γ-ray component than during its “low \nstate”. 3C 454.3, which is the highest submillime- \nter luminosity FSRQ in our sample, would then shift \ndown and to the right in Figure 5 when it enters a \nflaring period. For the first three months of the Fermi \nmission, 3C 454.3 was not flaring, which may explain \nits present location in Figure 5. The three objects for \nwhich there is a type discrepancy between CGRaBS \nand LBAS are all FSRQs (in CGRaBS) and exhibit \n\nSikora et al. \n\neConf C091122", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0806.pdf" + }, + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n12-25 keV band, where the flux initially rose to about \n240 mCrab (2009 Oct 25-28), suddenly dropped to \nnon-detectable on 2009 October 29-30, then rose again \nduring the period 2009 October 31 to November 2. As \nof mid December 2009, the source remains in a high \nintensity state. The light curve is shown for the pe- \nriod MJD 54700-55200, again with 1-day resolution, \nin Fig. 8. The fluxes for XTE J1752-223 in Table 1 \nare given are for the interval of flaring activity, TJD \n55130-55180. \n\n\n\nThis work is supported by the NASA Fermi Guest \nInvestigator program. At LSU, additional support is \nprovided by NASA/Louisiana Board of Regents Co- \noperative Agreement NNX07AT62A. \nFIG. 8: XTEJ1752-223 light curve. Horizontal scale is in \nmodified Julian days. \n\n[1] C. Meegan et al., Ap. J. 702, 791 (2009). \n[2] C. Wilson-Hodge et al. (2010), these proceedings. \n[3] B. A. Harmon et al., Ap. J. Suppl. 138, 149 (2002). \n[4] B. A. Harmon et al., Ap. J. Suppl. 154, 585 (2004). \n[5] G. L. Case et al., in The First GLAST Symposium, \nedited by S. Ritz, P. Michelson, and C. Meegan \n(2007), vol. 921 of AIP Conf. Proceedings, p. 538. \n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub- \n\n(1998). \n\n[10] M. McConnell et al., Ap. J. 523, 928 (2000). \n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. \nAstrophys. Suppl. 5, 80 (2005). \n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. \n5, 341 (2005). \n\n[13] L. Bouchet et al., Ap. J. 693, 1871 (2009). \n[14] M. C. Bell et al., Ap. J. 659, 549 (2007). \n[15] G. L. Case et al. (2010), to be submitted. \n[16] C. Wilson-Hodge et al., Astron. Telegram 2280 \nlished), astro-ph/0903.3037. \n[7] J. C. Ling and W. A. Wheaton, Ap. J. 598, 334 \n(2003). (2009). \n\n[8] E. Jourdain and J. P. Roques, Ap. J. 704, 17 (2009). \n[9] H. Steinle et al., Astron. and Astrophys. 330, 97", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0955.pdf" + }, + { + "text": "**4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are \nlargely high-frequency-peaked BL Lac objects. How- \never, the program also includes IBLs (intermediate- \npeaked) and LBLs (low-peaked), as well as flat spec- \ntrum radio quasars (FSRQs), in an attempt to in- \ncrease the types of blazars known to emit VHE γ-rays. \nThe observed targets are drawn from a target list con- \ntaining objects visible to the telescopes at reasonable \nzenith angles (−8◦ < δ < 72◦), without a previously \npublished VHE limit below 1.5% Crab, and with a \nmeasured redshift z < 0.3. To further the study of the \n\nVHE emission from 3C 66A was discovered by VER- \nITAS in September 2008 [17] during a flaring episode \nthat was also observed by the Fermi-LAT [18]. The \nobserved flux above 200 GeV was 6% of the Crab Neb- \nula flux and the measured VHE spectrum was very \nsoft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0806.pdf", + "query": "Where is the Submillimeter Array?", + "target_page": 1, + "target_passage": "near the summit of Mauna Ke", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**Submillimeter Variability and the Gamma-ray Connection in Fermi**\n**Blazars**\n\nA. Strom \nUniv. of Arizona, AZ 85721, USA \nA. Siemiginowska, M. Gurwell, B. Kelly \nCfA, MA 02138, USA \n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, \n43 of which were detected by Fermi during the first three months of observations. We explore the correlation \nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special \nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de- \ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), \nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate \nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands \nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous \nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ- \nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. \nAll of the the light curves are consistent with being produced by a single process that accounts for both low \nand high states, and there is additional evidence that objects may be transitioning between blazar class during \nflaring epochs. \n\nlimeter Array 1 (SMA) at 1mm and 850µm, including \nan investigation of variable behavior and the deter- \nmination of submillimeter energy spectral indices. In \naddition, we consider the connection to the observed \nγ-ray indices and luminosities. \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n**1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring \nevents occur in blazars indicate that much of the en- \nergy is being produced deep within the jet on small, \nsub-parsec scales [1, 2]. Understanding if/how emis- \nsion differs between blazar subclasses (i.e., BL Lacs \nobjects and flat-spectrum radio quasars (FSRQs)) \nmay offer important insight into the similarity be- \nfurthermore, can provide con- \ntween blazars and, \nstraints on the formation and acceleration of the jets \nthemselves. \n\n**2. SMA BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m \nantennas located near the summit of Mauna Kea. The \nSMA is used in a variety of baseline configurations \nand typically operates in the 1mm and 850µm win- \ndows, achieving spatial resolution as fine as 0.25” at \n850µm. The sources used as phase calibrators for the \narray are compiled in a database known as the SMA \nCalibrator List2 [5]. Essentially a collection of bright \nobjects (stronger than 750 mJy at 230 GHz and 1 Jy \nat 345 GHz), these sources are monitored regularly, \nboth during science observations and dedicated ob- \nserving tracks. \n\nTo select our sample, we identified objects in the \ncalibrator list that were also classified as BL Lacs or \nFSRQs by the Candidate Gamma-Ray Blazar Sur- \nvey [6, CGRaBS]. Of the 243 total objects in the \ncalibrator list, 171 (35 BL Lacs and 136 FSRQs) \nhave positive blazar class identifications, although \nthere are three sources (J0238+166, J0428-379, and \n\n1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nFor the synchrotron component of blazar spectra, \nthe low-frequency spectral break due to synchrotron \nself-absorption moves to higher frequencies as one \nmeasures closer to the base of the jet [2]. This of- \nten places the peak of the spectrum in the millime- \nter and submillimeter bands, where the emission is \noptically-thin and originates on parsec and sub-parsec \nscales [3], allowing direct observation of the most com- \npact regions near the central engine. The high en- \nergy γ-ray emission originates as a Compton process, \ntypically a combination of synchrotron-self-Compton \n(SSC) and external-radiation-Compton (ERC). De- \npending on the source properties, the synchrotron \nphotons or external photons are upscattered by the \nsame population of electrons that emit the millimeter \nand submillimeter spectra. Therefore the submillime- \nter and γ-ray emission are closely linked and give the \nfull information about the source emission. \n\nA systematic study of the submillimeter properties \nof the entire sample of Fermi blazars has yet to be con- \nducted and is one of the primary goals of our work. We \npresent here preliminary analysis of the submillimeter \nproperties of Fermi blazars detected by the Submil- \n1The Submillimeter Array is a joint project between the \nSmithsonian Astrophysical Observatory and the Academia \nSinica Institute of Astronomy and Astrophysics and is funded \nby the Smithsonian Institution and the Academia Sinica. \n2http://sma1.sma.hawaii.edu/callist/callist.html \n\neConf C091122", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the \nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, \nwhere the blazars are more distributed around αS ∼ 0. \n\nas the presence of SSC versus ERC. Here, we use sub- \nmillimeter luminosity as a proxy for jet power, which \nis correlated with the integrated luminosity of the syn- \nchrotron component. Elevated γ-ray luminosity with \nrespect to the synchrotron component (which is often \nseen in FSRQs) suggests the upscattering of external \nphotons off the synchrotron-emitting electrons. These \nobjects should occupy the upper right of the ratio/jet \npower plot, and BL Lacs, which generally exhibit com- \nponents with roughly comparable luminosities, should \noccupy the lower left. It is clear from the figure, how- \never, that many FSRQs exhibit ratios similar to those \nof the BL Lacs and vis versa. \n\nlow luminosity ratios and high luminosity, which sug- \ngest they may be undergoing the same changes as 3C \n454.3. A possible interpretation of the elevated lumi- \nnosity ratios observed in some BL Lacs objects is that \nthere has been a dramatic increase in γ-ray luminos- \nity due to ERC, which would not be reflected in the \nsynchrotron component. \n\n**5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub- \nmillimeter is to study behavior close to the central \nengine, where the jet material is presumably still be- \ning accelerated. The separate emission processes that \ncontribute to overall SED may present differently in \nBL Lacs and FSRQs, allowing us to understand the \nsimilarities and differences between blazar types. We \nhave investigated these differences between objects in \nterms of submillimeter behavior and, in conclusion, \nfind that \n\n• The SMA blazars exhibit submillimeter energy \nindexes that follow the spectral se- \nspectral \nquence interpretation of blazars. \n\n[10] report that, during its flaring \nepochs, 3C 454.3 transitions from its typical FSRQ \nstate to a more BL Lac-like state, where the syn- \nchrotron component emits much more strongly com- \npared to the γ-ray component than during its “low \nstate”. 3C 454.3, which is the highest submillime- \nter luminosity FSRQ in our sample, would then shift \ndown and to the right in Figure 5 when it enters a \nflaring period. For the first three months of the Fermi \nmission, 3C 454.3 was not flaring, which may explain \nits present location in Figure 5. The three objects for \nwhich there is a type discrepancy between CGRaBS \nand LBAS are all FSRQs (in CGRaBS) and exhibit \n\nSikora et al. \n\neConf C091122", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0806.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n12-25 keV band, where the flux initially rose to about \n240 mCrab (2009 Oct 25-28), suddenly dropped to \nnon-detectable on 2009 October 29-30, then rose again \nduring the period 2009 October 31 to November 2. As \nof mid December 2009, the source remains in a high \nintensity state. The light curve is shown for the pe- \nriod MJD 54700-55200, again with 1-day resolution, \nin Fig. 8. The fluxes for XTE J1752-223 in Table 1 \nare given are for the interval of flaring activity, TJD \n55130-55180. \n\n\n\nThis work is supported by the NASA Fermi Guest \nInvestigator program. At LSU, additional support is \nprovided by NASA/Louisiana Board of Regents Co- \noperative Agreement NNX07AT62A. \nFIG. 8: XTEJ1752-223 light curve. Horizontal scale is in \nmodified Julian days. \n\n[1] C. Meegan et al., Ap. J. 702, 791 (2009). \n[2] C. Wilson-Hodge et al. (2010), these proceedings. \n[3] B. A. Harmon et al., Ap. J. Suppl. 138, 149 (2002). \n[4] B. A. Harmon et al., Ap. J. Suppl. 154, 585 (2004). \n[5] G. L. Case et al., in The First GLAST Symposium, \nedited by S. Ritz, P. Michelson, and C. Meegan \n(2007), vol. 921 of AIP Conf. Proceedings, p. 538. \n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub- \n\n(1998). \n\n[10] M. McConnell et al., Ap. J. 523, 928 (2000). \n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. \nAstrophys. Suppl. 5, 80 (2005). \n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. \n5, 341 (2005). \n\n[13] L. Bouchet et al., Ap. J. 693, 1871 (2009). \n[14] M. C. Bell et al., Ap. J. 659, 549 (2007). \n[15] G. L. Case et al. (2010), to be submitted. \n[16] C. Wilson-Hodge et al., Astron. Telegram 2280 \nlished), astro-ph/0903.3037. \n[7] J. C. Ling and W. A. Wheaton, Ap. J. 598, 334 \n(2003). (2009). \n\n[8] E. Jourdain and J. P. Roques, Ap. J. 704, 17 (2009). \n[9] H. Steinle et al., Astron. and Astrophys. 330, 97", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0955.pdf" + }, + { + "text": "2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. \nBorchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. \nRev. Lett. 101, 237202 (2008). \n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. \nRossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, \nPhys. Rev. Lett. 101, 267201 (2008). \n\n8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, \nC. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crys- \ntal Growth 247, 42 (2003). \n\n9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, \nM. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, \nand C. H. Back, Phys. Rev. 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Sette, and G. van der Laan, \nPhys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, \nM. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993). \n15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds, \n\n6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 \n(2005). \n7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2449.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration \nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, \nUSA \n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is \nused to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is \ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration’s Key \nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class \nof identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which \nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE \nexposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including \n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected \nresults are presented. \n0 \n1 \n0 \n2 \n\nn \na \nJ \n**1. Introduction**\n\n5 \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\nvations of VHE blazars, can measure both SED peaks \nand are crucial for extracting information from the \nobservations of VHE blazars. They are used to con- \nstrain the size, magnetic field and Doppler factor of \nthe emission region, as well as to determine the origin \n(leptonic or hadronic) of the VHE γ-rays. In leptonic \nscenarios, such MWL observations are used to mea- \nsure the spectrum of high-energy electrons producing \nthe emission, as well as to elucidate the nature of the \nseed photons. Additionally, an accurate measure of \nthe cosmological EBL density requires accurate mod- \neling of the blazar’s intrinsic VHE emission that can \nonly be performed with contemporaneous MWL ob- \nservations. \n\nActive galactic nuclei are the most numerous class \nof identified VHE γ-ray sources. These objects emit \nnon-thermal radiation across ∼20 orders of magnitude \nin energy and rank among the most powerful particle \naccelerators in the universe. A small fraction of AGN \npossess strong collimated outflows (jets) powered by \naccretion onto a supermassive black hole (SMBH). \nVHE γ-ray emission can be generated in these jets, \nlikely in a compact region very near the SMBH event \nhorizon. Blazars, a class of AGN with jets pointed \nalong the line-of-sight to the observer, are of par- \nticular interest in the VHE regime. Approximately \n30 blazars, primarily high-frequency-peaked BL Lacs \n(HBL), are identified as sources of VHE γ-rays, and \nsome are spectacularly variable on time scales com- \nparable to the light crossing time of their SMBH (∼2 \nmin; [1]). VHE blazar studies probe the environment \nvery near the central SMBH and address a wide range \nof physical phenomena, including the accretion and \njet-formation processes. These studies also have cos- \nmological implications, as VHE blazar data can be \nused to strongly constrain primordial radiation fields \n(see the extragalactic background light (EBL) con- \nstraints from, e.g., [2, 3]). \n\n**2. VERITAS**\n\nfour 12-m \natmospheric-Cherenkov telescopes located in Arizona, \nis used to study VHE γ-rays from a variety of astro- \nphysical sources [4]. VERITAS began scientific obser- \nvations with a partial array in September 2006 and has \nroutinely observed with the full array since Septem- \nber 2007. The performance metrics of VERITAS in- \nclude an energy threshold of ∼100 GeV, an energy \nresolution of ∼15%, an angular resolution of ∼0.1◦, \nand a sensitivity yielding a 5σ detection of a 1% Crab \nNebula flux object in <30 hours1. VERITAS has an \nactive maintenance program (e.g. frequent mirror re- \ncoating and alignment) to ensure its continued high \nperformance over time, and an upgrade improving \nboth the camera (higher quantum-efficiency PMTs) \nand the trigger system has been proposed to the fund- \ning agencies.", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0770.pdf" + }, + { + "text": "(z = 0.341) detected in the VHE band. In addition, \nVER J0521+211, likely associated with the radio-loud \nAGN RGB J0521.8+2112, was detected by VERTAS \nin ∼4 h of observations in October 2009 [23]. These \nobservations were motivated by its identification as a \n>30 GeV γ-ray source in the public Fermi-LAT data. \nIts VHE flux is 5% of the Crab Nebula flux, placing it \namong the brightest VHE blazars detected in recent \nyears. VERITAS later observed even brighter VHE \nflaring from VER J0521+211 in November 2009 [24], \nleading to deeper VHE observations. \n\nTable I VERITAS AGN Detections. The only non-blazar \nobject is the radio galaxy M 87. The blazars discovered \nat VHE by VERITAS are marked with a dagger. \n\nObject Class Redshift \n\nFR I \nHBL \nHBL \n1ES 2344+514 HBL \n1ES 1959+650 HBL \nIBL \nRGB J0710+591† HBL \nHBL \n1ES 0806+524† HBL \n1ES 0229+200 HBL \n1ES 1218+304 HBL \nHBL \n1ES 0502+675† HBL \nIBL \nIBL \n? \n\nM 87 \nMkn 421 \nMkn 501 \n\nW Comae† \n\n0.004 \n0.030 \n0.034 \n0.044 \n0.047 \n0.102 \n0.125 \n0.129 \n0.138 \n0.139 \n0.182 \n0.190 \n0.341 \n0.444? \n? \n? \n\nH 1426+428 \n**6. Blazars Upper Limits**\n\nRBS 0413† \n\n3C 66A† \nPKS 1424+240† \nVER J0521+211† \n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) \nduring VERITAS observations from December 2008 \nto March 2009. The initial announcement of the VHE \ndiscovery [19] led to its discovery above 1 GeV in the \nFermi-LAT data using a special analysis. RBS 0413, \na relatively distant HBL (z=0.19), was observed for \n16 h good-quality live time in 2008-092. These data \nresulted in the discovery of VHE gamma-rays (>270γ, \n∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Neb- \nula flux. The discovery [20] was announced simultane- \nously with the LAT MeV-GeV detection. The VHE \nand other MWL observations, including Fermi-LAT \ndata, for each of these three sources will be the sub- \nject of a joint publication involving both the VERI- \nTAS and LAT collaborations. \n\nMore than 50 VHE blazar candidates were observed \nby VERITAS between September 2007 and June 2009. \nThe total exposure on the 49 non-detected candi- \ndates is ∼305 h live time (average of 6.2 h per can- \ndidate). Approximately 55% of the total exposure is \nsplit amongst the 27 observed HBL. The remainder is \ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9 \nFSRQ (13%). There are no clear indications of signifi- \ncant VHE γ-ray emission from any of these 49 blazars \n[25]. However, the observed significance distribution is \nclearly skewed towards positive values (see Figure 1). \nA stacking analysis performed on the entire data sam- \nple shows an overall excess of 430 γ-rays, correspond- \ning to a statistical significance of 4.8σ, observed from \nthe directions of the candidate blazars. The IBL and \nHBL targets make up 96% of the observed excess. Ob- \nservations of these objects also comprise ∼80% of the \ntotal exposure. An identical stacked analysis of all \nthe extragalactic non-blazar targets observed, but not \nclearly detected (>5σ), by VERITAS does not show \na significant excess (∼120 h exposure). The stacked \nexcess persists using alternate methods for estimating \nthe background at each blazar location, and with dif- \nferent event selection criteria (e.g. soft cuts optimized \nfor sources with ΓVHE > 4). The distribution of VHE \nflux upper limits is shown in Figure 1. These 49 VHE \nflux upper limits are generally the most-constraining \never reported for these objects. \n\n**5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by \nVERITAS of three blazars was motivated primarily \nby results from the first year of LAT data taking. In \nparticular, the VHE detections of PKS 1424+240 [21] \nand 1ES 0502+675 [22] were the result of VERITAS \nobservations triggered by the inclusion of these objects \nin the Fermi-LAT Bright AGN List [13]. The former \nis only the third IBL known to emit VHE gamma- \nrays, and the latter is the most distant BL Lac object \n\n**7. Multi-wavelength Studies of VHE**\n**Blazars**", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + } + ] + }, + { + "references": { + "source_file": "1001.0806.pdf", + "query": "How many blazars were observed by the SMA in either band during the three months August-October 2008?", + "target_page": 2, + "target_passage": "only 129 of the SMA blazars", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "**7. Multi-wavelength Studies of VHE**\n**Blazars**\n\nDuring the first three seasons of VERITAS obser- \nvations, pre-planned extensive MWL campaigns were \norganized for three blazars 1ES 2344+514 (2007-08), \n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- \n10 - ongoing). \nIn addition, numerous ToO MWL- \nobservation campaigns were performed. These include \ncampaigns for every blazar/AGN discovered by VER- \nITAS, and all include Swift (XRT and UVOT) data. \nAll MWL campaigns on the VHE blazars discovered 2RBS 0413 was observed further by VERITAS in Fall 2009. \n\neConf C091122", + "page_start": 2, + "page_end": 2, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**Submillimeter Variability and the Gamma-ray Connection in Fermi**\n**Blazars**\n\nA. Strom \nUniv. of Arizona, AZ 85721, USA \nA. Siemiginowska, M. Gurwell, B. Kelly \nCfA, MA 02138, USA \n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, \n43 of which were detected by Fermi during the first three months of observations. We explore the correlation \nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special \nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de- \ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), \nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate \nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands \nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous \nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ- \nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. \nAll of the the light curves are consistent with being produced by a single process that accounts for both low \nand high states, and there is additional evidence that objects may be transitioning between blazar class during \nflaring epochs. \n\nlimeter Array 1 (SMA) at 1mm and 850µm, including \nan investigation of variable behavior and the deter- \nmination of submillimeter energy spectral indices. In \naddition, we consider the connection to the observed \nγ-ray indices and luminosities. \n\n] \nE \nH \n. \nh \np \n- \no \nr \nt \ns \na \n[ \n\n**1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring \nevents occur in blazars indicate that much of the en- \nergy is being produced deep within the jet on small, \nsub-parsec scales [1, 2]. Understanding if/how emis- \nsion differs between blazar subclasses (i.e., BL Lacs \nobjects and flat-spectrum radio quasars (FSRQs)) \nmay offer important insight into the similarity be- \nfurthermore, can provide con- \ntween blazars and, \nstraints on the formation and acceleration of the jets \nthemselves. \n\n**2. SMA BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m \nantennas located near the summit of Mauna Kea. The \nSMA is used in a variety of baseline configurations \nand typically operates in the 1mm and 850µm win- \ndows, achieving spatial resolution as fine as 0.25” at \n850µm. The sources used as phase calibrators for the \narray are compiled in a database known as the SMA \nCalibrator List2 [5]. Essentially a collection of bright \nobjects (stronger than 750 mJy at 230 GHz and 1 Jy \nat 345 GHz), these sources are monitored regularly, \nboth during science observations and dedicated ob- \nserving tracks. \n\nTo select our sample, we identified objects in the \ncalibrator list that were also classified as BL Lacs or \nFSRQs by the Candidate Gamma-Ray Blazar Sur- \nvey [6, CGRaBS]. Of the 243 total objects in the \ncalibrator list, 171 (35 BL Lacs and 136 FSRQs) \nhave positive blazar class identifications, although \nthere are three sources (J0238+166, J0428-379, and \n\n1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "J1751+096) which have conflicting classifications be- \ntween Fermi and CGRaBS. Some blazars found in the \ncalibrator list have been studied extensively (e.g., 3C \n279 and 3C 454.3) but the SMA blazars have not been \nstudied collectively. \n\nFigure 2: Variability index for our sample (top: 1mm, \nbottom: 850µm), with FSRQs as the hatched \ndistribution and BL Lacs as the solid distribution. There \nis no signicant difference in the class distributions in \neither band; the “tail” to the left is populated by objects \nwith errors larger than the intrinsic variability. \n\nForty-four of the objects in our total blazar sample \nwere detected by Fermi and can be found in the cata- \nlog of LAT Bright AGN Sources (LBAS) from Abdo et \nal. [7]. J0050-094 has no redshift in either the LBAS \ncatalog or CGRaBS and is not included in our study. \nOf the 43 remaining sources, 14 are BL Lac objects \nand 29 are FSRQs, with 0.03 ≤ z ≤ 2.19. \n\nflux (in erg cm−2 s−1 Hz−1) over the three month pe- \nriod. We adopt a lambda cold dark matter cosmology \nwith values of H0 = 71 km s−1 Mpc−1, ΩM = 0.27, \nand Λ = 0.73. \n\nWe examined submillimeter light curves for all of \nthe SMA blazars, with observations beginning in ap- \nproximately 2003 (see Figure 1). Typically, the 1mm \nband is much more well-sampled in comparison to the \n850m band, but visual inspection reveals that the reg- \nularity and quality of observations vary greatly from \nsource to source. Many of the objects exhibit non- \nperiodic variability, either in the form of persistent, \nlow-amplitude fluctuations or higher amplitude flar- \ning behavior. \nEnergy Spectral Indices. We derive submillime- \nter spectral energy indices from observations quasi- \nsimultaneous with the Fermi observations. To be con- \nsistent with the use of αγ, we define spectral energy in- \ndex as νFν = ν−αS and calculate αS from the average \nof the energy spectral indices over the corresponding \nthree months. We only calculate αS for the 16 objects \n(8 BL Lacs and 35 FSRQs) with observations at both \n1mm and 850µm during this time frame. \n\n**2.1. Submillimeter Properties**\n\n**3. VARIABILITY ANALYSIS**\n\nSubmillimeter Luminosities. Since we are pri- \nmarily concerned with comparisons to Fermi observa- \ntions, we note that only 129 of the SMA blazars (23 BL \nLacs and 106 FSRQs) were observed by the SMA in \neither band during the three months August-October \n2008. For these objects, submillimeter luminosities \nare calculated in the standard way: \n\n**3.1. Variability Index**\n\nWe roughly characterize the level of variability of \neach source using the variability index from Hovatta \net al. [8]: \n\n(Fmax − σFmax) − (Fmin + σFmin) \n(Fmax − σFmax) + (Fmin + σFmin) \nνobsFobs \n1 + z \nV = (2) \n\nwhere DL is the luminosity distance, νobs is the fre- \nquency of the observed band, and Fobs is the average Figure 2 shows the distribution for the SMA blazars. \nObjects with V ≤ 0 are typically unsuitable for more \n\neConf C091122", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the \nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, \nwhere the blazars are more distributed around αS ∼ 0. \n\nas the presence of SSC versus ERC. Here, we use sub- \nmillimeter luminosity as a proxy for jet power, which \nis correlated with the integrated luminosity of the syn- \nchrotron component. Elevated γ-ray luminosity with \nrespect to the synchrotron component (which is often \nseen in FSRQs) suggests the upscattering of external \nphotons off the synchrotron-emitting electrons. These \nobjects should occupy the upper right of the ratio/jet \npower plot, and BL Lacs, which generally exhibit com- \nponents with roughly comparable luminosities, should \noccupy the lower left. It is clear from the figure, how- \never, that many FSRQs exhibit ratios similar to those \nof the BL Lacs and vis versa. \n\nlow luminosity ratios and high luminosity, which sug- \ngest they may be undergoing the same changes as 3C \n454.3. A possible interpretation of the elevated lumi- \nnosity ratios observed in some BL Lacs objects is that \nthere has been a dramatic increase in γ-ray luminos- \nity due to ERC, which would not be reflected in the \nsynchrotron component. \n\n**5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub- \nmillimeter is to study behavior close to the central \nengine, where the jet material is presumably still be- \ning accelerated. The separate emission processes that \ncontribute to overall SED may present differently in \nBL Lacs and FSRQs, allowing us to understand the \nsimilarities and differences between blazar types. We \nhave investigated these differences between objects in \nterms of submillimeter behavior and, in conclusion, \nfind that \n\n• The SMA blazars exhibit submillimeter energy \nindexes that follow the spectral se- \nspectral \nquence interpretation of blazars. \n\n[10] report that, during its flaring \nepochs, 3C 454.3 transitions from its typical FSRQ \nstate to a more BL Lac-like state, where the syn- \nchrotron component emits much more strongly com- \npared to the γ-ray component than during its “low \nstate”. 3C 454.3, which is the highest submillime- \nter luminosity FSRQ in our sample, would then shift \ndown and to the right in Figure 5 when it enters a \nflaring period. For the first three months of the Fermi \nmission, 3C 454.3 was not flaring, which may explain \nits present location in Figure 5. The three objects for \nwhich there is a type discrepancy between CGRaBS \nand LBAS are all FSRQs (in CGRaBS) and exhibit \n\nSikora et al. \n\neConf C091122", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0806.pdf" + }, + { + "text": "1 \nv \n6 \n0 \n8 \n0 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na \n\nFor the synchrotron component of blazar spectra, \nthe low-frequency spectral break due to synchrotron \nself-absorption moves to higher frequencies as one \nmeasures closer to the base of the jet [2]. This of- \nten places the peak of the spectrum in the millime- \nter and submillimeter bands, where the emission is \noptically-thin and originates on parsec and sub-parsec \nscales [3], allowing direct observation of the most com- \npact regions near the central engine. The high en- \nergy γ-ray emission originates as a Compton process, \ntypically a combination of synchrotron-self-Compton \n(SSC) and external-radiation-Compton (ERC). De- \npending on the source properties, the synchrotron \nphotons or external photons are upscattered by the \nsame population of electrons that emit the millimeter \nand submillimeter spectra. Therefore the submillime- \nter and γ-ray emission are closely linked and give the \nfull information about the source emission. \n\nA systematic study of the submillimeter properties \nof the entire sample of Fermi blazars has yet to be con- \nducted and is one of the primary goals of our work. We \npresent here preliminary analysis of the submillimeter \nproperties of Fermi blazars detected by the Submil- \n1The Submillimeter Array is a joint project between the \nSmithsonian Astrophysical Observatory and the Academia \nSinica Institute of Astronomy and Astrophysics and is funded \nby the Smithsonian Institution and the Academia Sinica. \n2http://sma1.sma.hawaii.edu/callist/callist.html \n\neConf C091122", + "page_start": 0, + "page_end": 0, + "source_file": "1001.0806.pdf" + }, + { + "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this \nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower \nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot. \n\n• BL Lacs and FSRQs do not exhibit significant \ndifferences in amplitude of submillimeter vari- \nability or characteristic timescale, but our sam- \nple of BL Lacs may be dominated by high- \npeaked BL Lacs (HBLs), which exhibit obser- \nvational similarities with FSRQs. \n\nLacs and FSRQs. One avenue for exploring this dif- \nference is to monitor changing submillimeter energy \nspectral index and the ratio of γ-ray to submillime- \nter luminosity as functions of time. The full mean- \ning of the results of our autoregressive method is not \nyet clear, and will require better-sampled blazar light \ncurves and the comparison between τrest with physical \ntimescales such as the synchrotron cooling timescale. \nThese analyses would allow us to place constraints \non the processes occurring near the base of the jet in \nblazars and further understand the intimate connec- \ntion between them. \n\n• Blazar submillimeter light curves are consistent \nwith being produced by a single process that ac- \ncounts for both high and low states, with char- \nacteristic timescales 10 < τrest < 500 days. \n\n• The blazars detected by Fermi have synchrotron \npeaks at higher frequencies, regardless of sub- \nmillimeter luminosity. \n\n**Acknowledgments**\n\n• FSRQs exhibit higher ratios of γ-ray to sub- \nmillimeter luminosity than BL Lacs (Figure 5), \nbut all objects inhabit a region of parameter \nspace suggesting transitions between states dur- \ning flaring epochs. \n\nThis work was supported in part by the NSF \nREU and DoD ASSURE programs under Grant no. \n0754568 and by the Smithsonian Institution. Par- \ntial support was also provided by NASA contract \nNAS8-39073 and NASA grant NNX07AQ55G. We \nhave made use of the SIMBAD database, operated at \nCDS, Strasbourg, France, and the NASA/IPAC Ex- \ntragalactic Database (NED) which is operated by the \nJPL, Caltech, under contract with NASA. As Fermi continues to observe fainter sources, the \nsample of objects for which we can perform this type of \nanalysis will increase and provide better limits on our \nresults. To understand the physical relevance of these \nresults, however, it is important to be able to distin- \nguish between the difference in variability between BL \n\neConf C091122", + "page_start": 4, + "page_end": 4, + "source_file": "1001.0806.pdf" + }, + { + "text": "**18**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**16**\n**14**\n**12**\n**10**\n**8**\n**6**\n**4**\n**2**\n**0**\n**0** **2** **4** **6** **8** **10** **12** **14**\n**Crab Flux %**\n\n**12**\n\n**s**\n**e**\n**i**\n**r**\n**t**\n**n**\n**E**\n**10**\n\n**8**\n\n**6**\n\n**4**\n\n**2**\n\n**0**\n**−5** **−4** **−3** **−2** **−1** **0** **1** **2** **3** **4**\n**5**\nσ \n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard \nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the \nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The \ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation \nthreshold. The time-weighted average limit is less than ∼2% Crab flux. \n\nsince the launch of Fermi include LAT detections. In \naddition, several MWL campaigns on the well-studied \nVHE blazars Mkn 421 and Mkn 501 (please see the \ncontributions of D. Gall and A. Konopelko in these \nproceedings) were also performed. Highlights of these \ncampaigns include: \n\n• PKS 1424+240: The broadband SED of this IBL \n(at unknown redshift) is well described by an \nSSC model favoring a redshift of less than 0.1 \n[21]. Using the photon index measured with \nFermi-LAT in combination with recent EBL ab- \nsorption models, the VERITAS data indicate \nthat the redshift of PKS 1424+240 is less than \n0.66. \n• 1ES 2344+514: A major (50% Crab) VHE flare, \nalong with correlations of the VHE and X-ray \nflux were observed from this HBL. The VHE \nand X-ray spectra harden during bright states, \nand a synchrotron self-Compton (SSC) model \ncan explain the observed SED in both the high \nand low states [26]. \n\n• 1ES 1218+304: This HBL flared during VER- \nITAS MWL observations. \nIts unusually hard \nVHE spectrum strongly constrains the EBL. \nThe observed flaring rules out kpc-scale jet emis- \nsion as the explanation of the spectral hardness \nand places the EBL constraints on more solid- \nfooting [27, 28]. \n\n**8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP \nwere highly successful. Highlights include the detec- \ntion of more than a 16 VHE blazars with the obser- \nvations almost always having contemporaneous MWL \ndata. Among these detections are 8 VHE blazar dis- \ncoveries, including the first three IBLs known to emit \nVHE γ-rays. All but a handful of the blazars on the \ninitial VERITAS discovery target list were observed, \nand the flux limits generated for those not VHE de- \ntected are generally the most-constraining ever. The \nexcess seen in the stacked blazar analysis suggests \nthat the initial direction of the VERITAS discovery \nprogram was well justified, and that follow-up obser- \nvations of many of these initial targets will result in \nVHE discoveries. In addition, the Fermi-LAT is iden- \ntifying many new compelling targets for the VERITAS \nblazar discovery program. These new candidates have \nalready resulted in 3 VHE blazar discoveries. The \nfuture of the VERITAS blazar discovery program is \nclearly very bright. \n\n• 1ES 0806+524: The observed SED of this new \nVHE HBL can be explained by an SSC model \n[16]. \n\n• W Comae: This IBL, the first discovered at \nVHE, flared twice in 2008 [14, 15]. Modeling of \nthe SED is improved by including an external- \nCompton (EC) component in an SSC interpre- \ntation. \n\n• 3C 66A: This IBL flared at VHE and MeV-GeV \nenergies in 2008[17, 18]. Similar to W Comae \nand PKS 1424+240, modeling of observed SED \nsuggests a strong EC component in addition to \nan SSC component.", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + }, + { + "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 \n\n**3. VERITAS Blazar KSP**\n\n• All nearby (z < 0.3) HBL and IBL recom- \nmended as potential VHE emitters in [5, 6, 7]. \n\n• The X-ray brightest HBL (z < 0.3) in the recent \nSedentary [8] and ROXA [9] surveys. \n\n• Several FSRQ recommended as potential VHE \nemitters in [6, 11]. \n\n• All nearby (z < 0.3) blazars detected by \n\n• All nearby (z < 0.3) blazars contained in the \nFermi-LAT Bright AGN Sample [13]. \n\n• All sources (|b| > 10◦) detected by Fermi-LAT \nwhere extrapolations of their MeV-GeV γ-ray \nspectrum (including EBL absorption; assuming \nz = 0.3 if the redshift is unknown) indicates a \npossible VERITAS detection in less than 20 h. \nThis criteria is the focus of the 2009-10 VERI- \nTAS blazar discovery program. \n\nEBL a few objects having a large (z > 0.3) are also \nincluded in the target list. The target list includes: \n\nVERITAS observes for ∼750 h and ∼250 h each \nyear during periods of astronomical darkness and par- \ntial moonlight, respectively. The moonlight observa- \ntions are almost exclusively used for a blazar discovery \nprogram, and a large fraction of the dark time is used \nfor the blazar KSP, which consists of: \n\n• Four distant (z > 0.3) BL Lac objects recom- \n\n• A VHE blazar discovery program (∼200 h / yr): \nEach year ∼10 targets are selected to receive \n∼10 h of observations each during astronomi- \ncal darkness. These data are supplemented by \ndiscovery observations during periods of partial \nmoonlight. \n\nmended by [5, 10]. \n\nEGRET [12]. \n\n• A target-of-opportunity (ToO) observation pro- \ngram (∼50 h / yr): VERITAS blazar obser- \nvations can be triggered by either a VERI- \nTAS blazar discovery, a VHE flaring alert (>2 \nCrab) from the blazar monitoring program of \nthe Whipple 10-m telescope or from another \nVHE instrument, or a lower-energy flaring alert \n(optical, X-ray or Fermi-LAT). Should the guar- \nanteed allocation be exhausted, further time can \nbe requested from a pool of director’s discre- \ntionary time. \n\n• Multi-wavelength (MWL) \n\nstudies of VHE \nblazars (∼50 h / yr + ToO): Each year one \nblazar receives a deep exposure in a pre-planned \ncampaign of extensive, simultaneous MWL (X- \nray, optical, radio) measurements. ToO observa- \ntion proposals for MWL measurements are also \nsubmitted to lower-energy observatories (e.g. \nSwift) and are triggered by a VERITAS discov- \nery or flaring alert. \n\n**5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from \n16 AGN (15 blazars), including 8 VHE discoveries. \nThese AGN are shown in Table I, and each has been \ndetected by the Large Area Telescope (LAT) instru- \nment aboard the Fermi Gamma-ray Space Telescope. \nEvery blazar discovered by VERITAS was the sub- \nject of ToO MWL observations to enable modeling of \nits simultaneously-measured SED. The known VHE \nblazars detected by VERITAS were similarly the tar- \ngets of MWL observations. \n\n• Distant VHE blazar studies to constrain the ex- \ntragalactic background light (EBL): Here dis- \ntant targets are given a higher priority in the \nblazar discovery program, as well as for the \nMWL observations of known VHE blazars, par- \nticularly those with hard VHE spectra. \n**5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov- \nered VHE emission from 2 blazars. These included \nthe first VHE-detected IBL, W Comae [14, 15], and \nthe HBL 1ES 0806+524 [16]. VERITAS has discov- \nered 6 VHE blazars since the launch of Fermi. Three \nof these were initially observed by VERITAS prior to \nthe release of Fermi-LAT results, due to the X-ray \nbrightness of the synchrotron peaks of their SEDs. \n\n**4. Blazar Discovery Program**", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "**4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are \nlargely high-frequency-peaked BL Lac objects. How- \never, the program also includes IBLs (intermediate- \npeaked) and LBLs (low-peaked), as well as flat spec- \ntrum radio quasars (FSRQs), in an attempt to in- \ncrease the types of blazars known to emit VHE γ-rays. \nThe observed targets are drawn from a target list con- \ntaining objects visible to the telescopes at reasonable \nzenith angles (−8◦ < δ < 72◦), without a previously \npublished VHE limit below 1.5% Crab, and with a \nmeasured redshift z < 0.3. To further the study of the \n\nVHE emission from 3C 66A was discovered by VER- \nITAS in September 2008 [17] during a flaring episode \nthat was also observed by the Fermi-LAT [18]. The \nobserved flux above 200 GeV was 6% of the Crab Neb- \nula flux and the measured VHE spectrum was very \nsoft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", + "page_start": 1, + "page_end": 1, + "source_file": "1001.0770.pdf" + }, + { + "text": "• Mkn 421: This HBL exhibited major flaring be- \nhavior for several months in 2008. Correlations \nof the VHE and X-ray flux were observed, along \nwith spectral hardening with increased flux in \nboth bands [29]. The MWL aspect of the VERITAS blazar KSP has \nalso been highly successful. Every VERITAS obser- \nvation of a known, or newly discovered, VHE blazar \nhas been accompanied by contemporaneous MWL ob- \nservations. These data have resulted in the identifica-", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0770.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_MRM_2000.pdf", + "query": "How big is the Mermaid fleet?", + "target_page": 12, + "target_passage": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "Captain Jim Carver, Mermaid’s founder continues to play a significant role in Mermaid’s operations, \n\npaying particular attention to our business at sea. Under 20 years of Jim’s leadership, Mermaid \n\ndeveloped an enviable reputation as a “can do” company, and in our drive for new engineering \n\nexpertise and professionalism, we have no intention of allowing that attitude to be lost. \n\nLast year we identified Broome as our next strategic position. No oil and gas work had been \n\nsupported out of Broome for seventeen years and with the valuable cooperation and assistance \n\nof the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first \n\nclient. The base was then established early this year. \n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven \n\nmonths operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support \n\nof their current drilling programs. All the holes drilled from the Broome Base have been \n\ndesignated as commercial finds by the explorers and the very major increase in the reserves at \n\nBrecknock, Woodside’s permit 500 kilometres north of Broome creates optimism for future \n\nproduction based in the Broome area. \n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu \n\nUndan project operated by Phillips, is well advanced and will impact Darwin’s offshore activity \n\nquite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with \n\nPerkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping \n\nis synonymous with Darwin’s history. Set up by V.B. Perkins in the late 40’s, it has grown to \n\nsignificant size, operating its ships across the top of Australia and into South East Asia. There \n\nare many synergies which Mermaid shares with Perkins and we look forward to developing our \n\nDarwin business in close association with that fine old Company. \n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early \n\nin the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to \n\nbe paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour \n\nhire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General \n\nManager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director. \n\nWith their reputation and talent added to Mermaid’s experienced team, this labour hire \n\ncompany has become a significant force and can be expected to be in the final when major \n\nlabour hire contracts are let.", + "page_start": 8, + "page_end": 8, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, S E A G O I N G O P E R A T I O N S \n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing \n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. \n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the \n\nwork increased productivity through enhanced bollard pull and consequent earnings. \n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all D A M P I E R B A S E \n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup \n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and \n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by \n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there \n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced \n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. \n\nThe Dampier Base will now comprise:- \n\n**•**\n**•**\n\nAn “all tides” approach channel to a minimum depth of 6 metres \n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to \n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular \n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of \n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline \n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated, \n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste \n\nreception. The joint Commonwealth and WA State Government initiative to establish \n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load \n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic \n\nrole in major capital works in the Pilbara, leading to significant cost savings.", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "vessels engaged in routine offshore logistics tasks operate fully laden with 7.4 m draft which \n\nmeans there will be very few occasions when the largest vessels in the industry have to make a \n\ntide dependent entry or departure through the Mermaid channel. Further the Mermaid Base will \n\nnot suffer operational disadvantages experienced by the adjacent Woodshed Base or nearby \n\nDamper Public Wharf in terms of entry and departure draft restrictions. \n\nThe function and purpose of Berth 1 will be: \n\n• To service the larger offshore supply boat market on a fast turnaround basis. \n\n• To receive and offload very heavy ro/ro cargoes up to 1500 tonne delivered by ocean going \n\nheavy lift ships and barges. \n\n• To handle inbound and outbound cargoes related to major offshore pipe lay projects. \n\n• To receive and efficiently load reel ships used for deep water small diameter pipelay. \n\n**C. QUAY WALL (BERTH 2)**\n\nThe inner berth, Berth 2 has a minimum depth alongside of 5.0 m allowing unrestricted \n\noperation of all the Mermaid fleet, and the majority of other vessels servicing the offshore oil/gas \n\nindustry and mineral ports. This berth will offer excellent weather protection for small and \n\nmedium size vessels. \n\n**D. BREAKWATER.**\n\nThe rubble mount type breakwater will be an extension of the wharf, constructed using core and \n\narmor rock largely won from excavations on the Base. The excavations created will become \n\ndepositories for dredge spoil.", + "page_start": 14, + "page_end": 14, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**Board of Directors**\n\n**The Board carries out its responsibilities in accordance with the following:**\n\n**•**\n**•**\n**•**\n\nThe Board will comprise at least four directors; \n\nThe Board will be made up of at least one quarter of non-executive directors; \n\nThe directors must between them possess a broad range of skills, qualifications and \n\nexperience; \n\n**•**\n**•**\n\nThe Board will meet on a monthly basis; and \n\nAll available information in connection with items to be discussed at a meeting of the \n\nBoard will be provided to each director prior to that meeting. \n\n**The primary responsibilities of the Board include:**\n\n**•**\n**•**\n\nEstablishing Mermaid’s goals and developing strategic plans to achieve them; \n\nThe review and adoption of annual budgets and cashflow forecasts for the financial \n\nperformance of Mermaid and monitoring the results on an ongoing basis; \n\n**•**\n**•**\n\nIdentifying business risks and implementing actions to manage those risks; \n\nDeveloping an effective management and corporate system to ensure safety, quality, \n\nmeasure progress and exercise control; \n\n**•**\nEnsuring the employment and further development of efficient and qualified staff for \n\nthe growth of the Company’s business consistent with industry leadership; \n\n**•**\nIdentifying and developing strategic relationships for growth and access to specialist \n\nexpertise; and", + "page_start": 27, + "page_end": 27, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Mermaid Marine made great progress during the year to 30th June 2000, even though trading \n\nreflected low levels of activity in the North West. Prospects over recent months have rapidly \n\nimproved, with a great deal of large project work in prospect. The Prospectus concept of building \n\nour business within the triangle of oil and gas reserves found between Timor, Exmouth and \n\nDarwin, is proven and has become even more relevant. \n\nRich in gas, the region is rapidly becoming Australia’s powerhouse and the focus of new resource \n\nprocessing industries. In a statement made in only August this year, the Shell Oil Company \n\nidentified gas as that Company’s premier future fuel, due to its high environmental qualifications \n\nand portability. The Federal Government, also recognising the environmental advantages of gas, \n\nhas identified that liquified natural gas in particular, as a greenhouse solution rather than a \n\nproblem and has effectively exempted the gas industry from Kyoto protocol restraints. \n\nWoodside Petroleum has announced the signing of Memorandums of understanding for \n\nsubstantial gas contracts to a range of companies planning to establish their production in the \n\nPilbara. At the time of writing this report, firm Letters of Intent were also foreshadowed for \n\nsubstantial increases in LNG production, specifically to Japan and prospects are high for further \n\nexport sales to China, Singapore and India. \n\nProviding marine support for such expansion has been our principle source of earnings, but \n\nMermaid will enjoy a larger and more diversified income stream once development of the Base \n\nat Dampier is completed. The project, demonstrated in more detail later in this report, will \n\nrevolutionise our Company and drive significant changes in the way offshore producers are \n\nserviced in the North West of Australia. \n\nCoinciding with a start of Base construction, we were successful in attracting Mr Mark Bradley, \n\nformerly Managing Director of Clough Offshore, to join us as Mermaid’s Chief Executive. As \n\nreported by the Age newspaper, our new Chief Executive has put his money where his mouth is, \n\noffering a personal investment of $2 million for equity in our company. Mark has had an \n\nextremely successful career with McDermotts and Clough Offshore. He will now drive the \n\ndevelopment of a much stronger engineering capability at Mermaid, through which, whether in \n\njoint venture or alone, we intend to be more closely involved as direct participants in North \n\nWest Shelf work. \n\nImmediately following Mark Bradley’s decision, his old employer, Clough Engineering, also \n\nexpressed a desire to become a shareholder, subscribing $3 million for new equity. The influence \n\nthat the direct involvement of Mark Bradley and Clough Engineering will have in our company’s \n\nfuture should not be underestimated. At this time when we welcome Mark as a Director and \n\nshareholder, we are also pleased to announce the appointment of Mr Richard Reid, finance", + "page_start": 7, + "page_end": 7, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**•**\nOperating crewed vessel charters; \n\n**•**\nVessel manning, management and logistics; \n\n**•**\nOperating supply base facilities; and \n\n**•**\nEquipment hire. \n\nOther than detailed in the Chairman’s Report set out at pages 1 and 2 of this report and/or in \n\nthe Operations Review set out on pages 3 to 9 of this report, (together the “Chairman’s and \n\nOperations Reviews”), there have been no significant changes to these activities during the \n\nFinancial Year. \n\nIn respect of the financial year ended 30 June 1999, as detailed in the directors’ report for that D I V I D E N D \n\nfinancial year, a final dividend of 1.25 cents per share, franked to 100 per cent at 36 per cent \n\ncorporate income tax rate, was paid to the holders of fully paid ordinary shares on 1 November 1999. \n\nThe Chairman’s and Operations S I G N I F I C A N T C H A N G E S I N T H E S T A T E O F A F F A I R S \n\nReviews set out the matters which have had a significant effect on the state of affairs of Mermaid. \n\nOther than those matters there were no significant changes in the state of affairs of Mermaid \n\nduring the Financial Year. \n\nOn 25 August 2000 the Company announced that it had reached two S U B S E Q U E N T E V E N T S \n\nagreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company \n\nat an issue price of 30 cents each (Shares). \n\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000 \n\nShares by 29 September 2000, followed by, if approved of by shareholders at the Company’s \n\nannual general meeting, a further 3,441,666 within 7 days of that meeting. \n\n\n\n\n\nMermaid’s principal activities during the course of the Financial Year were: \nP R I N C I P A L A C T I V I T I E S", + "page_start": 32, + "page_end": 32, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "M E R M A I D M A R I N E A U S T R A L I A L I M I T E D \n\nA . C . N . 0 8 3 1 8 5 6 9 3 \n\nC O R P O R AT E D I R E C TO RY \n\n***Directors***\n\nAlan Birchmore, Chairman \n\nMark Bradley, Director, CEO \n\nJames Carver, Executive Director \n\nDerrice Dillon, Executive Director \n\nJeff Mews, Non-Executive Director \n\nRichard Reid, Non-Executive Director \n\nR E G I S T E R E D O F F I C E \n\nEagle Jetty, \n\n20 Mews Road, \n\nFremantle, \n\nWestern Australia 6160. \n\nTelephone: 61 8 9431 7431 \n\nFacsimile: 61 8 9431 7432 \n\nEmail: corporate@mermaidmarine.com.au \n\nInternet Site: www.mermaidmarine.com.au", + "page_start": 1, + "page_end": 1, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "During 2000 Mermaid Marine formed a M E R M A I D L A B O U R A N D M A N A G E M E N T L I M I T E D \n\nnew business unit Mermaid Labour and Management Limited. The focus of this unit will be \n\nlabour supply and industrial relations management to the marine, offshore construction industry \n\nand onshore resources projects in the NW of Australia. The Directors and Management of the \n\nnew entity are very experienced, well known and regarded by the industry in general. The \n\ncompany has high expectations for Mermaid Labour and Management Limited. \n\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company’s \n\naccreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid’s quality assurance and \n\ncompliance team continues with a continuous day to day effort to improve our health, safety and \n\nenvironmental performance. Stringent charterer requirements, which are a pre requisite of \n\nincreased vessel usage, must be met to the letter and are the subject of regular and demanding \n\naudits. Although time consuming and expensive, we are grateful to certain of the large \n\nproducers, who while demanding the highest levels of compliance, have also been prepared to \n\ngive their time, sharing their safety expertise with us and in that way assisting in the very major \n\nadvances our company has made in this all important area. \n\n\n\n\n\nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have S A F E T Y \n\nresponsibility.", + "page_start": 23, + "page_end": 23, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "J A M E S H E N RY C A RV E R \n\n**Executive Director - Appointed 29 June 1998**\n\nCaptain James Carver is a Ships Master with over 30 years direct \n\nexperience in the marine industry. He was Woodside Petroleum’s first \n\nships master, carrying out marine operations in the LNG development. \n\nCaptain Carver was involved in exploration, construction and \n\nproduction of most oil and gas projects on the North West Shelf. He has \n\nin-depth knowledge of the industry, its needs and its future. Establishing \n\nthe company in 1982, Jim pursued a “can do” attitude at sea and on shore. Under his direction \n\nthe fleet grew from 1 to 15 vessels and the Base at Dampier secured for the present expansion \n\nand exiting future. \n\n\n\nDERRICE-ANN DILLON \n\n**Executive Director - Corporate - Appointed 12 August 1998**\n\nDerrice Dillon has considerable experience in management, \n\nadministration and finance acquired over the last 22 years and has \n\nheld a number of senior positions in Australia and overseas. From the \n\nearly 1990’s Derrice developed a strong knowledge of the oil and gas \n\nindustry from her previous position as a director and head of \n\nadministration of Slimdrill Pty Ltd. She was responsible for the design \n\nand implementation of all accounting and administration systems, including complex \n\ndatabases to track information for the construction and manufacture of the Slimdrill oil \n\ndrilling rigs. She was also responsible for all legal matters and the production of promotional \n\nand marketing material for worldwide distribution. \n\nDerrice took a leading role in the listing of Mermaid Marine in 1999 and has since headed up \n\naccounting, systems and administration. As Chairman of the Board of Management she plays a \n\nsenior role in Mermaid’s operations.", + "page_start": 30, + "page_end": 30, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**(b) Operating Leases**\n\nNot later than 1 year \nLater than 1 year but \n\n171,733 80,306 – \n\nnot later than 2 years 166,130 80,306 – \n\nLater than 2 years but \n\nnot later than 5 years \n\n351,955 \n640,247 169,173 \n684,402 – \n– \n\nLater than 5 years \nAggregate lease expenditure \n\ncontracted for at balance date 1,330,065 1,014,187 – \n\nAggregate expenditure commitments \n\ncomprise: \n\nOffice rental commitments \nSupply base rental commitments \nOther 442,705 \n861,022 \n26,338 71,895 \n905,177 \n37,115 – \n– \n– \n\n1,330,065 1,014,187 – \n\nDuring the year Mermaid Marine relocated their Corporate Office. Office rental commitments contains \nthe rental payable under the balance of the lease for Mermaid’s former corporate office. This has been \nsublet for the balance of the term of the lease at a rental equal to the rental payable by Mermaid under \nthe lease of $46,250. The new location is committed under a 5 plus 5 year lease term. \n\nSupply base rental commitments represents the lease of the King Bay Supply Base for a term of 21 years \ncommencing 1 January 1999 with an option to renew the term for a further period of 21 years. \n\nThe Lessee is obliged to obtain all necessary approvals by 31 December 2000 for certain development of \nworks (“Development Works”) and to subsequently perform the works within 3 years. \n\nThe Development Works planned include breakwater, dredged basin, cyclone moorings, slipway, quay \nwall and industrial buildings. \n\nIf the Development Works are not completed within the prescribed period, the Lessor has the right \n(unless it is satisfied that the non completion was due principally to matters beyond the Company’s \ncontrol) to vary the Lease by retaking 2.3 hectares at the western extremity of the site. \n\nThe approved use of the site is for the purpose of conducting a multi purpose marine service facility and \nsupply base including but not limited to open and covered laydown and storage, warehousing, production \nand storage of drilling mud and other drilling supplies, operating and maintaining vessels and floating \nplant together with associated docking, maintenance and engineering works. Any other uses require the \nprior written consent of the Lessor. \n\nRestrictions apply to the assignment or subletting of the site (or any part) without prior consent of the \nLessor, although that consent cannot unreasonably be withheld (subject to “usual” prudential \nrequirements common to leases in Western Australia).", + "page_start": 54, + "page_end": 54, + "source_file": "ASX_MRM_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_MRM_2000.pdf", + "query": "What was the budget for the expansion of Dampier Base?", + "target_page": 14, + "target_passage": "a capital budget of $13m", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Work on Dampier B A S E E X P A N S I O N W O R K S A N D E N V I R O N M E N T A L M A N A G E M E N T \n\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving \n\na capital budget of $13m. \n\n**A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance \n\nchannel, vessel berths, cyclone moorings and to provide access to the slipway. \n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of \n\ndredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) \n\nand a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material. \n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial \n\ndredging tool using the experience gained from the earlier Woodside project. \n\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting \n\nwhile fulfilling functional objectives. \n\n**B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main \n\nberth to accommodate a wider range of vessels than originally contemplated. The berth is now \n\nlocated in deeper water with better vessel access. \n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide \n\n(MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", + "page_start": 13, + "page_end": 13, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**•**\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle \n\nmost of the 60 vessels currently working in the region, a considerable number, but one \n\nwhich will rise over coming years. First class engineering facilities have been planned \n\nand highly experienced management recruited. Alternative slipways offering \n\ncomparable capacity are only to be found in Darwin or Fremantle, a sea journey of \n\napproximately 1000 miles from this operational region. Australia has emerged as a \n\ncentre of excellence with respect to vessel repair work, the Dampier facility will both \n\nbenefit from and protect that valuable reputation. \n\n**•**\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The \n\nmajor oilfield services company Halliburton, have been attracted to the base as a \n\ntenant and a $1.1m purpose built building is being constructed for their use. \n\nNegotiations are also proceeding with other groups who recognise the unique \n\nadvantages of operating from this strategically positioned Base. Rental income and \n\nassociated revenues such as plant and labour hire will contribute significantly to the \n\noverall economics of the facility. \n\n**•**\nProtected moorings for cyclone shelter will be established inside the breakwater for \n\nlong term lease to local tug operators. The demand arises from serious vessel and crew \n\nsafety considerations. The Dampier Port Authority are reluctant to see the continued \n\nuse of cyclone moorings in the Harbour, not only for safety reasons, but for \n\nenvironmental concerns as well. Oil spills are not acceptable under any circumstances \n\nand will be avoided whatever the cost. Tug owners share similar concerns, but in \n\naddition they need to remain in a position of readiness for crews and equipment to \n\nresume their important functions immediately following a cyclonic event. The number \n\nof specific purpose spread moorings, detailed on the adjacent plan will total 10 in the \n\nfirst phase of construction, a limit which will be assisted by an ability to remove vessels \n\nup to 100 tonnes from the water by wharf crane for tie down on cradles.", + "page_start": 12, + "page_end": 12, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "***The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.***\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this \n\ntechnique by the cyclone season in 2001. \n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room \n\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four \n\nvessel specific mooring lines secured to special attachment points on the vessel. \n\n**F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or \n\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is \n\nsuitable for development in its present state. \n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services \n\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex \n\nregulatory requirements related to health, safety, quarantine, environmental management, dust, \n\ndangerous goods and hazchem materials have been the subject of considerable study prior to this \n\nimplementation stage.", + "page_start": 16, + "page_end": 16, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, S E A G O I N G O P E R A T I O N S \n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing \n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. \n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the \n\nwork increased productivity through enhanced bollard pull and consequent earnings. \n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all D A M P I E R B A S E \n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup \n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and \n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by \n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there \n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced \n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. \n\nThe Dampier Base will now comprise:- \n\n**•**\n**•**\n\nAn “all tides” approach channel to a minimum depth of 6 metres \n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to \n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular \n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of \n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline \n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated, \n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste \n\nreception. The joint Commonwealth and WA State Government initiative to establish \n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load \n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic \n\nrole in major capital works in the Pilbara, leading to significant cost savings.", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**2013**\n**$2,212**\n**255**\n**21**\n**465**\n**552**\n**$3,505**\n**7,207**\n**$486** 2012 % change \n22.1% \n(39.4)% \n(41.7)% \n(11.8)% \n0.5% \n4.8% \n(12.7)% \n20.0% $1,812 \n421 \n36 \n527 \n549 \n$3,345 \n8,251 \n$405 \n\n**MHCs ‑ Capital Spend**\n\nA summary of the capital spend on the MHC segment is included below: \n\nFor the years ended December 31, \n\nWater & sewer upgrades \nroads and paving \nequipment \nother \nSite expansion and land improvements \nTotal capital spend ‑ MHCs \naverage number of units outstanding \ncapital spend per unit \n\nManagement expects to spend between $300 and $400 in capital per MHC site on an annual basis. As with the apartment portfolio, a portion of \nthe MHC capital is considered maintenance capital and a portion is value enhancing. Management estimates that $100 per unit is maintenance \ncapital, including costs to support the existing infrastructure, and the remaining amount increases the value of the properties, with improved \nroadways, ability to accommodate future expansion, and community enhancements, such as the addition of playgrounds. The cost of most \ncapital projects will be recovered through above guideline increases in the provinces with rent control, leading to increased NOI for the \ninvestment. \n\nFor the year ended December 31, 2013, Killam spent $2.2 million on water and sewer upgrades, an increase of 22.1% over 2012 due to the \ninstallation of several new water systems and upgrades to existing water and sewer infrastructure. This capital work fluctuates from year‑to‑year \nwith only $1.8 million invested in 2012 but $3.1 million in 2011. the high water upgrade costs in 2013 resulted in the per unit mHc spend being \nabove Killam’s expectation of $300 ‑ $400 per year. \n\nAs with the apartment portfolio, the timing of capital spending changes based on requirements at each community. Killam expects to invest $1 \nmillion to $2 million during 2014 on capital improvements across the MHC portfolio. \n\n**Liquidity and Capital Resources**\n\nThe Company’s sources of capital are cash generated from operating activities, credit facilities, mortgage financing and refinancing, and equity \nand debt issuances. The Company’s primary use of capital includes property acquisitions and developments, major property improvements, \nrecurring property maintenance, debt principal and interest payments, and payment of dividends. The Company anticipates meeting all current \nand future obligations with current cash and cash equivalents, cash flow generated from operations and conventional mortgage refinancing and \nthat the Company will be able to obtain financing on reasonable terms. \n\nKillam’s ability to grow through acquisitions and development will be dependent on the ability to access mortgage debt, construction financing \nand to raise equity in the capital markets. Killam had cash on hand of $27.7 million at December 31, 2013, primarily as a result of the net \nproceeds of $42.6 million related to the sale of the ten MHC properties in the fourth quarter of 2013. Killam utilized part of the sale proceeds \nto retire a $10 million vendor take‑back (“VTB”) loan and acquire additional properties, and expects to redeploy the remaining funds during the \nfirst quarter of 2014. Based on 60% debt on acquisitions, the Company expects to complete an additional $60 million in accretive apartment \nacquisitions. The Company also has $139.3 million in debt maturing during 2014 and expects to generate approximately $50 million in surplus \ncash to be used for its 2014 capital program and to fund additional acquisitions throughout the year.", + "page_start": 51, + "page_end": 51, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**REPUBLIC SERVICES, INC. AND SUBSIDIARIES**\n\n**NOTES TO CONSOLIDATED FINANCIAL STATEMENTS**\n**(All tables in millions, except per share data) Ì (Continued)**\n\nand accounting personnel to annually adjust the Company's rates used to expense capitalized costs. Changes \nin these estimates primarily relate to changes in available airspace, inÖation and applicable regulations. \nChanges in available airspace include changes due to the addition of airspace lying in probable expansion \nareas. \n\n**Total Available Disposal Capacity**\n\nAs of December 31, 2004, the Company owned or operated 58 solid waste landÑlls with total available \ndisposal capacity of approximately 1.7 billion in-place cubic yards. Total available disposal capacity represents \nthe sum of estimated permitted airspace plus an estimate of expansion airspace that the Company believes has \na probable likelihood of being permitted. \n\n**Probable Expansion Airspace**\n\nBefore airspace included in an expansion area is determined as probable expansion airspace and, \ntherefore, included in the Company's calculation of total available disposal capacity, the following criteria \nmust be met: \n\n1. The land associated with the expansion airspace is either owned by the Company or is controlled \nby the Company pursuant to an option agreement; \n\n2. The Company is committed to supporting the expansion project Ñnancially and with appropriate \nresources; \n\n3. There are no identiÑed fatal Öaws or impediments associated with the project, including political \nimpediments; \n\n4. Progress is being made on the project; \n\n5. The expansion is attainable within a reasonable time frame; and \n\n6. The Company believes it is likely the expansion permit will be received. \n\nUpon meeting the Company's expansion criteria, the rates used at each applicable landÑll to expense \ncosts to acquire, construct, close and maintain a site during the post-closure period are adjusted to include \nprobable expansion airspace and all additional costs to be capitalized or accrued associated with the expansion \nairspace. \n\nThe Company has identiÑed three sequential steps that landÑlls generally follow to obtain expansion \npermits. These steps are as follows: \n\n1. Obtaining approval from local authorities; \n\n2. Submitting a permit application to state authorities; and \n\n3. Obtaining permit approval from state authorities. \n\nOnce a landÑll meets the Company's expansion criteria, management continuously monitors each site's \nprogress in obtaining the expansion permit. If at any point it is determined that an expansion area no longer \nmeets the required criteria, the probable expansion airspace is removed from the landÑll's total available \ncapacity and the rates used at the landÑll to expense costs to acquire, construct, cap, close and maintain a site \nduring the post-closure period are adjusted accordingly. \n\n67", + "page_start": 74, + "page_end": 74, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "the consumption of cubic yards of available airspace. These costs include all costs to acquire and construct a \nsite including excavation, natural and synthetic liners, construction of leachate collection systems, installation \nof methane gas collection and monitoring systems, installation of groundwater monitoring wells, and other \ncosts associated with the acquisition and development of the site. Obligations associated with Ñnal capping, \nclosure and post-closure are capitalized, and amortized on a units-of-consumption basis as airspace is \nconsumed. \n\nCost and airspace estimates are developed annually by engineers. These estimates are used by our \noperating and accounting personnel to annually adjust our rates used to expense capitalized costs. Changes in \nthese estimates primarily relate to changes in available airspace, inÖation and applicable regulations. Changes \nin available airspace include changes in design and changes due to the addition of airspace lying in expansion \nareas that we believe have a probable likelihood of being permitted. \n\nOur operations are managed and reviewed through Ñve regions which we designate as our reportable \nsegments. From 2003 to 2004, operating income increased in our Eastern, Southern and Western regions due \nto an overall increase in revenue resulting from the successful execution of our growth strategy. In the Central \nregion, increased revenue was oÅset by weak economic conditions and an increase in costs related to the long- \nhaul transport of waste by third-party vendors. In the Southwestern region, revenue growth was impeded by \nthe closure of a landÑll and the completion of a special waste contract during 2003. The decrease in costs for \nCorporate Entities from 2003 to 2004 is primarily due to a decrease in self-insurance expense. \n\n**2004 Financial Objectives**\n\nIn January 2004, we publicly announced our objectives for the year. These objectives included the \nfollowing: \n\n‚ Generating free cash Öow of approximately $340 million. \n\n‚ Using our free cash Öow to repurchase shares of our common stock under our $200.0 million share \nrepurchase program approved by our board of directors in October 2003 and continuing to pay \nquarterly cash dividends. \n\n‚ Generating diluted earnings per share of $1.50 to $1.55. \n\n‚ Growing revenue from core operations by 3%, with approximately 2% attributable to price increases \nand 1% attributable to volume growth. \n\n‚ Purchasing approximately $275 million of property and equipment. \n\n**2004 Business Performance**\n\nDuring 2004, we achieved our earnings per share objective and exceeded our internal growth, free cash \n\nÖow and share repurchase objectives. \n\nOur internal growth from core operations for 2004 was 5.9%, with 2.3% from price increases and 3.6% \nfrom volume growth. During 2004, our revenue growth from core pricing beneÑted from a broad-based pricing \ninitiative which we started during the fourth quarter of 2003. We experienced core volume growth in all lines \nof our business, including our residential collection business resulting from the addition of several new \nmunicipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new \ncontracts. Our core volume growth was also positively impacted by the hurricanes. In addition, our geographic \nmix of business, which is concentrated in high growth markets, positively impacted our operating results. As a \nresult, during 2004 we were able to exceed the internal growth objectives we established at the beginning of \nthe year. \n\nDuring 2004, our operating margins improved, primarily due to lower self-insurance expense. This beneÑt \nwas partially oÅset by increased costs for fuel, labor and subcontracting costs associated with the long-haul \ntransport of waste by third party vendors. The net expansion in our operating margin allowed us to achieve \ndiluted earnings per share of $1.53 during the year ended December 31, 2004. \n\n24", + "page_start": 31, + "page_end": 31, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "$ 81.2 \n7.0 \n57.6 \n$145.8 $(51.4) \n4.5 \n178.9 \n$132.0 $ 62.0 \n11.8 \n73.1 \n$146.9 \n\nIn December 2003, the Company received written approval from the Internal Revenue Service to exclude \nprobable expansion airspace from its calculation of landÑll amortization, depletion, and Ñnal capping, closure \nand post-closure costs for tax purposes. As a result of this change, the Company's deferred income tax \nprovision increased by approximately $82.0 million during 2003, and the Company recorded a tax receivable of \n\n76", + "page_start": 83, + "page_end": 83, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**10. PROPERTY, PLANT AND**\n\n**EQUIPMENT**\n\nLeasehold buildings and improvements \nIndependent valuation 1998 \nAccumulated depreciation \n\n8,500,000 \n(302,619) \n8,197,381 8,500,000 \n(100,319) \n8,399,681 \n\nLeasehold buildings and improvements \nunder construction \nAt cost \nAccumulated depreciation \n\n1,485,886 \n(373) \n1,485,513 538,303 \n(373) \n537,930 \n\nThe revaluation of Leasehold buildings and improvements was performed on the basis of market value \nwith reference to continued use and was not performed in accordance with a regular revaluation policy. \n\nAggregate depreciation is charged directly to the profit and loss account as disclosed in Note 2. \nPotential capital gains tax was not taken into account in the revaluation of leasehold buildings and \nimprovements.", + "page_start": 48, + "page_end": 48, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**(b) Operating Leases**\n\nNot later than 1 year \nLater than 1 year but \n\n171,733 80,306 – \n\nnot later than 2 years 166,130 80,306 – \n\nLater than 2 years but \n\nnot later than 5 years \n\n351,955 \n640,247 169,173 \n684,402 – \n– \n\nLater than 5 years \nAggregate lease expenditure \n\ncontracted for at balance date 1,330,065 1,014,187 – \n\nAggregate expenditure commitments \n\ncomprise: \n\nOffice rental commitments \nSupply base rental commitments \nOther 442,705 \n861,022 \n26,338 71,895 \n905,177 \n37,115 – \n– \n– \n\n1,330,065 1,014,187 – \n\nDuring the year Mermaid Marine relocated their Corporate Office. Office rental commitments contains \nthe rental payable under the balance of the lease for Mermaid’s former corporate office. This has been \nsublet for the balance of the term of the lease at a rental equal to the rental payable by Mermaid under \nthe lease of $46,250. The new location is committed under a 5 plus 5 year lease term. \n\nSupply base rental commitments represents the lease of the King Bay Supply Base for a term of 21 years \ncommencing 1 January 1999 with an option to renew the term for a further period of 21 years. \n\nThe Lessee is obliged to obtain all necessary approvals by 31 December 2000 for certain development of \nworks (“Development Works”) and to subsequently perform the works within 3 years. \n\nThe Development Works planned include breakwater, dredged basin, cyclone moorings, slipway, quay \nwall and industrial buildings. \n\nIf the Development Works are not completed within the prescribed period, the Lessor has the right \n(unless it is satisfied that the non completion was due principally to matters beyond the Company’s \ncontrol) to vary the Lease by retaking 2.3 hectares at the western extremity of the site. \n\nThe approved use of the site is for the purpose of conducting a multi purpose marine service facility and \nsupply base including but not limited to open and covered laydown and storage, warehousing, production \nand storage of drilling mud and other drilling supplies, operating and maintaining vessels and floating \nplant together with associated docking, maintenance and engineering works. Any other uses require the \nprior written consent of the Lessor. \n\nRestrictions apply to the assignment or subletting of the site (or any part) without prior consent of the \nLessor, although that consent cannot unreasonably be withheld (subject to “usual” prudential \nrequirements common to leases in Western Australia).", + "page_start": 54, + "page_end": 54, + "source_file": "ASX_MRM_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_MRM_2000.pdf", + "query": "When did Mermaid Marine Service Base in the Port of Broome start?", + "target_page": 22, + "target_passage": "1 February 2000", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Mermaid Marine services base at the Port of Broome (Broome Base) B R O O M E S U P P LY B A S E \n\ncommenced operations on 1 February 2000 when the first ship containing drill pipe for Inpex \n\nBrowse Ltd arrived from Japan. \n\n\n\nIt is presently expected that at least six \n\n(6) exploration wells will be drilled in the \n\narea during 2001. The Base now employs \n\nas many as ten (10) staff up from the \n\nthree (3) who commenced in February \n\n2000. Excellent management and staff \n\ncompetence are the prime factors, which \n\nhave delivered the smooth start up and \n\n***The Mermaid Broome Supply Base certified Impex, Woodside***\n***and BHP Petroleum exploration program during 2000.*** continued success at Broome. \n\nThe base is currently secured on a come and go lease arrangement, located on Port premises \n\nadjacent to the wharf gates. Although convenient, with an excellent cyclone proof building, the \n\nsite has limitations in terms of size and slope. An area more suitable for our long term needs has \n\nbeen optioned from Port authorities and discussions will proceed with our clients this year to \n\ndetermine their precise needs. \n\nThe success of Browse Basin wells drilled this year, strong developments in the energy sector and \n\nthe intention of operators to base their 2001 operations in Broome, have encouraged the Board \n\nto consider further investment to ensure that capability keeps pace with demand and that we \n\nleave no reason for competitors to offer more or better. \n\nThe offshore waters of the Northern Territory, the Zone of Co-Operation (ZOCA) between Australia \n\nand Timor, and the Commonwealth Territory of Ashmore and Cartier host approximately 35% of the \n\nexploration and development budgets of Australian offshore oil and gas industry. D A R W I N B A S E \n\nTwo large petrochemical projects are under study for the Darwin area based upon pipelines from \n\nthe Timor Sea gas resources of the projects above. \n\nDarwin will within 3 years be the northern terminus of the Australian national rail system with the \n\ncompletion of the Alice Springs Darwin rail link, further expanding its role in Australia’s economy.", + "page_start": 21, + "page_end": 21, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Captain Jim Carver, Mermaid’s founder continues to play a significant role in Mermaid’s operations, \n\npaying particular attention to our business at sea. Under 20 years of Jim’s leadership, Mermaid \n\ndeveloped an enviable reputation as a “can do” company, and in our drive for new engineering \n\nexpertise and professionalism, we have no intention of allowing that attitude to be lost. \n\nLast year we identified Broome as our next strategic position. No oil and gas work had been \n\nsupported out of Broome for seventeen years and with the valuable cooperation and assistance \n\nof the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first \n\nclient. The base was then established early this year. \n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven \n\nmonths operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support \n\nof their current drilling programs. All the holes drilled from the Broome Base have been \n\ndesignated as commercial finds by the explorers and the very major increase in the reserves at \n\nBrecknock, Woodside’s permit 500 kilometres north of Broome creates optimism for future \n\nproduction based in the Broome area. \n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu \n\nUndan project operated by Phillips, is well advanced and will impact Darwin’s offshore activity \n\nquite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with \n\nPerkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping \n\nis synonymous with Darwin’s history. Set up by V.B. Perkins in the late 40’s, it has grown to \n\nsignificant size, operating its ships across the top of Australia and into South East Asia. There \n\nare many synergies which Mermaid shares with Perkins and we look forward to developing our \n\nDarwin business in close association with that fine old Company. \n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early \n\nin the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to \n\nbe paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour \n\nhire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General \n\nManager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director. \n\nWith their reputation and talent added to Mermaid’s experienced team, this labour hire \n\ncompany has become a significant force and can be expected to be in the final when major \n\nlabour hire contracts are let.", + "page_start": 8, + "page_end": 8, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, S E A G O I N G O P E R A T I O N S \n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing \n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. \n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the \n\nwork increased productivity through enhanced bollard pull and consequent earnings. \n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all D A M P I E R B A S E \n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup \n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and \n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by \n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there \n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced \n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. \n\nThe Dampier Base will now comprise:- \n\n**•**\n**•**\n\nAn “all tides” approach channel to a minimum depth of 6 metres \n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to \n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular \n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of \n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline \n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated, \n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste \n\nreception. The joint Commonwealth and WA State Government initiative to establish \n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load \n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic \n\nrole in major capital works in the Pilbara, leading to significant cost savings.", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Labour hire is heavily dependent upon the quality of the personnel database and our intention \n\nhas been announced to offer training at Dampier, Broome and Darwin for those who live in the \n\nNorth West and wish to work in the offshore industry there. Planning for this new initiative is \n\nwell advanced and we expect to be running courses for prospective offshore employees in coming \n\nmonths. Although the training program is not directed to any particular community group, it has \n\nbeen encouraging to have active support from Aboriginal leaders in the Kimberley region. \n\nWorld prospects for energy, the need for Australia to add value to its resources, Government \n\ninitiatives for the support of these activities and environmental imperatives, heavily favour gas, \n\ngiving every indication that Mermaid Marine’s development push has been extremely timely. \n\nIt is also important to draw attention to increased efforts in terms of health, safety and \n\nenvironmental protection. Our workplace is largely at sea, where operations involve natural \n\ndangers and the safety of our people is paramount. We also work in a setting where the tasks in \n\nwhich we are involved cast us in the role of environmental caretakers of the sea and coastline. \n\nOver the past twelve months, we have worked even more closely with producers to take this side \n\nof our business to the highest possible standard. We are proud of the achievement and at the time \n\nof this report, despite the inherent dangers involved in the work, our employees have accrued a \n\nrecord 348 days free of Lost Time Injuries, a tremendous effort. \n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve \n\nearnings of at least $100million, with appropriate levels of accompanying profit. That will be \n\naddressed through our policy of strategic positioning and development in the North West of \n\nAustralia, and also by acquisition where merger or purchase will add to our earnings and \n\nstrengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are \n\nwell able to pursue and secure our ambitious program.", + "page_start": 9, + "page_end": 9, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "***The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.***\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this \n\ntechnique by the cyclone season in 2001. \n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room \n\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four \n\nvessel specific mooring lines secured to special attachment points on the vessel. \n\n**F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or \n\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is \n\nsuitable for development in its present state. \n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services \n\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex \n\nregulatory requirements related to health, safety, quarantine, environmental management, dust, \n\ndangerous goods and hazchem materials have been the subject of considerable study prior to this \n\nimplementation stage.", + "page_start": 16, + "page_end": 16, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**G. SLIPWAY.**\n\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service \n\nour marine industries. Some of this has been due to a historical link with our recent industrial \n\npast. This is now behind us, and Australia has now become a centre of excellence with respect \n\nto both new building and ship repair, particularly for high tech and specialty vessels. \n\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is \n\nstructured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between \n\n200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private \n\npleasure craft , naval, scientific and law enforcement vessels are a secondary target. \n\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set \n\nby our current inventory of cradles used to support vessel on the slip. The cradles will be \n\nprogressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne \n\nvessels to be side slipped, thereby increasing capacity. \n\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent. \n\nTenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship \n\nRepair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns. \n\nMermaid has purchased a very large cyclone rated industrial building \n\n\n\nframe which will be sited beside the slipway and tenanted by Mermaid \n\nengineering and companies which will provide ancillary services \n\nrelated to ship repair. \n\n***The Northwest Shelf is a***\n***world scale offshore oil and***\n***gas exploration province.***", + "page_start": 20, + "page_end": 20, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**(b) Operating Leases**\n\nNot later than 1 year \nLater than 1 year but \n\n171,733 80,306 – \n\nnot later than 2 years 166,130 80,306 – \n\nLater than 2 years but \n\nnot later than 5 years \n\n351,955 \n640,247 169,173 \n684,402 – \n– \n\nLater than 5 years \nAggregate lease expenditure \n\ncontracted for at balance date 1,330,065 1,014,187 – \n\nAggregate expenditure commitments \n\ncomprise: \n\nOffice rental commitments \nSupply base rental commitments \nOther 442,705 \n861,022 \n26,338 71,895 \n905,177 \n37,115 – \n– \n– \n\n1,330,065 1,014,187 – \n\nDuring the year Mermaid Marine relocated their Corporate Office. Office rental commitments contains \nthe rental payable under the balance of the lease for Mermaid’s former corporate office. This has been \nsublet for the balance of the term of the lease at a rental equal to the rental payable by Mermaid under \nthe lease of $46,250. The new location is committed under a 5 plus 5 year lease term. \n\nSupply base rental commitments represents the lease of the King Bay Supply Base for a term of 21 years \ncommencing 1 January 1999 with an option to renew the term for a further period of 21 years. \n\nThe Lessee is obliged to obtain all necessary approvals by 31 December 2000 for certain development of \nworks (“Development Works”) and to subsequently perform the works within 3 years. \n\nThe Development Works planned include breakwater, dredged basin, cyclone moorings, slipway, quay \nwall and industrial buildings. \n\nIf the Development Works are not completed within the prescribed period, the Lessor has the right \n(unless it is satisfied that the non completion was due principally to matters beyond the Company’s \ncontrol) to vary the Lease by retaking 2.3 hectares at the western extremity of the site. \n\nThe approved use of the site is for the purpose of conducting a multi purpose marine service facility and \nsupply base including but not limited to open and covered laydown and storage, warehousing, production \nand storage of drilling mud and other drilling supplies, operating and maintaining vessels and floating \nplant together with associated docking, maintenance and engineering works. Any other uses require the \nprior written consent of the Lessor. \n\nRestrictions apply to the assignment or subletting of the site (or any part) without prior consent of the \nLessor, although that consent cannot unreasonably be withheld (subject to “usual” prudential \nrequirements common to leases in Western Australia).", + "page_start": 54, + "page_end": 54, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**E. CYCLONE MOORINGS.**\n\nThe extent of the cyclone problem in Australia’s north and north west was emphasised when \n\nCyclone Tracey struck Darwin in 1974. The most powerful cyclone to cross the Australian coast \n\nwas Cyclone Vance in 1999, which passed near Dampier, destroying large parts of the towns of \n\nOnslow and Exmouth further to the south. \n\nThe problem is acute, particularly in the area between Exmouth and Port Hedland, which suffers \n\ncyclones of an intensity and frequency as high as anywhere in the world. The Mermaid Base is \n\ntypically on cyclone alert three times per season. The season is November to April. \n\nTo date there have been three options available to vessel owners when a cyclone approaches:. \n\n• Run to sea \n\n• Take refuge with crew onboard, on a mooring in the most sheltered location available such \n\nas the Dampier Archipelago or the Monte Bello Islands. \n\n• Construct a cyclone shelter. \n\nMermaid has undertaken significant engineering work on the placing of vessels on partially \n\nsheltered spread moorings, allowing the vessels to be secured near to shore and the crews \n\ndemobilized to take care of their families and attend to household cyclone preparation.", + "page_start": 15, + "page_end": 15, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Trading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine O V E R V I E W \n\nAustralia Ltd (“Company”) and its controlled entities, experienced a 43% turnover reduction \n\nfrom last year. The result was almost entirely due to a heavy fall in oil prices, which reached their \n\nlow of US$10 in February 1999, leading to the lowest level of offshore activity for many years. \n\nIn September 1999 Mermaid exercised its option to acquire the utility vessel “Mermaid \n\nAchiever” for $3,250,000. Previously the Achiever operated under a bare boat charter. \n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister \n\nfor the Environment for the development of a supply and engineering base at Dampier (Dampier \n\nBase). Since that time a detailed environmental management system has been produced for final \n\napproval and as a guide to daily environmental management and compliance. Refinements to \n\nthe design have proceeded, together with the preparation of bid packages and negotiations with \n\nBanks for project finance. \n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough \n\nEngineering will see an extremely robust balance sheet, with cash on hand approaching $10 million. \n\nAs construction commences at Dampier, a level of project finance will be arranged providing a \n\ncomfortable mix of debt and equity and allowing the retention of a significant cash balance. \n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax F I N A N C I A L \n\nprofit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease \n\nof 43% over the previous period. Fixed cost reductions enabled the Company to ride out the \n\nmarket reversal with a minimal loss and positive operating cash before capex of $1.6m. This \n\nresult, achieved against a major drop in turnover, was possible through a vigorous attack on \n\noverheads, which included more beneficial ownership costs, insurance savings, management \n\nsalary savings, including voluntary sacrifice from certain senior executives in recognition of the \n\ntighter conditions. In all the changes contributed approximately $1.5million to the bottom line. \n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the \n\nCompany to a high level of fixed costs. The vessels were valuable earners and the transfer of the \n\nMermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved \n\nto be the right decision for all market conditions. Although there have been no contracts yet let \n\nfor work of any significance by producers on the North West Shelf, underlying day to day activity \n\nhas returned. Expressions of interest for major project work have been issued and as an indication \n\nof better trading conditions, an unaudited profit of $496,721 has been recorded for the two \n\nmonths to 31st August 2000. The trend has continued in September.", + "page_start": 10, + "page_end": 10, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "Darwin is serviced by three marine infrastructure elements. \n\na. A public port adjacent to the main business centre, which is destined to be redeveloped \n\nas a cruise ship and tourism precinct . \n\nb. A group of freehold water front properties on Frances Bay near to the main business \n\ncenter. \n\nc. A recently commissioned public port and industrial estate at East Arm some 25 km from \n\nthe main business district. \n\nRegardless of industry trends, Mermaid has a need for a Darwin Base to service and care for \n\nMermaid vessels working in the area. Too often vessels have been demobilised to Dampier at the \n\nconclusion of a contract then being required to return to Darwin within days or weeks for \n\nanother assignment. \n\nMermaid has decided that needs and opportunities in the north of Australia can be best served by \n\nentering a co-operative arrangement with an established Darwin Company. Agreement has therefore \n\nbeen reached with Perkins Shipping Group, who are one of the freehold land owners on Frances Bay. \n\nPerkins Shipping, established in the 1950s is the major coastal shipping service provider in \n\nAustralia’s north, linking Darwin to mining and aboriginal committees from the Kimberly to \n\nGulf of Carpenteria. Additionally Perkins operate services to East Timor, mining operations in \n\nIndonesia, as well as Singapore and East Malaysia. The Perkins and Mermaid businesses are \n\ndifferent, but complementary, offering benefits to both. The arrangement with Perkins will give \n\nMermaid well placed office facilities, open storage and waterfront access.", + "page_start": 22, + "page_end": 22, + "source_file": "ASX_MRM_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "Word QS.pdf", + "query": "How do I create a new document in Word?", + "target_page": 2, + "target_passage": "Just select File > New", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Create something \n\nBegin with a**Blank document**to get right to work. Or start with a template to save \nyourself time and steps. Just select**File**>**New**, and then select or search for the \ntemplate you want. \n\nFind recent files \n\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting**File**>**Open**takes you to your recently \nused documents and any files that you may have pinned to your list. \n\n\n\n\n\nAccess files anywhere \n\nNeed to work on the go and across different devices? Click**File**>**Account**to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.", + "page_start": 1, + "page_end": 1, + "source_file": "Word QS.pdf" + }, + { + "text": "| | | Welcome to Word | | |\n|---|---|---|---|---|\n| | | Welcome to Word | | |\n| | | Instructions you can edit, share, and print | | |\n| | | | | |\n| | | | | |\n\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will \nteach you some basics about Word, but this document isn’t just for reading. It’s for editing too, \nso you can learn by doing. \n\nFor practice using Word features, watch for Try it text in red throughout this document. \n\nTime saver: If you’ve only got a minute \nand you want to see how this works, \nwatch this Video: Welcome to Word. \n\n\n\nWrite eloquently, with a little help \n\nWord automatically checks spelling and grammar, and marks misspelled words with a red \nsquiggly underline. Grammatical glitches get a blue double underline. \n\nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write \na sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph. \n\nRight-click the text that’s marked with underlines, or Press F7. Choose a suggestion to correct \nthe mistakes.", + "page_start": 0, + "page_end": 0, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "Share your work with others \n\nTo invite others to view or edit your documents, select the**Share**button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment. \n\n\n\n\n\nNext steps with Word \n\n**See what’s new in Office**\nExplore the new and improved features in Word and the other Office apps. \nVisit**https://go.microsoft.com/fwlink/?linkid=871117**for \nmore information. \n\n**Get free training, tutorials, and videos for Office**\nReady to dig deeper into the capabilities that Word has to offer? Visit \n**https://go.microsoft.com/fwlink/?linkid=871123**to explore our free \ntraining options. \n\n**Send us your feedback**\nLove Word? Got an idea for improvement to share with us? On the**File**menu, \nselect**Feedback**and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", + "page_start": 3, + "page_end": 3, + "source_file": "Word QS.pdf" + }, + { + "text": "With this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \n\nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \n\nIf they don’t have Word, the document will open in their web browser, in Word Online. \n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \n\nTry it: Hit enter after this line to make a blank line: \n\n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \n\nand then search for something, like puppy clip art. \n\n2. Select the picture you want, and select Insert.", + "page_start": 2, + "page_end": 2, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "**4** **2**\n\n\n\n\n\n*Continue using the*\n***e***\n\n*previous file with this*\n*exercise, or open the file*\n*E1324 Worksheet*\n*Techniques_6.xlsx...*\n Click on the***Maintenance***\n\n***l***\n***i***\n\n***F***\n***e***\n***m***\n***a***\n***S***\n\nworksheet tab \n\n*We’ll copy this completed*\n*data to another workbook...*\n\n Right-click on the \n\nworksheet tab to display \nthe shortcut menu, then \nclick on***Move or Copy***to \ndisplay the***Move or Copy***\ndialog box \n\n Click on the drop arrow for \n***To book***, then select**(new**\n**book)**\n\n Click on***Create a copy***so \nit appears ticked \n\n*This will create a new*\n*workbook as well as*\n*making a copy of the*\n*worksheet...*\n\n Click on**[OK]**\n\n*A new workbook will be*\n*created and Maintenance*\n*will be the only worksheet*\n*in the workbook…*\n\n Save the new workbook as \n***Maintenance.xlsx***, then \nclose it \n\n\n\n\n\n\n\n**Handy to Know…**\n To copy a worksheet into an existing \n\nworkbook, make sure that you open the \ndestination workbook first to ensure that it is \nlisted in***To book***in the***Move or Copy***\ndialog box. \n\n**For Your Reference…**\nTo***copy***a***sheet***to***another workbook***: \n\n1. Right click on the worksheet tab, then click \non***Move or Copy***\n\n2. Select either***(new book)***or the name of \nanother workbook in***To book***\n\n3. Tick***Create a copy***, then click on**[OK]**", + "page_start": 12, + "page_end": 12, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "Get writing suggestions \n\nWith**Editor**, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion. \n\nView who else is typing \n\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in. \n\n\n\nReview and track changes \n\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the**Review**tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents. \n\nFormat with styles \n\n**Styles**lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the**Home**tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", + "page_start": 2, + "page_end": 2, + "source_file": "Word QS.pdf" + }, + { + "text": "Publisher calls the**HrCreateDoc**method at the beginning of the fixed-format export \n\nprocess to specify the creation of an empty fixed-format document. The*wzDocExFile*\n\nparameter specifies a name for the output file to which to write the fixed-format \n\ndocument. \n\nFor an add-in implementation, Publisher calls**HrCreateDoc**with the file name that the \n\nadd-in provided in the call to the**ExportToFixedFormat**method in the Microsoft Office \n\nobject model. However, because add-ins typically provide configuration UI to allow the \n\nuser to specify an output file name, the add-in could disregard this file name during the \n\nexport process. \n\nFor Microsoft Office applications that require the add-in to paginate the document, \n\n**HrCreateDoc**is called twice, once at the start of the pagination-calling sequence, and \n\nagain after the add-in has paginated the document. For more information, see the \n\ndescriptions for the HrSetPageHeightForPagination method and the HrGetPageBreaks \n\nmethod.", + "page_start": 12, + "page_end": 12, + "source_file": "office-pdf.pdf" + }, + { + "text": "**Try This Yourself:**\n\n*Continue using the previous*\n*file with this exercise...*\n\n Click on**File Tab**\n\n then \nselect**Print**to display the \n***Print***dialog box \n\n*Your dialog box may appear a*\n*little different to the one*\n*shown, as the available*\n*options will depend on the*\n*make and model of printer that*\n*you are using...*\n\n Click on**Print**to print the \npages \n\n\n\n \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n| FFoorr YYoouurr RReeffeerreennccee……\nTToo pclroinste a a d woocrukmbeonotk: :\n11.. CClilcickk o onn t hthee F Filiele T Taabb a n d select Close\n2. Click on Print | | HHaannddyy ttoo KKnnooww……\n YIf oyuo uc asna vaels yoo purri nwt oar kdboocoukm uesnint gd irtheec tclyl,o se\nwcoitmhomuat nodp,e tnhien gw tohrek bPoroinkt w diilal bloeg cbloosxe. dC lick\ntwhieth aorurto twh eo np rtohme pQtiunigc km Aescscaegses atoboolvbea.r ,\n CExliccke l Qaulloicwks Pyroiun tt.o T hhaisv ew aill nsuemndb eorn eo fc opy of\ntwhoer kdboocoukmse onpt ednir eact ttlhy eto s athmee p triimntee.r .W hen you\nclose a workbook when others are still open\none of the others will then appear. |\n|---|---|---|\n| FFoorr YYoouurr RReeffeerreennccee…… TToo pclroinste a a d woocrukmbeonotk: : 11.. CClilcickk o onn t hthee F Filiele T Taabb a n d select Close 2. Click on Print | | HHaannddyy ttoo KKnnooww……  YIf oyuo uc asna vaels yoo purri nwt oar kdboocoukm uesnint gd irtheec tclyl,o se wcoitmhomuat nodp,e tnhien gw tohrek bPoroinkt w diilal bloeg cbloosxe. dC lick twhieth aorurto twh eo np rtohme pQtiunigc km Aescscaegses atoboolvbea.r ,  CExliccke l Qaulloicwks Pyroiun tt.o T hhaisv ew aill nsuemndb eorn eo fc opy of twhoer kdboocoukmse onpt ednir eact ttlhy eto s athmee p triimntee.r .W hen you close a workbook when others are still open one of the others will then appear. |", + "page_start": 42, + "page_end": 42, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "f. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n\n9. Define a field and an index: \n\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage. \n\nb. By using the mouse, draw a box around the text string. Start just outside of the \n\nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box. \n\n**Important:**Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time. \n\nc. Click the Define a Field icon on the toolbar. \n\nd. In the Add a Field window, complete the following steps: \n\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click**Help**for \nassistance with the options and values that you can specify. \n\nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click**Help**for assistance with the other options and values that you can \nspecify. \n\niii. Click**OK**to define the field and index. \n\ne. To verify the locations of the fields, complete the following steps: \n\ni. Place the report window into display mode. Blue boxes are drawn around the fields. \n\nii. Click the**Select**tool. \n\niii. In the Select window, under Fields, double-click**Field 1**. The graphical indexer \n\nhighlights the text string in the current document. Double-click**Field 1**again. The \ngraphical indexer moves to the next document and highlights the text string. \n\niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file. \n\nf. Place the report window back into add mode. \n\n10.Click**Create Indexer Parameters and Fields Report**to create the indexer parameter \n\nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see*IBM Content Manager OnDemand -*\n*Indexing Reference*, SC19-3354. \n\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow.", + "page_start": 195, + "page_end": 195, + "source_file": "sg246915.pdf" + }, + { + "text": "6. Press F1 to open the main help topic for the report window. \n\nThe main help topic contains general information about the report window and links to \nother topics that describe how to add triggers, fields, and indexes. For example, to get help \nto define a trigger, click**Adding a trigger (PDF)**. You can also use the context help tool to \ndisplay information about the icons on the toolbar. \n\n7. Close any open help topics and return to the report window. \n\n8. To define a trigger, complete the following steps: \n\na. Find a text string that uniquely identifies the beginning of a document, for example, \nAccount Number, Invoice Number, Customer Name. \n\n**Note:**To create trigger values in hexadecimal, select the**Output Hexadecimal**\n**Strings**check box in the Indexer Properties window before you define a trigger. \n\nb. By using the mouse, draw a box around the text string. Start just outside of the \n\nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside a box, release the mouse. The \ngraphical indexer highlights the text string inside the box. If the string is not highlighted, \ntry again and increase the box’s size. \n\n**Important:**Size the box that you created around the text string, which you are trying \nto collect, as large as possible to ensure that the field is collected at load time. \n\nFigure 7-3 on page 171 shows an example of a box that is intended to capture the text \nstring Content. You can see that the box is much larger than the text string, and it \noverlaps onto text that we do not want to collect. However, notice the Add a Trigger box \nthat is displayed; only the string Content is shown in the Value entry field, which means \nthat only the string Content is*fully*encapsulated in the box. Overlapping other text \nmight seem like an unnecessary precaution. However, when we are capturing data with \nthe PDF graphical indexer, it is an excellent way to ensure that we encapsulated*all*of \nthe text string that we must capture.", + "page_start": 193, + "page_end": 193, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "Word QS.pdf", + "query": "Where can I find other Microsoft quick start guides?", + "target_page": 4, + "target_passage": "To download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Figure 5-19 Example of Dashboard help content \n\nSelecting the Help Contents option redirects you to the Storwize V7000 IBM Knowledge \nCenter. However, it requires internet access from the workstation where the management \nGUI is started. \n\n**5.3 System View window**\n\nStarting with IBM Spectrum Virtualize release V7.4, the welcome window of the GUI changed \nfrom the well-known former Overview/system 3D pane to the new System pane. In V8.2, the \nsystem pane was changed again to the new System view pane, and the 3D view was \nremoved, as shown in Figure 5-20. \n\nFigure 5-20 Opening the Overview pane \n\nNext, we describe the structure of the pane and how to navigate to various system \ncomponents to manage them more efficiently and quickly. \n\n**5.3.1 Content-based organization**\n\nThe following sections describe several view options within the GUI in which you can filter (to \nminimize the amount of data that is shown on the window), sort, and reorganize the content of \nthe window.", + "page_start": 164, + "page_end": 164, + "source_file": "sg247938.pdf" + }, + { + "text": "(cid:2)*IBM Tivoli Storage Manager for AIX Administrator’s Reference*, SC32-0123 \n\n(cid:2)*Object Access Method Application Programmer’s Reference*, SC35-0425-08 \n\n(cid:2)*OnDemand for z/OS Administration Guide*, SC19-3364 \n\n(cid:2)*OS/390 OpenEdit Command Reference,*SC28-1982 \n\n(cid:2)*PDF Reference*:*Sixth Edition, Adobe Portable Document Format Version 1.7*, November \n2006 \n\nhttp://www.adobe.com/content/dam/Adobe/en/devnet/acrobat/pdfs/pdf_reference_1-7 \n.pdf \n\n(cid:2)*Tivoli Storage Manager for AIX Administrator’s Guide,*GC32-0768 \n\n(cid:2)*Tivoli Storage Manager for Windows Administrator’s Guide*, GC32-0782 \n\n(cid:2)*Tivoli Storage Manager for Windows Quick Start,*GC32-0784 \n\n(cid:2)*UNIX System Services Command Reference*, SC28-1892 \n\n(cid:2)*z/OS MVS Initialization and Tuning Reference*, SA22-7592 \n\n(cid:2)*z/OS MVS System Commands*, SA22-7627 \n\n**Online resources**\n\nThese websites are also relevant as further information sources: \n\n(cid:2) DB2 11 for z/OS information \n\nhttp://www.ibm.com/software/db2zos/library.html \n\n(cid:2) IBM Content Manager OnDemand production information \n\nhttp://www.ibm.com/software/products/us/en/ondemand \n\n(cid:2) Content Manager OnDemand for i Knowledge Center \n\nhttp://www.ibm.com/support/knowledgecenter/SSB2EG/welcome \n\n(cid:2) Content Manager OnDemand for Multiplatform Knowledge Center \n\nhttp://www.ibm.com/support/knowledgecenter/SSEPCD/welcome", + "page_start": 433, + "page_end": 433, + "source_file": "sg246915.pdf" + }, + { + "text": "Create something \n\nBegin with a**Blank document**to get right to work. Or start with a template to save \nyourself time and steps. Just select**File**>**New**, and then select or search for the \ntemplate you want. \n\nFind recent files \n\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting**File**>**Open**takes you to your recently \nused documents and any files that you may have pinned to your list. \n\n\n\n\n\nAccess files anywhere \n\nNeed to work on the go and across different devices? Click**File**>**Account**to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.", + "page_start": 1, + "page_end": 1, + "source_file": "Word QS.pdf" + }, + { + "text": "**Appendix B. CLI setup**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 755 \nCLI setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756 \nBasic setup on a Windows host . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756 \nBasic setup on an UNIX or Linux host . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 766 \n\n**Appendix C. Terminology**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 769 \nCommonly encountered terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 770 \n\n**Related publications**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 789 \nIBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 789 \nOther resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 790 \nReferenced websites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 790 \nHelp from IBM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791 \n\n**Index**. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 793", + "page_start": 13, + "page_end": 13, + "source_file": "sg247938.pdf" + }, + { + "text": "1. To begin with navigate to or create the SWRLTab. If it doesn’t already exist use \nWindow>Tabs>SWRLTab to create and select it. If you don’t have the SWRLTab under the \nWindow>Tabs menu then use File>Check for plugins and select the SWRLTab plugin. Remember ifyou \ndo this you need to restart Protégé for the plugin to be available. \n\n2. The SWRLTab is divided into two main views and then some buttons on the bottom of the tab that \nrelate to DROOLS. The question of when and how to use DROOLS confuses many new users but there is \na simple answer: don’t use it!11 As you get more experience with SWRL you will start to understand how \nand when DROOLS is used but for beginners the answer is simple. Think of all those DROOLS buttons \nas things for power users only. You don’t need to use them at all. That is why we installed the Pellet \nreasoner in section 4.2. The Pellet reasoner supports SWRL and when you run the reasoner it will also \nautomatically run any SWRL rules you have. See the bibliography for a paper on DROOLS. \n\n3. Click on the New button at the bottom of the top view. The other buttons should be grayed out since \nthey only apply if you have at least one rule written. This will give you a new pop-up window to write \nyour rule. In the Name field at the top call the rule: HotDiscountRule. You can skip the comment but if \nyou want to add a comment it is a good habit to get into and you can write something like: Provide a \nspecial discount for customers who prefer hot pizzas. \n\n4. Now go to the bottom part of the rule window and start writing the rule. To start you want to bind a \nparameter to each instance of the Customer class12. To do this all you need to do is to write: \nCustomer(?c). Note that auto-complete should work in this window but sometimes it may not and you \nmay need to type the complete name. Also, you will see various hints or error messages in the Status field \nas you type which you can mostly ignore for now. E.g., as you type out Customer you will see messages \nlike: Invalid SWRL atom predicate ‘Cus’ until you complete the name of the Customer class. Those \nmessages can help you understand why your rule won’t parse as you develop more rules but for now you \nshould be able to ignore them. \n\n5. Now you want to bind a parameter to the number of Pizzas that each customer has ordered so far. To \ndo that you first add a ^ character. This stands for the logical*and*. I.e., the rule will fire for every set of \nbindings that satisfy*all*of the expressions in the antecedent. To test the number of Pizzas you use the \ndata property numberOfPizzasPurchased. So at this point your rule should look like: Customer(?c) ^ \nnumberOfPizzasPurchased(?c, ?np). \n\n6. Now we want to test the object property hasSpicinessPreference. The first parameter will also be \n?c. I.e., we are iterating through each instance of Customer, binding it to ?c and then testing the values \nof these properties. However, in this case rather than binding the spiciness preference to a parameter we \njust want to test if it is equal to the instance of Spiciness Hot. So we directly reference that instance in \nthe expression resulting in: ^ hasSpicinessPreference(?c, Hot). \n\n7. As the last part of the antecedent we want to test that the Customer has purchased more than 1 Pizza. \nWe can use the SWRL math built-in swrlb:greaterThan. Add ^ swrlb:greaterThan(?np, 1) That is the last \n\n11 For more on DROOLS see the paper: M. J. O'Connor (2012). A Pair of OWL 2 RL Reasoners in the bibliography. \n12 This isn’t actually required. You will get the same result without the Customer(?c) expression but it is a good \nexample of how one can use the names of classes to iterate over their instances with SWRL. \n\n73", + "page_start": 73, + "page_end": 73, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "(cid:2) Content Manager OnDemand for z/OS Knowledge Center \n\nhttp://www.ibm.com/support/knowledgecenter/SSQHWE/welcome \n\n(cid:2) Ricoh website for Infoprint product information \n\nhttp://rpp.ricoh-usa.com/ \n\n(cid:2) IBM System i Navigator and IBM Navigator for i information \n\nhttp://www.ibm.com/systems/i/software/navigator/ \n\n(cid:2) IBM Tivoli Storage Manager home page \n\nhttp://www.ibm.com/software/products/en/tivostormana \n\n(cid:2) z/OS information \n\nhttp://www.ibm.com/systems/z/os/zos/ \n\n(cid:2)*Creating PDF Indexing Parameters Using Floating Triggers*\n\nhttp://ibm.co/1FHsXDq \n\n(cid:2)*Understanding the ACIF Input Exit for DB2 Content Manager OnDemand*\n\nhttp://ibm.co/1UUcCT0", + "page_start": 434, + "page_end": 434, + "source_file": "sg246915.pdf" + }, + { + "text": "Rather than a standard bibliography, this section is divided into various categories based on resources that \nwill be valuable for future exploration of the technologies and methods described in this tutorial. \n\n14.1 W3C Documents \nOWL 2 Primer: https://www.w3.org/TR/owl2-primer/ \n\nOWL 2 Specification: https://www.w3.org/TR/owl2-overview/ \n\nSemantic Web Primer for Object-Oriented Software Developers: https://www.w3.org/TR/sw-oosd- \nprimer/ \n\nSPARQL Specification: https://www.w3.org/TR/sparql11-query/ \n\nSWRL Specification and Built-ins: https://www.w3.org/Submission/SWRL/ \n\n14.2 Web Sites, Tools, And Presentations. \nAgile Alliance: https://www.agilealliance.org/agile101/ \n\nCellfie: https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial \n\nGartner Hype Cycle: https://www.gartner.com/en/research/methodologies/gartner-hype-cycle \n\nJena: Open Source Java Framework for Semantic Web and Linked Data Applications: \nhttps://jena.apache.org/ \n\nOpen World Assumption (OWA) presentation by Nick Drummond and Rob Shearer: \nhttp://www.cs.man.ac.uk/~drummond/presentations/OWA.pdf \n\nProtégé: https://protege.stanford.edu/ \n\nProtégé Best Practices. Summary page on my blog for all my articles on Protégé, OWL, SWRL, etc.: \nhttps://www.michaeldebellis.com/post/best-practices-for-new-protege-users \n\nSHACL Playground: https://shacl.org/playground/ \n\nSWRL Presentation by Martin O’Connor: \nhttps://protege.stanford.edu/conference/2009/slides/SWRL2009ProtegeConference.pdf \n\nWebProtégé: https://webprotege.stanford.edu/ \n\nWebVOWL: Web-based Visualization of Ontologies: http://vowl.visualdataweb.org/webvowl.html \n\n14.3 Papers \nBerners-Lee (2001). The Semantic Web: A new form of Web content that is meaningful to computers will \nunleash a revolution of new possibilities. With James Hendler and Ora Lassila. Scientific American, May \n17, 2001. https://tinyurl.com/BernersLeeSemanticWeb \n\nMacGregor, Robert (1991). \"Using a description classifier to enhance knowledge representation\". IEEE \nExpert. 6 (3): 41–46. doi:10.1109/64.87683 https://tinyurl.com/MacGregorLoom", + "page_start": 89, + "page_end": 89, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "**1**\n\n*You can also use the Quick Analysis tool that appears at the*\n*bottom right corner of a selected range to create a quick chart.*\n*However, this method will not allow you to preview a wide*\n*variety of charts.*\n\n\n\n**Try This Yourself:**\n\n*Before starting this exercise*\n***e***\n*you MUST open the file*\n*E1317 Charting_1.xlsx…*\n***n***\n***e***\n***p***\n***O***\n***l***\n***i***\n***F***\n\n Click in cell***A3***, hold down \n, then click in cell***G7***to \nselect the range***A3:G7***\n\n Click on the***INSERT***tab, \n\nthen click on \n***Recommended Charts***in \nthe***Charts***group \n\n*The Insert Chart dialog box*\n*will display with a number*\n*of recommended chart*\n*options…*\n\n Click on each of the \n\nalternatives in the left pane \nto see a preview of how the \nchart will appear in the right \npane and spend a few \nmoments reading the \ndescriptions \n\n Click on***Line chart***(the \n\nsecond alternative in the \nleft pane), then click on \n**[OK]**to embed the chart in \nthe worksheet \n\n Point to the top border of \n\nthe chart, then click and \ndrag the chart immediately \nbelow the data \n\n Click in cell***A1***to deselect \nthe chart \n\n\n\n\n\n\n\n**For Your Reference…**\nTo***use***the***Recommended Charts feature***: \n\n1. Select the data to be charted \n2. Click on the***INSERT***tab, then click on \n\n***Recommended Charts***in the***Charts***group \n3. Click on the desired chart and click on**[OK]**\n\n**Handy to Know…**\n When selecting data for a chart you should \ninclude headings (e.g. names of the month, \nregions, etc.) but not the totals derived from \nthe data. In the example above the names of \nthe months and the cities are selected but \nthe total revenue and the regional totals are \nnot.", + "page_start": 45, + "page_end": 45, + "source_file": "Excel Training Manual 1.pdf" + }, + { + "text": "3.5 Help Desk ............................................................................................................................... 48 \n\n3.5.1 How to contact the Portal’s Help Desk .......................................................................... 48 \n\n3.6 Metadata Quality Assurance (MQA) ..................................................................................... 50 \n\n3.6.1 The Global Dashboard View .......................................................................................... 50 \n\n3.6.2 The Catalogue details view ............................................................................................ 51 \n\n3.7 SPARQL Manager ................................................................................................................... 54 \n\n3.7.1 SPARQL Search .............................................................................................................. 54 \n\n3.7.2 SPARQL Assistant ........................................................................................................... 55 \n\n3.7.3 SPARQL Saving/Modifying a Query ............................................................................... 56 \n\n3.7.4 SPARQL Queries ............................................................................................................. 57 \n\n**List of Figures**\n\nFigure 1: EDP Home Page (upper part) ................................................................................................... 8 \n\nFigure 2: EDP Home Page (lower part) .................................................................................................... 9 \n\nFigure 3 – Dataset Resource Page with Link to Geo-Spatial Visualisation. ........................................... 38 \n\nFigure 4 – Selection of layers................................................................................................................. 39 \n\nFigure 5 – Feature Info tool. .................................................................................................................. 40 \n\nFigure 6 – Legend tool. .......................................................................................................................... 40 \n\nFigure 7 – Disclaimer and tutorial buttons. ........................................................................................... 41 \n\nFigure 8 – Error message dialog. ........................................................................................................... 42", + "page_start": 2, + "page_end": 2, + "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" + }, + { + "text": "http://www.facebook.com/IBMRedbooks \n\n(cid:2) Follow us on Twitter: \n\nhttp://www.twitter.com/ibmredbooks \n\n(cid:2) Look for us on LinkedIn: \n\nhttp://www.linkedin.com/groups?home=&gid=2130806 \n\n(cid:2) Explore new Redbooks publications, residencies, and workshops with the IBM Redbooks \nweekly newsletter: \n\nhttps://www.redbooks.ibm.com/Redbooks.nsf/subscribe?OpenForm \n\n(cid:2) Stay current on recent Redbooks publications with RSS Feeds: \n\nhttp://www.redbooks.ibm.com/rss.html", + "page_start": 20, + "page_end": 20, + "source_file": "sg246915.pdf" + } + ] + }, + { + "references": { + "source_file": "Word QS.pdf", + "query": "How to connect to my Microsoft account from Word?", + "target_page": 2, + "target_passage": " Click File > Account to sign in with your Microsoft account", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Create something \n\nBegin with a**Blank document**to get right to work. Or start with a template to save \nyourself time and steps. Just select**File**>**New**, and then select or search for the \ntemplate you want. \n\nFind recent files \n\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting**File**>**Open**takes you to your recently \nused documents and any files that you may have pinned to your list. \n\n\n\n\n\nAccess files anywhere \n\nNeed to work on the go and across different devices? Click**File**>**Account**to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.", + "page_start": 1, + "page_end": 1, + "source_file": "Word QS.pdf" + }, + { + "text": "Share your work with others \n\nTo invite others to view or edit your documents, select the**Share**button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment. \n\n\n\n\n\nNext steps with Word \n\n**See what’s new in Office**\nExplore the new and improved features in Word and the other Office apps. \nVisit**https://go.microsoft.com/fwlink/?linkid=871117**for \nmore information. \n\n**Get free training, tutorials, and videos for Office**\nReady to dig deeper into the capabilities that Word has to offer? Visit \n**https://go.microsoft.com/fwlink/?linkid=871123**to explore our free \ntraining options. \n\n**Send us your feedback**\nLove Word? Got an idea for improvement to share with us? On the**File**menu, \nselect**Feedback**and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", + "page_start": 3, + "page_end": 3, + "source_file": "Word QS.pdf" + }, + { + "text": "Try it: Select File > Save As, and then select OneDrive and give this document a name. \n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. \nYou can pick up where you left off… even if you left the document open on the computer you’re \nusing now.", + "page_start": 1, + "page_end": 1, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "With this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \n\nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \n\nIf they don’t have Word, the document will open in their web browser, in Word Online. \n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \n\nTry it: Hit enter after this line to make a blank line: \n\n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \n\nand then search for something, like puppy clip art. \n\n2. Select the picture you want, and select Insert.", + "page_start": 2, + "page_end": 2, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "The Tell me search box takes you straight to commands and Help in Word. \n\nTry it: Get help: \n\n1. Go to Tell me what you want to do at the top of the window. \n\n2. Type what you want to do. \n\nFor example, type: \n\n Add watermark to quickly get to the watermark command. \n\n Help to go to Word help. \n\n Training to see the list of Word training courses. \n\n What’s new for a list of the most recent updates to Word", + "page_start": 7, + "page_end": 7, + "source_file": "welcome_to_word_template.pdf" + }, + { + "text": "**Availability**\n\nThe information in this article is applicable to the following versions of Word. \n\nWord for Windows Version 2408 and later. \n\nWord for Mac Version 16.89 and later. \n\nWord for iOS Version 2.89 and later. \n\nWord for Android Build 16.0.18025.XXXXX or later. \n\nWord for the web Build 16.0.18025.XXXXX or later. \n\nIt is available to customers with Office 2024 or Office LTSC 2024 and to customers with a \n\nMicrosoft 365 subscription on Current Channel or Monthly Enterprise Channel. For \n\ncustomers with a Microsoft 365 subscription on Semi-Annual Enterprise Channel it will \n\nbe available on January 14, 2025.", + "page_start": 60, + "page_end": 60, + "source_file": "office-pdf.pdf" + }, + { + "text": "f. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n\n9. Define a field and an index: \n\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage. \n\nb. By using the mouse, draw a box around the text string. Start just outside of the \n\nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box. \n\n**Important:**Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time. \n\nc. Click the Define a Field icon on the toolbar. \n\nd. In the Add a Field window, complete the following steps: \n\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click**Help**for \nassistance with the options and values that you can specify. \n\nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click**Help**for assistance with the other options and values that you can \nspecify. \n\niii. Click**OK**to define the field and index. \n\ne. To verify the locations of the fields, complete the following steps: \n\ni. Place the report window into display mode. Blue boxes are drawn around the fields. \n\nii. Click the**Select**tool. \n\niii. In the Select window, under Fields, double-click**Field 1**. The graphical indexer \n\nhighlights the text string in the current document. Double-click**Field 1**again. The \ngraphical indexer moves to the next document and highlights the text string. \n\niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file. \n\nf. Place the report window back into add mode. \n\n10.Click**Create Indexer Parameters and Fields Report**to create the indexer parameter \n\nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see*IBM Content Manager OnDemand -*\n*Indexing Reference*, SC19-3354. \n\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow.", + "page_start": 195, + "page_end": 195, + "source_file": "sg246915.pdf" + }, + { + "text": "Complete the following steps to successfully complete the system setup wizard: \n\n1. Log in to system by using the superuser account, as shown in Figure 4-7. Click**Log in**. \n\n**Important:**The default password for the superuser account is passw0rd (with the \nnumber zero and not the capital letter o).", + "page_start": 114, + "page_end": 114, + "source_file": "sg247938.pdf" + }, + { + "text": "**Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \n\n**Set up**\n\n**Explore**\nOnce you sign in,**connect**with your team in \nchat, channels, calls, and meetings. \n\n**Download**the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go. \n\n**Hit the ground running now!**Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", + "page_start": 0, + "page_end": 0, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**Note:**Make sure that your PC or notebook has a network route to the system IP \naddress that you specified. In particular, you can access the management GUI from \nany management console that is connected to the same subnet as the system. Enter \nthe system IP address on a supported browser to access the management GUI. \n\n**4.3 System setup**\n\nThis section provides instructions about how to define the basic settings of the system with \nthe system setup wizard, and how to add nodes and optional expansion enclosures. \n\n**4.3.1 System setup wizard**\n\nWhether you are redirected from your PC or notebook after completing system initialization or \nyou browse to the management IP address manually, you must complete the system setup \nwizard to define the basic settings of the system. \n\n**Note:**The first time that you connect to the management GUI, you are prompted to accept \nuntrusted certificates because the system certificates are self-signed. \n\nYou can install certificates that are signed by a trusted certificate authority after you \ncomplete system setup. For more information about how to perform this task, see 4.5, \n“Configuring secure communications” on page 117.", + "page_start": 113, + "page_end": 113, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HRL_2004.pdf", + "query": "What are the products of Hormel Foods Corporation?", + "target_page": 4, + "target_passage": "meat and other food product", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "**PART I**\n\n**Item 1.*BUSINESS***\n\n**Available Information**\n\nThe Company makes available, free of charge on its website at*www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, \ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of \n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such \nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours. \n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free \nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, \nfree of charge, under the caption \"Investor.\" \n\n**(a)*General Development of Business***\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. \nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel \nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of \nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has \nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business. \n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned \nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing \nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn. \n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with \nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey \nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "Use these links to rapidly review the document \nHORMEL FOODS CORPORATION TABLE OF CONTENTS \n\n**ANNUAL REPORT ON FORM 10-K**\n\n**HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n**FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n**THE SECURITIES EXCHANGE ACT OF 1934**\n\n**HORMEL FOODS CORPORATION**\n(Exact name of registrant as specified in its charter) \n\n**DELAWARE**\n(State or other jurisdiction of \nincorporation or organization) **41-0319970**\n(I.R.S. Employer \nIdentification No.) \n\n**55912-3680**\n(Zip Code) **1 HORMEL PLACE AUSTIN, MINNESOTA**\n(Address of principal executive offices) \n\nRegistrant's telephone number, including area code**(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act: \n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\nTitle of Each Class \n**NEW YORK STOCK EXCHANGE**\nName of Each Exchange \nOn Which Registered \n\nSecurities registered pursuant to Section 12 (g) of the Act: \n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 \nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o \n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the \nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to \nthis Form 10-K. o \n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o \n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most \nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date. \n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows: \n\nCommon Stock, $.0586 Par Value—138,672,803 shares \n\nCommon Stock Non-Voting, $.01 Par Value—0 shares \n\n**DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and \nincluded as exhibit 13.1 filed herewith.", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n**HORMEL FOODS CORPORATION**\n\n**FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its \nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report: \n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002. \n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001. \n\n**Consolidated Statements of Changes in Shareholders' Investment**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Notes to Financial Statements**—October 25, 2003. \n\n**Report of Independent Auditors**\n\n**FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith: \n\n**Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required \nunder the related instructions or are inapplicable, and therefore have been omitted. \n\n**FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X. \n\n**Note (1)**—Uncollectible accounts written off. \n\n**Note (2)**—Recoveries on accounts previously written off. \n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable. \n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable. \n\n**HORMEL FOODS CORPORATION**\n\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.) |\n|---|---|---|\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n| 3.1 | (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "Perishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon \nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen \nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and \nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin \nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), \nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001). \n\nNo new product in fiscal 2003 required a material investment of Company assets. \n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned \nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of \nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by \ncommon carrier. \n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, \nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and \noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a \nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea. \n\n**Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize \nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog \nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the \nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not \neliminated the sensitivity of Company results to raw material supply and price fluctuations.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON Date: January 23, 2004 \n\nJOEL W. JOHNSON \nChairman of the Board, \nPresident and Chief Executive Officer \n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the \nRegistrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes \nand appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of \nsubstitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the \nAnnual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection \nwith this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and \nagent, or his substitutes, shall do or cause to be done by virtue hereof.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "HORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S \nPRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF \nTSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD \nSMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG, \nSWEET THING, THICK & EASY and WRANGLERS. \n\n**Customers and Backlog Orders**\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up \napproximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS, \n51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material \nadverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders \nare accepted and shipped on a current basis. \n\n**Competition**\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with \nmanufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish. \nThe Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and \nConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc. \n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong \nquality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then \nsupport higher value perceptions from customers. \n\nThe Company competes using this same strategy in international markets around the world. \n\n**Research and Development**\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The \nexpenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42 \nprofessional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products. \n\n**Employees**\n\nAs of October 25, 2003, the Company had over 16,000 active employees.", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "markets its turkey products through its own sales force and independent brokers. \n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003 \nstrengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest \ncompanies providing nutritional products to the U.S. healthcare industry. \n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages \nand sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers. \n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a \npresence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the \nPhilippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the \nPhilippines (Purefoods-Hormel, 40% holding). \n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the \nCompany have been acquired in the ordinary course of business. \n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the \nbeginning of the fiscal year. \n\n**(b)*Industry Segment***\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other. \nThe contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by \nsegment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual \nStockholder's Report for the year ended October 25, 2003, incorporated herein by reference. \n\n**(c)*Description of Business***\n\n**Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and \ncanned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows: \n\n| Perishable meat | | 50.3 | % | 53.0 | % | 54.7 | % |\n|---|---|---|---|---|---|---|---|\n| Perishable meat | | 50.3 | % | 53.0 | % | 54.7 | % |\n| Nonperishable meat | | 18.9 | | 19.8 | | 21.0 | |\n| Poultry | | 22.1 | | 22.6 | | 20.3 | |\n| Other | | 8.7 | | 4.6 | | 4.0 | |\n\n\n| | | 100.0 | % | 100.0 | % | 100.0 | % |\n|---|---|---|---|---|---|---|---|\n| | | 100.0 | % | 100.0 | % | 100.0 | % |\n\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution \nchannels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's general- \npurpose financial statements.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**PART III**\n\n**Item 10.*DIRECTORS AND EXECUTIVE OFFICERS OF THE REGISTRANT***\n\nInformation under \"Election of Directors,\" contained on pages 3 and 4 and under \"Committees of the Board of Directors and Meetings,\" on page 5, and \nthe second sentence of the second paragraph under \"Audit Committee Report and Ratification of Appointment of Auditors,\" contained on page 6 of the \ndefinitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference. \n\nInformation concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K. \n\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of \nStockholders to be held January 27, 2004, is incorporated herein by reference. \n\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that \napplies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar \nfunctions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption, \n\"Corporate.\"", + "page_start": 8, + "page_end": 8, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.) |\n|---|---|---|\n| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1 | (1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, August 28, 2001, File No. 333-68498.) |\n| 4.2 | (1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3 | (1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4 | (1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1 | (1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report on Form 8-K dated October 23, 2003.) |\n| 10.2 | (1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3 | (1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4 | (1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy Statement filed on December 30, 1999, File No. 001-02402.) |", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**(d)*Executive Officers of the Registrant***\n\n| Joel W. Johnson | | 60 | | Chairman of the Board, President and Chief\nExecutive Officer | | 12/08/95 to Present | | 1991 |\n|---|---|---|---|---|---|---|---|---|\n| Joel W. Johnson | | 60 | | Chairman of the Board, President and Chief Executive Officer | | 12/08/95 to Present | | 1991 |\n| Michael J. McCoy | | 56 | | Executive Vice President and Chief Financial Officer Senior Vice President and Chief Financial Officer Vice President and Controller Vice President and Treasurer | | 10/29/01 to Present 05/01/00 to 10/28/01 04/27/98 to 04/30/00 01/27/97 to 04/26/98 | | 1996 |\n| Gary J. Ray | | 57 | | Executive Vice President Refrigerated Foods Executive Vice President Operations | | 11/01/99 to Present 07/27/92 to 10/31/99 | | 1988 |\n| Eric A. Brown | | 57 | | Group Vice President Prepared Foods | | 12/02/96 to Present | | 1987 |\n| Steven G. Binder | | 46 | | Group Vice President Foodservice Vice President Foodservice Director Foodservice Sales | | 10/30/00 to Present 11/02/98 to 10/29/00 12/30/96 to 11/01/98 | | 1998 |\n| Richard A. Bross | | 52 | | Group Vice President Hormel/President Hormel Foods International Corporation Vice President Hormel/President Hormel Foods International Corporation Vice President Grocery Products | | 10/29/01 to Present 11/01/99 to 10/28/01 01/30/95 to 10/31/99 | | 1995 |\n| Jeffrey M. Ettinger | | 45 | | Group Vice President Hormel/President and Chief Executive Officer Jennie-O Turkey Store Group Vice President Hormel/President and Chief Operating Officer Jennie-O Turkey Store Vice President Hormel/President and Chief Operating Officer Jennie-O Turkey Store Vice President Hormel/President and Chief Executive Officer Jennie-O Foods Vice President Hormel/Jennie-O Foods Treasurer Assistant Treasurer | | 03/03/03 to Present 10/29/01 to 03/02/03 04/30/01 to 10/28/01 01/31/00 to 04/29/01 11/01/99 to 01/30/00 04/27/98 to 10/31/99 11/24/97 to 04/26/98 | | 1998 |\n\n\n| Ronald W. Fielding | | 50 | | Group Vice President Sales Strategy\nGroup Vice President Meat Products\nVice President Hormel/President Hormel\nFoods International Corporation | | 06/02/03 to Present\n11/01/99 to 06/01/03\n01/27/97 to 10/31/99 | | 1997 |\n|---|---|---|---|---|---|---|---|---|\n| Ronald W. Fielding | | 50 | | Group Vice President Sales Strategy Group Vice President Meat Products Vice President Hormel/President Hormel Foods International Corporation | | 06/02/03 to Present 11/01/99 to 06/01/03 01/27/97 to 10/31/99 | | 1997 |\n| James A. Jorgenson | | 59 | | Senior Vice President Corporate Staff Vice President Human Resources | | 11/01/99 to Present 12/30/91 to 10/31/99 | | 1990 |\n| Mahlon C. Schneider | | 64 | | Senior Vice President External Affairs and General Counsel Vice President and General Counsel | | 11/01/99 to Present 11/19/90 to 10/31/99 | | 1990 |\n| Thomas R. Day | | 45 | | Vice President Foodservice Sales Director Foodservice Sales Director Dubuque Foods Incorporated Foodservice Sales and Marketing | | 10/30/00 to Present 11/02/98 to 10/29/00 03/07/94 to 11/01/98 | | 2000 |\n| Forrest D. Dryden | | 60 | | Vice President Research and Development | | 01/26/87 to Present | | 1987 |\n| Jody H. Feragen | | 47 | | Vice President and Treasurer Treasurer Assistant Treasurer, National Computer Systems in Eden Prairie, Minnesota, a data collection and software company | | 10/29/01 to Present 10/30/00 to 10/28/01 12/01/95 to 10/30/00 | | 2000 |\n| Dennis B. Goettsch | | 50 | | Vice President Foodservice Marketing Director Foodservice Marketing | | 10/30/00 to Present 10/01/90 to 10/29/00 | | 2000 |\n| Daniel A. Hartzog | | 52 | | Vice President Meat Products Sales Director of Meat Products Business Development Meat Products Regional Sales Manager | | 10/30/00 to Present 07/03/00 to 10/29/00 09/19/88 to 07/02/00 | | 2000 |", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_HRL_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HRL_2004.pdf", + "query": "Where are Hormel Foods Corporation plants located? ", + "target_page": 5, + "target_passage": "has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**PART I**\n\n**Item 1.*BUSINESS***\n\n**Available Information**\n\nThe Company makes available, free of charge on its website at*www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, \ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of \n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such \nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours. \n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free \nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, \nfree of charge, under the caption \"Investor.\" \n\n**(a)*General Development of Business***\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. \nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel \nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of \nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has \nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business. \n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned \nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing \nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn. \n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with \nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey \nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n**HORMEL FOODS CORPORATION**\n\n**FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its \nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report: \n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002. \n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001. \n\n**Consolidated Statements of Changes in Shareholders' Investment**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Notes to Financial Statements**—October 25, 2003. \n\n**Report of Independent Auditors**\n\n**FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith: \n\n**Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required \nunder the related instructions or are inapplicable, and therefore have been omitted. \n\n**FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X. \n\n**Note (1)**—Uncollectible accounts written off. \n\n**Note (2)**—Recoveries on accounts previously written off. \n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable. \n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable. \n\n**HORMEL FOODS CORPORATION**\n\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.) |\n|---|---|---|\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n| 3.1 | (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "Use these links to rapidly review the document \nHORMEL FOODS CORPORATION TABLE OF CONTENTS \n\n**ANNUAL REPORT ON FORM 10-K**\n\n**HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n**FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n**THE SECURITIES EXCHANGE ACT OF 1934**\n\n**HORMEL FOODS CORPORATION**\n(Exact name of registrant as specified in its charter) \n\n**DELAWARE**\n(State or other jurisdiction of \nincorporation or organization) **41-0319970**\n(I.R.S. Employer \nIdentification No.) \n\n**55912-3680**\n(Zip Code) **1 HORMEL PLACE AUSTIN, MINNESOTA**\n(Address of principal executive offices) \n\nRegistrant's telephone number, including area code**(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act: \n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\nTitle of Each Class \n**NEW YORK STOCK EXCHANGE**\nName of Each Exchange \nOn Which Registered \n\nSecurities registered pursuant to Section 12 (g) of the Act: \n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 \nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o \n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the \nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to \nthis Form 10-K. o \n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o \n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most \nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date. \n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows: \n\nCommon Stock, $.0586 Par Value—138,672,803 shares \n\nCommon Stock Non-Voting, $.01 Par Value—0 shares \n\n**DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and \nincluded as exhibit 13.1 filed herewith.", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON Date: January 23, 2004 \n\nJOEL W. JOHNSON \nChairman of the Board, \nPresident and Chief Executive Officer \n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the \nRegistrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes \nand appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of \nsubstitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the \nAnnual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection \nwith this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and \nagent, or his substitutes, shall do or cause to be done by virtue hereof.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "HORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S \nPRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF \nTSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD \nSMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG, \nSWEET THING, THICK & EASY and WRANGLERS. \n\n**Customers and Backlog Orders**\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up \napproximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS, \n51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material \nadverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders \nare accepted and shipped on a current basis. \n\n**Competition**\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with \nmanufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish. \nThe Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and \nConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc. \n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong \nquality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then \nsupport higher value perceptions from customers. \n\nThe Company competes using this same strategy in international markets around the world. \n\n**Research and Development**\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The \nexpenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42 \nprofessional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products. \n\n**Employees**\n\nAs of October 25, 2003, the Company had over 16,000 active employees.", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "Perishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon \nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen \nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and \nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin \nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), \nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001). \n\nNo new product in fiscal 2003 required a material investment of Company assets. \n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned \nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of \nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by \ncommon carrier. \n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, \nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and \noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a \nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea. \n\n**Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize \nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog \nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the \nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not \neliminated the sensitivity of Company results to raw material supply and price fluctuations.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "| | | Houston, Texas | | 93,000 | | Owned | | |\n|---|---|---|---|---|---|---|---|---|\n| | | Houston, Texas | | 93,000 | | Owned | | |\n| | | Knoxville, Iowa | | 130,000 | | Owned | | |\n| | | Osceola, Iowa | | 334,000 | | Owned | | |\n| | | Quakertown, Pennsylvania | | 13,000 | | Owned | | |\n| | | Rochelle, Illinois | | 440,000 | | Owned | | |\n| | | Sparta, Wisconsin | | 185,000 | | Owned | | |\n| | | Stockton, California | | 139,000 | | Owned | | |\n| | | Tucker, Georgia | | 259,000 | | Owned | | |\n| | | Wichita, Kansas | | 80,000 | | Owned | | |\n| | Warehouse/Distribution Centers | | | | | | | |\n| | | Austin, Minnesota—Annex | | 83,000 | | Owned | | |\n| | | Dayton, Ohio | | 140,000 | | Owned | | |\n| | | Eldridge, Iowa | | 280,000 | | Leased | | October, 2005 |\n| | | Osceola, Iowa | | 233,000 | | Owned | | |\n| | | Stockton, California | | 232,000 | | Leased | | July, 2004 |\n| | | Tucker, Georgia | | 96,000 | | Leased | | October, 2004 |\n| | Research and Development Center | | | | | | | |\n| | | Austin, Minnesota | | 59,000 | | Owned | | |\n| | Corporate Offices | | | | | | | |\n| | | Austin, Minnesota | | 203,000 | | Owned | | |\n| Dan's Prize, Inc. | | | | | | | | |\n| | | Browerville, Minnesota—Plant | | 52,000 | | Owned | | |\n| | | Long Prairie, Minnesota—Plant | | 80,000 | | Owned | | |\n| Jennie-O Turkey Store, Inc. | | | | | | | | |\n| | Plants | | | | | | | |\n| | | Barron, Wisconsin | | 372,000 | | Owned | | |\n| | | Faribault, Minnesota | | 169,000 | | Owned | | |\n| | | Marshall, Minnesota | | 142,000 | | Owned | | |\n| | | Melrose, Minnesota | | 124,000 | | Owned | | |\n| | | Montevideo, Minnesota | | 85,000 | | Owned | | |\n| | | Pelican Rapids, Minnesota | | 242,000 | | Owned | | |\n| | | Willmar, Minnesota | | 419,000 | | Owned | | |\n\n\n*\nAcres \n\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the \nCompany. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los \nAnimas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production \nvolumes and all volumes anticipated in the foreseeable future. \n\n**PART II**\n\n**Item 5.*MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS***\n\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002, \nrespectively, are shown below:", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**ITEM 2. PROPERTIES**\n\nOur corporate headquarters is located in Ft. Lauderdale, Florida in leased premises. As of December 31, \n2004, we operated approximately 6,100 collection vehicles. Certain of our property and equipment are subject \nto operating leases or liens securing payment of portions of our indebtedness. We also lease certain of our \noÇces and equipment. We believe that our facilities are suÇcient for our current needs. \n\n**Location** **Region**", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | Applied at a Glance Headquarters: Cleveland, Ohio, USA Operating Facilities: More than 500 in the United States, Canada, Mexico, Puerto Rico, Australia and New Zealand |\n| | | | | E-Commerce: www.Applied.com Distribution Centers: 9 |", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_AIT_2012.pdf" + }, + { + "text": "| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.) |\n|---|---|---|\n| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1 | (1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, August 28, 2001, File No. 333-68498.) |\n| 4.2 | (1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3 | (1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4 | (1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1 | (1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report on Form 8-K dated October 23, 2003.) |\n| 10.2 | (1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3 | (1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4 | (1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy Statement filed on December 30, 1999, File No. 001-02402.) |", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HRL_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_HRL_2004.pdf", + "query": "Does Hormel Food Corporation have any material legal proceedings pending?", + "target_page": 8, + "target_passage": "The Company knows of no pending material legal proceedings.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Use these links to rapidly review the document \nHORMEL FOODS CORPORATION TABLE OF CONTENTS \n\n**ANNUAL REPORT ON FORM 10-K**\n\n**HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n**FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n**THE SECURITIES EXCHANGE ACT OF 1934**\n\n**HORMEL FOODS CORPORATION**\n(Exact name of registrant as specified in its charter) \n\n**DELAWARE**\n(State or other jurisdiction of \nincorporation or organization) **41-0319970**\n(I.R.S. Employer \nIdentification No.) \n\n**55912-3680**\n(Zip Code) **1 HORMEL PLACE AUSTIN, MINNESOTA**\n(Address of principal executive offices) \n\nRegistrant's telephone number, including area code**(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act: \n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\nTitle of Each Class \n**NEW YORK STOCK EXCHANGE**\nName of Each Exchange \nOn Which Registered \n\nSecurities registered pursuant to Section 12 (g) of the Act: \n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 \nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o \n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the \nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to \nthis Form 10-K. o \n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o \n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most \nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date. \n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows: \n\nCommon Stock, $.0586 Par Value—138,672,803 shares \n\nCommon Stock Non-Voting, $.01 Par Value—0 shares \n\n**DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and \nincluded as exhibit 13.1 filed herewith.", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n**HORMEL FOODS CORPORATION**\n\n**FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its \nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report: \n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002. \n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001. \n\n**Consolidated Statements of Changes in Shareholders' Investment**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001. \n\n**Notes to Financial Statements**—October 25, 2003. \n\n**Report of Independent Auditors**\n\n**FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith: \n\n**Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required \nunder the related instructions or are inapplicable, and therefore have been omitted. \n\n**FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X. \n\n**Note (1)**—Uncollectible accounts written off. \n\n**Note (2)**—Recoveries on accounts previously written off. \n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable. \n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable. \n\n**HORMEL FOODS CORPORATION**\n\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.) |\n|---|---|---|\n| 2.1 | (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n| 3.1 | (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**PART I**\n\n**Item 1.*BUSINESS***\n\n**Available Information**\n\nThe Company makes available, free of charge on its website at*www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, \ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of \n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such \nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours. \n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free \nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, \nfree of charge, under the caption \"Investor.\" \n\n**(a)*General Development of Business***\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. \nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel \nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of \nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has \nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business. \n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned \nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing \nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn. \n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with \nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey \nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON Date: January 23, 2004 \n\nJOEL W. JOHNSON \nChairman of the Board, \nPresident and Chief Executive Officer \n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the \nRegistrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes \nand appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of \nsubstitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the \nAnnual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection \nwith this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and \nagent, or his substitutes, shall do or cause to be done by virtue hereof.", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.) |\n|---|---|---|\n| 3.2 | (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1 | (1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, August 28, 2001, File No. 333-68498.) |\n| 4.2 | (1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3 | (1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4 | (1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1 | (1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report on Form 8-K dated October 23, 2003.) |\n| 10.2 | (1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3 | (1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4 | (1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy Statement filed on December 30, 1999, File No. 001-02402.) |", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "Perishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon \nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen \nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and \nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin \nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), \nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001). \n\nNo new product in fiscal 2003 required a material investment of Company assets. \n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned \nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of \nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by \ncommon carrier. \n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, \nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and \noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a \nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea. \n\n**Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize \nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog \nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the \nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not \neliminated the sensitivity of Company results to raw material supply and price fluctuations.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**Item 3. Legal Proceedings.**\n\nWe are subject from time to time to various claims and lawsuits arising in the ordinary course of business, including lawsuits alleging \nviolations of state and/or federal wage and hour and other employment laws, privacy and other consumer-based claims. Some of these \nlawsuits include certified classes of litigants, or purport or may be determined to be class or collective actions and seek substantial damages \nor injunctive relief, or both, and some may remain unresolved for several years. We believe the recorded reserves in our consolidated \nfinancial statements are adequate in light of the probable and estimable liabilities. As of the date of this report, we do not believe any \ncurrently identified claim, proceeding or litigation, either alone or in the aggregate, will have a material impact on our results of operations, \nfinancial position or cash flows. Since these matters are subject to inherent uncertainties, our view of them may change in the future. \n\n**Item 4. Mine Safety Disclosures.**\n\nNone.", + "page_start": 23, + "page_end": 23, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "**ITEM 3. LEGAL PROCEEDINGS**\n\nWe are and will continue to be involved in various administrative and legal proceedings in the ordinary \ncourse of business. We can give you no assurance regarding the outcome of these proceedings or the eÅect \ntheir outcomes may have, or that our insurance coverages or reserves are adequate. A signiÑcant judgment \nagainst our company, the loss of signiÑcant permits or licenses, or the imposition of a signiÑcant Ñne could \nhave a material adverse eÅect on our Ñnancial position, results of operations, cash Öows or prospects. \n\n**ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS**\n\nNo matters were submitted to our stockholders during the fourth quarter of 2004.", + "page_start": 26, + "page_end": 26, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**Item 11.*EXECUTIVE COMPENSATION***\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of \nDirectors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by \nreference. \n\n**Item 12.*SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS***\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and \ninformation under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held \nJanuary 27, 2004, is incorporated herein by reference. \n\n**Item 13.*CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS***\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page \n17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference. \n\n**Item 14.*PRINCIPAL ACCOUNTING FEES AND SERVICES***\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors—Audit Fees\" through \"—Audit Committee Preapproval \nPolicies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is \nincorporated herein by reference. \n\n**PART IV**\n\n**Item 15.*EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K***\n\n(a) \n(1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report. \n(3) List of Exhibits—The response to this portion of Item 15 is submitted as a separate section of this report. \n\n(b) \nThe following reports on Form 8-K were filed during the fourth quarter: \n\nForm 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and \nmember of the Board of Directors. \n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003. \n\nForm 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year \nlabor contract. \n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of \n$150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001. \n\n**SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its \nbehalf by the undersigned, thereunto duly authorized. \n\n**HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON Date: January 23, 2004 \n\nJOEL W. JOHNSON \nChairman of the Board, \nPresident and Chief Executive Officer", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "**(d)*Executive Officers of the Registrant***\n\n| Joel W. Johnson | | 60 | | Chairman of the Board, President and Chief\nExecutive Officer | | 12/08/95 to Present | | 1991 |\n|---|---|---|---|---|---|---|---|---|\n| Joel W. Johnson | | 60 | | Chairman of the Board, President and Chief Executive Officer | | 12/08/95 to Present | | 1991 |\n| Michael J. McCoy | | 56 | | Executive Vice President and Chief Financial Officer Senior Vice President and Chief Financial Officer Vice President and Controller Vice President and Treasurer | | 10/29/01 to Present 05/01/00 to 10/28/01 04/27/98 to 04/30/00 01/27/97 to 04/26/98 | | 1996 |\n| Gary J. Ray | | 57 | | Executive Vice President Refrigerated Foods Executive Vice President Operations | | 11/01/99 to Present 07/27/92 to 10/31/99 | | 1988 |\n| Eric A. Brown | | 57 | | Group Vice President Prepared Foods | | 12/02/96 to Present | | 1987 |\n| Steven G. Binder | | 46 | | Group Vice President Foodservice Vice President Foodservice Director Foodservice Sales | | 10/30/00 to Present 11/02/98 to 10/29/00 12/30/96 to 11/01/98 | | 1998 |\n| Richard A. Bross | | 52 | | Group Vice President Hormel/President Hormel Foods International Corporation Vice President Hormel/President Hormel Foods International Corporation Vice President Grocery Products | | 10/29/01 to Present 11/01/99 to 10/28/01 01/30/95 to 10/31/99 | | 1995 |\n| Jeffrey M. Ettinger | | 45 | | Group Vice President Hormel/President and Chief Executive Officer Jennie-O Turkey Store Group Vice President Hormel/President and Chief Operating Officer Jennie-O Turkey Store Vice President Hormel/President and Chief Operating Officer Jennie-O Turkey Store Vice President Hormel/President and Chief Executive Officer Jennie-O Foods Vice President Hormel/Jennie-O Foods Treasurer Assistant Treasurer | | 03/03/03 to Present 10/29/01 to 03/02/03 04/30/01 to 10/28/01 01/31/00 to 04/29/01 11/01/99 to 01/30/00 04/27/98 to 10/31/99 11/24/97 to 04/26/98 | | 1998 |\n\n\n| Ronald W. Fielding | | 50 | | Group Vice President Sales Strategy\nGroup Vice President Meat Products\nVice President Hormel/President Hormel\nFoods International Corporation | | 06/02/03 to Present\n11/01/99 to 06/01/03\n01/27/97 to 10/31/99 | | 1997 |\n|---|---|---|---|---|---|---|---|---|\n| Ronald W. Fielding | | 50 | | Group Vice President Sales Strategy Group Vice President Meat Products Vice President Hormel/President Hormel Foods International Corporation | | 06/02/03 to Present 11/01/99 to 06/01/03 01/27/97 to 10/31/99 | | 1997 |\n| James A. Jorgenson | | 59 | | Senior Vice President Corporate Staff Vice President Human Resources | | 11/01/99 to Present 12/30/91 to 10/31/99 | | 1990 |\n| Mahlon C. Schneider | | 64 | | Senior Vice President External Affairs and General Counsel Vice President and General Counsel | | 11/01/99 to Present 11/19/90 to 10/31/99 | | 1990 |\n| Thomas R. Day | | 45 | | Vice President Foodservice Sales Director Foodservice Sales Director Dubuque Foods Incorporated Foodservice Sales and Marketing | | 10/30/00 to Present 11/02/98 to 10/29/00 03/07/94 to 11/01/98 | | 2000 |\n| Forrest D. Dryden | | 60 | | Vice President Research and Development | | 01/26/87 to Present | | 1987 |\n| Jody H. Feragen | | 47 | | Vice President and Treasurer Treasurer Assistant Treasurer, National Computer Systems in Eden Prairie, Minnesota, a data collection and software company | | 10/29/01 to Present 10/30/00 to 10/28/01 12/01/95 to 10/30/00 | | 2000 |\n| Dennis B. Goettsch | | 50 | | Vice President Foodservice Marketing Director Foodservice Marketing | | 10/30/00 to Present 10/01/90 to 10/29/00 | | 2000 |\n| Daniel A. Hartzog | | 52 | | Vice President Meat Products Sales Director of Meat Products Business Development Meat Products Regional Sales Manager | | 10/30/00 to Present 07/03/00 to 10/29/00 09/19/88 to 07/02/00 | | 2000 |", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_HRL_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "Open_Data_Report.pdf", + "query": "What is Mexican Farm Subsidies ?", + "target_page": 9, + "target_passage": "an online tool to analyze how the federal government allocates those subsidies", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**Higher Handset Subsidies**\nis based substantially on subsidizing the \nOur wireless business model \ncost of subscriber handsets, similar to other North American wireless \ncarriers. This attracts customers and in exchange they commit to a term \nwith us. We also commit to a minimum subsidy with the supplier of \ncertain smartphone devices. \n\nBUSINESS RISKS \n\n**Revenue Expectations from New and Advanced Services**\nWe expect that a substantial portion of our future revenue growth may \ncome from new and advanced services, and we continue to invest \nsignificant capital resources to develop our networks so we can offer \nthese services. It is possible, however, that there may not be sufficient \nconsumer demand, or that we may not anticipate or satisfy demand for \ncertain products and services, or be able to offer or market these new \nproducts and services successfully to subscribers. If we do not attract \nsubscribers to new products and services profitably or keep pace with \nchanging consumer preferences, we could experience slower revenue \ngrowth and increased churn. This could have a materially adverse effect \non our business, results of operations and financial condition. \n\n**National Wireless Tower Policy**\nThe policy affects all parties that plan to install or modify an antenna \nsystem, including PCS, cellular and broadcasting service providers. The \npolicy requires, among other things, that antenna proponents consider \nusing existing antenna structures before proposing new structures and \nthose owners of existing systems respond to requests to share antenna \nsystems. Antenna proponents must \nfollow a defined process for \nnotifying the public and addressing local requirements and concerns. \n\n**Acquisitions, Divestitures or Investments**\nAcquiring complementary businesses and technologies, developing \nstrategic alliances and divesting portions of our business are often \nrequired to optimally execute our business strategy. \nCertain types of antenna installations, however, are excluded from the \nconsultation requirements with local authorities and the public. \n\n**Radio Frequency Emissions**\nFrom time to time the media and other reports have highlighted alleged \nlinks between radio frequency emissions from wireless handsets and \nvarious health concerns, including cancer, and interference with various \nmedical devices, \nincluding hearing aids and pacemakers. This may \ndiscourage the use of wireless handsets or expose us to potential \nlitigation even though there are no definitive reports or studies stating \nthat these health issues are directly attributable to radio frequency \nemissions. \n\nServices, technologies, key personnel or businesses of companies we \nacquire may not be effectively assimilated into our business or service \nofferings, or our alliances may not be successful. We also may not be \nable to successfully complete any divestitures on satisfactory terms, if at \nall. Divestitures may reduce our total revenues and net income by more \nthan offset by the sales price. \n\n**Inventory Obsolescence**\nOur inventory balance mainly consists of wireless handset devices, \nwhich generally have relatively short product life cycles due to frequent \nwireless handset \nIf we cannot effectively manage \ninventory levels based on product demand, this may increase the risk of \ninventory obsolescence. \n\nintroductions. \n\nThe Supreme Court of Canada ruled in 2003, however, that the CRTC \ndoes not have the jurisdiction to establish the terms and conditions of \naccessing the poles of hydroelectric companies. As a result, we obtained \naccess under orders from the Ontario Energy Board and the New \nBrunswick Public Utilities Board.", + "page_start": 79, + "page_end": 79, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Right now, one of the most active Asian countries in the Open Data arena is India, which also \n\nsigned an Open Government partnership with the USA in November 2010. In January 2011 the \n\nIndian Congress Party announced plans for a new law to fight corruption among public servants and \n\npoliticians. Anti-corruption websites (including ones in local dialects) like \n\nIndiaagainstcorruption.org, already existed, including one, Ipaidabribe.com, that collected more \n\nthan 3,000 people reports of graft in its first four months. \n\nAs it happens in Asia, even Latin America is currently focused, at least outside Public \n\nAdministration circles, on how to open public data to achieve actual transparency. This appears \n\neven from the way many projects are labeled, that is \"Civic Information\" instead of Open Data \n\n(which is an idea starting from data*reuse*) or Open Government. \n\nThe reason is that even where good Freedom of Information laws exist in Latin America, they still \n\nhave too little practical effects. Mexico, for example, already has a digital system to manage \n\nFreedom of Information requests, but there are reports of complaints filed against municipal \n\nofficials that either have no effect at all, or aren't possible in the first place, because relevant \n\ninformation has not been updated in years, or omits key data like (in the case of budget reports) \n\n*\"descriptions of how the money was spent\"*. \n\nEven with these difficulties, the Latin America Open Data/Civic Information landscape is active \n\nand definitely worthwhile following. The list of interesting Civic Information projects in Latin \n\nAmerica include (from Sasaki's Access to Information: Is Mexico a Model for the Rest of the \n\nWorld?: \n\n• Mexico \n\n• Mexican Farm Subsidies - an online tool to analyze how the federal government \n\nallocates those subsidies \n\n• Compare Your School : compares aggregate test results from any school with the \n\nmunicipal, regional, and national averages \n\n• Rebellion of the Sick built for patients with chronic diseases whose expenses are not \n\ncovered by the government subsidized health coverage. \n\n• Argentina: Public Spending in Bahía analyzes how public funds are used. \n\n• Colombia: Visible Congress monitors the actions of the Colombian congress \n\n• Brazil \n\n• Eleitor 2010 : a website to submit reports of electoral fraud during the Brazil 2010 \n\n*9/34*\n\n*Copyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)*", + "page_start": 8, + "page_end": 8, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "develop an Integrated Nutrient Management Action Plan in 2022. The Farm to Fork \nstrategy will address the reduction in the use and risk of pesticides and support wider \nimplementation of Integrated Pest Management54. As part of this,**the environmental**\n**risk assessment of pesticides will be strengthened**. The pressure from plastics is \nnotably addressed through the implementation of the European Strategy for Plastics55 and \nthe new Circular Economy Action Plan56. \n\nThe Commission will develop a**set of indicators for the progressive reduction of**\n**pollution**, and will establish baselines to help monitor progress. Pressures from marine \nlitter and underwater noise are being addressed under the Marine Strategy Framework \nDirective. \n\n*2.2.10. Addressing invasive alien species*\n\nInvasive alien species can significantly undermine efforts to protect and restore nature. \nBesides inflicting major damage to nature and the economy, many invasive alien species \nalso facilitate the outbreak and spread of infectious diseases, posing a threat to humans \nand wildlife57. The rate of release of invasive alien species has increased in recent years. \nOf the 1,872 species now considered threatened in Europe, 354 are under threat from \ninvasive alien species. Without effective control measures, the rate of invasion and the \nrisks it brings to our nature and health will continue to rise. \n\nThe implementation of the**EU Invasive Alien Species Regulation**58 and other relevant \nlegislation and international agreements must also be stepped up**.**This should aim to \nminimise, and where possible eliminate, the introduction and establishment of alien \nspecies in the EU environment. The aim will be to manage established invasive alien \nspecies and**decrease the number of Red List species they threaten by 50%**59. \n\n**EU Nature Restoration Plan: key commitments by 2030**\n\n1. Legally binding EU nature restoration targets to be proposed in 2021, subject to an \nimpact assessment. By 2030, significant areas of degraded and carbon-rich \necosystems are restored; habitats and species show no deterioration in conservation \ntrends and status; and at least 30% reach favourable conservation status or at least \nshow a positive trend. \n\n2. The decline in pollinators is reversed. \n3. The risk and use of chemical pesticides is reduced by 50% and the use of more \n\nhazardous pesticides is reduced by 50%. \n\n4. At least 10% of agricultural area is under high-diversity landscape features. \n5. At least 25% of agricultural land is under organic farming management, and the \n\nuptake of agro-ecological practices is significantly increased. \n\n6. Three billion new trees are planted in the EU, in full respect of ecological principles. \n7. Significant progress has been made in the remediation of contaminated soil sites. \n8. At least 25,000 km of free-flowing rivers are restored. \n\n54 Sustainable Use of Pesticides Directive (2009/128/EC). \n55 European Strategy for Plastics in a Circular Economy (COM(2018) 28). \n56 A new Circular Economy Action Plan for a cleaner and more competitive Europe (COM(2020) 98). \n57 See for example: Hulme P. (2014). Invasive species challenge the global response to emerging diseases, \n*Trends in parasitology (2014) Vol. 30, Issue 6*; Duscher et al. (2017). \n\n58 Regulation (EU) 1143/2014 on invasive alien species. \n59 Red List of the International Union for the Conservation of Nature (IUCN). \n\n14", + "page_start": 14, + "page_end": 14, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "Livestock slaughtered by the Company is purchased by Company buyers and commission dealers at sale barns and terminal markets or under long-term \nsupply contracts at locations principally in Minnesota, Illinois, Iowa, Nebraska, Colorado and South Dakota. The cost of livestock and the utilization of the \nCompany's facilities are affected by both the level and the methods of pork production in the United States. The hog production industry has been rapidly \nmoving to very large, vertically integrated, year-round confinement operations operating under long-term supply agreements. This has resulted in fewer \nhogs being available on the spot cash market, which decreases the supply of hogs on the open market and can severely diminish the utilization of \nslaughter facilities and increase the cost of the raw materials they produce. The Company, along with others in the industry, uses long-term supply \ncontracts to manage the effects of this trend and to assure a stable supply of raw materials while minimizing extreme fluctuations in costs over the long- \nterm. This may result in costs for live hogs that are either higher or lower than the spot cash market depending on the relationship of the cash spot \nmarket to contract prices. Contract costs are fully reflected in the Company's reported financial results. In fiscal 2003, the Company purchased 79 percent \nof its hogs under long-term supply contracts. \n\nIn fiscal 2003, JOTS raised approximately 57 percent of the turkeys needed to meet its raw material requirements for whole bird and processed turkey \nproducts. Turkeys not sourced within the Company are contracted with independent turkey growers. JOTS' turkey-raising farms are located throughout \nMinnesota and Wisconsin. Production costs in raising turkeys are primarily subject to fluctuations in feed grain prices and to a lesser extent fuel costs. \n\n**Manufacturing**\n\nThe Company has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China that slaughter livestock for processing. Quality Pork Processors of \nDallas, Texas, operates the slaughter facility at Austin under a custom slaughter arrangement. \n\nFacilities that produce manufactured items are located in Algona, Iowa; Aurora, Illinois; Austin, Minnesota; Beloit, Wisconsin; Bondurant, Iowa; Ft. Dodge, \nIowa; Fremont, Nebraska; Houston, Texas; Knoxville, Iowa; Mitchellville, Iowa; Osceola, Iowa; Perrysburg, Ohio; Quakertown, Pennsylvania; Rochelle, \nIllinois; Savannah, Georgia; Sparta, Wisconsin; Stockton, California; Tucker, Georgia; Visalia, California; Wichita, Kansas; Beijing, China; and Shanghai, \nChina. Company products are also custom manufactured by several other companies. The following are the Company's larger custom manufacturers: \nLakeside Packing Company, Manitowoc, Wisconsin; Schroeder Milk, Maplewood, Minnesota; Steuben Foods, Jamaica, New York; Power Packaging, St. \nCharles, Illinois; Criders, Stilmore, Georgia; Tony Downs, St. James, Minnesota; and Concept Foods, Alma, Kansas. Power \n\nLogistics, Inc., based in St. Charles, Illinois, operates distribution centers for the Company in Dayton, Ohio, and Osceola, Iowa. \n\nThe Company's turkey slaughter and processing operations are located in Barron, Wisconsin; Faribault, Minnesota; Melrose, Minnesota; Montevideo, \nMinnesota; Pelican Rapids, Minnesota; and Willmar, Minnesota. \n\n**Patents and Trademarks**\n\nThere are numerous patents and trademarks that are important to the Company's business. The Company holds seven foreign and 47 U.S. issued \npatents. Some of the trademarks are registered and some are not. In recognition of the importance of these assets, the Company created a subsidiary, \nHormel Foods, LLC, in 1998 to create, own, maintain and protect most of the Company's trademarks and patents. Some of the more significant owned or \nlicensed trademarks used in the Company's segments are:", + "page_start": 4, + "page_end": 4, + "source_file": "NYSE_HRL_2004.pdf" + }, + { + "text": "progress towards the target will be under constant review, and adjustment if needed, to \nfarmers’ \nmitigate against undue \ncompetitiveness. \n\nimpact on biodiversity, food security and \n\nAgroecology can provide healthy food while maintaining productivity, increase soil \nfertility and biodiversity, and reduce the footprint of food production. Organic farming in \nparticular holds great potential for farmers and consumers alike. The sector creates jobs \nand attracts young farmers. Organic farming also provides 10-20 % more jobs per hectare \nthan conventional farms, and creates added value for agricultural products32. To make the \nmost of this potential, at least**25% of the EU’s agricultural land must be organically**\n**farmed by 2030**. In addition to CAP measures, the Commission will put forward an \nAction Plan on organic farming, helping Member States stimulate both supply and \ndemand of organic products. It will also ensure consumer’s trust through promotion \ncampaigns and green public procurement. In the implementation of the EU-wide agro- \necological targets set out in this strategy and in the Farm to Fork Strategy, the different \nstarting points and differences in progress already made in Member States will be taken \ninto account. \n\nThe uptake of agroforestry support measures under rural development should be \nincreased as it has great potential to provide multiple benefits for biodiversity, people and \nclimate. \n\nThe decline of**genetic diversity**must also be reversed, including by facilitating the use \nof traditional varieties of crops and breeds. This would also bring health benefits through \nmore varied and nutritious diets. The Commission is considering the revision of \nmarketing rules for traditional crop varieties in order to contribute to their conservation \nand sustainable use. The Commission will also take measures to facilitate the registration \nof seed varieties, including for organic farming, and to ensure easier market access for \ntraditional and locally adapted varieties. \n\n*2.2.3. Addressing land take and restoring soil ecosystems*\n\nSoil is one of the most complex of all ecosystems. It is a habitat in its own right, and \nhome to an incredible diversity of organisms that regulate and control key ecosystem \nservices such as soil fertility, nutrient cycling and climate regulation.**Soil is a hugely**\n**important non-renewable resource**, vital for human and economic health, as well as the \nproduction of food and new medications. \n\nIn the EU, the degradation of soil is having considerable environmental and economic \nconsequences. Poor land management, such as deforestation, overgrazing, unsustainable \nfarming and forestry practices, construction activities and land sealing are among the \nmain causes of this situation33. Despite recent reductions in the pace of soil sealing, \nfertile soils continue to be lost to land take and urban sprawl34. When compounded by \n\n32 OECD (2016), Farm Management Practices to Foster Green Growth. \n33 European Environment Agency (2019), EEA Signals 2019: Land and Soil in Europe. \n34 European Environment Agency and Swiss Federal Office for the Environment (FOEN) (2016), Urban \nsprawl in Europe. \n\n8", + "page_start": 8, + "page_end": 8, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "**Figure 6.**Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C. \n\n**Market price of maize in main countries.**\nIn this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/ \nregion due to climate change. \n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline. \n\n**Discussion and conclusion**\n**Discussion.**Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm- \ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed9.pdf" + }, + { + "text": "Operations Development \n\nNueva \nEsperanza \n$’000 Challenger \n$’000 Bowdens \n$’000 \n\n226,759 102,523 – – \n\n166 513 – – \n\n226,925 103,036 – – \n\n93,593 16,656 (234) (3,070) \n\n– (311,850) – – \n\n(26,962) (58,474) (18) (32) \n\n66,631 (353,668) (252) (3,102) \n\n2,103 153 6 – \n\n(10,716) (141) (6) (1,258) \n\n(8,613) 12 – (1,258) \n\n58,018 (353,656) (252) (4,360) \n\n$’000 \n\n329,282 \n\n730 \n\n330,012 \n\n95,010 \n\n(332,808) \n\n(85,595) \n\n(323,393) \n\n2,587 \n\n(18,809) \n\n(16,222) \n\n(339,615) \n\n2013 \n\nExternal sales revenue \n\nOther revenue \n\nTotal segment revenue \n\nSegment EBITDA \n\nImpairment \n\nDepreciation and amortisation \n\nProfit / (loss) before finance cost \nand income tax \n\nFinance income \n\nFinance costs \n\nNet finance costs \n\nProfit / (loss) before tax \n\nOther segment information \n\nSegment assets \n\nSegment liabilities \n\nSegment intercompany assets / (liabilities) \n\n2012 \n\nExternal sales revenue \n\nOther revenue \n\nTotal segment revenue \n\nSegment EBITDA \n\nDepreciation and amortisation \n\nProfit / (loss) before finance cost \nand income tax \n\nFinance income \n\nFinance costs \n\nNet finance costs \n\nProfit / (loss) before tax \n\nOther segment information \n\nSegment assets \n\nSegment liabilities \n\nSegment intercompany assets / (liabilities)", + "page_start": 77, + "page_end": 77, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "currently in favourable status are in that category or show a strong positive trend. \nThe Commission and the European Environmental Agency will provide guidance \nto Member States in 2020 on how to select and prioritise species and habitats. \n\n*2.2.2. Bringing nature back to agricultural land*\n\nAs guardians of our land, farmers play a vital role in preserving biodiversity. They are \namong the first to feel the consequences when biodiversity is lost but also among the first \nto reap the benefits when it is restored. Biodiversity enables them to provide us with**safe,**\n**sustainable, nutritious and affordable food**and provides them with the income they \nneed to thrive and develop. European farmers are an essential part of the EU’s future and \nmust continue to be the social and economic hub of many communities across our Union. \n\nAt the same time, certain agricultural practices are a key driver of biodiversity decline. \nThis is why it is important to work with farmers to**support and incentivise the**\n**transition to fully sustainable practices**. Improving the condition and diversity of \nagroecosystems will increase the sector’s resilience to climate change, environmental \nrisks and socioeconomic shocks, while creating new jobs, for example in organic \nfarming, rural tourism or recreation. \n\nTo support the long-term sustainability of both nature and farming, this strategy will \nwork in tandem with the new**Farm to Fork Strategy**and the**new Common**\n**Agricultural Policy (CAP)**, including by promoting eco-schemes and result-based \npayment schemes. In implementing the Biodiversity and the Farm to Fork Strategies, the \nCommission will closely monitor progress and improvements in terms of food security \nand farmers income. The Commission will ensure that the CAP Strategic plans are \nassessed against robust climate and environmental criteria, and that Member States set \nexplicit national values for the relevant targets set in this strategy, as well as in the Farm \nto Fork Strategy. These plans should lead to sustainable practices such as precision \nagriculture, organic farming, agro-ecology, agro-forestry, low-intensive permanent \ngrassland, and stricter animal welfare standards. \n\nFarmland birds and insects, particularly pollinators, are key indicators of the health of \nagroecosystems and are vital for agricultural production and food security. Their \nalarming decline must be reversed. As set out in the Farm to Fork Strategy, the \nCommission will take action to reduce by**50% the overall use of – and risk from –**\n**chemical pesticides by 2030**and reduce by 50% the use of more hazardous pesticides \nby 2030. This must be supported by the full implementation of the EU Pollinators \ninitiative31. By the end of 2020, the Commission will review the initiative and propose \nadditional measures if necessary. To provide space for wild animals, plants, pollinators \nand natural pest regulators, there is an urgent need to bring back**at least 10% of**\n**agricultural area under high-diversity landscape features**. These include,*inter alia*, \nbuffer strips, rotational or non-rotational fallow land, hedges, non-productive trees, \nterrace walls, and ponds. These help enhance carbon sequestration, prevent soil erosion \nand depletion, filter air and water, and support climate adaptation. In addition, more \nbiodiversity often helps lead to more agricultural production. Member States will need to \ntranslate the 10% EU target to a lower geographical scale to ensure connectivity among \nhabitats, especially through the CAP instruments and CAP Strategic Plans, in line with \nthe Farm to Fork Strategy, and through the implementation of the Habitats Directive. The", + "page_start": 7, + "page_end": 7, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "**Figure 11: Establishment size and ‘Pressure due to time constraints’ – ESENER 2014 and 201934**\n\n\n\n**Figure 12: Establishment size and ‘Long or irregular working hours’ – ESENER 2014 and 201935**\n\n\n\n**Sectoral differences**are also strong but not that large as between enterprise sizes they vary for \n**‘Pressure due to time constraints’**between 32% in agriculture to 54% in education and HHSW \nactivities. \n\nLooking at countries, as indicated the figure below, the three Nordic EU Member States are at the top \nof the EU27 countries, all three with rates of more than 70%. The lowest levels of less than 30% are \nreported for Italy, Lithuania and Slovakia. 36", + "page_start": 33, + "page_end": 33, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "9. RETIREMENT BENEFIT PLANS \n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), tax-qualified \npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts \nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain \nforeign consolidated subsidiaries have defined benefit and contribution plans. \nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as \nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans: \n\n*Thousands of*\n*U.S. dollars*\n2004 \n*Mar. 31, 2005*\n\nRetirement benefit obligation....................................................................................................................................... ¥(1,217,260) \n500,815 \nPlan assets at fair value .................................................................................................................................................... \n(716,445) \nUnfunded retirement benefit obligation............................................................................................................... \n120,718 \nUnrecognized net retirement benefit obligation at transition ........................................................... \n154,689 \nUnrecognized actuarial gain or loss........................................................................................................................ \n(66,720) \nUnrecognized prior service cost................................................................................................................................. \n(507,758) \nNet retirement benefit obligation .............................................................................................................................. \n445 \nPrepaid pension cost........................................................................................................................................................... \nAccrued retirement benefits.......................................................................................................................................... ¥ (508,203) \n$(11,376,262) \n4,680,514 \n(6,695,748) \n1,128,206 \n1,445,691 \n(623,551) \n(4,745,402) \n4,159 \n$ (4,749,561) \n\n*Millions of yen*\n\n2004 \n*Mar. 31, 2005* 2003 \n*Mar. 31, 2004* *As of*\n\n¥(1,041,483) \n377,169 \n(664,314) \n131,666 \n152,867 \n(61,833) \n(441,614) \n652 \n¥ (442,266) \n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", + "page_start": 83, + "page_end": 83, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "Open_Data_Report.pdf", + "query": "What concerns has open data raised in the insurance sector?", + "target_page": 23, + "target_passage": "insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen,*before*\n\nthey are published online. The most common concerns of this type are (from Open Public Data: \n\nThen What? - Part 1): \n\n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as \n\nprivate property by private corporations, because the public agencies whose job was to \n\nproduce those data, can't sell them anymore. \n\n2. total accessibility of data provides more incentives to tinker with them, at the risk of \n\nreducing trust in institutions and inhibiting decision-making even more than today. \n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account \n\nis that, once data are open, routinely used and monitored by as many independent users as possible, \n\neven the cost of keeping them up to date may be sensibly reduced: in other words, in the \n\nmedium/long term Open Data may reduce the need to periodically perform complete, that is very \n\nexpensive, studies and surveys to update a whole corpus of data in one run. \n\nBesides, and above all, even if opening data always destroyed any source of income for the public \n\noffice that used to create and maintain them, this problem would only exist for the PSI datasets that \n\nare*already*sold today. Such data, even if of strategic importance as is the case with digital \n\ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase \n\ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases: \n\n• the money to generate the data already arrives by some other source than sales and \n\nlicensing(but even with those data it may be possible to generate them by crowdsourcing, \n\nthereby reducing those costs!) \n\n• the only extra expense caused by publishing those data online (assuming they're already \n\navailable in some digital format, of course!), would be the hosting and bandwidth costs, that \n\nmay be greatly reduced by mirroring and other technical solutions like torrents, already \n\nwidely used to distribute Free/Open Source Software (FOSS) through the Internet. \n\n**3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but \n\nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance \n\nof occasions to secretly play with data and how they are managed is a symptom of excessive, or \n\npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-", + "page_start": 16, + "page_end": 16, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides \n\nthat those from (properly done) Open Data are a really tiny percentage of the total. \n\nThis is a consequence of the fact that data about us end up online from the most different sources \n\n(including ourselves and our acquaintances), and that often it would be very hard to discover, never \n\nmind*prove*, that they've been used against our interest. There have been concerns, for example, that \n\ninsurance companies may charge higher fees for life insurance to those among their customers \n\nwho... put online a family tree from which it shows that they come from families with an average \n\nlife expectancy lower than usual. \n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of \n\ndata, that weren't even published by any Public Administration? Of course, publishing online \n\ncomplete, official Census data of several generations, in a way that would make such automatic \n\nanalysis possible would be a totally different matter. \n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is \n\nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always \n\nremember and explain that: \n\n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air \n\npollution measurements....) \n\n2. The majority of data that are directly related to individuals (e.g. things like names and \n\naddress of people with specific diseases, or who were victims of some crime) have no reason \n\nto be published,**nor there is any actual demand for them by Open Data advocates**\n\n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to \n\npublic offices, Government and Parliament members etc...) already exist in many countries \n\n4. Very often, in practice, Open Data struggles only happen about*when and how*to make \n\navailable in the most effective way for society information that was*already*recognized as \n\npublic.*What*to declare public, hence open, is indeed a serious issue (more on this in the next \n\nparagraph) but is a separate one. \n\n**3.8. Need to better define what is Public Data**\nTogether with citizens education, there is a huge challenge that Governments and the Open Data \n\nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update \n\nand expand the definition of Public Data and to have it accepted by lawmakers and public \n\nadministrators.", + "page_start": 22, + "page_end": 22, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**1. Introduction**\nThis report is the final deliverable of the Open Data, Open Society research project. It follows the \n\npublication of the Open Data, Open Society report, finished in late October 2010 and published in \n\nearly January 2011. That first report focused on explaining the critical importance of digital data in \n\ncontemporary society and business activities; defining Open Data; giving examples on their \n\npotential, especially at the local level, on transparency and economics activities; finally, defining \n\nsummarizing some general best practices. \n\nThis second report looks at what happened in the Open Data arena after October 2010. After some \n\nconsiderations on the general social and political background in late 2010/early 2011, it is divided \n\nin two main parts. The first describes some emerging trends and issues related to Open Data, that \n\ngot minor or no coverage in the first report. The second part discusses some practices and actions to \n\nfollow to deal with those trends and issues. \n\n**2. Social and political landscape**\nIt is worthwhile to begin by mentioning several events, happened between the end of 2010 and the \n\nfirst months of 2011, that can help to understand what will be the place and role of Open Data in the \n\nfuture, as well as the challenges faced by its advocates. \n\nThe first two are the Spanish \"Indignados\" and the Arab Spring. The first movement has among its \n\ngoals*\"a change in society and an increase in social awareness\"*. The Arab Spring, as L. Millar put \n\nit on the New Zealand Computer Society website,*\"demonstrated the potency of technology to*\n\n*reflect citizens' views of government systems that are not transparent.\"*As a consequence, noted the \n\nAfrinnovator blog,*\"we have seen from the civil disobedience in the North of Africa and the Middle*\n\n*East, the appetite for more accountable and transparent government will only grow from here on\"*. \n\nFrom this analysis it looks like, in a way, both the Indignados and the participants to the Arab \n\nSpring are (also) asking for Open Data, even if they aren't using the term and many participants to \n\nthese grassroots movement may still ignore its definition, that was born inside hackers and Public", + "page_start": 2, + "page_end": 2, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "*a research project about openness of*\n*public data in EU local*\n*administration*\n\n*by Marco Fioretti*\n*for the*\n*Laboratory of Economics and Management*\n*of*\n*Scuola Superiore Sant'Anna, Pisa*\n\nThis report is part of the “Open Data, Open Society” Project financed through the DIME network \n(Dynamics of Institutions and Markets in Europe, www.dime-eu.org) as part of DIME Work \nPackage 6.8, coordinated by Professor Giulio Bottazzi", + "page_start": 0, + "page_end": 0, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**2.3. Open Data in Latin America, Asia and Africa**\nSeveral countries in Latin America are studying and making experiments with Open Data both at \n\nthe government and at the grassroots level. The same is happening, on a much smaller scale, in a \n\nfew parts of Asia and Africa. On average, the volume of these Open Data experiments and the level \n\nof*local*interest and awareness around them is still lower than what is happening in Europe and \n\nNorth America. In spite of this we suggest that it is important, for public officials and civic activists \n\nin Western Countries, to follow these developments closely. The reason is that they may turn into \n\nvery useful test beds for all the strengths and limits of Open Data, especially those not encountered \n\nyet where the movement was born. \n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The \n\nproblem they want to solve is how to make democracy work better*in countries where it already*\n\n*exists and which share a great amount of history and cultural/philosophical values*. \n\nOther countries face very different challenges, from the philosophical level to the practical one. A \n\ncommon issue in developing countries, for example, is that there is very little to open simply \n\nbecause much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first \n\nthing to do is to*create*data, normally through outsourcing and crowd sourcing. \n\nOther issues, that will be discussed in detail in other sections of the report because they are also \n\npresent in Europe in different forms, are related to lack of equal opportunities for access to data and \n\nserious fears (sometimes, concrete, sometimes caused by confusion about what should be open and \n\nhow) that data will be used*against*citizens. A commenter to Gurstein's Open Data: Empowering \n\nthe Empowered or Effective Data Use for Everyone? said: \n\n*in Delhi and Mumbai, mobs and rioters managed to get information about particular*\n*identity groups through voter rolls: openness is, in certain situations, a precarious*\n*virtue. It is almost certain that Open Data would be used to rig election but here again*\n*openness is not the issue, they would find it anyway...*\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its \n\neffects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in \n\nThailand, for example, one of the most appreciated entries was a software scraper of the Thailand's \n\nMember of House of Representative Website, that made it possible for everybody to create", + "page_start": 7, + "page_end": 7, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "by David Osimo in EU eGov action plan published: the good, the bad and the unknown, are the \n\nactions on Open Data (a EU portal and a revision of the EU PSI directive), and on citizens control \n\nover their data. However the Action Plan contains no reference to the need for a more open and \n\ncollaborative governance. \n\nIn the case of European Structural Funds, as Luigi Reggi reported in March 2011: \n\nthere is no single point of access to the data. Hundreds of Managing Authorities are \nfollowing different paths and implementing different information strategies when \nopening up their data. \n\nMany databases (often simple PDF lists) [...show...] huge variation not only in \nthe way they can be accessed but also in content and quality of data provided. \n\n... [...The results of...] an independent web-based survey on the overall \nquality of data published by each Managing Authority responsible for the 434 \nOperational Programmes approved in July 2009... can be summarized as follows: \n\nThe use of open, machine-processable and linked-data formats have unexpected \nadvantages in terms of transparency and re-use of the data by the public and private \nsector. The application of these technical principles does not need extra budget or major \nchanges in government organization and information management; nor does it require \nthe update of existing software and infrastructures. What is needed today is the \npromotion among national and local authorities of the culture of transparency and the \nraising of awareness of the benefits that could derive from opening up existing data and \ninformation in a re-usable way. \n\nThe European Cohesion Policy is only halfway to accomplishing a paradigm shift to \nopen data, with differences in performance both between and - in some cases - within \nEuropean Countries. \n\nThings don't go much better for the European Union in the energy field. Carlo Stagnaro wrote in \n\nEU Energy Orwellianism: Ignorance Is Strength: \n\nEnergy is an active area of EU public policy. Yet authorities are not revealing \ninformation (data is surely has) that is crucial to determine whether its policies are \ndistorting the market and come at too high a cost to society. This is a major fault in \nEurope's credibility in advancing its policy goals, as well as a serious limitation to the \naccountability of the policy making process \n\nWe realized that, while strongly supporting green investments the EU does not know, or \ndoes not make it public, how much is spent every year on green subsidies... With regard \nto green jobs, several estimates exist, but no official figure is provided. \n\nMore recently... I discovered that Eurostat does not tell how much coal capacity is \ninstalled - as opposed to natural gas- or oil-fueled generation plants. It is possible to \nknow how much coal is used, but not the amount of fixed capital which is invested in", + "page_start": 6, + "page_end": 6, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**4. Conclusion: seven Open Data strategy and**\n**best practices suggestions**\nStarting from the trends and conclusion described in the previous chapter, this section lists, in the \n\nmost synthetic way possible, some strategic actions and best practices for 2011, that we consider \n\nimportant in making Open Data succeed and bring the greatest possible benefits to all citizens and \n\nbusinesses. \n\n**4.1. Properly define and explain both Open Data and Public**\n**Data**\nJust because Open Data is becoming more popular (and, we may say, more and more necessary \n\nevery year), it is essential to intensify efforts to explain, both to the general public and to public \n\nadministrators, that \n\n1.**Privacy issues are almost always a non-issue.**Quoting from What \"open data\" means - \n\nand what it doesn't):*Privacy and/or security concerns with putting all the government's data*\n\n*out there are a separate issue that shouldn't be confused with Open Data. Whether data*\n\n*should be made publicly available is where privacy concerns come into play. Once it has*\n\n*been determined that government data should be made public, then it should be done*\n\n*openly.*\n\n2. Defining as Public and consequently opening them in the right way,*much more data*than \n\nthose born and stored*inside*Public Administration is an urgent task that is in the best \n\ninterest of all citizens and businesses \n\n**4.2. Keep political issues separated by economics ones**\nOpen Data can reduce the costs of Public Administrations and generate (or at least protect, as in the \n\ncase of deals from local merchants) local jobs in all sectors of the economy, not just high-tech ones. \n\nThere seems to be enough evidence for these two assertions to go for more Open Data*even if*they \n\nhad no effect at all on participation to politics. This should always be kept in mind, also because \n\nsome data that can directly stimulate business are not the same that would be useful for \n\ntransparency.", + "page_start": 26, + "page_end": 26, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "22.Thinking About Africa's Open Data \n\n23.Towards EU Benchmarking 2.0 - Transparency and Open Data on Structural Funds in \n\nEurope \n\n24.UK Open Government Licence removes barriers to re-use of public sector information \n\n25.Western Europe: A journey through tech for transparency projects \n\n26.What open data means to marginalized communities \n\n27.What's in a Name? Open Gov and Good Gov \n\n28.WikiLeaks Relationship With the Media \n\n29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government", + "page_start": 33, + "page_end": 33, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "more concrete over time is damage control. In a world that produces digital data without \n\ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \n\npredict, practically impossible to avoid and increasingly common. Opening public government data, \n\nthat is providing plenty of officially verified information, becomes therefore also a damage control \n\nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \n\nOpen Public Data, individual citizens, political parties or other organizations will start to process \n\nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \n\ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \n\nconclusions. This is not some theoretical possibility far in the future, as this real world example \n\n(from a comment to an Open Data discussion in an italian blog) proves: \n\n\"*on the*[non italian]*Geonames website you can download geo-referenced data*\n*about... 47000 Italian municipalities. That worries me, because there are only 8094 of*\n*them. Besides, I grabbed a few random data about population, and I can guarantee you*\n*that not one was right. What should be done in such cases?*\n\n**2.1. Wikileaks and the Open Data movement**\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \n\nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \n\nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \n\nData and Wikileaks are about transparency, accountability and democracy. \n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \n\nscandal. \n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \n\ntransparency whenever government activities are concerned. Citizens must be able to know what \n\nthe state is*actually*doing but sometimes, be it for careful evaluation of all the alternatives or \n\nbecause of security, it must be possible to work behind closed doors, at least temporarily. We'll \n\ncome back to this point later in this report. \n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \n\nand transparency in politics, not only there are deep differences between the two ideas but, in our", + "page_start": 4, + "page_end": 4, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first \n\nis to protect a public administration from having to pay*twice*for those data, if it needs it again in \n\nthe future for some other internal activity, not explicitly mentioned in the initial contract. The \n\nsecond reason is to not spend more than what is absolutely necessary to respond to public records \n\nrequests, that is to comply with Freedom of Information laws. \n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is \n\nsharing it with all the citizens using the public services based on those data. A real world example \n\nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike- \n\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux \n\nfinances the infrastructure and operates it, in exchange for advertising space on the bikes \n\nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking \n\nspaces of each station is published online in real time on the official Villo's website. \n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website \n\nthat reuses those data to measure where and how often there aren't enough available bikes and \n\nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated \n\nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because \n\ncitizens could monitor the service by themselves, were possible just because the data from the \n\nofficial website were legally and automatically reusable. \n\n**3.4. The price of digitization**\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if \n\nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that \n\nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase \n\nof efficiency and reduction of the costs of Public Administrations can only happen when data and \n\nprocedures are digitized. The problem is that such digitization (which, obviously, must happen \n\nanyway sooner or later) can be very expensive and we are only now starting to really realize how \n\nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic \n\nscanning of paper documents or typing again their content inside some database, are relatively low, \n\none-time expenses that are also very easy to calculate and budget in advance with great precision. \n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is \n\nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less \n\nautomatic procedures and file templates, formats, habits and customs developed, maybe over", + "page_start": 13, + "page_end": 13, + "source_file": "Open_Data_Report.pdf" + } + ] + }, + { + "references": { + "source_file": "Open_Data_Report.pdf", + "query": "What are Steinberg's concerns about the government releasing all non-private existing data?", + "target_page": 28, + "target_passage": "The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\". The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "more concrete over time is damage control. In a world that produces digital data without \n\ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \n\npredict, practically impossible to avoid and increasingly common. Opening public government data, \n\nthat is providing plenty of officially verified information, becomes therefore also a damage control \n\nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \n\nOpen Public Data, individual citizens, political parties or other organizations will start to process \n\nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \n\ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \n\nconclusions. This is not some theoretical possibility far in the future, as this real world example \n\n(from a comment to an Open Data discussion in an italian blog) proves: \n\n\"*on the*[non italian]*Geonames website you can download geo-referenced data*\n*about... 47000 Italian municipalities. That worries me, because there are only 8094 of*\n*them. Besides, I grabbed a few random data about population, and I can guarantee you*\n*that not one was right. What should be done in such cases?*\n\n**2.1. Wikileaks and the Open Data movement**\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \n\nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \n\nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \n\nData and Wikileaks are about transparency, accountability and democracy. \n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \n\nscandal. \n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \n\ntransparency whenever government activities are concerned. Citizens must be able to know what \n\nthe state is*actually*doing but sometimes, be it for careful evaluation of all the alternatives or \n\nbecause of security, it must be possible to work behind closed doors, at least temporarily. We'll \n\ncome back to this point later in this report. \n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \n\nand transparency in politics, not only there are deep differences between the two ideas but, in our", + "page_start": 4, + "page_end": 4, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**4.3. Keep past and future separate**\nFor the same reason why it is important to always distinguishes between political and economical \n\nadvantages (or disadvantages) of Open Data, it is necessary to keep decisions about*future*data \n\n(those that will arrive in the future, due to new contracts, public services and so on) separate from \n\nthose about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that \n\nGovernment should publish everything non-private it can**now**is \"rather dangerous\", and that it \n\nwould be much better to release nothing until someone actually asked for it, and at that point doing \n\nit right, that is with an open license and so on. The first reasons for Steinberg's concern is that \n\nasking for everything as soon as possible would*\"stress the system too much, by spreading thin the*\n\n*finite amount of good will, money and political capital\"*. The second is that many existing old data \n\nand data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend \n\nresources in opening them. \n\nEven if these concerns were always true, it is important to realize that they apply (especially the \n\nsecond) to already existing data, not to future ones. The two classes of data have, or can have, very \n\ndifferent constraints. Existing data may still exist only in paper format and/or be locked by closed or \n\nunclear licenses, or not relevant anymore for future decisions. \n\nOpening*future*data, instead, is almost always more important, useful urgent, easier and cheaper \n\nthan digitizing or even only reformatting material that in many cases is already too old to make \n\nimmediate, concrete differences. While this argument is probably not always true when we look at \n\nOpen data for transparency, it probably is when it comes to economic development. \n\nTherefore, features and guidelines that should be present in all future data generation and \n\nmanagement processes include: \n\n• standardization: the less, obviously open, formats are used for data of the same type, the \n\neasier it is to merge and correlate them. The formats that have to be standardized are not \n\nonly those at the pure software level. Even more important is, for example, to adopt by law \n\nstandard identificators for government suppliers, names and machine-readable identifiers of \n\nbudget voices and so on \n\n• preparation for future digitization: new digital systems should explicitly be designed from \n\nthe beginning so that it will be possible, when non-digital records will be digitized, to add \n\nthem to the databases without modifying losses.", + "page_start": 27, + "page_end": 27, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides \n\nthat those from (properly done) Open Data are a really tiny percentage of the total. \n\nThis is a consequence of the fact that data about us end up online from the most different sources \n\n(including ourselves and our acquaintances), and that often it would be very hard to discover, never \n\nmind*prove*, that they've been used against our interest. There have been concerns, for example, that \n\ninsurance companies may charge higher fees for life insurance to those among their customers \n\nwho... put online a family tree from which it shows that they come from families with an average \n\nlife expectancy lower than usual. \n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of \n\ndata, that weren't even published by any Public Administration? Of course, publishing online \n\ncomplete, official Census data of several generations, in a way that would make such automatic \n\nanalysis possible would be a totally different matter. \n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is \n\nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always \n\nremember and explain that: \n\n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air \n\npollution measurements....) \n\n2. The majority of data that are directly related to individuals (e.g. things like names and \n\naddress of people with specific diseases, or who were victims of some crime) have no reason \n\nto be published,**nor there is any actual demand for them by Open Data advocates**\n\n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to \n\npublic offices, Government and Parliament members etc...) already exist in many countries \n\n4. Very often, in practice, Open Data struggles only happen about*when and how*to make \n\navailable in the most effective way for society information that was*already*recognized as \n\npublic.*What*to declare public, hence open, is indeed a serious issue (more on this in the next \n\nparagraph) but is a separate one. \n\n**3.8. Need to better define what is Public Data**\nTogether with citizens education, there is a huge challenge that Governments and the Open Data \n\nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update \n\nand expand the definition of Public Data and to have it accepted by lawmakers and public \n\nadministrators.", + "page_start": 22, + "page_end": 22, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen,*before*\n\nthey are published online. The most common concerns of this type are (from Open Public Data: \n\nThen What? - Part 1): \n\n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as \n\nprivate property by private corporations, because the public agencies whose job was to \n\nproduce those data, can't sell them anymore. \n\n2. total accessibility of data provides more incentives to tinker with them, at the risk of \n\nreducing trust in institutions and inhibiting decision-making even more than today. \n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account \n\nis that, once data are open, routinely used and monitored by as many independent users as possible, \n\neven the cost of keeping them up to date may be sensibly reduced: in other words, in the \n\nmedium/long term Open Data may reduce the need to periodically perform complete, that is very \n\nexpensive, studies and surveys to update a whole corpus of data in one run. \n\nBesides, and above all, even if opening data always destroyed any source of income for the public \n\noffice that used to create and maintain them, this problem would only exist for the PSI datasets that \n\nare*already*sold today. Such data, even if of strategic importance as is the case with digital \n\ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase \n\ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases: \n\n• the money to generate the data already arrives by some other source than sales and \n\nlicensing(but even with those data it may be possible to generate them by crowdsourcing, \n\nthereby reducing those costs!) \n\n• the only extra expense caused by publishing those data online (assuming they're already \n\navailable in some digital format, of course!), would be the hosting and bandwidth costs, that \n\nmay be greatly reduced by mirroring and other technical solutions like torrents, already \n\nwidely used to distribute Free/Open Source Software (FOSS) through the Internet. \n\n**3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but \n\nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance \n\nof occasions to secretly play with data and how they are managed is a symptom of excessive, or \n\npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-", + "page_start": 16, + "page_end": 16, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "opinion, the Wikileaks experience proves the advantages of Open Data. \n\nWas Wikileaks right to publish the cable? Were the specific facts and behaviors uncovered by \n\nCablegate right or wrong? The answer to these questions are outside the scope of this document. \n\nHere we only wish to point out that Cablegate and Wikileaks, at least in the form we've known them \n\nso far, have been about: \n\n• reacting to problems*after*they occurred \n\n• without any intervention and involvement of the parties and organizations that may have \n\nbehaved improperly \n\nOpen Data, instead, is about*prevention*of errors, abuses and inefficiencies, through conscious and \n\ncontinuous collaboration of citizens and governments officials*during*day to day operations, if not \n\nbefore their beginning. \n\nOf course, citizens must always check that they aren't getting incomplete or biased data. But in any \n\ncase, Open Data means that the involved government officials aren't just prepared to see that data \n\npublished, they know and accept it from the start. In such a context, some risks associated to \n\nWikileaks, like the fact that the leaker lacks the means to influence the downstream use of the \n\ninformation, and therefore may harm anybody connected to the linked information, are almost non- \n\nexistent. \n\nAbove all, unlike the content of most Wikileaks documents, Open Data are almost always data that \n\nshould surely be open, unlike wartime military reports, and that almost never contain any personal \n\ninformation. In summary, whatever the conclusions about Wikileaks are, they could not be \n\nconclusions against Open Data, because there are too many differences between the two \n\nmovements. \n\n**2.2. Data Openness in EU**\nBoth the interest and the need for data openness at the European Union level remain high. Here, \n\nwithout making any complete analysis, we'll only report and comment a few relevant episodes. \n\nWhile studies continue to point at the political and economical advantages of Open Data, great \n\ninefficiencies and delays still keep the time and cost savings that could be achieved a far goal for \n\nthe European Union. \n\nAll the principles of the Open Declaration (collaboration, transparency, empowerment) have been \n\ndeclared key areas of action of the new EC eGov action plan. Particularly important, as explained", + "page_start": 5, + "page_end": 5, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is*\"data that is of*\n\n*public interest, that belongs to the whole community, data that every citizen is surely entitled to*\n\n*know and use\"*. This definition is so generic that accepting it together with the assumption that all \n\nsuch data should be open as preached by the Open Data movement (online, as soon as possible, in \n\nmachine readable format with an open license etc...) doesn't create any particular problem or \n\nconflict. \n\nReal problems however start as it has happened all too often so far, whenever we assume more or \n\nless consciously that \"Public Data\" in the sense defined above and data directly produced by \n\nGovernments and Public Administrations, that is what's normally called PSI (Public Sector \n\nInformation) are the same thing. \n\nThere is no doubt that Governments and Public Administrations produce huge quantities of Public \n\nData. But this is an age of privatization of many public services, from transportation to healthcare, \n\nenergy and water management. This is an age in which many activities with potentially very serious \n\nimpacts on whole communities, like processing of hazardous substances or toxic waste, happen \n\n*outside*Public Administrations. The paradox is that, as Sasaki put it, this increased privatization is \n\nhappening in the very same period in which*\" we are observing a worldwide diffusion of access to*\n\n*information laws that empower citizens to hold government agencies accountable.\"*\n\nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what \n\nconstitutes traditional, official PSI. \"Public Data\" includes all that information*plus*the much bigger \n\namount of data describing and measuring all the activities of private companies, from bus \n\ntimetables to packaged food ingredients, aqueducts performances and composition of fumes \n\nreleased in the atmosphere, that have a*direct impact*on the health and rights of all citizens of the \n\ncommunities affected by the activities of those companies. \n\nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is \n\nsomething every citizen has the right to know without intermediaries or delegates, or not? Should \n\nthey be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as \n\nsoon as possible, in machine readable format with an open license etc...) just like, for example, the \n\nbudget of some Ministry? Answering these questions may be one of the biggest challenges for the \n\nOpen Data community, and for society as a whole, in the next years.", + "page_start": 23, + "page_end": 23, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "existing] problem that is somewhere else. \n\nRegardless of the real probability of data alterations before they are published, the major problem \n\nhappens after. We already mentioned in the first report the fact that, while correct interpretation of \n\npublic data from*the majority of average citizens*is absolutely critical, the current situation, even in \n\ncountries with (theoretical) high alphabetization and Internet access rates, is one in which most \n\npeople still lack the skills needed for such analysis. Therefore, there surely is space for both \n\nintentional manipulation of PSI and for misunderstanding it. After the publication of the first report, \n\nwe've encountered several examples of this danger, which are reported in the rest of this paragraph. \n\nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the \n\nimpact on the general public (in terms of raising interest and enhancing participation) on the Open \n\nData activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there \n\nhas been no big increase in demagogy, more or less manipulated scandals and conflictual discussion \n\ncaused by Open Data. There has certainly been something of this in the Cablegate but that's not \n\nreally relevant because, as we've already explained, what Wikileaks did is intrinsically different \n\nfrom Open Data. So far, negative or at least controversial reactions by manipulation and \n\nmisunderstanding of Open Data haven't happened to such a scale to justify not opening PSI. \n\nThis said, let's look at some recent example of misunderstanding and/or manipulation based on \n\n(sometimes open) public digital data. \n\nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows \n\n[also]*\"mosques that are no longer in use, so as to convey the idea that Muslims were invading*\n\n*Russia.\"*\n\nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared \n\nin September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, \n\nas they had been doing for years. The reason was that, following the March 2009 earthquake in \n\nItaly, the data were being used to*\"come to conclusions without any basis at all\"*, both by the press, \n\nto sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing \n\nanti seismic construction codes. \n\nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a \n\nbig effort to explain to his readers the limits of the maps he publishes, and the potential for \n\nmisunderstanding if they are used without preparation, or with wrong expectations. This is a \n\nsynthesis of Belleri's explanation, also covered in other websites, that is applicable to any map-", + "page_start": 17, + "page_end": 17, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for \n\nthe world) at the bus stops. Scanning the QR code now allows people to see not just the bus \n\ntimetable, but also the notes other travelers have left on that stop, including*\"what's nearby, who's*\n\n*waiting for whom, what number can you call for a good time. It's a cross between bus stop*\n\n*Facebook and digital graffiti\"*, that happened thanks to the openness of the original bus stop data. \n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used \n\nthem, how those people are connected and what conversations happen around Open Data. \n\n**3.3. Legal issues remain crucial**\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this \n\nrule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing \n\nEaves, until a government get the licensing issue right, Open Data cannot bring all the possible \n\nbenefits in that country. If there are no guarantees that public data can be used without restriction, \n\nvery little happens in practice, and when it happens it may be something against the public interest. \n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process \n\nand analyze official crime data, also publishes online, with a proprietary license, anonymized \n\nsummaries of those data. When in 2010 another company, Report See Inc, scraped those data from \n\ntheir website to reuse them, Public Engines sued. \n\nReporting this, D. Eaves rightly points out that*both*companies are right: one is trying to protect its \n\ninvestment, the other is simply trying to reuse what IS public data, by getting it from the ONLY \n\nplace where it's available. This is what happens when public officials leave the ownership of*public*\n\ndata to the third parties hired to collect them. Please note that, in practice, it makes very little \n\ndifference whether those third parties are private, for-profit corporations or even other Public \n\nAdministrations. Unless, of course, there are national laws already in place that define in advance \n\nwhat is the license of all present and future Public Data,*no matter how they were generated and by*\n\n*whom*, those data can be lost in any moment for society. In all other cases, the legal status of data \n\nwill be either officially closed and locked, or uncertain enough to prevent most or all reuses. In \n\nFebruary 2011, the news came that, even if they weren't the original copyright holders, Public \n\nEngines had been able to put together enough legal claims to convince Report See to give up. \n\nDisputes like this should not happen and would not happen if all contracts regarding collection and \n\nmanagement of PSI clearly specified that all the resulting data either go directly into the public \n\ndomain (after being anonymized if necessary, of course) or remain exclusive property of the", + "page_start": 12, + "page_end": 12, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first \n\nis to protect a public administration from having to pay*twice*for those data, if it needs it again in \n\nthe future for some other internal activity, not explicitly mentioned in the initial contract. The \n\nsecond reason is to not spend more than what is absolutely necessary to respond to public records \n\nrequests, that is to comply with Freedom of Information laws. \n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is \n\nsharing it with all the citizens using the public services based on those data. A real world example \n\nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike- \n\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux \n\nfinances the infrastructure and operates it, in exchange for advertising space on the bikes \n\nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking \n\nspaces of each station is published online in real time on the official Villo's website. \n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website \n\nthat reuses those data to measure where and how often there aren't enough available bikes and \n\nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated \n\nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because \n\ncitizens could monitor the service by themselves, were possible just because the data from the \n\nofficial website were legally and automatically reusable. \n\n**3.4. The price of digitization**\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if \n\nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that \n\nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase \n\nof efficiency and reduction of the costs of Public Administrations can only happen when data and \n\nprocedures are digitized. The problem is that such digitization (which, obviously, must happen \n\nanyway sooner or later) can be very expensive and we are only now starting to really realize how \n\nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic \n\nscanning of paper documents or typing again their content inside some database, are relatively low, \n\none-time expenses that are also very easy to calculate and budget in advance with great precision. \n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is \n\nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less \n\nautomatic procedures and file templates, formats, habits and customs developed, maybe over", + "page_start": 13, + "page_end": 13, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**3.6.6. Unprepared Public Administrators**\n\nIt is undeniable that today, especially at the local level, most Public Administrators that should or \n\nmay contribute to open the public data held by their organizations still ignore, and sometimes \n\ndisdain, Open Data proposals, principles and practices. This happens for many reasons. We'll only \n\nmention two of them that are quite common. They are interesting because, while being somewhat \n\nrelated and sharing common origins, one is very hard to fix, the other, at least in comparison, very \n\neasy. \n\nTo begin with, most of these administrators are people that, albeit very competent and committed to \n\ntheir work, were not really trained to live with so much of what they perceive as \"their\" documents \n\nand daily activities as Open Data implies regularly exposed to the public. This is true even among \n\nadministrators who are already well acquainted with mainstream \"Web 2.0\" practices. Many \n\nofficers who already have a regular presence on Facebook, Twitter or other social networks and \n\nregularly use those platforms to discuss their work with their constituents feel diffident about Open \n\nData in the same measure as their colleagues who don't even use computers yet. A cultural barrier \n\nlike this requires both strong demand from citizens and detailed examples of how Open Data can be \n\ngood for the local budget to be overcome in acceptable time frames. \n\nAnother factor that may keep administrators away from Open Data is the more or less unconscious \n\nassumption that, in order to use them, a City Major or Region Governor should be very skilled \n\nhimself, if not with actual programming, with \"Web 2.0\" tools, modern online services and/or \n\ngeneral software engineering principles. This is simply not true. Surely, Open Data is something \n\nthat is made*possible*only by modern digital technologies and the Internet, but at the end of the day \n\nit's \"simply\" a way to increase transparency, efficiency and cost reductions inside Public \n\nAdministration, and to create local jobs. If these hypotheses are as concrete as this and many other \n\nstudies explain, there is no need for a Major to have programming skills, like social networks or \n\nhave any other personal \"2.0\" skill or training to see the advantages of Open Data and delegate to \n\nhis or her IT staff their implementation. \n\n**3.7. The privacy problem**\nBeing perceived as a lethal attack to privacy remains one of the biggest misunderstandings that \n\nprevents adoption of Open Data. On one hand, there is no doubt that in an increasingly digital world \n\nit becomes harder and harder to protect privacy. But, exactly*because*the whole world is going \n\n*22/34*\n\n*Copyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)*", + "page_start": 21, + "page_end": 21, + "source_file": "Open_Data_Report.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed4.pdf", + "query": "How did serum estradiol and progesterone levels change during pregnancy?", + "target_page": 2, + "target_passage": "Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum", + "chunk_present": { + "presence": true, + "index": 7 + } + }, + "top_chunk": [ + { + "text": "linking hormones, brain and behaviour.*Nat. Rev. Neurosci.***24**, \n605–619 (2023). \n\nThis precision imaging study mapped neuroanatomical changes \nacross pregnancy in a single individual, precluding our ability to gen- \neralize to the broader population. To benchmark our findings, we com- \npared the magnitude of GMV changes observed throughout pregnancy \nagainst data from nonpregnant individuals sampled over a similar time \ncourse. Doing so provided compelling evidence that pregnancy-related \nneuroanatomical shifts far exceed normative day-to-day brain variabil- \nity and measurement error. Evidence suggests that white matter micro- \nstructure remains fairly stable over a six-month period42, but more \nstudies are needed to compare the degree of white matter changes \nobserved during pregnancy to normative change over time. Further, \nsampling larger cohorts of women will generate much-needed norma- \ntive models of brain change (akin to ref. 43) throughout pregnancy to \nestablish what constitutes a typical degree of neuroanatomical change \nexpected during gestation and postpartum recovery. \n12. Ammari, R. et al. Hormone-mediated neural remodeling \n\norchestrates parenting onset during pregnancy.*Science***382**, \n76–81 (2023). \n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in \nhuman brain structure.*Nat. Neurosci.***20**, 287–296 (2017). \n14. Hoekzema, E. et al. Mapping the effects of pregnancy on \n\nresting state brain activity, white matter microstructure, neural \nmetabolite concentrations and grey matter architecture.*Nat.*\n*Commun.***13**, 6931 (2022). \n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. \n& Carmona, S. Characterizing the brain structural adaptations \nacross the motherhood transition.*Front. Glob. Womens Health***2**, \n742775 (2021). \n16. Spalek, K. et al. Pregnancy renders anatomical changes in \n\nhypothalamic substructures of the human brain that relate to \naspects of maternal behavior.*Psychoneuroendocrinology***164**, \n107021 (2024). \n17. Martínez-García, M. et al. Do pregnancy-induced brain changes \n\nreverse? The brain of a mother six years after parturition.*Brain Sci.*\n**11**, 168 (2021b). \n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals \n\ntraces of childbirth in the maternal brain.*Proc. Natl Acad. Sci. USA*\n**116**, 22341–22346 (2019). \n\nThese findings provide a critical rationale for conducting further \nprecision imaging studies of pregnancy in demographically enriched \ncohorts to determine the universality and idiosyncrasy of these adap- \ntations and their role in maternal health. Are the changes observed in \nour participant reflective of the broader population? Do deviations \nfrom the norm lead to maladaptive outcomes? A precision imaging \napproach can help determine whether the pace of pregnancy-induced \nneuroanatomical changes drives divergent brain health outcomes in \nwomen, as may be the case during other rapid periods of brain devel- \nopment44. One in five women experiences perinatal depression45 and \nwhile the first FDA-approved treatment is now available46, early detec- \ntion remains elusive. Precision imaging studies could offer clues about \nan individual’s risk for or resilience to depression before symptom \nonset, helping clinicians better determine when and how to intervene. \nNeuroscientists and clinicians also lack tools to facilitate detection \nand treatment of neurological disorders that co-occur, worsen or \nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis \nand intracranial hypertension47. Precision mapping of the maternal \nbrain lays the groundwork for a greater understanding of the subtle \nand sweeping structural, functional, behavioral and clinical changes \nthat unfold across pregnancy. Such pursuits will advance our basic", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed4.pdf" + }, + { + "text": "https://doi.org/10.1038/s41593-024-01741-0 \n\n**Neuroanatomical changes observed over the**\n**course of a human pregnancy**\n\n**1**\n**Laura Pritschet**\n**Joshua Faskowitz**\n**Hannah Grotzinger1, Evan Layher1, Elizabeth R. Chrastil**\n**Emily G. Jacobs**\n\n**2,**\n**, Caitlin M. Taylor**\n**3, Tyler Santander1, Daniel A. Handwerker**\n\n**1, Daniela Cossio** Received: 23 August 2023 \n\n**3,**\nAccepted: 29 July 2024 \n**2,5** **&**\n\n**1,4,5**\nPublished online: 16 September 2024 \n\n Check for updates \n\nPregnancy is a period of profound hormonal and physiological changes \nexperienced by millions of women annually, yet the neural changes \nunfolding in the maternal brain throughout gestation are not well studied \nin humans. Leveraging precision imaging, we mapped neuroanatomical \nchanges in an individual from preconception through 2 years postpartum. \nPronounced decreases in gray matter volume and cortical thickness were \nevident across the brain, standing in contrast to increases in white matter \nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with \nfew regions untouched by the transition to motherhood. This dataset serves \nas a comprehensive map of the human brain across gestation, providing an \nopen-access resource for the brain imaging community to further explore \nand understand the maternal brain. \n\nWorldwide, nearly 85% of women experience one or more pregnancies \nin their lifetime1, with 140 million women becoming pregnant each \nyear. Over an approximately 40-week gestational window, the maternal \nbody undergoes profound physiological adaptations to support the \ndevelopment of the fetus, including increases in plasma volume, meta- \nbolic rate, oxygen consumption and immune regulation2. These rapid \nadaptations are initiated by 100-fold to 1,000-fold increases in hormone \nproduction, including estrogen and progesterone. These neuromodu- \nlatory hormones also drive significant reorganization of the central \nnervous system. Evidence from animal models and human studies con- \nverge on pregnancy as a period of remarkable neuroplasticity3–10 (see \nref. 10 for one of the earliest known observations). Gestational increases \nin steroid hormone synthesis drive neurogenesis, dendritic spine \ngrowth, microglial proliferation, myelination and astrocyte remodeling \n(for review, see ref. 11). These cellular changes are pronounced in brain \ncircuits that promote maternal behavior. For example, Ammari et al. \nrecently discovered that steroid hormones can fine-tune the response \nproperties of galanin neurons in the rodent medial preoptic area of \nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams \nto sensory cues from newborn pups12. \n\nIn humans, reductions in gray matter volume (GMV) have \nbeen observed postpartum13–16, particularly in regions central to \ntheory-of-mind processing13. These GMV changes persist at 6 years \npostpartum17 and are traceable decades later18,19, underscoring the \npermanence of this major remodeling event. And yet the changes that \noccur within the maternal brain during gestation itself are virtually \nunknown (see ref. 20 for early neuroimaging insight). A recent study by \nPaternina-Die et al. offers intriguing clues21. Women were scanned once \nin the third trimester and again in the postpartum period, revealing a \nreduction of cortical volume observable in the late pregnancy scan. \nThese findings suggest that pregnancy is a highly dynamic period for \nneural remodeling, yet neuroscientists lack a detailed map of how the \nhuman brain changes throughout the gestational period.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed4.pdf" + }, + { + "text": "<0 0–13 14–26 27–40 \nGestation weeks \n\n\n\ns \ne \nl \nc \ni \nr \nt \nn \ne \nv \nt \na \nL \n\n4,800 \n) \n3 \nm \nm \n( \n\n3,900 \n\n26,000 \n) \n3 \nF \nS \nC \nm \nm \n( \n\n\n\n\n\nd \n\n| | Summary Birth |\n|---|---|\n| | R2 adj = 0.91, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.75, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.90, P < 0.001 |\n\n\n4.80 \n) \n3 \nm \nm \nV \nM \nG \n5 \n0 \n1 \n× \n( \n4.60 \n\n1.80 \n) \nm \nm \nT \nC \n6 \n0 \n1 \n× \n( \n1.60 \n\n) \n1.29 \n3 l \nm \nm \n\no \nv \nn \na \nr \nB \ni \n\n6 \n0 \n1 \n× \n( \n1.27 \n\n0 50 100 150 \nWeeks since conception \n\n**Fig. 1 | Precision imaging reveals neuroanatomical changes throughout**\n**gestation. a**, Standard medical demarcations for pregnancy stages (that is, \ntrimesters) by gestation week (the image is created with BioRender.com). \n**b**, Steroid hormones increased significantly throughout pregnancy and dropped \nprecipitously postpartum, as is characteristic of the prenatal and postnatal \nperiods.**c**, A healthy 38-year-old primiparous woman underwent 26 scanning \nsessions from 3 weeks preconception through 2 years postpartum. Scans were \ndistributed throughout preconception (four scans), first trimester (four scans), \nsecond trimester (six scans), third trimester (five scans) and postpartum \n(seven scans); tick marks indicate when major measures were collected and \n\n| es | Birth |\n|---|---|\n| | R2 adj = 0.50, P = 0.007 |\n| 0 | 50 100 150 R2 adj = 0.77, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.79, P < 0.001 |\n\n\n. \nt \nn \na \nu \nq \n0.44 \n\ny \np \no \nr \nt \no \ns \ni \nn \na \nl \na \nb \no \nG \n0.38 \nl \n\n24,500 \n0 50 100 150 \nWeeks since conception \n\ncolors denote pregnancy stage. The participant underwent IVF to achieve \npregnancy, allowing for precise mapping of ovulation, conception and gestation \nweek.**d**, Summary (that is, total) of brain measures throughout the experiment. \nGeneralized additive models revealed GMV, CT and total brain volume decreased \nthroughout pregnancy (see Methods for validation with cubic regression), with \na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes \ndisplayed nonlinear increases across gestation, with a notable rise in the second \nand third trimesters before dropping sharply postpartum. Shaded regions \nrepresent 95% confidence bands; solid lines indicate model fit; dashed line \nindicates parturition.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed4.pdf" + }, + { + "text": "Here we conducted a precision imaging study of pregnancy in \nwhich a healthy 38-year-old primiparous woman underwent 26 mag- \nnetic resonance imaging (MRI) scans and venipuncture beginning \n3 weeks preconception through 2 years postpartum. We observed \nwidespread reductions in cortical GMV and cortical thickness (CT) \noccurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \n\n1Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2Department of Neurobiology and Behavior, University \nof California, Irvine, CA, USA. 3Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National \nInstitutes of Health, Bethesda, MD, USA. 4Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5These authors contributed \nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu \n\nNature Neuroscience | Volume 27 | November 2024 | 2253–2260", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed4.pdf" + }, + { + "text": "Our findings from this precision imaging study show that preg- \nnancy is characterized by reductions in GMV, cortical thinning and \nenhanced white matter microstructural integrity that unfold week by \nweek. These changes were also tied to the significant rise in steroid hor- \nmone concentrations over pregnancy. Some of these changes persist \nat 2 years postpartum (for example, global reductions in GMV and CT), \nwhile others, including markers of white matter integrity, appear to be \ntransient. Ventricular expansion and contraction parallel these cortical \nchanges. These widespread patterns, and the notable increase in CSF \nvolume across gestation, could reflect increased water retention and \nsubsequent compression of cortical tissue. However, the persistence \nof these changes at 2 years postpartum and regional variation in GMV, \nCT and QA, hint at cellular underpinnings, such as alterations in glia", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed4.pdf" + }, + { + "text": "**Cortical volume and thickness changes tied to gestation**\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso- \nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1). \nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). Together, these \nresults provide evidence of a global decrease in cortical volume across \npregnancy. Several sensory and attention subnetworks were particu- \nlarly sensitive to gestation, including the control (subnetwork B), sali- \nence/ventral attention (subnetwork A), dorsal attention (subnetwork \nB), default (subnetwork A) and somatomotor (subnetworks A and B) \nnetworks (Supplementary Table 1). Regions driving these network-level \nchanges include the bilateral inferior parietal lobe, postcentral gyri, \ninsulae, prefrontal cortex, posterior cingulate and somatosensory \ncortex (Fig. 2c, Supplementary Table 2 and validation of findings using \nalternate pipeline in Supplementary Tables 1 and 3). These regions and \n\n**White matter microstructure changes tied to gestation**\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas- \ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all*q*< 0.001; Supplementary Fig. 9). Tracts displaying robust corre- \nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon- \ntine tracts (see Supplementary Table 9 for complete list). \n\n**Comparing brain changes across pregnancy against controls**\nWe then compared the changes in GMV across gestation to that of typi- \ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta- \ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E. \n\nBrain plasticity in pregnancy and the postpartum period: links \nto maternal caregiving and mental health.*Arch. Womens Ment.*\n*Health***22**, 289–299 (2019). \n34. Barth, C. & de Lange, A.-M. G. Towards an understanding of \n\nwomen’s brain aging: the immunology of pregnancy and \nmenopause.*Front. Neuroendocrinol.***58**, 100850 (2020). \n\n35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. D. \nMatrescence: lifetime impact of motherhood on cognition and \nthe brain.*Trends Cogn. Sci.***27**, 302–316 (2023). \n36. Duarte-Guterman, P. et al. Cellular and molecular signatures", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed4.pdf" + }, + { + "text": "In contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple- \nmentary Tables 4 and 5). \n\n**Results**\n**Serological evaluations**\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep- \ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1). \n\n**Subcortical GMV changes tied to gestation**\nConsistent with the broader cortical reductions in GMV, several subcor- \ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6,*q*< 0.05). \n\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non- \nlinear volumetric decreases in CA1 (*F*(2,15) = 5.84,*q*= 0.031,*R*2 \nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82,*q*= 0.027,*R*2 \nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (*F*(1,16) = 24.87,*q*< 0.001,*R*2 \nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (*F*(1,12) = 20.21,*q*= 0.005,*R*2 \nadj = 0.60). \nAll three relationships remained significant after proportional correc- \ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8). \n\n**Whole-brain dynamics from baseline through postpartum**\nTo begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar- \ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. Total GMV \n(*F*= 27.87,*P*< 0.001, deviance explained = 93.9%,*R*2 \nadj = 0.91), summary \nCT (*F*= 15.79,*P*< 0.001, deviance explained = 78.6%,*R*2 \nadj = 0.75) and \ntotal brain volume (*F*= 26.12,*P*< 0.001, deviance explained = 93.4%, \n*R*2 \nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec- \nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA,*F*= 4.62,*P*= 0.007, deviance explained = 60.2%, \n*R*2 \nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion*(F*= 10.44,*P*< 0.001, deviance explained = 83.8%,*R*2 \nadj = 0.77) \nand increased cerebrospinal fluid (CSF;*F*= 13.32,*P*< 0.001, deviance \nexplained = 83.8%,*R*2 \nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "sleep patterns11. These factors could have a role in the brain changes \nobserved here, with some driving neurobiological changes and others, \nlike water retention, potentially affecting MRI-based measurements. \nNote that, although cortical reductions in GMV over gestation were \nstable across analyses, accounting for QC measures influenced the \nmagnitude and location of these results. These metrics all fell within \nthe standard range, but there may be meaningful reductions in signal \nthat accompany volumetric reductions (for example, increased CSF \nand decreased GM)—a methodological nuance that goes beyond the \nscope of this resource study. Ultimately, identifying the shared and \nunique contributions of these factors to the neuroanatomical changes \nthat unfold across gestation warrants further investigation. Deeply \nphenotyping a large and diverse cohort of women across pregnancy will \nopen up new avenues of exploration, for example, allowing research- \ners to link blood-based proteomic signatures to pregnancy outcomes; \ndeploying wearable devices to monitor changes in sleep, cognition and \nmood; and probing the broader social and environmental determinants \nof maternal health27. overlook the full range of changes that unfold within the gestational \nwindow, and underrepresent the brain’s metamorphosis during preg- \nnancy. Furthermore, although observed changes were largely global, \nsome regions displayed notable stability (for example, extrastriate cor- \ntex). The subcortical region that displayed the strongest relationship \nwith gestation week was the ventral diencephalon, which encompasses \nthe hypothalamus and subsequent medial preoptic area and paraven- \ntricular nucleus—structures critical for inducing maternal behavior12,16. \nThe hippocampus exhibited a reduction in volume across gestation, \nand with higher spatial resolution, this reduction was revealed to be \ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other \nhippocampal subfields remained stable. Adjacent PHC within the \nMTL also exhibited volume reduction across gestation. While our hip- \npocampal findings are consistent with pre/post studies of pregnancy13, \nthe precision lens applied within gestation revealed the nonlinear \nnature of this reduction. Recapitulating and clarifying these region- \nally specific patterns of volume change throughout the MTL merits \nfurther investigation. \n\nSimilar precision imaging studies have captured dynamic brain \nreorganization across other neuroendocrine transitions, such as the \nmenstrual cycle (see review in ref. 28), underscoring the powerful \nrole steroid hormones have in shaping the mammalian brain29. Endo- \ncrine changes across pregnancy dwarf those that occur across the \nmenstrual cycle, which highlights the critical need to map the brain’s \nresponse to this unique hormonal state. Broad physiological changes \noccur in tandem with the rise in steroid hormones, including changes \nin body mass composition, water retention, immune function and The neuroanatomical changes that unfold during matrescence \nmay have broad implications for understanding individual differences \nin parental behavior13,24,30,31, vulnerability to mental health disorders32,33 \nand patterns of brain aging18,19,34–36. Decreases in GMV may reflect \n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- \ntion for parenthood26. For example, in rodents, steroid hormones \npromote parental behavior by remodeling specific neural circuits in the \nmedial preoptic area of the hypothalamus. These behavioral adapta- \ntions are critical to the dam’s ability to meet the demands of caring for", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed4.pdf" + }, + { + "text": "above). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for \nCA1 and CA2/3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of \ntotal gray matter volume calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones \n(estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if \nthey met FDR correction at q < .05. \n\nDiffusion imaging: \nDSI Studio’s correlational tractography (Yeh et al., 2016) was used to analyze the relationship between white matter \nstructure and gestational week (n = 16). A truncated model was run to examine the relationship between white matter and \nsex steroid hormones (n = 14) for the subset of diffusion scans with paired endocrine data during gestation. A non-parametric \nSpearman correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of \ninterest (QA and MD; see Table S9 and Fig. S10 for MD results) because the data were not normally distributed. Statistical \ninference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations \nfound between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting \nfor multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The \ncorrelational tractography was run with the following parameters: T-score threshold of 2.5, 4 pruning iterations, and a length \nthreshold of 25 voxel distance. To estimate the false discovery rate (FDR), a total of 4000 randomized permutations were \napplied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, \nsuggested by DSI Studio), and contained at least 10 tracts. For visualization of global and tract QA at each gestational stage, \nmean QA values were extracted using DSI Studio’s whole brain fiber tracking algorithm and ROI-based tracking using the \ndefault HCP842 atlas (Yeh et al., 2013). \n\nPredicting global, network, and regional volumetric change (GMV, CT, MTL subregion, microstructure) by pregnancy-related \nindicators (gestation week, estrogen, progesterone). \n\nWhole brain ROI-based Both \n\nGlobal measures of gray matter volume, cortical thickness, and cerebrospinal fluid were computed by \nANTs and validated with FreeSurfer. A whole-brain probabilistic atlas (e.g., Schaefer 400-region \nparcellation) was used for ROI analysis of cortical thickness and volume and the Yeo/Schaefer 17-network \nscheme was used for network-level analyses. The 'aseg' segmentation was used for ROI analysis of \nsubcortical gray matter volume. The Princeton Young Adult 3T ASHS Atlas Template was used to examine \nvolume among 7 MTL subfields: CA1, CA 2/3, dentate gyrus, subiculum, entorhinal cortex, perirhinal \ncortex, and the parahippocampal gyrus. Whole-brain white matter structure was assessed for the \ndiffusion imaging analysis, wherein every tract and bundle was evaluated. \n\nAnatomical location(s) \n\nN/A; s and diffusion MRI only. \n\nStatistic type for inference \n\n(See Eklund et al. 2016) \n\nCorrection FDR-correction \n\nModels & analysis \n\n| /a | Inv |\n|---|---|\n| /a | Inv |\n| | |\n| | |\n| | |\n| | |\n| | |\n\n\nMultivariate modeling and predictive analysis Multivariate regression analyses was used to explore brain structure in relation to gestation. Regional, \n\nnetwork, and summary brain measures (dependent variables) were examined in relation to gestation week \n(independent variable). In follow-up statistical analyses (noted in Methods), various quality control metrics \nand global brain volume were included into the model to account for variables of non-interest (e.g., motion) \nand to identify highly impacted brain areas (e.g., controlling for total GMV).", + "page_start": 17, + "page_end": 17, + "source_file": "pubmed4.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed4.pdf", + "query": "Which cortical sub-networks were particularly sensitive to pregnancy?", + "target_page": 2, + "target_passage": "Several sensory and attention subnetworks were particu- larly sensitive to gestation, including the control (subnetwork B), sali- ence ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "linking hormones, brain and behaviour.*Nat. Rev. Neurosci.***24**, \n605–619 (2023). \n\nThis precision imaging study mapped neuroanatomical changes \nacross pregnancy in a single individual, precluding our ability to gen- \neralize to the broader population. To benchmark our findings, we com- \npared the magnitude of GMV changes observed throughout pregnancy \nagainst data from nonpregnant individuals sampled over a similar time \ncourse. Doing so provided compelling evidence that pregnancy-related \nneuroanatomical shifts far exceed normative day-to-day brain variabil- \nity and measurement error. Evidence suggests that white matter micro- \nstructure remains fairly stable over a six-month period42, but more \nstudies are needed to compare the degree of white matter changes \nobserved during pregnancy to normative change over time. Further, \nsampling larger cohorts of women will generate much-needed norma- \ntive models of brain change (akin to ref. 43) throughout pregnancy to \nestablish what constitutes a typical degree of neuroanatomical change \nexpected during gestation and postpartum recovery. \n12. Ammari, R. et al. Hormone-mediated neural remodeling \n\norchestrates parenting onset during pregnancy.*Science***382**, \n76–81 (2023). \n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in \nhuman brain structure.*Nat. Neurosci.***20**, 287–296 (2017). \n14. Hoekzema, E. et al. Mapping the effects of pregnancy on \n\nresting state brain activity, white matter microstructure, neural \nmetabolite concentrations and grey matter architecture.*Nat.*\n*Commun.***13**, 6931 (2022). \n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. \n& Carmona, S. Characterizing the brain structural adaptations \nacross the motherhood transition.*Front. Glob. Womens Health***2**, \n742775 (2021). \n16. Spalek, K. et al. Pregnancy renders anatomical changes in \n\nhypothalamic substructures of the human brain that relate to \naspects of maternal behavior.*Psychoneuroendocrinology***164**, \n107021 (2024). \n17. Martínez-García, M. et al. Do pregnancy-induced brain changes \n\nreverse? The brain of a mother six years after parturition.*Brain Sci.*\n**11**, 168 (2021b). \n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals \n\ntraces of childbirth in the maternal brain.*Proc. Natl Acad. Sci. USA*\n**116**, 22341–22346 (2019). \n\nThese findings provide a critical rationale for conducting further \nprecision imaging studies of pregnancy in demographically enriched \ncohorts to determine the universality and idiosyncrasy of these adap- \ntations and their role in maternal health. Are the changes observed in \nour participant reflective of the broader population? Do deviations \nfrom the norm lead to maladaptive outcomes? A precision imaging \napproach can help determine whether the pace of pregnancy-induced \nneuroanatomical changes drives divergent brain health outcomes in \nwomen, as may be the case during other rapid periods of brain devel- \nopment44. One in five women experiences perinatal depression45 and \nwhile the first FDA-approved treatment is now available46, early detec- \ntion remains elusive. Precision imaging studies could offer clues about \nan individual’s risk for or resilience to depression before symptom \nonset, helping clinicians better determine when and how to intervene. \nNeuroscientists and clinicians also lack tools to facilitate detection \nand treatment of neurological disorders that co-occur, worsen or \nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis \nand intracranial hypertension47. Precision mapping of the maternal \nbrain lays the groundwork for a greater understanding of the subtle \nand sweeping structural, functional, behavioral and clinical changes \nthat unfold across pregnancy. Such pursuits will advance our basic", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed4.pdf" + }, + { + "text": "**Cortical volume and thickness changes tied to gestation**\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso- \nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1). \nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). Together, these \nresults provide evidence of a global decrease in cortical volume across \npregnancy. Several sensory and attention subnetworks were particu- \nlarly sensitive to gestation, including the control (subnetwork B), sali- \nence/ventral attention (subnetwork A), dorsal attention (subnetwork \nB), default (subnetwork A) and somatomotor (subnetworks A and B) \nnetworks (Supplementary Table 1). Regions driving these network-level \nchanges include the bilateral inferior parietal lobe, postcentral gyri, \ninsulae, prefrontal cortex, posterior cingulate and somatosensory \ncortex (Fig. 2c, Supplementary Table 2 and validation of findings using \nalternate pipeline in Supplementary Tables 1 and 3). These regions and \n\n**White matter microstructure changes tied to gestation**\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas- \ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all*q*< 0.001; Supplementary Fig. 9). Tracts displaying robust corre- \nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon- \ntine tracts (see Supplementary Table 9 for complete list). \n\n**Comparing brain changes across pregnancy against controls**\nWe then compared the changes in GMV across gestation to that of typi- \ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta- \ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "**References**\n1. World Health Organization. Maternal, newborn, child and \nadolescent health and ageing. platform.who.int/data/ \nmaternal-newborn-child-adolescent-ageing (2022). \n\n2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D.*Knobil and Neill’s*\n*Physiology of Reproduction*pp. 1927–1955 (Elsevier, 2015). \n3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for \nmotherhood.*Nat. Rev. Neurosci.***9**, 11–25 (2008). \n4. Gregg, C. Pregnancy, prolactin and white matter regeneration. \n*J. Neurol. Sci.***285**, 22–27 (2009). \n5. Haim, A. et al. A survey of neuroimmune changes in pregnant \n\nand postpartum female rats.*Brain Behav. Immun.***59**, \n67–78 (2017). \n6. Barrière, D. A. et al. Brain orchestration of pregnancy and \n\nmaternal behavior in mice: a longitudinal morphometric study. \n*NeuroImage***230**, 117776 (2021). \n\nAlthough studied to a lesser degree, ties between maternal \nbehavior and white matter microstructure (particularly connectiv- \nity between temporal and occipital lobes) have been noted31. Here we \nreveal pronounced GMV changes in regions within sensory, attention \nand default mode networks over the gestational window. In paral- \nlel, we observed increased anisotropy in white matter tracts that \nfacilitate communication between emotional and visual processing \nhubs37–39, including the inferior longitudinal fasciculus and inferior \nfronto-occipital fasciculus. Pinpointing the synchrony of gray and \nwhite matter changes that unfold in the maternal brain could be \nkey to understanding the behavioral adaptions that emerge during \nand after pregnancy, such as honing the brain’s visual and auditory \nresponses to infant cues and eliciting maternal behavior. Research \ninto other major transition periods supports this idea. For instance, \nadolescence is a dynamic period characterized by region-specific, \nnonlinear decreases in GMV and increases in WMV, maturational \nbrain changes that are tied to gains in executive function and social \ncognition40. For both adolescence41 and matrescence, the consider- \nable rise in steroid hormone production appears to remodel the brain \n(see ref. 25 for comparative analysis), promoting a suite of behaviors \nadaptive to that life stage. How specific neural changes give rise to \nspecific behavioral adaptations has yet to be fully explored with \nrespect to human pregnancy. \n\n7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The \n\ngenomic architecture of pregnancy-associated plasticity in \nthe maternal mouse hippocampus.*eNeuro***9**, ENEURO.0117-22. \n2022 (2022). \n8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex differences: \n\nshort- and long-term effects of pregnancy on the brain.*Trends*\n*Neurosci.***46**, 459–471 (2023). \n9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural \n\nstem cells for transient neurogenesis in mothers.*Science***382**, \n958–963 (2023). \n\n10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity \ninduced by environment and pregnancy.*Int. J. Neurosci.***2**, \n171–178 (1971). \n11. Servin-Barthet, C. et al. The transition to motherhood: \n\nlinking hormones, brain and behaviour.*Nat. Rev. Neurosci.***24**, \n605–619 (2023).", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed4.pdf" + }, + { + "text": "Here we conducted a precision imaging study of pregnancy in \nwhich a healthy 38-year-old primiparous woman underwent 26 mag- \nnetic resonance imaging (MRI) scans and venipuncture beginning \n3 weeks preconception through 2 years postpartum. We observed \nwidespread reductions in cortical GMV and cortical thickness (CT) \noccurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \n\n1Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2Department of Neurobiology and Behavior, University \nof California, Irvine, CA, USA. 3Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National \nInstitutes of Health, Bethesda, MD, USA. 4Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5These authors contributed \nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu \n\nNature Neuroscience | Volume 27 | November 2024 | 2253–2260", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed4.pdf" + }, + { + "text": "https://doi.org/10.1038/s41593-024-01741-0 \n\n**Neuroanatomical changes observed over the**\n**course of a human pregnancy**\n\n**1**\n**Laura Pritschet**\n**Joshua Faskowitz**\n**Hannah Grotzinger1, Evan Layher1, Elizabeth R. Chrastil**\n**Emily G. Jacobs**\n\n**2,**\n**, Caitlin M. Taylor**\n**3, Tyler Santander1, Daniel A. Handwerker**\n\n**1, Daniela Cossio** Received: 23 August 2023 \n\n**3,**\nAccepted: 29 July 2024 \n**2,5** **&**\n\n**1,4,5**\nPublished online: 16 September 2024 \n\n Check for updates \n\nPregnancy is a period of profound hormonal and physiological changes \nexperienced by millions of women annually, yet the neural changes \nunfolding in the maternal brain throughout gestation are not well studied \nin humans. Leveraging precision imaging, we mapped neuroanatomical \nchanges in an individual from preconception through 2 years postpartum. \nPronounced decreases in gray matter volume and cortical thickness were \nevident across the brain, standing in contrast to increases in white matter \nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with \nfew regions untouched by the transition to motherhood. This dataset serves \nas a comprehensive map of the human brain across gestation, providing an \nopen-access resource for the brain imaging community to further explore \nand understand the maternal brain. \n\nWorldwide, nearly 85% of women experience one or more pregnancies \nin their lifetime1, with 140 million women becoming pregnant each \nyear. Over an approximately 40-week gestational window, the maternal \nbody undergoes profound physiological adaptations to support the \ndevelopment of the fetus, including increases in plasma volume, meta- \nbolic rate, oxygen consumption and immune regulation2. These rapid \nadaptations are initiated by 100-fold to 1,000-fold increases in hormone \nproduction, including estrogen and progesterone. These neuromodu- \nlatory hormones also drive significant reorganization of the central \nnervous system. Evidence from animal models and human studies con- \nverge on pregnancy as a period of remarkable neuroplasticity3–10 (see \nref. 10 for one of the earliest known observations). Gestational increases \nin steroid hormone synthesis drive neurogenesis, dendritic spine \ngrowth, microglial proliferation, myelination and astrocyte remodeling \n(for review, see ref. 11). These cellular changes are pronounced in brain \ncircuits that promote maternal behavior. For example, Ammari et al. \nrecently discovered that steroid hormones can fine-tune the response \nproperties of galanin neurons in the rodent medial preoptic area of \nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams \nto sensory cues from newborn pups12. \n\nIn humans, reductions in gray matter volume (GMV) have \nbeen observed postpartum13–16, particularly in regions central to \ntheory-of-mind processing13. These GMV changes persist at 6 years \npostpartum17 and are traceable decades later18,19, underscoring the \npermanence of this major remodeling event. And yet the changes that \noccur within the maternal brain during gestation itself are virtually \nunknown (see ref. 20 for early neuroimaging insight). A recent study by \nPaternina-Die et al. offers intriguing clues21. Women were scanned once \nin the third trimester and again in the postpartum period, revealing a \nreduction of cortical volume observable in the late pregnancy scan. \nThese findings suggest that pregnancy is a highly dynamic period for \nneural remodeling, yet neuroscientists lack a detailed map of how the \nhuman brain changes throughout the gestational period.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed4.pdf" + }, + { + "text": "–8 \n\nl \na \nt \no \nT \nA \nc \nb \nm \nL \nC \nN \nM \nD \ni \nr \ne \nP \ns \ni \nV \nt \nn \ne \nC \ns \ni \nV \nB \nN \nM \nD \nB \nt \no \nM \nm \no \nS \n\ni \ni \n\n\n\nL \n\nLat R \nMed \n\nRegional GMV \n\nPostcentral gyrus \nDorsal attention network B \n\nB \nt \nn \no \nC \nB \nc \nb \nm \nL \nA \nN \nM \nD \nr \na \nP \np \nm \ne \nT \nA \nn \nt \nt \nA \ns \nr \no \nD \nA \nt \no \nM \nm \no \nS \nA \nt \nn \no \nC \nB \nn \nt \nt \nA \ns \nr \no \nD \nC \nt \nn \no \nC \n\nA \nn \nt \nt \nA \nt \nn \ne \nV \nl \na \nS B \nn \nt \nt \nA \nt \nn \ne \nV \nl \na \nS \n\ni \ni \n\nFrontal eye fields \nDorsal attention network B \n\n\n\n\n\n\n\nGestation Gestation + postpartum Gestation \n\n) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( ) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( \n\n2 \n\n1 \n\n0 \n\n–1 –1 –1 \n\nV \nM \nG \ng \nv \nA V \nM \nG \ng \nv \nA \n–2 –2 –2 \n\n0 10 \n20 \nWeek \n0 10 \n20 \nWeek \n30 Pre 1st \n2nd \nStage \n3rd Post \n\nMedial frontal \nSalience ventral attention network A Inferior parietal \nControl network B \n\nGestation + postpartum Gestation Gestation + postpartum \n\n) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( \n–1 –1 \n\nV \nM \nG \ng \nv \nA \n–2 –2 \n\n30 Pre 1st \n2nd \nStage \n3rd Post 0 10 \n20 \nWeek \n\nInsula \nSalience ventral attention network B \n\n\n\n\n\n\n\nGestation Gestation + postpartum Gestation \n\n) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( ) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( \n\n2 \n\n1 \n\n0 \n\n–1 –1 \n\nV \nM \nG \ng \nv \nA V \nM \nG \ng \nv \nA \n\n–1 \n–2 –2 –2 \n\n0 10 \n20 \nWeek \n30 Pre 1st \n2nd \nStage \n3rd Post 0 10 \n20 \nWeek \n\nGestation + postpartum Gestation \n\n) \nd \ne \nr \ne \nt \nn \ne \nc \no \nr \ne \nz \n( \n\n2 \n\n1 \n\n0 \n\n–1 \n\nV \nM \nG \ng \nv \nA \n\n–1 \n–2 –2 \n\n0 10 \n20 \nWeek \n30 Pre 1st \n2nd \nStage \n3rd Post \n\n**Fig. 2 | Cortical GMV showed widespread change through gestation and**\n**postpartum. a**, Multivariate regression analyses reveal largely negative \nrelationships between gestation week and regional GMV, with only a minority \nof regions unaffected or increasing over the gestational window (baseline—36 \nweeks). All associations presented here were corrected for multiple comparisons \n(FDR at*q*< 0.05; nonsignificant values set to zero for interpretability).**b**, Average \nnetwork change was calculated by estimating GMV percent change from baseline \n(initial) to 36 weeks gestation (final). Attention and control networks appear \nmost affected.**c**, Six representative regions, classified by major subnetworks, \nthat exhibit pronounced GMV change across gestation. For each panel, we \ndisplay a scatterplot between average GMV of the ROIs and gestation week \n(left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy \nstage across the whole study (right; gestation and postpartum sessions, 26 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each \nboxplot represents IQR for each stage, with a horizontal line representing the \nmedian value. The whiskers indicate variability outside (±1.5) of this range. \nOutside values are >1.5× and <3× IQR beyond either end of the box. All statistical \ntests were corrected for multiple comparisons (FDR at*q*< 0.05) and values \nwere*z*scored and transformed to have a mean of zero and s.d. of one for easier \ncomparison across regions. Please note that the data values shown here are raw \n(see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). \nBrain visualizations created with R package ggseg48. IQR, interquartile range; \nLat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral \nnetwork; SomMot, somatomotor network; VisCent, visual central network; Cont, \ncontrol network; TempPar, temporal parietal network; DorsAttn, dorsal attention \nnetwork; SalVentAttn, salience/ventral attention network.", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed4.pdf" + }, + { + "text": "33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E. \n\nBrain plasticity in pregnancy and the postpartum period: links \nto maternal caregiving and mental health.*Arch. Womens Ment.*\n*Health***22**, 289–299 (2019). \n34. Barth, C. & de Lange, A.-M. G. Towards an understanding of \n\nwomen’s brain aging: the immunology of pregnancy and \nmenopause.*Front. Neuroendocrinol.***58**, 100850 (2020). \n\n35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. D. \nMatrescence: lifetime impact of motherhood on cognition and \nthe brain.*Trends Cogn. Sci.***27**, 302–316 (2023). \n36. Duarte-Guterman, P. et al. Cellular and molecular signatures", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed4.pdf" + }, + { + "text": "In contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple- \nmentary Tables 4 and 5). \n\n**Results**\n**Serological evaluations**\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep- \ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1). \n\n**Subcortical GMV changes tied to gestation**\nConsistent with the broader cortical reductions in GMV, several subcor- \ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6,*q*< 0.05). \n\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non- \nlinear volumetric decreases in CA1 (*F*(2,15) = 5.84,*q*= 0.031,*R*2 \nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82,*q*= 0.027,*R*2 \nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (*F*(1,16) = 24.87,*q*< 0.001,*R*2 \nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (*F*(1,12) = 20.21,*q*= 0.005,*R*2 \nadj = 0.60). \nAll three relationships remained significant after proportional correc- \ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8). \n\n**Whole-brain dynamics from baseline through postpartum**\nTo begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar- \ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. Total GMV \n(*F*= 27.87,*P*< 0.001, deviance explained = 93.9%,*R*2 \nadj = 0.91), summary \nCT (*F*= 15.79,*P*< 0.001, deviance explained = 78.6%,*R*2 \nadj = 0.75) and \ntotal brain volume (*F*= 26.12,*P*< 0.001, deviance explained = 93.4%, \n*R*2 \nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec- \nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA,*F*= 4.62,*P*= 0.007, deviance explained = 60.2%, \n*R*2 \nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion*(F*= 10.44,*P*< 0.001, deviance explained = 83.8%,*R*2 \nadj = 0.77) \nand increased cerebrospinal fluid (CSF;*F*= 13.32,*P*< 0.001, deviance \nexplained = 83.8%,*R*2 \nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "Whole-brain subcortical volumes \n\nLateral ventricle \n\nCaudate \n\nThalamus \n4,000 \n) \n3 \nm \nm \n3,800 \n( \n\nV \nM \nG \ng \nv \nA \n3,600 \n\n\n\nRight ventral diencephalon \nGestation Gestation + postpartum \n\n4,000 \n\n3,900 \n\n3,800 \n\n3,700 \n\n3,600 \n\n3,500 \n0 10 \n20 \nWeek \n30 Pre 1st \n2nd \nStage \n3rd Post \n\n\n\n\n\n\n\n\n\n\n\nGestation \n*R2* adj = 0.41,*q*= 0.027 \n) \n3 \n200 \nm \nm \n180 ( \n\nV \nM \nG \ng \nv \nA \n\n180 \n\n160 \n\n0 10 \n\n\n\n1,900 \n\n1,800 \n\n1,700 \nPre \n1st 2nd 3rd \nStage \n30 \n\nGestation Gestation + postpartum \n*R2* adj = 0.36,*q*= 0.031 \n) \n540 3 \n540 \nm \nm \n( \n\nV \nM \nG \ng \nv \nA \n460 460 \n0 \n20 \n10 \nWeek \n30 Pre \n1st 2nd 3rd \nStage \n\nGestation + postpartum Gestation \n*R2* adj = 0.58,*q*= 0.001 200 \n) \n3 \nm \nm \n1,900 \n( \n\nV \nM \nG \ng \nv \nA \n\n1,800 \n160 \n1,700 \n\n20 \nWeek \n30 Pre 1st 2nd 3rd Post 0 \n10 \nWeek \n20 \nStage \n\n**Fig. 3 | Subcortical GMV changed throughout gestation. a**, Multivariate \nregression analyses revealed largely negative relationships between gestation \nweek and subcortical GMV regions over pregnancy, including bilateral thalamus, \ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus, \nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral \nventricles displayed the only positive relationships with gestation week \n(also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown \nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR- \ncorrected at*q*< 0.05. Inset, right ventral diencephalon displayed the strongest \nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did \nnot return to baseline postpartum (right; gestation and postpartum, 26 scans). \n**b**, The participant’s hippocampus and surrounding cortex were segmented \ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression \nanalyses (PHC) revealed subfields were negatively associated with gestation \nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum \n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent \na 95% confidence interval. Each boxplot represents IQR for each stage, with a \nhorizontal line representing the median value. The whiskers indicate variability \noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either \nend of the box. FDR-corrected at*q*< 0.05. For**a**and**b**, nonsignificant regions \nwere set to zero for interpretability. See Supplementary Fig. 6 for complete \nlabeling of regions in both segmentations. Brain visualizations created with R \npackage ggseg48*.*DC, diencephalon. \n\noutstanding questions. This study and corresponding open-access \ndataset offer neuroscientists a detailed map of the human brain across \ngestation, a resource for which a wide range of previously unattainable \nneurobiological questions can now be explored. \n\nor neuron number, synaptic density and myelination (for review on \nthe latter, see ref. 4). Future studies of the relationship between fluid \ndynamics and volumetric changes will help clarify the factors that drive \nglobal neural changes during pregnancy; such insights will have broad \nimplications for maternal health (for example, neurological effects tied \nto pre-eclampsia or edema).", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed4.pdf" + }, + { + "text": "alcoholism.*Biol. Psychiatry***64**, 192–202 (2008). \n\n23. Filevich, E. et al. Day2day: investigating daily variability of \nmagnetic resonance imaging measures over half a year. \n*BMC Neurosci.***18**, 65 (2017). \n24. Dulac, C., O’Connell, L. A. & Wu, Z. Neural control of maternal and \n\n41. Blakemore, S. J., Burnett, S. & Dahl, R. E. The role of puberty \nin the developing adolescent brain.*Hum. Brain Mapp.***31**, \n926–933 (2010). \npaternal behaviors.*Science***345**, 765–770 (2014). \n25. Carmona, S. et al. 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Article 7701. \n31. Rodrigo, M. J. et al. Inferior fronto-temporo-occipital connectivity: \n\na missing link between maltreated girls and neglectful mothers. \n*Soc. Cogn. Affect. Neurosci.***11**, 1658–1665 (2016). **Publisher’s note**Springer Nature remains neutral with regard to \njurisdictional claims in published maps and institutional affiliations. \n\n32. Pawluski, J. L., Lonstein, J. S. & Fleming, A. S. The neurobiology \nof postpartum anxiety and depression.*Trends Neurosci.***40**, \n106–120 (2017). \n\n**Open Access**This article is licensed under a Creative Commons \nAttribution 4.0 International License, which permits use, sharing, \nadaptation, distribution and reproduction in any medium or format, \nas long as you give appropriate credit to the original author(s) and the \nsource, provide a link to the Creative Commons licence, and indicate \nif changes were made. The images or other third party material in this \narticle are included in the article’s Creative Commons licence, unless \nindicated otherwise in a credit line to the material. If material is not \nincluded in the article’s Creative Commons licence and your intended \nuse is not permitted by statutory regulation or exceeds the permitted \nuse, you will need to obtain permission directly from the copyright \nholder. To view a copy of this licence, visit http://creativecommons. \norg/licenses/by/4.0/. \n\n33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed4.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed4.pdf", + "query": "What may reflect the decrease in GMV during pregnancy?", + "target_page": 6, + "target_passage": " Decreases in GMV may reflect ‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- tion for parenthood", + "chunk_present": { + "presence": true, + "index": 6 + } + }, + "top_chunk": [ + { + "text": "**Cortical volume and thickness changes tied to gestation**\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso- \nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1). \nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). Together, these \nresults provide evidence of a global decrease in cortical volume across \npregnancy. Several sensory and attention subnetworks were particu- \nlarly sensitive to gestation, including the control (subnetwork B), sali- \nence/ventral attention (subnetwork A), dorsal attention (subnetwork \nB), default (subnetwork A) and somatomotor (subnetworks A and B) \nnetworks (Supplementary Table 1). Regions driving these network-level \nchanges include the bilateral inferior parietal lobe, postcentral gyri, \ninsulae, prefrontal cortex, posterior cingulate and somatosensory \ncortex (Fig. 2c, Supplementary Table 2 and validation of findings using \nalternate pipeline in Supplementary Tables 1 and 3). These regions and \n\n**White matter microstructure changes tied to gestation**\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas- \ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all*q*< 0.001; Supplementary Fig. 9). Tracts displaying robust corre- \nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon- \ntine tracts (see Supplementary Table 9 for complete list). \n\n**Comparing brain changes across pregnancy against controls**\nWe then compared the changes in GMV across gestation to that of typi- \ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta- \ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "In contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple- \nmentary Tables 4 and 5). \n\n**Results**\n**Serological evaluations**\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep- \ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1). \n\n**Subcortical GMV changes tied to gestation**\nConsistent with the broader cortical reductions in GMV, several subcor- \ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6,*q*< 0.05). \n\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non- \nlinear volumetric decreases in CA1 (*F*(2,15) = 5.84,*q*= 0.031,*R*2 \nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82,*q*= 0.027,*R*2 \nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (*F*(1,16) = 24.87,*q*< 0.001,*R*2 \nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (*F*(1,12) = 20.21,*q*= 0.005,*R*2 \nadj = 0.60). \nAll three relationships remained significant after proportional correc- \ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8). \n\n**Whole-brain dynamics from baseline through postpartum**\nTo begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar- \ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. Total GMV \n(*F*= 27.87,*P*< 0.001, deviance explained = 93.9%,*R*2 \nadj = 0.91), summary \nCT (*F*= 15.79,*P*< 0.001, deviance explained = 78.6%,*R*2 \nadj = 0.75) and \ntotal brain volume (*F*= 26.12,*P*< 0.001, deviance explained = 93.4%, \n*R*2 \nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec- \nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA,*F*= 4.62,*P*= 0.007, deviance explained = 60.2%, \n*R*2 \nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion*(F*= 10.44,*P*< 0.001, deviance explained = 83.8%,*R*2 \nadj = 0.77) \nand increased cerebrospinal fluid (CSF;*F*= 13.32,*P*< 0.001, deviance \nexplained = 83.8%,*R*2 \nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed4.pdf" + }, + { + "text": "*Cortical GMV and CT*. We then narrowed our analyses to the first 19 \nsessions (baseline—36 weeks gestation) to assess novel brain changes \noccurring over the gestational window. We first computed Pearson’s \nproduct-moment correlation matrices between the following vari- \nables: gestation week, estradiol, progesterone and the 17 network-level \naverage GMV values. We then ran a multivariate regression analysis \npredicting ROI-level GMV changes by gestation week. To identify which \nregions were changing at a rate different from the global decrease, \nwe then ran the analyses again to include total GMV in the regression \nmodel (Supplementary Table 2). This was extended to the network \nlevel, where we ran partial correlations accounting for total GMV. These \nsame analyses were then run with CT measures. Globally-corrected \nresults provided in Supplementary Tables 1–5. Percent change at the \nnetwork level was computed by subtracting the final pregnancy value \n(36 weeks pregnant) from the first prepregnancy baseline value, then \ndividing that difference by said first prepregnancy baseline value. All \nanalyses underwent multiple comparisons testing (false discovery rate \n(FDR)-corrected at*q*< 0.05). \n\n||*ts*− ̂*t*|| \n̂*t*\nε*j*= 100 × mean ( ) \n\nWhere*ts*is the morphometric measurement of a parcel for session*s*\n̂*t*is the mean of*t*across sessions55,79. Thus, we defined variability \nand \nas the mean absolute percent difference between each individual and \nthe mean across sessions. Across-session variability estimates for all \n400 regions were then averaged across eight participants, and a global \nmeasure of cortical GMV variability was computed by averaging across \nthe 400 regions. This approach was repeated independently for the \nT2 hippocampal scans, wherein we computed across-session variability \nfor each parcel of the ASHS parcellation scheme (*n*= 7 bilateral sub- \nfields). However, it is important to note that raw subfield values (that \nis, no manual retouching) were used for Day2Day variability assess- \nments and should be interpreted with caution. Finally, to better com- \npare against our own data, we repeated this approach using our", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed4.pdf" + }, + { + "text": "Our findings from this precision imaging study show that preg- \nnancy is characterized by reductions in GMV, cortical thinning and \nenhanced white matter microstructural integrity that unfold week by \nweek. These changes were also tied to the significant rise in steroid hor- \nmone concentrations over pregnancy. Some of these changes persist \nat 2 years postpartum (for example, global reductions in GMV and CT), \nwhile others, including markers of white matter integrity, appear to be \ntransient. Ventricular expansion and contraction parallel these cortical \nchanges. These widespread patterns, and the notable increase in CSF \nvolume across gestation, could reflect increased water retention and \nsubsequent compression of cortical tissue. However, the persistence \nof these changes at 2 years postpartum and regional variation in GMV, \nCT and QA, hint at cellular underpinnings, such as alterations in glia", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed4.pdf" + }, + { + "text": "Here we conducted a precision imaging study of pregnancy in \nwhich a healthy 38-year-old primiparous woman underwent 26 mag- \nnetic resonance imaging (MRI) scans and venipuncture beginning \n3 weeks preconception through 2 years postpartum. We observed \nwidespread reductions in cortical GMV and cortical thickness (CT) \noccurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \n\n1Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2Department of Neurobiology and Behavior, University \nof California, Irvine, CA, USA. 3Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National \nInstitutes of Health, Bethesda, MD, USA. 4Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5These authors contributed \nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu \n\nNature Neuroscience | Volume 27 | November 2024 | 2253–2260", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed4.pdf" + }, + { + "text": "Statistical modeling & inference \n\nModel type and settings \n\nSummary brain metrics: \nTo reflect the existing literature, we first explored brain metrics across the entire study duration (pre-conception through \npostpartum). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed non- \nlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, k = 10, smoothing = GCV), a \nmethod of non-parametric regression analysis (R package: mgcv), to explore the relationship between summary brain metrics \n(outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure \nit was correctly specified with regards 6o 1) the choice of basis dimension (k) and 2) the distribution of the model residuals \n(see mgcv documentation; Wood, 2017). The general pattern of results held after toggling model parameters; however, we \nnote the risk of overinterpreting complex models with small sample sizes (see Sullivan et al., 2015). To address overfitting and \ncross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear \nand polynomial terms for gestation week. We compared the performance of each GLM (i.e., models using only a linear term \nvs. models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently \noutperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for non-linear changes in \nstructural brain variables over time. \n\nGray Matter Volume & Cortical Thickness: \nWe first computed Pearson’s product-moment correlation matrices between the following variables (n = 19 pregnancy \nscans): gestation week, estradiol, progesterone, total GMV, and the 17 network-level average GMV values. We then ran a \nmultivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were \nchanging at a rate different from the global decrease, we then re-ran the analyses to include total GMV as a variable of non- \ninterest in the regression model. A similar statistical approach was taken for T1w-derived subcortical volume estimates. We \nran a multivariate regression analysis predicting GMV changes over gestation in 28 regions-of-interest by gestation week \n(FDR-corrected at q < 0.05). \n\nT2-weighted MTL scans: \nTo evaluate the relationship between gestation week and medial temporal lobe (MTL) subregion volume over pregnancy (n = \n7 bilateral subregions; n = 18 MTL scans), we used a combination of linear and non-linear models based on individual \nsubregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed4.pdf" + }, + { + "text": "sleep patterns11. These factors could have a role in the brain changes \nobserved here, with some driving neurobiological changes and others, \nlike water retention, potentially affecting MRI-based measurements. \nNote that, although cortical reductions in GMV over gestation were \nstable across analyses, accounting for QC measures influenced the \nmagnitude and location of these results. These metrics all fell within \nthe standard range, but there may be meaningful reductions in signal \nthat accompany volumetric reductions (for example, increased CSF \nand decreased GM)—a methodological nuance that goes beyond the \nscope of this resource study. Ultimately, identifying the shared and \nunique contributions of these factors to the neuroanatomical changes \nthat unfold across gestation warrants further investigation. Deeply \nphenotyping a large and diverse cohort of women across pregnancy will \nopen up new avenues of exploration, for example, allowing research- \ners to link blood-based proteomic signatures to pregnancy outcomes; \ndeploying wearable devices to monitor changes in sleep, cognition and \nmood; and probing the broader social and environmental determinants \nof maternal health27. overlook the full range of changes that unfold within the gestational \nwindow, and underrepresent the brain’s metamorphosis during preg- \nnancy. Furthermore, although observed changes were largely global, \nsome regions displayed notable stability (for example, extrastriate cor- \ntex). The subcortical region that displayed the strongest relationship \nwith gestation week was the ventral diencephalon, which encompasses \nthe hypothalamus and subsequent medial preoptic area and paraven- \ntricular nucleus—structures critical for inducing maternal behavior12,16. \nThe hippocampus exhibited a reduction in volume across gestation, \nand with higher spatial resolution, this reduction was revealed to be \ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other \nhippocampal subfields remained stable. Adjacent PHC within the \nMTL also exhibited volume reduction across gestation. While our hip- \npocampal findings are consistent with pre/post studies of pregnancy13, \nthe precision lens applied within gestation revealed the nonlinear \nnature of this reduction. Recapitulating and clarifying these region- \nally specific patterns of volume change throughout the MTL merits \nfurther investigation. \n\nSimilar precision imaging studies have captured dynamic brain \nreorganization across other neuroendocrine transitions, such as the \nmenstrual cycle (see review in ref. 28), underscoring the powerful \nrole steroid hormones have in shaping the mammalian brain29. Endo- \ncrine changes across pregnancy dwarf those that occur across the \nmenstrual cycle, which highlights the critical need to map the brain’s \nresponse to this unique hormonal state. Broad physiological changes \noccur in tandem with the rise in steroid hormones, including changes \nin body mass composition, water retention, immune function and The neuroanatomical changes that unfold during matrescence \nmay have broad implications for understanding individual differences \nin parental behavior13,24,30,31, vulnerability to mental health disorders32,33 \nand patterns of brain aging18,19,34–36. Decreases in GMV may reflect \n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- \ntion for parenthood26. For example, in rodents, steroid hormones \npromote parental behavior by remodeling specific neural circuits in the \nmedial preoptic area of the hypothalamus. These behavioral adapta- \ntions are critical to the dam’s ability to meet the demands of caring for", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed4.pdf" + }, + { + "text": "linking hormones, brain and behaviour.*Nat. Rev. Neurosci.***24**, \n605–619 (2023). \n\nThis precision imaging study mapped neuroanatomical changes \nacross pregnancy in a single individual, precluding our ability to gen- \neralize to the broader population. To benchmark our findings, we com- \npared the magnitude of GMV changes observed throughout pregnancy \nagainst data from nonpregnant individuals sampled over a similar time \ncourse. Doing so provided compelling evidence that pregnancy-related \nneuroanatomical shifts far exceed normative day-to-day brain variabil- \nity and measurement error. Evidence suggests that white matter micro- \nstructure remains fairly stable over a six-month period42, but more \nstudies are needed to compare the degree of white matter changes \nobserved during pregnancy to normative change over time. Further, \nsampling larger cohorts of women will generate much-needed norma- \ntive models of brain change (akin to ref. 43) throughout pregnancy to \nestablish what constitutes a typical degree of neuroanatomical change \nexpected during gestation and postpartum recovery. \n12. Ammari, R. et al. Hormone-mediated neural remodeling \n\norchestrates parenting onset during pregnancy.*Science***382**, \n76–81 (2023). \n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in \nhuman brain structure.*Nat. Neurosci.***20**, 287–296 (2017). \n14. Hoekzema, E. et al. Mapping the effects of pregnancy on \n\nresting state brain activity, white matter microstructure, neural \nmetabolite concentrations and grey matter architecture.*Nat.*\n*Commun.***13**, 6931 (2022). \n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. \n& Carmona, S. Characterizing the brain structural adaptations \nacross the motherhood transition.*Front. Glob. Womens Health***2**, \n742775 (2021). \n16. Spalek, K. et al. Pregnancy renders anatomical changes in \n\nhypothalamic substructures of the human brain that relate to \naspects of maternal behavior.*Psychoneuroendocrinology***164**, \n107021 (2024). \n17. Martínez-García, M. et al. Do pregnancy-induced brain changes \n\nreverse? The brain of a mother six years after parturition.*Brain Sci.*\n**11**, 168 (2021b). \n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals \n\ntraces of childbirth in the maternal brain.*Proc. Natl Acad. Sci. USA*\n**116**, 22341–22346 (2019). \n\nThese findings provide a critical rationale for conducting further \nprecision imaging studies of pregnancy in demographically enriched \ncohorts to determine the universality and idiosyncrasy of these adap- \ntations and their role in maternal health. Are the changes observed in \nour participant reflective of the broader population? Do deviations \nfrom the norm lead to maladaptive outcomes? A precision imaging \napproach can help determine whether the pace of pregnancy-induced \nneuroanatomical changes drives divergent brain health outcomes in \nwomen, as may be the case during other rapid periods of brain devel- \nopment44. One in five women experiences perinatal depression45 and \nwhile the first FDA-approved treatment is now available46, early detec- \ntion remains elusive. Precision imaging studies could offer clues about \nan individual’s risk for or resilience to depression before symptom \nonset, helping clinicians better determine when and how to intervene. \nNeuroscientists and clinicians also lack tools to facilitate detection \nand treatment of neurological disorders that co-occur, worsen or \nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis \nand intracranial hypertension47. Precision mapping of the maternal \nbrain lays the groundwork for a greater understanding of the subtle \nand sweeping structural, functional, behavioral and clinical changes \nthat unfold across pregnancy. Such pursuits will advance our basic", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed4.pdf" + }, + { + "text": "Whole-brain subcortical volumes \n\nLateral ventricle \n\nCaudate \n\nThalamus \n4,000 \n) \n3 \nm \nm \n3,800 \n( \n\nV \nM \nG \ng \nv \nA \n3,600 \n\n\n\nRight ventral diencephalon \nGestation Gestation + postpartum \n\n4,000 \n\n3,900 \n\n3,800 \n\n3,700 \n\n3,600 \n\n3,500 \n0 10 \n20 \nWeek \n30 Pre 1st \n2nd \nStage \n3rd Post \n\n\n\n\n\n\n\n\n\n\n\nGestation \n*R2* adj = 0.41,*q*= 0.027 \n) \n3 \n200 \nm \nm \n180 ( \n\nV \nM \nG \ng \nv \nA \n\n180 \n\n160 \n\n0 10 \n\n\n\n1,900 \n\n1,800 \n\n1,700 \nPre \n1st 2nd 3rd \nStage \n30 \n\nGestation Gestation + postpartum \n*R2* adj = 0.36,*q*= 0.031 \n) \n540 3 \n540 \nm \nm \n( \n\nV \nM \nG \ng \nv \nA \n460 460 \n0 \n20 \n10 \nWeek \n30 Pre \n1st 2nd 3rd \nStage \n\nGestation + postpartum Gestation \n*R2* adj = 0.58,*q*= 0.001 200 \n) \n3 \nm \nm \n1,900 \n( \n\nV \nM \nG \ng \nv \nA \n\n1,800 \n160 \n1,700 \n\n20 \nWeek \n30 Pre 1st 2nd 3rd Post 0 \n10 \nWeek \n20 \nStage \n\n**Fig. 3 | Subcortical GMV changed throughout gestation. a**, Multivariate \nregression analyses revealed largely negative relationships between gestation \nweek and subcortical GMV regions over pregnancy, including bilateral thalamus, \ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus, \nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral \nventricles displayed the only positive relationships with gestation week \n(also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown \nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR- \ncorrected at*q*< 0.05. Inset, right ventral diencephalon displayed the strongest \nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did \nnot return to baseline postpartum (right; gestation and postpartum, 26 scans). \n**b**, The participant’s hippocampus and surrounding cortex were segmented \ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression \nanalyses (PHC) revealed subfields were negatively associated with gestation \nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum \n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent \na 95% confidence interval. Each boxplot represents IQR for each stage, with a \nhorizontal line representing the median value. The whiskers indicate variability \noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either \nend of the box. FDR-corrected at*q*< 0.05. For**a**and**b**, nonsignificant regions \nwere set to zero for interpretability. See Supplementary Fig. 6 for complete \nlabeling of regions in both segmentations. Brain visualizations created with R \npackage ggseg48*.*DC, diencephalon. \n\noutstanding questions. This study and corresponding open-access \ndataset offer neuroscientists a detailed map of the human brain across \ngestation, a resource for which a wide range of previously unattainable \nneurobiological questions can now be explored. \n\nor neuron number, synaptic density and myelination (for review on \nthe latter, see ref. 4). Future studies of the relationship between fluid \ndynamics and volumetric changes will help clarify the factors that drive \nglobal neural changes during pregnancy; such insights will have broad \nimplications for maternal health (for example, neurological effects tied \nto pre-eclampsia or edema).", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed4.pdf" + }, + { + "text": "<0 0–13 14–26 27–40 \nGestation weeks \n\n\n\ns \ne \nl \nc \ni \nr \nt \nn \ne \nv \nt \na \nL \n\n4,800 \n) \n3 \nm \nm \n( \n\n3,900 \n\n26,000 \n) \n3 \nF \nS \nC \nm \nm \n( \n\n\n\n\n\nd \n\n| | Summary Birth |\n|---|---|\n| | R2 adj = 0.91, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.75, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.90, P < 0.001 |\n\n\n4.80 \n) \n3 \nm \nm \nV \nM \nG \n5 \n0 \n1 \n× \n( \n4.60 \n\n1.80 \n) \nm \nm \nT \nC \n6 \n0 \n1 \n× \n( \n1.60 \n\n) \n1.29 \n3 l \nm \nm \n\no \nv \nn \na \nr \nB \ni \n\n6 \n0 \n1 \n× \n( \n1.27 \n\n0 50 100 150 \nWeeks since conception \n\n**Fig. 1 | Precision imaging reveals neuroanatomical changes throughout**\n**gestation. a**, Standard medical demarcations for pregnancy stages (that is, \ntrimesters) by gestation week (the image is created with BioRender.com). \n**b**, Steroid hormones increased significantly throughout pregnancy and dropped \nprecipitously postpartum, as is characteristic of the prenatal and postnatal \nperiods.**c**, A healthy 38-year-old primiparous woman underwent 26 scanning \nsessions from 3 weeks preconception through 2 years postpartum. Scans were \ndistributed throughout preconception (four scans), first trimester (four scans), \nsecond trimester (six scans), third trimester (five scans) and postpartum \n(seven scans); tick marks indicate when major measures were collected and \n\n| es | Birth |\n|---|---|\n| | R2 adj = 0.50, P = 0.007 |\n| 0 | 50 100 150 R2 adj = 0.77, P < 0.001 |\n| 0 | 50 100 150 R2 adj = 0.79, P < 0.001 |\n\n\n. \nt \nn \na \nu \nq \n0.44 \n\ny \np \no \nr \nt \no \ns \ni \nn \na \nl \na \nb \no \nG \n0.38 \nl \n\n24,500 \n0 50 100 150 \nWeeks since conception \n\ncolors denote pregnancy stage. The participant underwent IVF to achieve \npregnancy, allowing for precise mapping of ovulation, conception and gestation \nweek.**d**, Summary (that is, total) of brain measures throughout the experiment. \nGeneralized additive models revealed GMV, CT and total brain volume decreased \nthroughout pregnancy (see Methods for validation with cubic regression), with \na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes \ndisplayed nonlinear increases across gestation, with a notable rise in the second \nand third trimesters before dropping sharply postpartum. Shaded regions \nrepresent 95% confidence bands; solid lines indicate model fit; dashed line \nindicates parturition.", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed4.pdf" + } + ] + }, + { + "references": { + "source_file": "6126797.pdf", + "query": "How to light up my sports smart watch?", + "target_page": 2, + "target_passage": "Up button: Short press to light up or turn off the screen", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to \nreactivate the watch. \n\n**Button down:**\n\nShort press to enter multi-sport mode. \nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any \nbuttons. \n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below. \n\n\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the \nshortcut. \n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth \nconnection status, time, power, brightness adjustment and other functions.", + "page_start": 1, + "page_end": 1, + "source_file": "6126797.pdf" + }, + { + "text": "**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once. \n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the \nwatch to display the weather information for the day. \n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the \nmobile phone will vibrate or emit a ringtone. \n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of \nthe day. \n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button \nto end the massage state. \n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose. \n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be \nsynchronized with your mobile phone language after the watch successfully binds to the APP. \n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and \nclick it to set the watch face. \n3) Set screen time; a variety of screen time lengths can be selected. \n4) Vibration intensity; set reminder vibration intensity. \n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to \ndecrypt the previous password). \n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory \nreset.", + "page_start": 4, + "page_end": 4, + "source_file": "6126797.pdf" + }, + { + "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest \nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on \nor off audio Bluetooth for calls. \n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and \nscroll up and down to find the corresponding function. \n5) Long press the watch face interface and swipe to right or left to switch the watch face, select \none of them and set it with one-click. \n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the \nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of \n10 messages can be saved. The messages received after 10 messages will be overwritten one by \none. \n2) Swipe to the bottom to click the delete icon to clear all message records. \n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu \ninterface. \n1) Bluetooth connection status; time; power left; \n2) About, where you can check the firmware version of watch and the address of the Bluetooth \n3) Setting, where you can enter it to set part of the functions; \n4) Brightness adjustment; where you can adjust the brightness of the screen; \n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize \noffline payment. \n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off \nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling \nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the \nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when \nthey are successfully bound. \n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 \ncall records, and it will be automatically overwritten when 128 records are full. Click any call \nrecord to call back) \n3. Dial the keyboard, you can enter the phone number to make a call. \n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding \napps in your mobile phone system, and switch on these apps or callings notifications functions on \nyour watch, the notifications on your mobile phone can synchronize to your watch. \n1.5.1. Incoming call notification: \nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch \nwill light up or vibrate. \n1.5.2. SMS notification:", + "page_start": 2, + "page_end": 2, + "source_file": "6126797.pdf" + }, + { + "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the \nmobile phone, the watch will receive one or more SMS reminders at the same time. \n1.5.3. Other application message notifications: \nTurn on the corresponding application message notification in the app, such as WeChat, QQ, \nOutlook, Facebook and other applications. When the mobile phone receives one/multiple \napplication message notifications, the watch will receive one/multiple corresponding message \nreminders at the same time. \n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile \nphone, then you can synchronize you contacts of your mobile phone to the smartwatch. \n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the \nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will \nbe wiped out at 00:00 every day in the morning. \n\n**1.8 Sports modes**(walking, running, cycling, rope skipping, badminton, \n\nbasketball, football) \n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the \nexercise; click the “Start” button again to pause the recording of the exercise; click the “End” \nbutton to end the recording, and save to the data. \n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the \nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be \nsaved.", + "page_start": 3, + "page_end": 3, + "source_file": "6126797.pdf" + }, + { + "text": "Sports smart watch \nUser Manual \nDT3 Mate \n\n\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a \n\ncharging cable.", + "page_start": 0, + "page_end": 0, + "source_file": "6126797.pdf" + }, + { + "text": "1.2 Search the application at App market and download \nFor Android users: \nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, \nremember to check the pop-up box on your phone when installing, and agree to the permission. \nFor iOS users: \nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your \nphone when installing, and agree to the permission. \n\nAfter WearPro is installed, the app icon appears as . \n\n2.Bind Bluetooth \n\n\n\n2.1 Unconnected to the APP state: \n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the \nAPK/APP, go to Devices > Add Device > click to start searching, select and click the \ncorresponding watch device name, and the watch will be successfully bound to the app.", + "page_start": 5, + "page_end": 5, + "source_file": "6126797.pdf" + }, + { + "text": "**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as \n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this \nperiod. \n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once \nor repeatedly on the date (week) setting, and the alarm can be turned on/off. \n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting. \nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the \nscreen. \n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting \nand selecting the date (week) of the water reminder. When the time of drink water reminder is \nreached, the watch will vibrate and there will be a water icon on the screen.", + "page_start": 6, + "page_end": 6, + "source_file": "6126797.pdf" + }, + { + "text": "smart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind” \n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a \n\nfactory reset after that. \n\n**●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**", + "page_start": 7, + "page_end": 7, + "source_file": "6126797.pdf" + }, + { + "text": "**3**\n\n**Activity**\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \n\n**1** **6**\n\n**4**\n\n**Chat**\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \n\n**2** **7**\n\n**5**\n\n**Teams**\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \n\n**3**\n\n**Help**\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \n\n**8**\n\n**6**\n\n**Calendar**\nBring up your calendar to view, create, and respond \nto meetings. \n\n**4**\n\n**Search**\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \n\n**9**\n\n**Calls**\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \n\n**5**\n\n**Profile**\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you. \n\n**10**\n\n**7**\n\n\n\n**1**\n\n**8**", + "page_start": 1, + "page_end": 1, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "Figure 5-32 Turning the Identify LED off \n\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the \nfollowing commands in this sequence: \n\n1. Enter**svctask chenclosure -identify yes 1**(or enter**chenclosure -identify yes 1**). \n2. Enter**svctask chenclosure -identify no 1**(or enter**chenclosure -identify no 1**). \n\nTo view internal components (components that cannot be seen from the outside), review the \nbottom of the GUI underneath where the list of external components is displayed. You can \nselect any of these components and details show in the right pane, as with the external \ncomponents.", + "page_start": 171, + "page_end": 171, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "6126797.pdf", + "query": "Is my sports smartwatch's fitness data turned on or off by default?", + "target_page": 4, + "target_passage": "Fitness data is turned on by default.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the \nmobile phone, the watch will receive one or more SMS reminders at the same time. \n1.5.3. Other application message notifications: \nTurn on the corresponding application message notification in the app, such as WeChat, QQ, \nOutlook, Facebook and other applications. When the mobile phone receives one/multiple \napplication message notifications, the watch will receive one/multiple corresponding message \nreminders at the same time. \n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile \nphone, then you can synchronize you contacts of your mobile phone to the smartwatch. \n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the \nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will \nbe wiped out at 00:00 every day in the morning. \n\n**1.8 Sports modes**(walking, running, cycling, rope skipping, badminton, \n\nbasketball, football) \n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the \nexercise; click the “Start” button again to pause the recording of the exercise; click the “End” \nbutton to end the recording, and save to the data. \n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the \nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be \nsaved.", + "page_start": 3, + "page_end": 3, + "source_file": "6126797.pdf" + }, + { + "text": "**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once. \n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the \nwatch to display the weather information for the day. \n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the \nmobile phone will vibrate or emit a ringtone. \n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of \nthe day. \n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button \nto end the massage state. \n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose. \n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be \nsynchronized with your mobile phone language after the watch successfully binds to the APP. \n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and \nclick it to set the watch face. \n3) Set screen time; a variety of screen time lengths can be selected. \n4) Vibration intensity; set reminder vibration intensity. \n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to \ndecrypt the previous password). \n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory \nreset.", + "page_start": 4, + "page_end": 4, + "source_file": "6126797.pdf" + }, + { + "text": "smart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind” \n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a \n\nfactory reset after that. \n\n**●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**", + "page_start": 7, + "page_end": 7, + "source_file": "6126797.pdf" + }, + { + "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to \nreactivate the watch. \n\n**Button down:**\n\nShort press to enter multi-sport mode. \nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any \nbuttons. \n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below. \n\n\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the \nshortcut. \n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth \nconnection status, time, power, brightness adjustment and other functions.", + "page_start": 1, + "page_end": 1, + "source_file": "6126797.pdf" + }, + { + "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest \nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on \nor off audio Bluetooth for calls. \n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and \nscroll up and down to find the corresponding function. \n5) Long press the watch face interface and swipe to right or left to switch the watch face, select \none of them and set it with one-click. \n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the \nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of \n10 messages can be saved. The messages received after 10 messages will be overwritten one by \none. \n2) Swipe to the bottom to click the delete icon to clear all message records. \n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu \ninterface. \n1) Bluetooth connection status; time; power left; \n2) About, where you can check the firmware version of watch and the address of the Bluetooth \n3) Setting, where you can enter it to set part of the functions; \n4) Brightness adjustment; where you can adjust the brightness of the screen; \n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize \noffline payment. \n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off \nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling \nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the \nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when \nthey are successfully bound. \n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 \ncall records, and it will be automatically overwritten when 128 records are full. Click any call \nrecord to call back) \n3. Dial the keyboard, you can enter the phone number to make a call. \n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding \napps in your mobile phone system, and switch on these apps or callings notifications functions on \nyour watch, the notifications on your mobile phone can synchronize to your watch. \n1.5.1. Incoming call notification: \nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch \nwill light up or vibrate. \n1.5.2. SMS notification:", + "page_start": 2, + "page_end": 2, + "source_file": "6126797.pdf" + }, + { + "text": "Sports smart watch \nUser Manual \nDT3 Mate \n\n\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a \n\ncharging cable.", + "page_start": 0, + "page_end": 0, + "source_file": "6126797.pdf" + }, + { + "text": "1.2 Search the application at App market and download \nFor Android users: \nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, \nremember to check the pop-up box on your phone when installing, and agree to the permission. \nFor iOS users: \nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your \nphone when installing, and agree to the permission. \n\nAfter WearPro is installed, the app icon appears as . \n\n2.Bind Bluetooth \n\n\n\n2.1 Unconnected to the APP state: \n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the \nAPK/APP, go to Devices > Add Device > click to start searching, select and click the \ncorresponding watch device name, and the watch will be successfully bound to the app.", + "page_start": 5, + "page_end": 5, + "source_file": "6126797.pdf" + }, + { + "text": "**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as \n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this \nperiod. \n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once \nor repeatedly on the date (week) setting, and the alarm can be turned on/off. \n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting. \nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the \nscreen. \n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting \nand selecting the date (week) of the water reminder. When the time of drink water reminder is \nreached, the watch will vibrate and there will be a water icon on the screen.", + "page_start": 6, + "page_end": 6, + "source_file": "6126797.pdf" + }, + { + "text": "The port is unverified (see Figure 8-55) because it is not logged on to the Storwize V7000 \nsystem. The first time that it logs on, its state is automatically changed to online, and the \nmapping is applied to this port.", + "page_start": 386, + "page_end": 386, + "source_file": "sg247938.pdf" + }, + { + "text": "138. Figueiredo, Mayara Costa; Ankrah, Elizabeth; Powell, Jacquelyn E.; Epstein, Daniel A.; \n\nChen, Yunan (12 January 2024). \"Powered by AI: Examining How AI Descriptions Influence \nPerceptions of Fertility Tracking Applications\" (https://dl.acm.org/doi/10.1145/3631414). \n*Proc. ACM Interact. Mob. Wearable Ubiquitous Technol*.**7**(4): 154:1–154:24. \ndoi:10.1145/3631414 (https://doi.org/10.1145%2F3631414).", + "page_start": 35, + "page_end": 35, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "6126797.pdf", + "query": "When does my Sport smartwatch start and stop monitoring sleep?", + "target_page": 5, + "target_passage": "Sleep monitoring time period: from 18:00 at night to 10:00 the next day", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the \nmobile phone, the watch will receive one or more SMS reminders at the same time. \n1.5.3. Other application message notifications: \nTurn on the corresponding application message notification in the app, such as WeChat, QQ, \nOutlook, Facebook and other applications. When the mobile phone receives one/multiple \napplication message notifications, the watch will receive one/multiple corresponding message \nreminders at the same time. \n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile \nphone, then you can synchronize you contacts of your mobile phone to the smartwatch. \n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the \nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will \nbe wiped out at 00:00 every day in the morning. \n\n**1.8 Sports modes**(walking, running, cycling, rope skipping, badminton, \n\nbasketball, football) \n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the \nexercise; click the “Start” button again to pause the recording of the exercise; click the “End” \nbutton to end the recording, and save to the data. \n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the \nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be \nsaved.", + "page_start": 3, + "page_end": 3, + "source_file": "6126797.pdf" + }, + { + "text": "**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once. \n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the \nwatch to display the weather information for the day. \n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the \nmobile phone will vibrate or emit a ringtone. \n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of \nthe day. \n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button \nto end the massage state. \n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose. \n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be \nsynchronized with your mobile phone language after the watch successfully binds to the APP. \n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and \nclick it to set the watch face. \n3) Set screen time; a variety of screen time lengths can be selected. \n4) Vibration intensity; set reminder vibration intensity. \n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to \ndecrypt the previous password). \n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory \nreset.", + "page_start": 4, + "page_end": 4, + "source_file": "6126797.pdf" + }, + { + "text": "**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as \n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this \nperiod. \n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once \nor repeatedly on the date (week) setting, and the alarm can be turned on/off. \n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting. \nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the \nscreen. \n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the \nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting \nand selecting the date (week) of the water reminder. When the time of drink water reminder is \nreached, the watch will vibrate and there will be a water icon on the screen.", + "page_start": 6, + "page_end": 6, + "source_file": "6126797.pdf" + }, + { + "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to \nreactivate the watch. \n\n**Button down:**\n\nShort press to enter multi-sport mode. \nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any \nbuttons. \n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below. \n\n\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the \nshortcut. \n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth \nconnection status, time, power, brightness adjustment and other functions.", + "page_start": 1, + "page_end": 1, + "source_file": "6126797.pdf" + }, + { + "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest \nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on \nor off audio Bluetooth for calls. \n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and \nscroll up and down to find the corresponding function. \n5) Long press the watch face interface and swipe to right or left to switch the watch face, select \none of them and set it with one-click. \n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the \nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of \n10 messages can be saved. The messages received after 10 messages will be overwritten one by \none. \n2) Swipe to the bottom to click the delete icon to clear all message records. \n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu \ninterface. \n1) Bluetooth connection status; time; power left; \n2) About, where you can check the firmware version of watch and the address of the Bluetooth \n3) Setting, where you can enter it to set part of the functions; \n4) Brightness adjustment; where you can adjust the brightness of the screen; \n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize \noffline payment. \n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off \nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling \nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the \nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when \nthey are successfully bound. \n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 \ncall records, and it will be automatically overwritten when 128 records are full. Click any call \nrecord to call back) \n3. Dial the keyboard, you can enter the phone number to make a call. \n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding \napps in your mobile phone system, and switch on these apps or callings notifications functions on \nyour watch, the notifications on your mobile phone can synchronize to your watch. \n1.5.1. Incoming call notification: \nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch \nwill light up or vibrate. \n1.5.2. SMS notification:", + "page_start": 2, + "page_end": 2, + "source_file": "6126797.pdf" + }, + { + "text": "smart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind” \n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a \n\nfactory reset after that. \n\n**●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**", + "page_start": 7, + "page_end": 7, + "source_file": "6126797.pdf" + }, + { + "text": "1.2 Search the application at App market and download \nFor Android users: \nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, \nremember to check the pop-up box on your phone when installing, and agree to the permission. \nFor iOS users: \nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your \nphone when installing, and agree to the permission. \n\nAfter WearPro is installed, the app icon appears as . \n\n2.Bind Bluetooth \n\n\n\n2.1 Unconnected to the APP state: \n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the \nAPK/APP, go to Devices > Add Device > click to start searching, select and click the \ncorresponding watch device name, and the watch will be successfully bound to the app.", + "page_start": 5, + "page_end": 5, + "source_file": "6126797.pdf" + }, + { + "text": "Sports smart watch \nUser Manual \nDT3 Mate \n\n\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a \n\ncharging cable.", + "page_start": 0, + "page_end": 0, + "source_file": "6126797.pdf" + }, + { + "text": "**oc get pod -n openshift-monitoring**\nNAME READY STATUS RESTARTS AGE \nalertmanager-main-0 3/3 Running 0 4m \nalertmanager-main-1 3/3 Running 0 4m \nalertmanager-main-2 3/3 Running 0 3m \ncluster-monitoring-operator-68fb779747-b6nd7 1/1 Running 0 6m \ngrafana-5756774f8f-7lrlm 2/2 Running 0 6m \nkube-state-metrics-79f458bd6c-qtv88 3/3 Running 0 2m \nnode-exporter-724ww 2/2 Running 0 2m \nnode-exporter-jbjm5 2/2 Running 0 2m \nnode-exporter-nrszt 2/2 Running 0 2m \nnode-exporter-shclk 2/2 Running 0 2m \nnode-exporter-vfzjr 2/2 Running 0 2m \nnode-exporter-wbjd7 2/2 Running 0 2m \nprometheus-k8s-0 4/4 Running 1 6m \nprometheus-k8s-1 4/4 Running 1 5m \nprometheus-operator-88dcddf7d-22hd2 1/1 Running 0 6m \n**oc get pvc -n openshift-monitoring**\nNAME STATUS VOLUME CAPACITY ACCESS \nMODES STORAGECLASS AGE \nalertmanager-main-db-alertmanager-main-0 Bound pvc-569cfeb2-0fc2-11ea-ac13-faa21eff8220 4Gi RWO \nibm-powervc-k8s-volume-default 5m \nalertmanager-main-db-alertmanager-main-1 Bound pvc-690150be-0fc2-11ea-ac13-faa21eff8220 4Gi RWO \nibm-powervc-k8s-volume-default 5m \nalertmanager-main-db-alertmanager-main-2 Bound pvc-7b98bfa8-0fc2-11ea-ac13-faa21eff8220 4Gi RWO \nibm-powervc-k8s-volume-default 4m \nprometheus-k8s-db-prometheus-k8s-0 Bound pvc-20342da0-0fc2-11ea-ac13-faa21eff8220 32Gi RWO \nibm-powervc-k8s-volume-default 7m \nprometheus-k8s-db-prometheus-k8s-1 Bound pvc-364ff7f6-0fc2-11ea-ac13-faa21eff8220 32Gi RWO \nibm-powervc-k8s-volume-default 6m \n\n**6.5 Managing OpenShift Resources using CLI**\n\nOpenShift Container Platform organizes entities in the OpenShift cluster as objects that are \nmanaged by the master node, which are collectively known as resources: \n\n(cid:2) Projects (namespaces) \n(cid:2) Users \n(cid:2) Deployment Configuration \n(cid:2) Nodes \n(cid:2) Services \n(cid:2) Pods \n\nThese resources are available to the OpenShift Container Platform. \n\nRed Hat OpenShift Container Platform includes a command-line tool that enables system \nadministrators and developers to work with an OpenShift cluster. The oc command-line tool \nprovides the ability to modify and manage resources throughout the delivery lifecycle of a \nsoftware development project. Common operations with this tool include deploying \napplications, scaling applications, and checking the status of projects. \n\nThe oc command-line tool is installed on all master and node machines. You can also install \nthe oc client on systems that are not part of the OpenShift cluster, such as administrator \nmachines. When it is installed, you can issue commands after authenticating to any master \nnode.", + "page_start": 161, + "page_end": 161, + "source_file": "sg248459.pdf" + }, + { + "text": "**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing,**\n\n**materials, design, etc. in normal use, the motherboard of the watch is**\n\n**guaranteed for repair for free within one year, while the battery and**\n\n**charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal**\n\n**reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of**\n\n**the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such**\n\n**as: water in the device, cracking by external force, scratches on the**\n\n**case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty**\n\n**card with the date of purchase and the stamp of the place of purchase**\n\n**on it.**", + "page_start": 8, + "page_end": 8, + "source_file": "6126797.pdf" + } + ] + }, + { + "references": { + "source_file": "OTC_NSANY_2004.pdf", + "query": "Have the operating profits in Japan for Nissan gone up or down in 2004?", + "target_page": 5, + "target_passage": "operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "NISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS \n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO \n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005. \n\n• Product enrichment and the cost of regulations had \n\na negative impact of ¥92 billion. \n\n• An additional ¥44 billion was allocated to R&D to \n\nreinforce product and technology development. \n\n• Cost reductions from manufacturing efficiencies were \n\noffset by costs associated with expanding the Canton \n\nplant’s capacity, which resulted in a ¥15 billion \n\nincrease in manufacturing and logistics expenses. \n\n• Warranty costs increased by ¥41 billion, partly due to \n\ngreater volume. \n\n• General, administrative and other expenses increased \n\nby ¥25.7 billion. \n\nBy region, operating profits in Japan came to ¥341.1 \n\nbillion, a decrease of 3.2 percent compared to last year. \n\nThis was mainly due to unfavorable exchange rate \n\nfluctuations and an increase in R&D expenses, which \n\nreached a record level. \n\nDue to higher volumes, profitability in the U.S. and \n\nCanada increased 7.9 percent from last year and totaled \n\n¥379.7 billion. \n\nOperating profit in Europe was ¥56 billion, an increase \n\nof 13.8 percent compared to last year, owing to a better \n\nmix and higher contributions from Russia. \n\nIn General Overseas Markets, including Mexico, \n\noperating profits came to ¥84.8 billion, an increase of 28.5 \n\npercent compared to last year. This was primarily due to the \n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor. \n\nInter-regional eliminations were negative ¥0.4 billion. \n\n**Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 \n\npercent from last year. A higher volume and mix had a \n\npositive impact of ¥707.0 billion. Movements in foreign \n\nexchange rates produced a negative impact of ¥173.0 \n\nbillion. Changes in the scope of consolidation, including \n\nDongfeng Motor and Yulon Nissan Motor, raised revenues \n\nby ¥432.0 billion. \n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from \n\nlast year to a record ¥861.2 billion. This resulted in an \n\noperating profit margin of 10.0 percent. Operating profit \n\nwas affected by the following factors: \n\n• The effect of foreign exchange rates produced a ¥78 \n\nbillion negative impact for the full year. The \n\ndepreciation of the U.S. dollar against the yen resulted \n\nin a negative impact of ¥74 billion, with an additional \n\n¥13 billion from other currencies. The appreciation of \n\nthe euro resulted in a positive impact of ¥9 billion. \n\n• The change in the scope of consolidation produced \n\na positive impact of ¥31 billion. This was primarily \n\nfrom the consolidation of Dongfeng Motor and Yulon \n\nNissan Motor. \n\n• The impact of the higher volume and mix contributed \n\n¥284 billion. This was mainly driven by an increase in \n\nU.S. sales volume. \n\n• Selling expenses increased by ¥114 billion, also \n\nmainly due to the increase of sales in the U.S. \n\n• The improvement in purchasing costs amounted to \n\n¥131 billion.", + "page_start": 13, + "page_end": 13, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up \n\nto all the challenges. We had a record year in revenues, operating profit, net income, sales \n\nvolume and production. \n\n**Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This \n\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is \n\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine \n\nall-new models globally. \n\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing \n\nplants turned out 3,378,000 units, or 293,000 units more than the previous record. \n\n**Financial performance**\n\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year. \n\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a \n\npercentage of net revenue, our operating profit margin came to 10.0 percent. \n\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion. \n\n**Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot \n\nbe closed completely until the end of September 2005, but we know that we have already \n\ndelivered two of the plan’s three critical commitments. \n\n• We committed to an 8 percent operating profit margin, and our margin has been at or above \n\n10 percent for every year of NISSAN 180. \n\n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the \n\nnew and more demanding accounting standards. \n\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in \n\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, \n\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of \n\nSeptember 2005.", + "page_start": 7, + "page_end": 7, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "• An increase in global sales of 1 million units, \n\ncompared to the start of the plan. We are confident of \n\nmeeting this final commitment by the end of the \n\nmeasurement period in September 2005. \n\n• An 8 percent operating profit margin. For every year \n\nof the NISSAN 180 plan our operating margin has \n\nbeen at or above 10 percent topping the performance \n\nof all global automakers. \n\n• Zero net automotive debt. We now have more than \n\n¥200 billion in net cash under the new and more \n\ndemanding accounting standards. \n\nReview of 2004 \n\nNissan lived up to its challenges in fiscal 2004, despite a \n\nvery challenging year in the global industry, full of risks \n\nboth anticipated and unexpected. \n\nConsolidated net revenues reached ¥8 trillion 576.3 \n\nbillion, up 15.4 percent from last year. Consolidated \n\noperating profit improved by 4.4 percent to a record ¥861.2 \n\nbillion. As a percentage of net revenue, our operating profit \n\nmargin came to 10 percent, which remains at the top level \n\namong global automakers. And our net income reached \n\n¥512.3 billion, or ¥125.16 per share, compared to ¥122.02 \n\nper share for the previous fiscal year. \n\nNISSAN Value-Up \n\nThe Nissan revival story is now complete. Our next \n\nthree-year business plan, ‘NISSAN Value-Up,’ is focused, \n\nas its name suggests, on delivering sustainable long-term \n\nvalue to all our stakeholders. As such, it is evolutionary \n\nnot revolutionary. \n\nAs with our previous business plans, NISSAN Value-Up \n\nestablishes three core commitments. They are ambitious, \n\nand will require us to stretch our capabilities. But they \n\nare realistic. \n\nProfit: Nissan will maintain the top level of operating \n\nprofit margin among global automakers for each of the \n\nthree years of the plan. Operating profit remains at the \n\ncenter of our management system, as it is the most \n\naccurate measure of business performance. \n\nA public company has two key responsibilities to its \n\nshareholders: transparency and value creation. \n\nAt Nissan, transparency is essential to our business. \n\nEspecially in uncertain times, it builds trust between a \n\ncompany and its shareholders. And we believe \n\ntransparency is the best way to encourage long-term \n\ninvestment in our company. \n\nBut transparency is not yet universal. Nissan is still one \n\nof the few large corporations that publicly disclose future \n\nbusiness plans, performance indicators, commitments and \n\nfuture dividends. We trust that these measures give \n\nshareholders a clear view of our company’s future direction. \n\nFrom the start of the Nissan Revival Plan (NRP) in \n\n1999, we have created value by focusing on key value \n\ndrivers—particularly sales growth, operating profit margin, \n\nand return on invested capital. \n\nBy the end of fiscal 2001 we exceeded our NRP \n\ncommitments by returning Nissan to profit one year ahead \n\nof schedule, halving the company’s debt and over-delivering \n\non our commitment to achieve a 4.5 percent operating \n\nprofit margin. \n\nFollowing NRP, we launched a three-year business \n\nplan called NISSAN 180. By the end of the plan in fiscal \n\n2004, we committed to achieve the following:", + "page_start": 3, + "page_end": 3, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "DESPITE NISSAN’S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS \n\nNEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED \n\nAT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR \n\nUNDERSTANDING OF NISSAN’S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH \n\nVIEW OF THE COMPANY’S OPERATIONS AND PERFORMANCE INDICATORS. \n\n**IR Activities**\n\nUnder NISSAN Value-Up, the IR team’s performance will \n\nbe evaluated based on the price-earnings ratio (PER) and \n\nvolatility relative to our major competitors. PER is used to \n\nmeasure how successfully the IR team manages market \n\nexpectations about Nissan in order to maintain the Nissan \n\nshare price close to an intrinsic value. The other measure, \n\nvolatility, is used to measure the risk investors perceive \n\nwhen considering Nissan stock. If Nissan can successfully \n\nreduce volatility, the minimum return required by investors \n\nshould decline. The IR team believes that a strengthening \n\nof disclosure activities is required to improve both \n\nmeasures. The team plans to disclose not only financial \n\nresults but also more forward-looking information about \n\nNissan fundamentals such as technology and product. \n\nSuch forward-looking information helps investors to \n\nforecast future performance more precisely and reduces \n\nuncertainty about the future. As a consequence, Nissan will \n\nincrease the number of investor conferences, events, and \n\nteleconferences during fiscal 2005. \n\n**Share Performance in Fiscal 2004**\n\nNissan’s share price began at ¥1,143 at the beginning \n\nof fiscal 2004 and ended the fiscal year at ¥1,099, \n\ngenerating a negative return of 3.85 percent. Total \n\nshareholder return (TSR) was -1.67 percent, while the \n\ndividend yield came to 2.18 percent (¥24 per share dividend, \n\ndivided by the ¥1,099 closing price). Adverse movements \n\nin foreign exchange rates and commodity price hikes \n\nadversely affected Nissan’s profitability, which was reflected \n\nin the share price. In addition, specific events relating \n\ndirectly to the company also had a negative impact. Later in \n\nthis report, corporate officers will explain what actions \n\nNissan has undertaken to ensure better performance. \n\n**Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend \n\npolicy, covering the period from fiscal 2005 to fiscal 2007, at \n\nthe annual general meeting of shareholders on June 23, \n\n2004. Nissan proposes a long-term dividend policy to \n\nprovide more visibility and improve transparency into the \n\nways in which Nissan rewards its shareholders. Nissan \n\nbelieves that a long-term dividend policy reduces uncertainty \n\nfor investors who already own or are considering acquiring \n\nNissan stock. \n\n**Five-Year Share Performance**\n(Index: April 3, 2000=100) \n400 \nNissan \n300 \n\n200 \nTOPIX Transportation Equipment Index \n100 \nTOPIX \n80 Apr. \nMay June July Aug. Sept Oct. Nov Dec. \nJan. \n**2005**\n**’01** **’02** **’03** **’04** **’05**\n0 \n**2004**", + "page_start": 16, + "page_end": 16, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Looking to the New Fiscal Year**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume \n\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent \n\nincrease over the prior year. \n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to \n\ntwenty regional product events. \n\n**Our sales objectives**\n\n• Japan: 933,000 units, a 10 percent increase over last year \n\n• U.S.: 1,047,000 units, an increase of 3.3 percent \n\n• Europe: 550,000 units, a 1.1 percent increase over last year \n\n• General Overseas Markets: 1,088,000 units, a 10.7 percent increase \n\n**Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of \n\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices, \n\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The \n\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively. \n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign \n\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro: \n\n• Net revenue is predicted to be ¥9 trillion, up 4.9 percent. \n\n• Operating profit is expected to be ¥870 billion, up 1 percent. \n\n• Ordinary profit is expected to reach ¥860 billion, up 0.5 percent. \n\n• Net income is predicted to be ¥517 billion, up 0.9 percent. \n\n• Capital expenditures are expected to reach ¥540 billion, up 13.1 percent. \n\n• R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent. \n\n• ROIC is expected to remain at or above 20 percent.", + "page_start": 9, + "page_end": 9, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**NISSAN Value-Up: Sustaining Performance**\n\nNissan’s position today is much different than it was six years ago or even three years ago. In \n\n1999, we were in crisis, and the Nissan Revival Plan was needed to revive our company and \n\nbuild a future. In April 2002, when NISSAN 180 began, we wanted to complete the revival \n\nprocess, with an emphasis on profitable growth. \n\nE \nC \nN \nA \nM \nR \nO \nF \nR \nE \nP \n\nNISSAN Value-Up is about sustaining performance. About taking all the gains we have \n\nmade in connecting with our customers, in growing volumes, in creating value, in earning profits, \n\nin improving management— and then building upon these gains. \n\nWith NISSAN Value-Up, you will not see a radical break from NISSAN 180. This plan is \n\nevolutionary, not revolutionary. We will take the core elements that got us to this point—namely, \n\nmore revenue, less cost, more quality and speed, and maximized Alliance benefit with Renault— \n\nand build upon them. \n\nNISSAN Value-Up has three critical commitments: \nProfit: Nissan will maintain the top level of operating profit margin among global automakers \n\nfor each of the three years of the plan. \n\nVolume: Nissan will achieve global sales of 4.2 million units measured in fiscal 2008. \nROIC: Nissan will achieve a 20 percent ROIC on average over the course of the plan, based \n\non the new formula that excludes cash on hand from the denominator. \n\nNISSAN Value-Up will oversee 28 new models, resulting in the start of production of 70 \n\nmodels worldwide, over two dozen more than the 44 production starts during NISSAN 180. Of \n\nthe 28 new models, 18 will be replacements for existing models and 10 will be completely new \n\n“conquest” models. We will enter more new segments, and we will introduce six models that will \n\ndelight customers by being completely innovative in their concept and benefits. \n\nWe will pursue four major breakthroughs while implementing NISSAN Value-Up: \n\n• Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and \n\ncontinue to establish its credibility as a Tier-1 luxury player. \n\n• We will develop our Light Commercial Vehicle (LCV) business into a fully competitive global \n\noperation through new market and product entries. By 2007, we plan to increase our LCV \n\nvolume by 40 percent from fiscal 2004 to 434,000 units. During this period, operating margin \n\nis targeted to double from 4 percent to 8 percent. \n\n• We will take a more efficient global sourcing approach to maximize our opportunities and \n\nminimize our overall costs as we grow. Our engineering, production and purchasing functions \n\nwill continue their acceleration toward being fully integrated global operations. \n\n• We will continue to invest in new and emerging markets, including China, India and Russia.", + "page_start": 11, + "page_end": 11, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Impact on Operating Profit**\n(Billion Yen) **Net Cash Flow (automotive)**\n(Billion Yen) \n\n| | | +284 | | | –92 | |\n|---|---|---|---|---|---|---|\n| | | olume /mix | –114 Sales | e | –92 Product nrichme | |\n| | | e | xpenses | +131 | | –44 |\n| | | | | | | |\n| Forex | | | | | | |\n| | +31 | | | | | |\n\n\n1,200 1,100 \n\n| | | | |\n|---|---|---|---|\n| | | | |\n| peratin activities | g | –203.0 | |\n| efore ta | x Tax paid I | | nvesting activitie |\n| | | | |\n| | | | |\n| | | | |\n\n\n1,000 \n\nWarranty \nexpenses \n–41 \nh \ns \na \nC \n1,000 \n800 \nG&A \nand \nothers 600 \n\n–26.0 \nTreasury \nstock \n900 \n\n–94.0 \nDividend \npaid \n–25.7**861.2**\nFY04 \nOP \n\n400 \n\n–99.1 +10.0 \nOther \nFX rate \nfinancial \nimpact \nactivities \n\n**205.8**\n\nNet debt \nat end \nof FY03 \n**–13.6**\n200 \nNet debt \nat the end \nof FY04 \nFY03 \nOP \n800 \n0 \nt \nb \ne \nD \n-200 700 \n\n**Net Income**\n\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7 \n\nbillion lower than last year. This was primarily due to a ¥5.3 \n\nbillion decrease in financial costs and a ¥5.3 billion \n\nincrease in equity in earnings of unconsolidated \n\nsubsidiaries and affiliates, thanks mainly to Renault. Net \n\nextraordinary losses totaled ¥62.5 billion, ¥10.7 billion \n\nlower than last year, mainly due to the sale of the site of \n\nthe former Murayama plant. Net income before taxes came \n\nto ¥793.2 billion. Income taxes totaled ¥258.0 billion, with \n\nan effective consolidated tax rate of 33 percent. Minority \n\ninterests amounted to ¥22.9 billion, mainly from Yulon \n\nNissan Motor. As a result, net income reached ¥512.3 \n\nbillion, an increase of ¥8.6 billion. \n\nCurrent liabilities increased by 28.1 percent, or ¥872.2 \n\nbillion, to ¥3,974.7 billion. This increase included changes \n\nin the scope of consolidation of ¥144.4 billion and an \n\nincrease in short-term borrowings for sales financing of \n\n¥558.5 billion. \n\nIn 2004, total shareholder equity increased from \n\n¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily \n\ndue to net income of ¥512.3 billion, offset by dividends \n\npaid totaling ¥101.2 billion. Consolidated shareholder \n\nequity represented 29 percent of total revenues and 25 \n\npercent of total assets. \n\n**Cash Flow**\n\nCash from operating activities was ¥369.4 billion, below \n\nthe previous year’s level of ¥797.4 billion. This drop was \n\nprimarily caused by a ¥331.2 billion increase in finance \n\n**FINANCIAL POSITION**\nreceivables in the U.S. and Japan. There were also \n\nincreases in inventory and income tax paid. \n\nCash used for investing activities increased by ¥108.9 \n\nbillion to ¥865.0 billion. This increase was mainly due to an \n\nincrease of leased vehicles in the U.S. \n\nCash from financing activities totaled ¥521.0 billion, \n\nincluding an increase in short-term borrowing of ¥666.2 \n\nbillion, offset by ¥94 billion for the payment of dividends \n\nand ¥26 billion for the acquisition of treasury stock. \n\nIn total, cash and cash equivalents increased by ¥95.6 \n\nbillion to ¥289.8 billion from fiscal 2004. \n\n**Balance Sheet**\n\nIn 2004, total consolidated assets increased by 25.3 \n\npercent to ¥9,848.5 billion. \n\nCurrent assets increased by 36.4 percent, or ¥1,372.4 \n\nbillion, to ¥5,139.4 billion. This increase included changes \n\nin the scope of consolidation by ¥271.1 billion and an \n\nincrease in sales finance receivables by ¥840.6 billion \n\nthanks to increased sales in the U.S. Fixed assets \n\nincreased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0 \n\nbillion. Property, plant and equipment valuation increased \n\nby ¥593.6 billion, mainly due to capital expenditures of \n\n¥477.5 billion and an increase in leased vehicles.", + "page_start": 14, + "page_end": 14, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Making Light Commercial Profitable**\n\n\n\n“The auto industry has traditionally viewed light commercial vehicles—what we call \n\nLCVs—as factory-fillers; vehicles that were fine to turn out as long as they were \n\nmarginally profitable. The difference today is that we think Nissan can profitably market \n\nLCVs in every segment and territory. Over the last two and a half years, for example, \n\nwe’ve turned things around from a loss to an operating profit margin of 4 percent. That \n\nfigure already exceeds the industry average. Now we’re committed to bringing LCVs \n\ninto line with the other areas of Nissan’s business. By fiscal 2007, we plan to have an \n\noperating margin of eight percent and a 40 percent increase in volume to 434,000 units. \n\nThat will bring us into the top rank of LCV producers and to the top in profitability. \n\nOne big consideration is that the average model in our lineup today is nearly ten years old. \n\nCreating a breakthrough with a lineup this old is difficult, and we examined the worth of \n\ncontinuing in this line of business. In the end, we decided to stay in and aggressively pursue profit. \n\nWe came up with six strategies to make that happen: \n\n• Renew the portfolio. During NISSAN Value-Up, we will start and finish nearly nine new \n\nvehicle actions. \n• Reduce cost and increase value. We will accomplish these goals with the same \n\ncustomer-centered techniques used for passenger vehicles since the Nissan Revival Plan. \n• Enter new territories. The market in Japan is flat or trending down, and there are many \n\ncompetitors in Europe. But China is an emerging market, and we have a strong relationship \n\nwith Dongfeng, our partner there. \n• Pursue OEM deals. We’re open to cross-badging our vehicles under somebody else’s name.", + "page_start": 27, + "page_end": 27, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**11.1%**\nCommitment \n**4,200**\n**21.3%** **10.8%**\n**10.0%**\n**19.8%** **20.1%***\n\nTop level \noperating profit margin \namong global automakers \n**3,388**\nROIC \naverage of 20% \n**7.9%**\n+812 \n\n**2,597**\n+791 \n**12.7%**\n\nP \nE \nR \nF \nO \nR \nM \nA \nN \nC \nE \n\n**4.75%**\n\n**7.5%**\n\n**1.4%**\n**1.3%**\n\n**’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07** **’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07** **’01** **’04** **’08**\nNRP \nNISSAN \n180 NISSAN \nValue-Up \nNRP \nNISSAN \n180 NISSAN \nValue-Up \n\n*Same scope pf consolidation as P&L, excluding \nchange of cash compared to fiscal year 2003 \n\nRussia \nKorea \nJapan*\nChina \nMiddle \nEast \nTaiwan \n\n\n\n**Light Commercial Vehicles (LCV)**\n\n(Thousand units) (% of consolidated operating margin) \n750 10 \n**8.0%**\n600 8 \n\n**434**\n+40% \n450 6 \n**312**\n**234**\n**182**\n**4.0%** 300 4 \n**203**\n**187**\n**3.6%**\n**3.3%**\n150 2 \n**-0.5%** **1.4%**\n0 0 \n**’00** **’01** **’02** **’03** **’04** **’07**", + "page_start": 12, + "page_end": 12, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "Share price performance \n\nWhat should investors expect from Nissan’s share price? \n\nOver the long-term, share prices reflect fundamentals. \n\nBut in the short-term share prices are driven by \n\nperformance against expectations. \n\nIn Nissan’s case, recent share price trends signal \n\nmarket expectations that greater uncertainty will result in \n\nlower growth. So our challenge is to both manage those \n\nexpectations and to exceed them. This supports our belief \n\nin a high level of disclosure and transparency. \n\nOur business plans and commitments, and our ability \n\nto communicate our strategy clearly, are the most effective \n\nmeans to convey transparency. But we recognize that \n\nfinancial announcements alone are no longer sufficient \n\ncommunication for the markets. We need to provide more \n\nforward-looking information and to avoid surprises that \n\ncreate uncertainty for shareholders and investors. \n\nWe intend to serve the professional investment \n\ncommunity better in fiscal 2005. We will also extend \n\nour welcome to individual investors—whose numbers \n\ngrew by 51,323 in fiscal 2004, increasing our list to \n\n193,000 shareholders. \n\nThat growing interest in Nissan was apparent in the \n\nturnout of more than 1,800 people at our June 21 \n\nshareholders’ meeting in Yokohama. Questions from the \n\nshareholders were many and varied, but it was encouraging \n\nto hear in each one a passionate commitment to Nissan. \n\nThis year, and in the future, I hope we merit such \n\nsupport from all our shareholders as we create lasting \n\nvalue in a transparent way. \n\nVolume: Nissan will achieve global sales of 4.2 million \n\nunits in fiscal 2008—an increase of 812,000 units over \n\nfiscal 2004. \nROIC: Nissan will achieve a 20 percent or higher \n\nreturn on invested capital on average over the course \n\nof the plan, excluding cash on hand. \n\nTo meet this commitment, over the NISSAN Value-Up \n\nperiod we will launch 28 new products, including 10 models \n\nthat are highly innovative in their concept and benefits. \n\nOur investment in advanced technology continues. \n\nFrom fiscal 2002 to 2005 we have increased spending \n\non research and development by 50 percent. Over the next \n\nthree years we will invest a further 5 percent of net sales \n\nannually, creating new and exciting technologies to benefit \n\nour customers. \n\nDuring NISSAN Value-Up we will pursue several key \n\nbusiness opportunities: \n\n• Our Infiniti luxury brand will extend its reach into new \n\nmarkets such as China and Russia and continue to \n\nestablish its credibility as a Tier-1 luxury player. \n\n• We will develop our Light Commercial Vehicle \n\nbusiness into a fully competitive global operation \n\nthrough new market and product entries. \n\n• We will take a more efficient global sourcing \n\napproach to maximize our opportunities and minimize \n\nour overall costs as we grow. Our engineering, \n\nproduction and purchasing functions will continue \n\ntheir acceleration towards being fully integrated \n\nglobal operations. \n\n• We will continue to invest in new and emerging \n\nmarkets, including China, India and Russia. \n\n\n\nNISSAN Value-Up also delivers increased value for our \n\nshareholders through a clear and well-defined dividend \n\nstrategy. By the end of the plan period, we will pay an \n\nannual dividend of no less than ¥40 per share, a 66 \n\npercent increase over fiscal 2004.", + "page_start": 4, + "page_end": 4, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "Microscope Manual.pdf", + "query": "How can CEDAR Oil be used with the AY11236 microscope?", + "target_page": 10, + "target_passage": "1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil. 2. After finishing the observation, wipe off the cedar oil. 3. Do not use the 40x objective until you have wiped off all of the cedar oil.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**OPERATION (cont.)**\n\n6. Adjust the interpupillary distance by using the eyepiece \n interpupillary slide adjustment. \n7. Observe using the right eyepiece adjusting the coarse and fine \n focus and adjust the diopter ring until image is clear and sharp. \n8. Observe with the left eyepiece and adjust the diopter ring until \n image is clear and sharp. \n9. Rotate the fine focus adjustment when using other objectives. \n NOTE: This instrument is equipped with patent objectives so \n the precision or parfocalization is very high. \n\n**ADJUSTING THE CONDENSER APERTURE**\n\n1. The numerical aperture of the condenser should match the \n numerical aperture of the objective being used. \n2. To make sure that the objectives are imaging properly \n (especially the 40x and 100x), follow this procedure: \n\n1. Take off the eyepiece. \n2. Look through the eyepiece. \n 3. The smallest circle or light that you can see is the \n\n eyepiece's exit pupil. \n4. Adjust the aperture of the iris diaphragm in the \n condenser to 70% or 80% for the best contrast for \n observation (See Fig. 2.). \n\nAdjustable \nRing Tightening \nRing Mark \nSleeve Front \nSleeve \n\nExit Pupil \nof Objective \n\n\n\n\n\n**Fig. 1 - Objective Parts**\n\n10. If the image is in focus with the 10x objective, you can select \n other objectives and observe the specimen even if the fine \n adjustment knob has not been used by using the following \n method (See Fig. 1): \nAperture of \nDiaphragm \n\n1. Unscrew the 40x or 100x objective and remove from \n turret. \n2. Remove the mark sleeve. \n3. Turn the ring on the objective to adjust its parfocal \n distance. \n4. Re-insert the objective and compare with the 10x. \n5. Adjust until the 40x and 100x objectives image is clear. \n\n**Fig. 2 - Condenser Diaphram Aperture**\n\n**TROUBLESHOOTING**\n\n**USING THE CEDAR OIL**\n\n1. Drop some cedar oil on to the top of the 100x objective when the \n 100x objective is being used. NOTE: To maintain a good quality \n image, rotate the turret right and left several times to eliminate \n bubbles in the cedar oil. \n2. After finishing the observation, wipe off the cedar oil. \n3. Do not use the 40x objective until you have wiped off all of the \n cedar oil. \n\n| Problem | Possible Cause | Solution |\n|---|---|---|\n| Problem | Possible Cause | Solution |\n| 1. Image not clear. | 1.Specimen is in incorrect position. 2. Lens is dirty. 3. Cedar oil not placed on immersion objective. 4. Bubbles in Cedar oil. 5. Cedar oil on 40x objective. 6. Iris diaphragm open too wide. | 1. Re-position specimen. 2. Clean lens. 3. Put a drop of Cedar oil on immersion objective. 4. Rotate turret several times to eliminate bubbles. 5. Clean 40x objective. 6. Reduce size of iris diaphragm. |\n| 2. Poor illumination. | 1. Condenser position is incorrect. 2. Lens is dirty. 3. Specimen is not placed level. | 1. Re-position condenser. 2. Clean lens. 3. Re-position specimen so it is level. |\n| 3. Illumination not bright. | 1. Iris diaphragm opening too small. 2. Position of condenser too low. 3. Lens is dirty. | 1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens. |\n| 4. Cannot focus at high magnification. | 1. Specimen is in incorrect position. | 1. Re-position specimen. |\n| 5. Objective lenses touch specimen. | 1. Stage is too high. | 1. Re-position stage. |", + "page_start": 9, + "page_end": 9, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**PARTS LIST**\n\n| Model AY11240 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| Plain Concave Mirror | | 1 |\n| Plastic Dust Cover | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n| Model AY11238 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n**OPERATION**\n\n**Model AY11240** **Model AY11238**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Adjust the stand to an angle that \n provides comfortable observation. \n5. Rotate and adjust concave mirror to \n light the field of view.**NOTE: Do not**\n**reflect the Sun with the mirror.**\n**This can cause serious eye injury**\n**or permanent eye damage.**\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.", + "page_start": 2, + "page_end": 2, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**OPERATION (cont.)** **MODEL AY11236**\n\nInterpupillary Slide Adjustment \n**Model AY11230** **Model AY11234**\n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nRotating Head \n\nRevolving Turret \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nObjectives \n\nStage \n\nCondenser \nFocusing \nKnob \n\nLamp \nOn/Off \nSwitch \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\nStand \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n\n**USING THE VERTICAL TUBE -**\n**MODELS AY11230/11234**\n\n**Model AY11236**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 7, + "page_end": 7, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**USING THE 5-HOLE DIAPHRAGM**\n\n\n\nDiopter \nAdjustment \n\n\n\n**OPERATION (cont.)**\n\n**Model AY11240** **Model AY11238**\n\n7. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter. \n8. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus. 6. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter. \n7. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus. \n\nFocus \nKnob \nEyepiece \nVertical \nPole Eyepiece \n\nDiopter \nAdjustment \n\nPrism \nCap \n\nFocus \nKnob \n\nLens \nHousing \n\nOblique \nIlluminator \nIllumination \nControls \nRotary \nCase \n\n1. To obtain the best contrast for observing, match the hole size to \n the objective that is being used to view the specimen. \n2. Each hole has a corresponding number from 1 to 5. 1 is the \n smallest hole; 5 is the largest hole. \n Use the following guidelines to match the hole number to the \n objective that you have selected: \n 40x objective: Use #5 hole \n 10x objective: Use #4 or #3 hole \n 4x objective: Use #2 or #1 hole \n\nLens \nSpring \nClips \nSpring \nClips \nStage \nStage \n\n**Model AY11232**\n\n**COARSE KNOB ADJUSTMENT - Model AY11240**\n**MICROSCOPE USAGE**\n\n1. The coarse adjustment knob has an adjustable heavy-light nut \n (See Fig.1). \n2. To adjust the knob loosen or tighten the nut. \n NOTE: Adjusting the nut too tight will make focusing difficult. \n Adjusting the nut too loose will cause the tube to slide. \n\nBARSKA Model AY11228 and Model AY11232 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction. \n\n\n\n**CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is \nconstructed with two optical paths at the same angle. It is \nequipped with transmitted illumination and oblique illumination. \nBy using this instrument, the user can observe and enlarge the \nright side stereo image. BARSKA Model AY11232 is a zoom stereo \nmicroscope. The object being viewed is enlarged through two \nidentical sized sets of right and left eye lenses. The zoom provides \ndifferent magnification and features an inversion system which \nallows the image to be viewed normally and right side up. \n\nHeavy-Light \nAdjustment Nut \n\n**Fig. 1- Coarse Adjustment Knob**\n\n**6**", + "page_start": 3, + "page_end": 3, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11230**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11234**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11234 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11230 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11234**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11234 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x- 67.5x | 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x- 112.5x | 8.8x- 56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11230**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 6, + "page_end": 6, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n1. Length of mechanical tube: 160mm \n2. Conjugate distance between object and image: 195mm \n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion) \n4. Illumination: Input 110V or 200V; Output: 20W \n5. Fine adjustment range: .002mm \n6. Coarse Adjustment Range: 20mm \n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm \n8. Condenser Elevation Range: 15mm \n9. Iris diaphragm aperture: 2mm-30mm \n\n**PARTS LIST**\n\n| Name | | Qty |\n|---|---|---|\n| Name | | Qty |\n| Microscope Stand | | 1 |\n| Achromatic Objective | 4x (parfocal distance adjustable) | 1 |\n| | 10x | 1 |\n| | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n\n| Classification | Optical\nSystem | Magnification | Numerical\nAperture | Working\nDistance |\n|---|---|---|---|---|\n| Classification | Optical System | Magnification | Numerical Aperture | Working Distance |\n| Achromatic Objective | Dry | 4x Adjustable Focus | 0.1 | 37.42mm |\n| | Dry | 10x | 0.25 | 7.14mm |\n| | Dry | 40x Spring Adjustable Focus | 0.65 | 0.57mm |\n| | Oil Immer- sion | 100x Spring Adjustable Focus | 1.25 | 0.18mm |\n\n\n**OPERATION**\n\n1. Remove all components from package. Identify all parts before \n assembling instrument. \n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only. \n3. Place the specimen on the stage and secure with spring clips. \n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm. \n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen. \n\n| Classification | Magnification | Field of View (FOV)\nDiameter |\n|---|---|---|\n| Classification | Magnification | Field of View (FOV) Diameter |\n| Plain Field Eyepiece | 10x | 18mm |\n\n\n| Objective Specifications\nClassification Optical Magnification Numerical Working\nSystem Aperture Distance\nDry 4x Adjustable 0.1 37.42mm\nFocus\nDry 10x 0.25 7.14mm\nAchromatic\nObjective Dry 40x Spring 0.65 0.57mm\nAdjustable\nFocus\nOil 100x Spring 1.25 0.18mm\nImmer- Adjustable\nsion Focus\nNote: For oil immersion, please use the index of refraction 1.515 oil\nEyepiece Specifications\nClassification Magnification Field of View (FOV)\nDiameter\nPlain Field 10x 18mm\nEyepiece\nTotal Magnification\nMagnification Eyepiece\n10x\nObjective\n4x 40x\n10x 100x\n40x (s) 400x\n100x (oil,s) 1000x | |\n|---|---|\n| Objective Specifications Classification Optical Magnification Numerical Working System Aperture Distance Dry 4x Adjustable 0.1 37.42mm Focus Dry 10x 0.25 7.14mm Achromatic Objective Dry 40x Spring 0.65 0.57mm Adjustable Focus Oil 100x Spring 1.25 0.18mm Immer- Adjustable sion Focus Note: For oil immersion, please use the index of refraction 1.515 oil Eyepiece Specifications Classification Magnification Field of View (FOV) Diameter Plain Field 10x 18mm Eyepiece Total Magnification Magnification Eyepiece 10x Objective 4x 40x 10x 100x 40x (s) 400x 100x (oil,s) 1000x | |\n| Magnification Eyepiece Objective | 10x |\n| 4x | 40x |\n| 10x | 100x |\n| 40x (s) | 400x |\n| 100x (oil,s) | 1000x |", + "page_start": 8, + "page_end": 8, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11228**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11232**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11232 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11228 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11232**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11232 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x 67.5x | - 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x 112.5 | - 8.8x- x56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11228**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**INDEX**\nMaintenance............................................ 1 \n\nModel AY11240/Model AY11238.................. 2-5 \n\nModel AY11228/Model AY11232.................. 6-9 \n\nModel AY11230/Model AY11234.................. 10-13 \n\nModel AY11236........................................ 14-18 \n\nWarranty Information................................ Back Cover \n\n\n\n\n\n**MODEL AY11240/AY11238**\n\nEyepiece \n\nEyepiece Monocular Tube \n\nEyepiece \nSet Screw \n\nRotating Head \n\nStage Height \nLimit Adjustment \nBarrel \n\nRevolving \nTurret \n\nCoarse \nAdjustment \nKnob \nStand \nRevolving Turret \n\nObjectives \n\nObjectives \nSpring \nClips \nCoarse \nAdjustment \nKnob Fine \nAdjustment \nKnob \nSpring Clips \n\n**IMPORTANT NOTES**\nStage \nStand \n\n5-Hole \nDiaphragm \nand Condenser \nFine \nAdjustment \nKnob \nStage \n\nCongratulations on your purchase of this high quality BARSKA \nmicroscope. With proper care, this microscope will provide many \nyears of use. Please read the following instructions before \noperating this instrument. \n1. Do not attempt to disassemble the instrument. This product has \n been carefully assembled at the factory and should only be \n examined by a factory-trained technician. \n2. This instrument should only be used in an environment with an \n indoor temperature range of 32oF to 104oF. \n3. Do not use this instrument in an environment with a lot of dust. \n**Cover the instrument when not in use.**\n4. Do not subject the instrument to shock. \n\n5-Hole \nDiaphragm \nand Condenser \nConcave \nMirror \nPower \nCord Lamp \n\nLamp \nOn/Off \nSwitch \n\n**Model AY11240** **Model AY11238**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction. \n\n**MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read \nthe following guidelines: \n1. Keep the instrument in a dry and moisture-free location. \n2. Do not expose to acid, alkali fumes or moisture. \n3. Keep optical parts clean and free of dust. To clean optical parts \n gently wipe with lens cleaning tissue and a mixture of alcohol \n and diethyl ether. Depending on weather conditions, the \n following are the recommended mixture ratios: \n Wet weather: 1:2 \n Dry Weather: 1:1 \n4. After use, cover the instrument with the plastic dust cover. \n5. If instrument is to be stored for an extended period of time, \n remove the eyepiece and oculars and store in a moisture-proof \n container. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable \nobservation, the arm can be easily tilted at any angle from 90o \nvertical to 45o level. It is also equipped with a coarse adjustment \nand fine adjustment as well as a space limiter to protect the \nobjective from contacting and damaging the specimen. BARSKA \nModel AY11238 features a monocular tube that is slanted at a 45o \nangle. The head rotates 360o. The Eyepiece Set Screw prevents \nthe eyepiece from falling out of the tube.", + "page_start": 1, + "page_end": 1, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**OPERATION (cont.)** **MODEL AY11230/AY11234**\n\n**Model AY11228** **Model AY11232**\nVertical \nTube Vertical \nTube \nDiopter \nAdjustment \n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nDiopter \nAdjustment Eyepiece \nEyepiece \n\nPrism \nCap \n\nPrism \nCap \nFocus \nKnob \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nMagnification \nAdjustment \nKnob \n\nRotary \nCase \nFocus \nKnob \nLens \nHousing \n\nOblique \nIlluminator \nLens \n\nTightening \nKnob Oblique \nIlluminator \nSpring \nClips \n\nSpring \nClips \nStage \nIllumination \nControls \nStage \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\n\n**Model AY11234**\n\nIllumination \nControls \n**Model AY11230**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction. \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 5, + "page_end": 5, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample. \n\n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + } + ] + }, + { + "references": { + "source_file": "Microscope Manual.pdf", + "query": "For the AY11230 microscope, what is the interpupillary adjustment?", + "target_page": 7, + "target_passage": "Model AY11230 1. Interpupillary Adjustment: 55mm - 75mm", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "**OPERATION (cont.)** **MODEL AY11236**\n\nInterpupillary Slide Adjustment \n**Model AY11230** **Model AY11234**\n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nRotating Head \n\nRevolving Turret \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nObjectives \n\nStage \n\nCondenser \nFocusing \nKnob \n\nLamp \nOn/Off \nSwitch \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\nStand \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n\n**USING THE VERTICAL TUBE -**\n**MODELS AY11230/11234**\n\n**Model AY11236**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 7, + "page_end": 7, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11230**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11234**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11234 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11230 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11234**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11234 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x- 67.5x | 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x- 112.5x | 8.8x- 56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11230**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 6, + "page_end": 6, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11228**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11232**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11232 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11228 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11232**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11232 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x 67.5x | - 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x 112.5 | - 8.8x- x56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11228**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**OPERATION (cont.)** **MODEL AY11230/AY11234**\n\n**Model AY11228** **Model AY11232**\nVertical \nTube Vertical \nTube \nDiopter \nAdjustment \n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nDiopter \nAdjustment Eyepiece \nEyepiece \n\nPrism \nCap \n\nPrism \nCap \nFocus \nKnob \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nMagnification \nAdjustment \nKnob \n\nRotary \nCase \nFocus \nKnob \nLens \nHousing \n\nOblique \nIlluminator \nLens \n\nTightening \nKnob Oblique \nIlluminator \nSpring \nClips \n\nSpring \nClips \nStage \nIllumination \nControls \nStage \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\n\n**Model AY11234**\n\nIllumination \nControls \n**Model AY11230**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction. \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 5, + "page_end": 5, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample. \n\n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece.", + "page_start": 6, + "page_end": 6, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample. \n\n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**OPERATION (cont.)**\n\n6. Adjust the interpupillary distance by using the eyepiece \n interpupillary slide adjustment. \n7. Observe using the right eyepiece adjusting the coarse and fine \n focus and adjust the diopter ring until image is clear and sharp. \n8. Observe with the left eyepiece and adjust the diopter ring until \n image is clear and sharp. \n9. Rotate the fine focus adjustment when using other objectives. \n NOTE: This instrument is equipped with patent objectives so \n the precision or parfocalization is very high. \n\n**ADJUSTING THE CONDENSER APERTURE**\n\n1. The numerical aperture of the condenser should match the \n numerical aperture of the objective being used. \n2. To make sure that the objectives are imaging properly \n (especially the 40x and 100x), follow this procedure: \n\n1. Take off the eyepiece. \n2. Look through the eyepiece. \n 3. The smallest circle or light that you can see is the \n\n eyepiece's exit pupil. \n4. Adjust the aperture of the iris diaphragm in the \n condenser to 70% or 80% for the best contrast for \n observation (See Fig. 2.). \n\nAdjustable \nRing Tightening \nRing Mark \nSleeve Front \nSleeve \n\nExit Pupil \nof Objective \n\n\n\n\n\n**Fig. 1 - Objective Parts**\n\n10. If the image is in focus with the 10x objective, you can select \n other objectives and observe the specimen even if the fine \n adjustment knob has not been used by using the following \n method (See Fig. 1): \nAperture of \nDiaphragm \n\n1. Unscrew the 40x or 100x objective and remove from \n turret. \n2. Remove the mark sleeve. \n3. Turn the ring on the objective to adjust its parfocal \n distance. \n4. Re-insert the objective and compare with the 10x. \n5. Adjust until the 40x and 100x objectives image is clear. \n\n**Fig. 2 - Condenser Diaphram Aperture**\n\n**TROUBLESHOOTING**\n\n**USING THE CEDAR OIL**\n\n1. Drop some cedar oil on to the top of the 100x objective when the \n 100x objective is being used. NOTE: To maintain a good quality \n image, rotate the turret right and left several times to eliminate \n bubbles in the cedar oil. \n2. After finishing the observation, wipe off the cedar oil. \n3. Do not use the 40x objective until you have wiped off all of the \n cedar oil. \n\n| Problem | Possible Cause | Solution |\n|---|---|---|\n| Problem | Possible Cause | Solution |\n| 1. Image not clear. | 1.Specimen is in incorrect position. 2. Lens is dirty. 3. Cedar oil not placed on immersion objective. 4. Bubbles in Cedar oil. 5. Cedar oil on 40x objective. 6. Iris diaphragm open too wide. | 1. Re-position specimen. 2. Clean lens. 3. Put a drop of Cedar oil on immersion objective. 4. Rotate turret several times to eliminate bubbles. 5. Clean 40x objective. 6. Reduce size of iris diaphragm. |\n| 2. Poor illumination. | 1. Condenser position is incorrect. 2. Lens is dirty. 3. Specimen is not placed level. | 1. Re-position condenser. 2. Clean lens. 3. Re-position specimen so it is level. |\n| 3. Illumination not bright. | 1. Iris diaphragm opening too small. 2. Position of condenser too low. 3. Lens is dirty. | 1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens. |\n| 4. Cannot focus at high magnification. | 1. Specimen is in incorrect position. | 1. Re-position specimen. |\n| 5. Objective lenses touch specimen. | 1. Stage is too high. | 1. Re-position stage. |", + "page_start": 9, + "page_end": 9, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**USING THE 5-HOLE DIAPHRAGM**\n\n\n\nDiopter \nAdjustment \n\n\n\n**OPERATION (cont.)**\n\n**Model AY11240** **Model AY11238**\n\n7. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter. \n8. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus. 6. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter. \n7. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus. \n\nFocus \nKnob \nEyepiece \nVertical \nPole Eyepiece \n\nDiopter \nAdjustment \n\nPrism \nCap \n\nFocus \nKnob \n\nLens \nHousing \n\nOblique \nIlluminator \nIllumination \nControls \nRotary \nCase \n\n1. To obtain the best contrast for observing, match the hole size to \n the objective that is being used to view the specimen. \n2. Each hole has a corresponding number from 1 to 5. 1 is the \n smallest hole; 5 is the largest hole. \n Use the following guidelines to match the hole number to the \n objective that you have selected: \n 40x objective: Use #5 hole \n 10x objective: Use #4 or #3 hole \n 4x objective: Use #2 or #1 hole \n\nLens \nSpring \nClips \nSpring \nClips \nStage \nStage \n\n**Model AY11232**\n\n**COARSE KNOB ADJUSTMENT - Model AY11240**\n**MICROSCOPE USAGE**\n\n1. The coarse adjustment knob has an adjustable heavy-light nut \n (See Fig.1). \n2. To adjust the knob loosen or tighten the nut. \n NOTE: Adjusting the nut too tight will make focusing difficult. \n Adjusting the nut too loose will cause the tube to slide. \n\nBARSKA Model AY11228 and Model AY11232 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction. \n\n\n\n**CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is \nconstructed with two optical paths at the same angle. It is \nequipped with transmitted illumination and oblique illumination. \nBy using this instrument, the user can observe and enlarge the \nright side stereo image. BARSKA Model AY11232 is a zoom stereo \nmicroscope. The object being viewed is enlarged through two \nidentical sized sets of right and left eye lenses. The zoom provides \ndifferent magnification and features an inversion system which \nallows the image to be viewed normally and right side up. \n\nHeavy-Light \nAdjustment Nut \n\n**Fig. 1- Coarse Adjustment Knob**\n\n**6**", + "page_start": 3, + "page_end": 3, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n1. Length of mechanical tube: 160mm \n2. Conjugate distance between object and image: 195mm \n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion) \n4. Illumination: Input 110V or 200V; Output: 20W \n5. Fine adjustment range: .002mm \n6. Coarse Adjustment Range: 20mm \n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm \n8. Condenser Elevation Range: 15mm \n9. Iris diaphragm aperture: 2mm-30mm \n\n**PARTS LIST**\n\n| Name | | Qty |\n|---|---|---|\n| Name | | Qty |\n| Microscope Stand | | 1 |\n| Achromatic Objective | 4x (parfocal distance adjustable) | 1 |\n| | 10x | 1 |\n| | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n\n| Classification | Optical\nSystem | Magnification | Numerical\nAperture | Working\nDistance |\n|---|---|---|---|---|\n| Classification | Optical System | Magnification | Numerical Aperture | Working Distance |\n| Achromatic Objective | Dry | 4x Adjustable Focus | 0.1 | 37.42mm |\n| | Dry | 10x | 0.25 | 7.14mm |\n| | Dry | 40x Spring Adjustable Focus | 0.65 | 0.57mm |\n| | Oil Immer- sion | 100x Spring Adjustable Focus | 1.25 | 0.18mm |\n\n\n**OPERATION**\n\n1. Remove all components from package. Identify all parts before \n assembling instrument. \n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only. \n3. Place the specimen on the stage and secure with spring clips. \n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm. \n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen. \n\n| Classification | Magnification | Field of View (FOV)\nDiameter |\n|---|---|---|\n| Classification | Magnification | Field of View (FOV) Diameter |\n| Plain Field Eyepiece | 10x | 18mm |\n\n\n| Objective Specifications\nClassification Optical Magnification Numerical Working\nSystem Aperture Distance\nDry 4x Adjustable 0.1 37.42mm\nFocus\nDry 10x 0.25 7.14mm\nAchromatic\nObjective Dry 40x Spring 0.65 0.57mm\nAdjustable\nFocus\nOil 100x Spring 1.25 0.18mm\nImmer- Adjustable\nsion Focus\nNote: For oil immersion, please use the index of refraction 1.515 oil\nEyepiece Specifications\nClassification Magnification Field of View (FOV)\nDiameter\nPlain Field 10x 18mm\nEyepiece\nTotal Magnification\nMagnification Eyepiece\n10x\nObjective\n4x 40x\n10x 100x\n40x (s) 400x\n100x (oil,s) 1000x | |\n|---|---|\n| Objective Specifications Classification Optical Magnification Numerical Working System Aperture Distance Dry 4x Adjustable 0.1 37.42mm Focus Dry 10x 0.25 7.14mm Achromatic Objective Dry 40x Spring 0.65 0.57mm Adjustable Focus Oil 100x Spring 1.25 0.18mm Immer- Adjustable sion Focus Note: For oil immersion, please use the index of refraction 1.515 oil Eyepiece Specifications Classification Magnification Field of View (FOV) Diameter Plain Field 10x 18mm Eyepiece Total Magnification Magnification Eyepiece 10x Objective 4x 40x 10x 100x 40x (s) 400x 100x (oil,s) 1000x | |\n| Magnification Eyepiece Objective | 10x |\n| 4x | 40x |\n| 10x | 100x |\n| 40x (s) | 400x |\n| 100x (oil,s) | 1000x |", + "page_start": 8, + "page_end": 8, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**PARTS LIST**\n\n| Model AY11240 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| Plain Concave Mirror | | 1 |\n| Plastic Dust Cover | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n| Model AY11238 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n**OPERATION**\n\n**Model AY11240** **Model AY11238**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Adjust the stand to an angle that \n provides comfortable observation. \n5. Rotate and adjust concave mirror to \n light the field of view.**NOTE: Do not**\n**reflect the Sun with the mirror.**\n**This can cause serious eye injury**\n**or permanent eye damage.**\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.", + "page_start": 2, + "page_end": 2, + "source_file": "Microscope Manual.pdf" + } + ] + }, + { + "references": { + "source_file": "Microscope Manual.pdf", + "query": "The illumination of my AY11236 microscope is not very strong, what can I do to solve this?", + "target_page": 10, + "target_passage": "1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample. \n\n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece.", + "page_start": 6, + "page_end": 6, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample. \n\n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted. \n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11230**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11234**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11234 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11230 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11234**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11230 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11234 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x- 67.5x | 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x- 112.5x | 8.8x- 56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11230**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 6, + "page_end": 6, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n\n\n\n**Model AY11228**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: 60mm \n4. Elevator Adjustment Range: 110mm \n5. Right Diopter Adjustment Range: +4 to -6 dopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique illumination: 12V 10W Halogen Lamp \n\n**Model AY11232**\n1. Interpupillary Adjustment: 55mm - 75mm \n2. Working Stage Diameter: 95mm \n3. Focus Knob Adjustment Range: >50mm \n4. Elevator Adjustment Range: 110mm \n5. Diopter Adjustment Range: +/- 5 diopters \n6. Illumination: \n Input Voltage: 110V AC or 220V \n Output: Oblique Illumination: 12V 10W Halogen Lamp \n Transmitted Illumination: 12V 10W Halogen Lamp \n\n\n\n| Model AY11232 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**PARTS LIST**\n\n| Model AY11228 | |\n|---|---|\n| Name | Qty |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n\n**OPERATION**\n\n**Model AY11232**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement. \n\n**SELECTING THE ILLUMINATION**\n\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|\n| Optical Specifications - Model AY11228 | | | | | | | | | |\n| Total Magnification | | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | | | Working Distance | | | |\n| 20x, 40x | | 2x, 4x | Wide Field 10x, 20mm | | | 90mm | | | |\n| Optical Specifications - Model AY11232 | | | | | | | | | |\n| Objective Zoom Scale | | | | | | | | | |\n| Accessory Large Objective | | | | - | 0.5x | | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | | | 95 | 156 | | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | | | 7x- 45x | 3.5x- 22.5x | | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| | Field of View Objective Dia. (mm) | | | 28.6- 4.4 | 57.2- 8.8 | | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | | | 8.8x- 56x | 4.4x- 28x | | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| | Field of View Objective Dia. (mm) | | | 25.7- 4.0 | 51.4- 8 | | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | | | 10.5x 67.5x | - 5.3x- 33.8x | | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| | Field of View Objective Dia. (mm) | | | 22.9- 3.6 | 45.8- 7.2 | | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | | | 14x- 90x | 7x- 45x | | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| | Field of View Objective Dia. (mm) | | | 17.0- 2.7 | 34.0- 5.4 | | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | | | 17.5x 112.5 | - 8.8x- x56.3x | | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| | Field of View Objective Dia. (mm) | | | 12.9- 2.0 | 25.8- 4.0 | | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n**SELECTING THE ILLUMINATION**\n\n**Model AY11228**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down. \n3. Fix the binocular body on the stand \n with the tightening screw. \n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.", + "page_start": 4, + "page_end": 4, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**PARTS LIST**\n\n| Model AY11240 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| Plain Concave Mirror | | 1 |\n| Plastic Dust Cover | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n| Model AY11238 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n**OPERATION**\n\n**Model AY11240** **Model AY11238**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Adjust the stand to an angle that \n provides comfortable observation. \n5. Rotate and adjust concave mirror to \n light the field of view.**NOTE: Do not**\n**reflect the Sun with the mirror.**\n**This can cause serious eye injury**\n**or permanent eye damage.**\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.", + "page_start": 2, + "page_end": 2, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**INDEX**\nMaintenance............................................ 1 \n\nModel AY11240/Model AY11238.................. 2-5 \n\nModel AY11228/Model AY11232.................. 6-9 \n\nModel AY11230/Model AY11234.................. 10-13 \n\nModel AY11236........................................ 14-18 \n\nWarranty Information................................ Back Cover \n\n\n\n\n\n**MODEL AY11240/AY11238**\n\nEyepiece \n\nEyepiece Monocular Tube \n\nEyepiece \nSet Screw \n\nRotating Head \n\nStage Height \nLimit Adjustment \nBarrel \n\nRevolving \nTurret \n\nCoarse \nAdjustment \nKnob \nStand \nRevolving Turret \n\nObjectives \n\nObjectives \nSpring \nClips \nCoarse \nAdjustment \nKnob Fine \nAdjustment \nKnob \nSpring Clips \n\n**IMPORTANT NOTES**\nStage \nStand \n\n5-Hole \nDiaphragm \nand Condenser \nFine \nAdjustment \nKnob \nStage \n\nCongratulations on your purchase of this high quality BARSKA \nmicroscope. With proper care, this microscope will provide many \nyears of use. Please read the following instructions before \noperating this instrument. \n1. Do not attempt to disassemble the instrument. This product has \n been carefully assembled at the factory and should only be \n examined by a factory-trained technician. \n2. This instrument should only be used in an environment with an \n indoor temperature range of 32oF to 104oF. \n3. Do not use this instrument in an environment with a lot of dust. \n**Cover the instrument when not in use.**\n4. Do not subject the instrument to shock. \n\n5-Hole \nDiaphragm \nand Condenser \nConcave \nMirror \nPower \nCord Lamp \n\nLamp \nOn/Off \nSwitch \n\n**Model AY11240** **Model AY11238**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction. \n\n**MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read \nthe following guidelines: \n1. Keep the instrument in a dry and moisture-free location. \n2. Do not expose to acid, alkali fumes or moisture. \n3. Keep optical parts clean and free of dust. To clean optical parts \n gently wipe with lens cleaning tissue and a mixture of alcohol \n and diethyl ether. Depending on weather conditions, the \n following are the recommended mixture ratios: \n Wet weather: 1:2 \n Dry Weather: 1:1 \n4. After use, cover the instrument with the plastic dust cover. \n5. If instrument is to be stored for an extended period of time, \n remove the eyepiece and oculars and store in a moisture-proof \n container. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable \nobservation, the arm can be easily tilted at any angle from 90o \nvertical to 45o level. It is also equipped with a coarse adjustment \nand fine adjustment as well as a space limiter to protect the \nobjective from contacting and damaging the specimen. BARSKA \nModel AY11238 features a monocular tube that is slanted at a 45o \nangle. The head rotates 360o. The Eyepiece Set Screw prevents \nthe eyepiece from falling out of the tube.", + "page_start": 1, + "page_end": 1, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**OPERATION (cont.)** **MODEL AY11236**\n\nInterpupillary Slide Adjustment \n**Model AY11230** **Model AY11234**\n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nRotating Head \n\nRevolving Turret \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nObjectives \n\nStage \n\nCondenser \nFocusing \nKnob \n\nLamp \nOn/Off \nSwitch \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\nStand \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n\n**USING THE VERTICAL TUBE -**\n**MODELS AY11230/11234**\n\n**Model AY11236**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 7, + "page_end": 7, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "| 0.2\n0.1\n0.0\n-0.1\n-0.2\nasymmetry\n0.004\n0.000\nXMCD\n-0.004\n0.004\n0.000\n-0.004 | (a) Fe TEY |\n|---|---|\n| 0.2 0.1 0.0 -0.1 -0.2 asymmetry 0.004 0.000 XMCD -0.004 0.004 0.000 -0.004 | (a) Fe TEY |\n| | (b) Mn TEY |\n| | (c) Mn FY |\n\n\n-250 0 250 500 750 1000 \n\nField (Oe) \n\nFIG. 2. (color online) XMCD asymmetry versus applied field \nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As \n(a) Fe L3, total electron yield; (b) Mn L3, \n(10 nm) film. \ntotal electron yield; (c) Mn L3, fluorescent yield. Black and \nred points are data for increasing and decreasing fields respec- \ntively; lines are to guide the eye.", + "page_start": 4, + "page_end": 4, + "source_file": "1001.2449.pdf" + }, + { + "text": "**OPERATION (cont.)** **MODEL AY11230/AY11234**\n\n**Model AY11228** **Model AY11232**\nVertical \nTube Vertical \nTube \nDiopter \nAdjustment \n\n**SELECTING OBJECTIVE**\n**MAGNIFICATION**\n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view. \n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed. \n\n**FOCUSING**\n1. Turn the focusing knob away or toward \n you until a clear image is viewed. \n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again. \n\nDiopter \nAdjustment Eyepiece \nEyepiece \n\nPrism \nCap \n\nPrism \nCap \nFocus \nKnob \n\n**ZOOM MAGNIFICATION**\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view. \n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary. \n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment. \n\nMagnification \nAdjustment \nKnob \n\nRotary \nCase \nFocus \nKnob \nLens \nHousing \n\nOblique \nIlluminator \nLens \n\nTightening \nKnob Oblique \nIlluminator \nSpring \nClips \n\nSpring \nClips \nStage \nIllumination \nControls \nStage \n\n**CHANGING THE INTERPUPILLARY**\n**DISTANCE**\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n\n\n\n\n**Model AY11234**\n\nIllumination \nControls \n**Model AY11230**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction. \n\n**FOCUSING**\n1. Remove the lens protective cover. \n2. Place the specimen on the working \n stage. \n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp. \n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear. \n\n**DIOPTER RING ADJUSTMENT**\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps: \n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob. \n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus. \n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring. \n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting. \n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator. \n\n**CONSTRUCTION**\n\n**CHANGING THE BULB**\n1. Disconnect the power cord from the \n electrical outlet. \n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap. \n3. Replace with a new halogen bulb. \n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.", + "page_start": 5, + "page_end": 5, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "**SPECIFICATIONS**\n1. Length of mechanical tube: 160mm \n2. Conjugate distance between object and image: 195mm \n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion) \n4. Illumination: Input 110V or 200V; Output: 20W \n5. Fine adjustment range: .002mm \n6. Coarse Adjustment Range: 20mm \n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm \n8. Condenser Elevation Range: 15mm \n9. Iris diaphragm aperture: 2mm-30mm \n\n**PARTS LIST**\n\n| Name | | Qty |\n|---|---|---|\n| Name | | Qty |\n| Microscope Stand | | 1 |\n| Achromatic Objective | 4x (parfocal distance adjustable) | 1 |\n| | 10x | 1 |\n| | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n\n| Classification | Optical\nSystem | Magnification | Numerical\nAperture | Working\nDistance |\n|---|---|---|---|---|\n| Classification | Optical System | Magnification | Numerical Aperture | Working Distance |\n| Achromatic Objective | Dry | 4x Adjustable Focus | 0.1 | 37.42mm |\n| | Dry | 10x | 0.25 | 7.14mm |\n| | Dry | 40x Spring Adjustable Focus | 0.65 | 0.57mm |\n| | Oil Immer- sion | 100x Spring Adjustable Focus | 1.25 | 0.18mm |\n\n\n**OPERATION**\n\n1. Remove all components from package. Identify all parts before \n assembling instrument. \n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only. \n3. Place the specimen on the stage and secure with spring clips. \n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm. \n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen. \n\n| Classification | Magnification | Field of View (FOV)\nDiameter |\n|---|---|---|\n| Classification | Magnification | Field of View (FOV) Diameter |\n| Plain Field Eyepiece | 10x | 18mm |\n\n\n| Objective Specifications\nClassification Optical Magnification Numerical Working\nSystem Aperture Distance\nDry 4x Adjustable 0.1 37.42mm\nFocus\nDry 10x 0.25 7.14mm\nAchromatic\nObjective Dry 40x Spring 0.65 0.57mm\nAdjustable\nFocus\nOil 100x Spring 1.25 0.18mm\nImmer- Adjustable\nsion Focus\nNote: For oil immersion, please use the index of refraction 1.515 oil\nEyepiece Specifications\nClassification Magnification Field of View (FOV)\nDiameter\nPlain Field 10x 18mm\nEyepiece\nTotal Magnification\nMagnification Eyepiece\n10x\nObjective\n4x 40x\n10x 100x\n40x (s) 400x\n100x (oil,s) 1000x | |\n|---|---|\n| Objective Specifications Classification Optical Magnification Numerical Working System Aperture Distance Dry 4x Adjustable 0.1 37.42mm Focus Dry 10x 0.25 7.14mm Achromatic Objective Dry 40x Spring 0.65 0.57mm Adjustable Focus Oil 100x Spring 1.25 0.18mm Immer- Adjustable sion Focus Note: For oil immersion, please use the index of refraction 1.515 oil Eyepiece Specifications Classification Magnification Field of View (FOV) Diameter Plain Field 10x 18mm Eyepiece Total Magnification Magnification Eyepiece 10x Objective 4x 40x 10x 100x 40x (s) 400x 100x (oil,s) 1000x | |\n| Magnification Eyepiece Objective | 10x |\n| 4x | 40x |\n| 10x | 100x |\n| 40x (s) | 400x |\n| 100x (oil,s) | 1000x |", + "page_start": 8, + "page_end": 8, + "source_file": "Microscope Manual.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia3.pdf", + "query": "What event marks the beginning of the field of artificial intelligence?", + "target_page": 22, + "target_passage": "The field of AI research was founded at a workshop at Dartmouth College in 1956.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the \nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314] \n28 countries including the United States, China, and the European Union issued a declaration at the start \nof the summit, calling for international co-operation to manage the challenges and risks of artificial \nintelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety \ncommitments on the development of AI.[317][318] \n\n**History**\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. \nThe study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, \nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical \nreasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and \nneurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They \ndeveloped several areas of research that would become part of AI,[322] such as McCullouch and Pitts \ndesign for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery \nand Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was \nplausible.[323][320] \n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees \nbecame the leaders of AI research in the 1960s.[t] They and their students produced programs that the \npress described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems \nin algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were \nset up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320] \n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in \ncreating a machine with general intelligence and considered this the goal of their field.[327] In 1965 \nHerbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can \ndo\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating \n'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty \nof the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in \nresponse to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund \nmore productive projects.[332] Minsky's and Papert's book*Perceptrons*was understood as proving that \nartificial neural networks would never be useful for solving real-world tasks, thus discrediting the \napproach altogether.[333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, \nfollowed.[9] \n\nIn the early 1980s, AI research was revived by the commercial success of expert systems,[334] a form of \nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for \nAI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired \nthe U.S. and British governments to restore funding for academic research.[8] However, beginning with \nthe collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer- \nlasting winter began.[10]", + "page_start": 21, + "page_end": 21, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Artificial intelligence**\n\n**Artificial intelligence**(**AI**), in its broadest sense, is intelligence exhibited by machines, particularly \ncomputer systems. It is a field of research in computer science that develops and studies methods and \nsoftware that enable machines to perceive their environment and use learning and intelligence to take \nactions that maximize their chances of achieving defined goals.[1] Such machines may be called AIs. \n\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search); \nrecommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google \nAssistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g., \nChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However, \nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general \napplications, often without being called AI because once something becomes useful enough and common \nenough it's not labeled AI anymore.\"[2][3] \n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The \ntraditional goals of AI research include reasoning, knowledge representation, planning, learning, natural \nlanguage processing, perception, and support for robotics.[a] General intelligence—the ability to complete \nany task performed by a human on an at least equal level—is among the field's long-term goals.[4] To \nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including \nsearch and mathematical optimization, formal logic, artificial neural networks, and methods based on \nstatistics, operations research, and economics.[b] AI also draws upon psychology, linguistics, philosophy, \nneuroscience, and other fields.[5] \n\nArtificial intelligence was founded as an academic discipline in 1956,[6] and the field went through \nmultiple cycles of optimism throughout its history,[7][8] followed by periods of disappointment and loss of \nfunding, known as AI winters.[9][10] Funding and interest vastly increased after 2012 when deep learning \noutperformed previous AI techniques.[11] This growth accelerated further after 2017 with the transformer \narchitecture,[12] and by the early 2020s many billions of dollars were being invested in AI and the field \nexperienced rapid ongoing progress in what has become known as the AI boom. The emergence of \nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed \nseveral unintended consequences and harms in the present and raised concerns about the risks of AI and \nits long-term effects in the future, prompting discussions about regulatory policies to ensure the safety \nand benefits of the technology.", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr \nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC \nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006) \n\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the \n\nland? On the interpretations, illustrations, and implications of artificial intelligence\".*Business*\n*Horizons*.**62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. \n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). \nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736). \n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) \n\nProposal for the modern version: Pennachin & Goertzel (2007) \nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy \n(2007), Beal & Winston (2009) \n5. Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Harari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v= \nLWiM-LuRe6w).*YouTube*. Archived (https://web.archive.org/web/20240930110823/https://w \nww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024. \nRetrieved 5 October 2024. \n\nHaugeland, John (1985).*Artificial Intelligence: The Very Idea*. Cambridge, Mass.: MIT Press. \n\nISBN 978-0-2620-8153-5.", + "page_start": 56, + "page_end": 56, + "source_file": "wikipedia3.pdf" + }, + { + "text": "McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for \n\nthe Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w \neb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). \nArchived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. \nhtml) on 26 August 2007. Retrieved 30 August 2007. \n\nMcCarthy, John (2007), \"From Here to Human-Level AI\",*Artificial Intelligence*, p. 171 \nMcCarthy, John (1999),*What is AI?*(http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde \nx.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi \ncial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved \n4 December 2022 \n\nMcCauley, Lee (2007). \"AI armageddon and the three laws of robotics\".*Ethics and Information*\n*Technology*.**9**(2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo \nc/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% \n2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729 \n49). \n\nMcGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge \n\ndiscovery\".*The Knowledge Engineering Review*.**20**(1): 39–61. \ndoi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408). \nS2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656). \n\nMcGaughey, E (2022),*Will Robots Automate Your Job Away? Full Employment, Basic Income,*\n*and Economic Democracy*(https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \np. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 \n9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 \n39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \narchived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper \ns.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023 \nMerkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, \nGraham (eds.).*Search Methodologies: Introductory Tutorials in Optimization and Decision*\n*Support Techniques*. Springer Science & Business Media. ISBN 978-1-4614-6940-7. \nMinsky, Marvin (1967),*Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: \n\nPrentice-Hall \n\nMoravec, Hans (1988).*Mind Children*(https://archive.org/details/mindchildrenfutu00mora). \n\nHarvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 \n0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 \nJuly 2020. Retrieved 18 November 2019. \n\nMorgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new \ns/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a \nnd-anxiety).*The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// \nwww.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une \nmployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved \n13 January 2018. \n\nMüller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among \nExperts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF).*AI Matters*.**1**(1): 9–11. \ndoi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). \nS2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. \narchive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) \nfrom the original on 15 January 2016.", + "page_start": 60, + "page_end": 60, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Edward Fredkin argues that \"artificial intelligence is the next step in evolution\", an idea first proposed by \nSamuel Butler's \"Darwin among the Machines\" as far back as 1863, and expanded upon by George \nDyson in his 1998 book*Darwin Among the Machines: The Evolution of Global Intelligence*.[398] \n\n\n\n**In fiction**\n\nThought-capable artificial beings have appeared as \nstorytelling devices since antiquity,[399] and have been a \npersistent theme in science fiction.[400] \n\nA common trope in these works began with Mary Shelley's \n*Frankenstein*, where a human creation becomes a threat to \nits masters. This includes such works as Arthur C. Clarke's \nand Stanley Kubrick's*2001: A Space Odyssey*(both 1968), \nwith HAL 9000, the murderous computer in charge of the \n*Discovery One*spaceship, as well as*The Terminator*(1984) \nand*The Matrix*(1999). In contrast, the rare loyal robots \nsuch as Gort from*The Day the Earth Stood Still*(1951) and \nBishop from*Aliens*(1986) are less prominent in popular culture.[401] \n\nThe word \"robot\" itself was coined by Karel \nČapek in his 1921 play*R.U.R.*, the title \nstanding for \"Rossum's Universal Robots\". \n\nIsaac Asimov introduced the Three Laws of Robotics in many stories, most notably with the \"Multivac\" \nsuper-intelligent computer. Asimov's laws are often brought up during lay discussions of machine \nethics;[402] while almost all artificial intelligence researchers are familiar with Asimov's laws through \npopular culture, they generally consider the laws useless for many reasons, one of which is their \nambiguity.[403] \n\nSeveral works use AI to force us to confront the fundamental question of what makes us human, showing \nus artificial beings that have the ability to feel, and thus to suffer. This appears in Karel Čapek's*R.U.R.*, \nthe films*A.I. Artificial Intelligence*and*Ex Machina*, as well as the novel*Do Androids Dream of Electric*\n*Sheep?*, by Philip K. Dick. Dick considers the idea that our understanding of human subjectivity is altered \nby technology created with artificial intelligence.[404] \n\n**See also**\n\nArtificial intelligence and elections – Use and impact of AI on political elections \nArtificial intelligence content detection – Software to detect AI-generated content \nBehavior selection algorithm – Algorithm that selects actions for intelligent agents \nBusiness process automation – Automation of business processes \nCase-based reasoning – Process of solving new problems based on the solutions of similar \npast problems \nComputational intelligence – Ability of a computer to learn a specific task from data or \nexperimental observation \nDigital immortality – Hypothetical concept of storing a personality in digital form \nEmergent algorithm – Algorithm exhibiting emergent behavior \nFemale gendering of AI technologies – Gender biases in digital technology", + "page_start": 27, + "page_end": 27, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent \nmental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt \nthat this approach would be able to imitate all the processes of human cognition, especially perception, \nrobotics, learning and pattern recognition,[335] and began to look into \"sub-symbolic\" approaches.[336] \nRodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that \nmove and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete \nand uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most \nimportant development was the revival of \"connectionism\", including neural network research, by \nGeoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural \nnetworks can recognize handwritten digits, the first of many successful applications of neural \nnetworks.[343] \n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal \nmathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" \nfocus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, \neconomics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely \nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as \nthe AI effect).[345] However, several academic researchers became concerned that AI was no longer \npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they \nfounded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded \ninstitutions by the 2010s.[4] \n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11] \nFor many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both \nhardware improvements (faster computers,[347] graphics processing units, cloud computing[348]) and \naccess to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's \nsuccess led to an enormous increase in interest and funding in AI.[z] The amount of machine learning \nresearch (measured by total publications) increased by 50% in the years 2015–2019.[306] \n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine \nlearning conferences, publications vastly increased, funding became available, and many researchers re- \nfocussed their careers on these issues. The alignment problem became a serious field of academic \nstudy.[283] \n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous \ninterest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program \ntaught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was \nreleased in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT, \nlaunched on November 30, 2022, became the fastest-growing consumer software application in history, \ngaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout \nyear, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI \nboom, where large companies began investing billions of dollars in AI research. According to AI Impacts, \nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", + "page_start": 22, + "page_end": 22, + "source_file": "wikipedia3.pdf" + }, + { + "text": "U.S. Computer Science PhD graduates have specialized in \"AI\".[353] About 800,000 \"AI\"-related U.S. job \nopenings existed in 2022.[354] According to PitchBook research, 22% of newly funded startups in 2024 \nclaimed to be AI companies.[355] \n\n**Philosophy**\n\nPhilosophical debates have historically sought to determine the nature of intelligence and how to make \nintelligent machines.[356] Another major focus has been whether machines can be conscious, and the \nassociated ethical implications.[357] Many other topics in philosophy are relevant to AI, such as \nepistemology and free will.[358] Rapid advancements have intensified public discussions on the \nphilosophy and ethics of AI.[357] \n\n**Defining artificial intelligence**\nAlan Turing wrote in 1950 \"I propose to consider the question 'can machines think'?\"[359] He advised \nchanging the question from whether a machine \"thinks\", to \"whether or not it is possible for machinery to \nshow intelligent behaviour\".[359] He devised the Turing test, which measures the ability of a machine to \nsimulate human conversation.[323] Since we can only observe the behavior of the machine, it does not \nmatter if it is \"actually\" thinking or literally has a \"mind\". Turing notes that we can not determine these \nthings about other people but \"it is usual to have a polite convention that everyone thinks.\"[360] \n\nRussell and Norvig agree with Turing that intelligence must be \ndefined in terms of external behavior, not internal structure.[1] \nHowever, they are critical that the test requires the machine to \nimitate humans. \"Aeronautical engineering texts\", they wrote, \"do \nnot define the goal of their field as making 'machines that fly so \nexactly like pigeons that they can fool other pigeons.' \"[362] AI \nfounder \nthat \"Artificial \nintelligence \nis not, by definition, simulation of human \nintelligence\".[363] \n\nJohn McCarthy agreed, writing \n\nThe Turing test can provide some \nevidence of intelligence, but it \npenalizes non-human intelligent \nbehavior.[361] \n\nMcCarthy defines intelligence as \"the computational part of the \nability to achieve goals in the world\".[364] Another AI founder, \nMarvin Minsky similarly describes it as \"the ability to solve hard \nproblems\".[365] The leading AI textbook defines it as the study of \nagents that perceive their environment and take actions that maximize their chances of achieving defined \ngoals.[1] These definitions view intelligence in terms of well-defined problems with well-defined \nsolutions, where both the difficulty of the problem and the performance of the program are direct \nmeasures of the \"intelligence\" of the machine—and no other philosophical discussion is required, or may \nnot even be possible. \n\nAnother definition has been adopted by Google,[366] a major practitioner in the field of AI. This definition \nstipulates the ability of systems to synthesize information as the manifestation of intelligence, similar to \nthe way it is defined in biological intelligence.", + "page_start": 23, + "page_end": 23, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Berryhill, Jamie; Heang, Kévin Kok; Clogher, Rob; McBride, Keegan (2019).*Hello, World:*\n\n*Artificial Intelligence and its Use in the Public Sector*(https://oecd-opsi.org/wp-content/uploa \nds/2019/11/AI-Report-Online.pdf) (PDF). Paris: OECD Observatory of Public Sector \nInnovation. Archived (https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp \n-content/uploads/2019/11/AI-Report-Online.pdf) (PDF) from the original on 20 December \n2019. Retrieved 9 August 2020. \n\nBertini, M; Del Bimbo, A; Torniai, C (2006). \"Automatic annotation and semantic retrieval of \nvideo sequences using multimedia ontologies\".*MM '06 Proceedings of the 14th ACM*\n*international conference on Multimedia*. 14th ACM international conference on Multimedia. \nSanta Barbara: ACM. pp. 679–682. \n\nBostrom, Nick (2014).*Superintelligence: Paths, Dangers, Strategies*. Oxford University Press. \nBostrom, Nick (2015). \"What happens when our computers get smarter than we are?\" (https://w \nww.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_w \ne_are/transcript). TED (conference). Archived (https://web.archive.org/web/2020072500571 \n9/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smart \ner_than_we_are/transcript) from the original on 25 July 2020. Retrieved 30 January 2020. \nBrooks, Rodney (10 November 2014). \"artificial intelligence is a tool, not a threat\" (https://web.a \nrchive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-th \nreat). Archived from the original (http://www.rethinkrobotics.com/artificial-intelligence-tool-thr \neat) on 12 November 2014. \n\nBrooks, Rodney (1990). \"Elephants Don't Play Chess\" (http://people.csail.mit.edu/brooks/paper \n\ns/elephants.pdf) (PDF).*Robotics and Autonomous Systems*.**6**(1–2): 3–15. \nCiteSeerX 10.1.1.588.7539 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.588. \n7539). doi:10.1016/S0921-8890(05)80025-9 (https://doi.org/10.1016%2FS0921-8890%280 \n5%2980025-9). Archived (https://web.archive.org/web/20070809020912/http://people.csail. \nmit.edu/brooks/papers/elephants.pdf) (PDF) from the original on 9 August 2007. \n\nBuiten, Miriam C (2019). \"Towards Intelligent Regulation of Artificial Intelligence\" (https://doi.org/ \n\n10.1017%2Ferr.2019.8).*European Journal of Risk Regulation*.**10**(1): 41–59. \ndoi:10.1017/err.2019.8 (https://doi.org/10.1017%2Ferr.2019.8). ISSN 1867-299X (https://sea \nrch.worldcat.org/issn/1867-299X). \n\nBushwick, Sophie (16 March 2023), \"What the New GPT-4 AI Can Do\" (https://www.scientificam \n\nerican.com/article/what-the-new-gpt-4-ai-can-do/),*Scientific American*, archived (https://we \nb.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-ne \nw-gpt-4-ai-can-do/) from the original on 22 August 2023, retrieved 5 October 2024 \n\nButler, Samuel (13 June 1863). \"Darwin among the Machines\" (https://nzetc.victoria.ac.nz/tm/sc \nholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html). Letters to the Editor.*The Press*. Christchurch, \nNew Zealand. Archived (https://web.archive.org/web/20080919172551/http://www.nzetc.org/ \ntm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html) from the original on 19 September 2008. \nRetrieved 16 October 2014 – via Victoria University of Wellington. \n\nButtazzo, G. (July 2001). \"Artificial consciousness: Utopia or real possibility?\".*Computer*.**34**\n\n(7): 24–30. doi:10.1109/2.933500 (https://doi.org/10.1109%2F2.933500). \n\nCambria, Erik; White, Bebo (May 2014). \"Jumping NLP Curves: A Review of Natural Language \nProcessing Research [Review Article]\".*IEEE Computational Intelligence Magazine*.**9**(2): \n48–57. doi:10.1109/MCI.2014.2307227 (https://doi.org/10.1109%2FMCI.2014.2307227). \nS2CID 206451986 (https://api.semanticscholar.org/CorpusID:206451986). \n\nCellan-Jones, Rory (2 December 2014). \"Stephen Hawking warns artificial intelligence could", + "page_start": 53, + "page_end": 53, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Areas of Exploration**\n\n**Support for Creators in the**\n**Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via \nroundtables, community conferences \n(e.g.**MozFest**,**Wikimania**), and public \nevents (e.g. symposium on**Generative**\n**AI & Creativity**)to debate copyright law, \nthe ethics of open sharing, and other \nrelevant areas that touch AI. \n\nAt our CC Global Summit, participants \ndrafted**community-driven principles**\non AI that are a valuable input and will \nhelp inform the organization’s thinking \nas we determine CC’s exact role in the AI \nspace. \n\n\n\n“The Pillars of Creation” by \nJames Webb Space Telescope \nis licensed under CC BY 2.0.", + "page_start": 8, + "page_end": 8, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia3.pdf", + "query": "What would a superintelligence need?", + "target_page": 27, + "target_passage": "possess intelligence far surpassing that of the brightest and most gifted human mind.", + "chunk_present": { + "presence": true, + "index": 9 + } + }, + "top_chunk": [ + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr \nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC \nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006) \n\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the \n\nland? On the interpretations, illustrations, and implications of artificial intelligence\".*Business*\n*Horizons*.**62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. \n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). \nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736). \n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) \n\nProposal for the modern version: Pennachin & Goertzel (2007) \nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy \n(2007), Beal & Winston (2009) \n5. Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Existential risk**\n\nIt has been argued AI will become so powerful that humanity may irreversibly lose control of it. This \ncould, as physicist Stephen Hawking stated, \"spell the end of the human race\".[265] This scenario has been \ncommon in science fiction, when a computer or robot suddenly develops a human-like \"self-awareness\" \n(or \"sentience\" or \"consciousness\") and becomes a malevolent character.[q] These sci-fi scenarios are \nmisleading in several ways. \n\nFirst, AI does not require human-like sentience to be an existential risk. Modern AI programs are given \nspecific goals and use learning and intelligence to achieve them. Philosopher Nick Bostrom argued that if \none gives*almost any*goal to a sufficiently powerful AI, it may choose to destroy humanity to achieve it \n(he used the example of a paperclip factory manager).[267] Stuart Russell gives the example of household \nrobot that tries to find a way to kill its owner to prevent it from being unplugged, reasoning that \"you \ncan't fetch the coffee if you're dead.\"[268] In order to be safe for humanity, a superintelligence would have \nto be genuinely aligned with humanity's morality and values so that it is \"fundamentally on our side\".[269] \n\nSecond, Yuval Noah Harari argues that AI does not require a robot body or physical control to pose an \nexistential risk. The essential parts of civilization are not physical. Things like ideologies, law, \ngovernment, money and the economy are built on language; they exist because there are stories that \nbillions of people believe. The current prevalence of misinformation suggests that an AI could use \nlanguage to convince people to believe anything, even to take actions that are destructive.[270] \n\nThe opinions amongst experts and industry insiders are mixed, with sizable fractions both concerned and \nunconcerned by risk from eventual superintelligent AI.[271] Personalities such as Stephen Hawking, Bill \nGates, and Elon Musk,[272] as well as AI pioneers such as Yoshua Bengio, Stuart Russell, Demis \nHassabis, and Sam Altman, have expressed concerns about existential risk from AI. \n\nIn May 2023, Geoffrey Hinton announced his resignation from Google in order to be able to \"freely speak \nout about the risks of AI\" without \"considering how this impacts Google.\"[273] He notably mentioned \nrisks of an AI takeover,[274] and stressed that in order to avoid the worst outcomes, establishing safety \nguidelines will require cooperation among those competing in use of AI.[275] \n\nIn 2023, many leading AI experts endorsed the joint statement that \"Mitigating the risk of extinction from \nAI should be a global priority alongside other societal-scale risks such as pandemics and nuclear \nwar\".[276] \n\nSome other researchers were more optimistic. AI pioneer Jürgen Schmidhuber did not sign the joint \nstatement, emphasising that in 95% of all cases, AI research is about making \"human lives longer and \nhealthier and easier.\"[277] While the tools that are now being used to improve lives can also be used by \nbad actors, \"they can also be used against the bad actors.\"[278][279] Andrew Ng also argued that \"it's a \nmistake to fall for the doomsday hype on AI—and that regulators who do will only benefit vested \ninterests.\"[280] Yann LeCun \"scoffs at his peers' dystopian scenarios of supercharged misinformation and \neven, eventually, human extinction.\"[281] In the early 2010s, experts argued that the risks are too distant in", + "page_start": 18, + "page_end": 18, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Narrow vs. general AI**\n\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and \nsuperintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these \nsolutions will lead indirectly to the field's long-term goals.[378][379] General intelligence is difficult to \ndefine and difficult to measure, and modern AI has had more verifiable successes by focusing on specific \nproblems with specific solutions. The sub-field of artificial general intelligence studies this area \nexclusively. \n\n**Machine consciousness, sentience, and mind**\n\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental \nstates, in the same sense that human beings do. This issue considers the internal experiences of the \nmachine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because \nit does not affect the goals of the field: to build machines that can solve problems using intelligence. \nRussell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way \nhumans are is not one that we are equipped to take on.\"[380] However, the question has become central to \nthe philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction. \n\n**Consciousness**\n\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and \n\"easy\" problems of consciousness.[381] The easy problem is understanding how the brain processes \nsignals, makes plans and controls behavior. The hard problem is explaining how this*feels*or why it \nshould feel like anything at all, assuming we are right in thinking that it truly does feel like something \n(Dennett's consciousness illusionism says this is an illusion). While human information processing is easy \nto explain, human subjective experience is difficult to explain. For example, it is easy to imagine a color- \nblind person who has learned to identify which objects in their field of view are red, but it is not clear \nwhat would be required for the person to*know what red looks like*.[382] \n\n**Computationalism and functionalism**\n\nComputationalism is the position in the philosophy of mind that the human mind is an information \nprocessing system and that thinking is a form of computing. Computationalism argues that the \nrelationship between mind and body is similar or identical to the relationship between software and \nhardware and thus may be a solution to the mind–body problem. This philosophical position was inspired \nby the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by \nphilosophers Jerry Fodor and Hilary Putnam.[383] \n\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed \ncomputer with the right inputs and outputs would thereby have a mind in exactly the same sense human \nbeings have minds.\"[ac] Searle challenges this claim with his Chinese room argument, which attempts to", + "page_start": 25, + "page_end": 25, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Gibbs, Samuel (27 October 2014). \"Elon Musk: artificial intelligence is our biggest existential \n\nthreat\" (https://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligenc \ne-ai-biggest-existential-threat).*The Guardian*. Archived (https://web.archive.org/web/201510 \n30054330/http://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligen \nce-ai-biggest-existential-threat) from the original on 30 October 2015. Retrieved 30 October \n2015. \n\nGoffrey, Andrew (2008). \"Algorithm\". In Fuller, Matthew (ed.).*Software studies: a lexicon*(http \n\ns://archive.org/details/softwarestudiesl00full_007). Cambridge, Mass.: MIT Press. pp. 15 (htt \nps://archive.org/details/softwarestudiesl00full_007/page/n29)–20. ISBN 978-1-4356-4787-9. \nGoldman, Sharon (14 September 2022). \"10 years later, deep learning 'revolution' rages on, say \nAI pioneers Hinton, LeCun and Li\" (https://venturebeat.com/ai/10-years-on-ai-pioneers-hinto \nn-lecun-li-say-deep-learning-revolution-will-continue).*VentureBeat*. Archived (https://web.arc \nhive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le \ncun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024. \nRetrieved 8 December 2023. \n\nGood, I. J. (1965),*Speculations Concerning the First Ultraintelligent Machine*(https://exhibits.st \nanford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230 \n710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original \non 10 July 2023, retrieved 5 October 2024 \n\nGoodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016),*Deep Learning*(https://web.archive.or \ng/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the \noriginal (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017 \nGoodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a \n'right to explanation' \".*AI Magazine*.**38**(3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606. \n08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741). \nS2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959). \n\nGovernment Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses \nRisks to Privacy (https://www.gao.gov/products/gao-22-106096).*gao.gov*(Report). Archived \n(https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609 \n6) from the original on 13 September 2024. Retrieved 5 October 2024. \n\nGrant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And \n\nNeither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl \ne-apple.html).*The New York Times*. Archived (https://web.archive.org/web/2024091415503 \n2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from \nthe original on 14 September 2024. Retrieved 5 October 2024. \n\nGoswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0 \n4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html).*CNBC*. Archived (http \ns://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the \n-state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023. \nRetrieved 19 June 2023. \n\nHarari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic. \ncom/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330).*The Atlantic*. \nArchived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi \nne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25 \nSeptember 2021. Retrieved 23 September 2021.", + "page_start": 56, + "page_end": 56, + "source_file": "wikipedia3.pdf" + }, + { + "text": "367. \"One of the Biggest Problems in Regulating AI Is Agreeing on a Definition\" (https://carnegiee \nndowment.org/posts/2022/10/one-of-the-biggest-problems-in-regulating-ai-is-agreeing-on-a- \ndefinition?lang=en).*carnegieendowment.org*. Retrieved 31 July 2024. \n\n368. \"AI or BS? How to tell if a marketing tool really uses artificial intelligence\" (https://www.thedr \num.com/opinion/2023/03/30/ai-or-bs-how-tell-if-marketing-tool-really-uses-artificial-intelligen \nce).*The Drum*. Retrieved 31 July 2024. \n\n369. Nilsson (1983), p. 10. \n370. Haugeland (1985), pp. 112–117. \n371. Physical symbol system hypothesis: Newell & Simon (1976, p. 116) Historical significance: \n\nMcCorduck (2004, p. 153), Russell & Norvig (2021, p. 19) \n\n372. Moravec's paradox: Moravec (1988, pp. 15–16), Minsky (1986, p. 29), Pinker (2007,", + "page_start": 49, + "page_end": 49, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h \nttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF),*Global Catastrophic Risks*, Oxford \nUniversity Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20 \n08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc \ne.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved \n24 September 2021 \n\n**Further reading**\n\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace \n\nAutomation\" (2015) 29(3)*Journal of Economic Perspectives*3. \n\nBerlinski, David (2000).*The Advent of the Algorithm*(https://archive.org/details/adventofalgorith \n0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world \ncat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch \nive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved \n22 August 2020. \n\nBoyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585 \n\n9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024. \n\nCukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\",*Foreign Affairs*, vol. \n98, no. 4 (July/August 2019), pp. 192–198. George Dyson, historian of computing, writes (in \nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable \nwill not be complicated enough to behave intelligently, while any system complicated \nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer \nscientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core, \ndead simple stupid. They work, but they work by brute force.\" (p. 198.) \n\nEvans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/ \n\n10.5209%2Frev_TK.2015.v12.n2.49072).*Teknokultura*.**12**(2). \ndoi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49 \n072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763). \n\nFrank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the \n\n21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli \ngence-can-shape-the-21st-century-global-order).*The Diplomat*. Archived (https://web.archiv \ne.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli \ngence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024. \nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of \ndominance that the rest of the world views with a mixture of awe, envy, and resentment: \nartificial intelligence... From AI models and research to cloud computing and venture capital, \nU.S. companies, universities, and research labs – and their affiliates in allied countries – \nappear to have an enormous lead in both developing cutting-edge AI and commercializing it. \nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the \nworld combined.\" \n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I. \nchatbots to get their facts right — without destroying itself in the process?\"*New York Times*\n*Magazine*(July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia- \nai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime \ns.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback \nMachine", + "page_start": 66, + "page_end": 66, + "source_file": "wikipedia3.pdf" + }, + { + "text": "that runs inputs through biologically inspired artificial neural networks for all of these types of \nlearning.[48] \n\nComputational learning theory can assess learners by computational complexity, by sample complexity \n(how much data is required), or by other notions of optimization.[49] \n\n**Natural language processing**\nNatural language processing (NLP)[50] allows programs to read, write and communicate in human \nlanguages such as English. Specific problems include speech recognition, speech synthesis, machine \ntranslation, information extraction, information retrieval and question answering.[51] \n\nEarly work, based on Noam Chomsky's generative grammar and semantic networks, had difficulty with \nword-sense disambiguation[f] unless restricted to small domains called \"micro-worlds\" (due to the \ncommon sense knowledge problem[29]). Margaret Masterman believed that it was meaning and not \ngrammar that was the key to understanding languages, and that thesauri and not dictionaries should be the \nbasis of computational language structure. \n\nModern deep learning techniques for NLP include word embedding (representing words, typically as \nvectors encoding their meaning),[52] transformers (a deep learning architecture using an attention \nmechanism),[53] and others.[54] In 2019, generative pre-trained transformer (or \"GPT\") language models \nbegan to generate coherent text,[55][56] and by 2023, these models were able to get human-level scores on \nthe bar exam, SAT test, GRE test, and many other real-world applications.[57] \n\n**Perception**\n\nMachine perception is the ability to use input from sensors (such as cameras, microphones, wireless \nsignals, active lidar, sonar, radar, and tactile sensors) to deduce aspects of the world. Computer vision is \nthe ability to analyze visual input.[58] \n\nincludes speech recognition,[59] \nThe field \nrecognition,[61]object tracking,[62] and robotic perception.[63] \n\nimage classification,[60] facial recognition, object \n\n\n\n**Social intelligence**\n\nAffective computing is a field that comprises systems that \nrecognize, interpret, process, or simulate human feeling, emotion, \nand mood.[65] For example, some virtual assistants are \nto banter \nto speak conversationally or even \nprogrammed \nhumorously; it makes them appear more sensitive to the emotional \ndynamics of human interaction, or to otherwise facilitate human– \ncomputer interaction. \n\nHowever, this tends to give naïve users an unrealistic conception \nof the intelligence of existing computer agents.[66] Moderate \nsuccesses related to affective computing include textual sentiment", + "page_start": 3, + "page_end": 3, + "source_file": "wikipedia3.pdf" + }, + { + "text": "4.10.2 Existential Restrictions ............................................................................................................ 31 \n\n4.10.3 Creating Subclasses of Pizza .................................................................................................... 33 \n\n4.10.4 Detecting a Class that can’t Have Members ............................................................................ 37 \n\n4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) ............................................... 38 \n\n4.12 Universal Restrictions ..................................................................................................................... 41 \n\n4.13 Automated Classification and Open World Reasoning .................................................................. 42", + "page_start": 2, + "page_end": 2, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Scharre, Paul, \"Killer Apps: The Real Dangers of an AI Arms Race\",*Foreign Affairs*, vol. 98, no. \n3 (May/June 2019), pp. 135–144. \"Today's AI technologies are powerful but unreliable. \nRules-based systems cannot deal with circumstances their programmers did not anticipate. \nLearning systems are limited by the data on which they were trained. AI failures have \nalready led to tragedy. Advanced autopilot features in cars, although they perform well in \nsome circumstances, have driven cars without warning into trucks, concrete barriers, and \nparked cars. In the wrong situation, AI systems go from supersmart to superdumb in an \ninstant. When an enemy is trying to manipulate and hack an AI system, the risks are even \ngreater.\" (p. 140.) \n\nSchulz, Hannes; Behnke, Sven (1 November 2012). \"Deep Learning\" (https://www.researchgat \n\ne.net/publication/230690795).*KI – Künstliche Intelligenz*.**26**(4): 357–363. \ndoi:10.1007/s13218-012-0198-z (https://doi.org/10.1007%2Fs13218-012-0198-z). \nISSN 1610-1987 (https://search.worldcat.org/issn/1610-1987). S2CID 220523562 (https://ap \ni.semanticscholar.org/CorpusID:220523562). \n\nSerenko, Alexander; Michael Dohan (2011). \"Comparing the expert survey and citation impact \n\njournal ranking methods: Example from the field of Artificial Intelligence\" (http://www.aserenk \no.com/papers/JOI_AI_Journal_Ranking_Serenko.pdf) (PDF).*Journal of Informetrics*.**5**(4): \n629–649. doi:10.1016/j.joi.2011.06.002 (https://doi.org/10.1016%2Fj.joi.2011.06.002). \nArchived (https://web.archive.org/web/20131004212839/http://www.aserenko.com/papers/J \nOI_AI_Journal_Ranking_Serenko.pdf) (PDF) from the original on 4 October 2013. Retrieved \n12 September 2013. \n\nSilver, David; Huang, Aja; Maddison, Chris J.; et al. (28 January 2016). \"Mastering the game of \nGo with deep neural networks and tree search\" (https://www.nature.com/articles/nature1696 \n1).*Nature*.**529**(7587): 484–489. Bibcode:2016Natur.529..484S (https://ui.adsabs.harvard.e \ndu/abs/2016Natur.529..484S). doi:10.1038/nature16961 (https://doi.org/10.1038%2Fnature1 \n6961). PMID 26819042 (https://pubmed.ncbi.nlm.nih.gov/26819042). S2CID 515925 (http \ns://api.semanticscholar.org/CorpusID:515925). Archived (https://web.archive.org/web/20230 \n618213059/https://www.nature.com/articles/nature16961) from the original on 18 June 2023. \nRetrieved 19 June 2023. \n\nVaswani, Ashish, Noam Shazeer, Niki Parmar et al. \"Attention is all you need.\" Advances in \nneural information processing systems 30 (2017). Seminal paper on transformers. \n\nVincent, James, \"Horny Robot Baby Voice: James Vincent on AI chatbots\",*London Review of*\n*Books*, vol. 46, no. 19 (10 October 2024), pp. 29–32. \"[AI chatbot] programs are made \npossible by new technologies but rely on the timelelss human tendency to \nanthropomorphise.\" (p. 29.) \n\n*White Paper: On Artificial Intelligence – A European approach to excellence and trust*(https://e \n\nc.europa.eu/info/sites/info/files/commission-white-paper-artificial-intelligence-feb2020_en.pd \nf) (PDF). Brussels: European Commission. 2020. Archived (https://web.archive.org/web/202 \n00220173419/https://ec.europa.eu/info/sites/info/files/commission-white-paper-artificial-intell \nigence-feb2020_en.pdf) (PDF) from the original on 20 February 2020. Retrieved \n20 February 2020.", + "page_start": 69, + "page_end": 69, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**AI welfare and rights**\n\nIt is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel), \nand if so, to what degree.[388] But if there is a significant chance that a given machine can feel and suffer, \nthen it may be entitled to certain rights or welfare protection measures, similarly to animals.[389][390] \nSapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may \nprovide another moral basis for AI rights.[389] Robot rights are also sometimes proposed as a practical \nway to integrate autonomous agents into society.[391] \n\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI \nsystems. Similarly to the legal status of companies, it would have conferred rights but also \nresponsibilities.[392] Critics argued in 2018 that granting rights to AI systems would downplay the \nimportance of human rights, and that legislation should focus on user needs rather than speculative \nfuturistic scenarios. They also noted that robots lacked the autonomy to take part to society on their \nown.[393][394] \n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI \nsentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot \nanalogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created \nand carelessly exploited.[390][389] \n\n**Superintelligence and the singularity**\n\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the \nbrightest and most gifted human mind.[379] If research into artificial general intelligence produced \nsufficiently intelligent software, it might be able to reprogram and improve itself. The improved software \nwould be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and \nVernor Vinge called a \"singularity\".[395] \n\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped \ncurve, slowing when they reach the physical limits of what the technology can do.[396] \n\n**Transhumanism**\n\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted \nthat humans and machines may merge in the future into cyborgs that are more capable and powerful than \neither. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert \nEttinger.[397]", + "page_start": 26, + "page_end": 26, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia3.pdf", + "query": "Where can I find the Inspect tool to evaluate the safety of our models?", + "target_page": 21, + "target_passage": "The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations available under a MIT open-source licence which is freely available on GitHub", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Figure 13-34 Messages in the event log \n\n2. Select**Show All**→**Recommended Actions**to display the most important events to be \nresolved (see Figure 13-35). The Recommended Actions tab shows the highest priority \nmaintenance procedure that must be run. Use the troubleshooting wizard so that IBM \nStorwize V7000 system can determine the proper order of maintenance procedures. \n\nFigure 13-35 Recommended Actions \n\nIn this example, the Array MDisk is not protected by sufficient spares and is listed (service \nerror code 1690). Click**Run Fix**. At any time and from any GUI window, you can directly go \nto this menu by clicking the**Status Alerts**icon at the top of the GUI (see Figure 13-36 on \npage 705).", + "page_start": 725, + "page_end": 725, + "source_file": "sg247938.pdf" + }, + { + "text": "**PARTS LIST**\n\n| Model AY11240 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| Plain Concave Mirror | | 1 |\n| Plastic Dust Cover | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n| Model AY11238 | | |\n|---|---|---|\n| Name Qty | | |\n| Microscope Stand | | 1 |\n| 4x Achromatic Objective 10x 40x (s) | 4x | 1 |\n| | 10x | 1 |\n| | | 1 |\n| 10x Wide Field Eyepiece | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n\n\n**OPERATION**\n\n**Model AY11240** **Model AY11238**\n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Adjust the stand to an angle that \n provides comfortable observation. \n5. Rotate and adjust concave mirror to \n light the field of view.**NOTE: Do not**\n**reflect the Sun with the mirror.**\n**This can cause serious eye injury**\n**or permanent eye damage.**\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm. \n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON. \n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.", + "page_start": 2, + "page_end": 2, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "Print ISBN 978-92-9479-934-0 doi: 10.2802/26873 \n\nPDF ISBN 978-92-9479-935-7 doi: 10.2802/56459 \n\n© European Agency for Safety and Health at Work, 2023 \n\nReproduction is authorised provided the source is acknowledged. \n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and \nHealth at Work, permission must be sought directly from the copyright holders. \n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or \ncompliance with legislative requirements. \n\nFor one-click access to websites and references please consult the online version of this publication \nhttps://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", + "page_start": 1, + "page_end": 1, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "C Supplementary materials for models \n\nWe present in this section the model characteristics \nwe collected for the 46 evaluated models. \n\nFor evaluating prompt-based models such as \nintfloat/e5-mistral-instruct-7b, we provide the \nprompts we used in Table 8. \n\nD Evaluation results \n\nThis section presents the results obtained for each \nmodel on each task. To be relevant, we used the \nsame metrics as in MTEB, which varies from one \ntype of task to another:", + "page_start": 11, + "page_end": 11, + "source_file": "arxiv4.pdf" + }, + { + "text": "**INDEX**\nMaintenance............................................ 1 \n\nModel AY11240/Model AY11238.................. 2-5 \n\nModel AY11228/Model AY11232.................. 6-9 \n\nModel AY11230/Model AY11234.................. 10-13 \n\nModel AY11236........................................ 14-18 \n\nWarranty Information................................ Back Cover \n\n\n\n\n\n**MODEL AY11240/AY11238**\n\nEyepiece \n\nEyepiece Monocular Tube \n\nEyepiece \nSet Screw \n\nRotating Head \n\nStage Height \nLimit Adjustment \nBarrel \n\nRevolving \nTurret \n\nCoarse \nAdjustment \nKnob \nStand \nRevolving Turret \n\nObjectives \n\nObjectives \nSpring \nClips \nCoarse \nAdjustment \nKnob Fine \nAdjustment \nKnob \nSpring Clips \n\n**IMPORTANT NOTES**\nStage \nStand \n\n5-Hole \nDiaphragm \nand Condenser \nFine \nAdjustment \nKnob \nStage \n\nCongratulations on your purchase of this high quality BARSKA \nmicroscope. With proper care, this microscope will provide many \nyears of use. Please read the following instructions before \noperating this instrument. \n1. Do not attempt to disassemble the instrument. This product has \n been carefully assembled at the factory and should only be \n examined by a factory-trained technician. \n2. This instrument should only be used in an environment with an \n indoor temperature range of 32oF to 104oF. \n3. Do not use this instrument in an environment with a lot of dust. \n**Cover the instrument when not in use.**\n4. Do not subject the instrument to shock. \n\n5-Hole \nDiaphragm \nand Condenser \nConcave \nMirror \nPower \nCord Lamp \n\nLamp \nOn/Off \nSwitch \n\n**Model AY11240** **Model AY11238**\n\n**MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction. \n\n**MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read \nthe following guidelines: \n1. Keep the instrument in a dry and moisture-free location. \n2. Do not expose to acid, alkali fumes or moisture. \n3. Keep optical parts clean and free of dust. To clean optical parts \n gently wipe with lens cleaning tissue and a mixture of alcohol \n and diethyl ether. Depending on weather conditions, the \n following are the recommended mixture ratios: \n Wet weather: 1:2 \n Dry Weather: 1:1 \n4. After use, cover the instrument with the plastic dust cover. \n5. If instrument is to be stored for an extended period of time, \n remove the eyepiece and oculars and store in a moisture-proof \n container. \n\n**CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable \nobservation, the arm can be easily tilted at any angle from 90o \nvertical to 45o level. It is also equipped with a coarse adjustment \nand fine adjustment as well as a space limiter to protect the \nobjective from contacting and damaging the specimen. BARSKA \nModel AY11238 features a monocular tube that is slanted at a 45o \nangle. The head rotates 360o. The Eyepiece Set Screw prevents \nthe eyepiece from falling out of the tube.", + "page_start": 1, + "page_end": 1, + "source_file": "Microscope Manual.pdf" + }, + { + "text": "FE!4 MODEL AT VARIOUS \nMACH NUMBERS \na-O0 pee \n\n\n\n\n\n\n\n\n\nM*1.2", + "page_start": 238, + "page_end": 238, + "source_file": "00-80T-80.pdf" + }, + { + "text": "FATIGUE CRACKS IN STRUCTURAL SAMPLE \nATTACHMENT FITTING FATiGUE FAILURES \n\nFigure 5.7. Examples of Fatigue Failures", + "page_start": 363, + "page_end": 363, + "source_file": "00-80T-80.pdf" + }, + { + "text": "You can also choose**SAS Chain View**to view directly attached expansion enclosures, as \nshown in Figure 5-34. A useful view of the entire SAS chain is displayed, with selectable \ncomponents that show port numbers and canister numbers, along with a cable diagram for \neasy cable tracking. \n\n**Select**\n\nFigure 5-34 SAS Chain View \n\nYou can select any Enclosure to get more information, including serial number and model \ntype, as shown in Figure 5-35 where Expansion Enclosure 3 is selected. You can also see the \nEvents and Component Details areas on the right side of the pane, which shows information \nthat relates to the enclosure or component you select.", + "page_start": 172, + "page_end": 172, + "source_file": "sg247938.pdf" + }, + { + "text": "NAVWEPS 00-BOT-BO \nTABLE OF CONTENTS \n\nBRAKING PERFORMANCE. ......................................... \n\nFriction cbaracte~istics \nBraking technique \nTypical errors of braking technique \n\nREFCTSAL SPEEDS , LINE SPEEDS, AND CRITICAL FIELD \n\nLENGTH. ............................................................. \nRefusal speed \nLine speeds \nCritical field length, multi-engine operation \n\n391 \n\nSONIC BOOMS. ....................................................... 396 \n\nShock waves and audible sound \nPrecautions \n\nHELICOPTER PROBLEMS. ........................................... \n\n399 \n400 \n402 \n404 \n405 \n408 ..................................................... \nRotoraerodynamics \nRetreating blade stall ................................................... \nCompressjbility effects .................................................. \nAutorotatton charactertsttcs ............................................. \nPowersettling ......................................................... \n\n........................................ \n..................................... \n\nTHE FLIGHT HANDBOOK. \nSELECTED REFERENCES. \nIklr\\C” \n,,“YL)\\ ....................................................... \n\n411 \n\n413 \n\n414", + "page_start": 17, + "page_end": 17, + "source_file": "00-80T-80.pdf" + }, + { + "text": "**Acknowledgements**\nEU-OSHA wishes to thank the European Commission, Directorate-General for Employment, Social \nAffairs and Inclusion for their contributions and support, in particular Matthias Fritz. \n\nThanks to Jukka Takala, Subas Neupane and Päivi Hämäläinen for the provision of their estimates of \nthe global burden of disease. EU-OSHA also thanks Frank Pega and Natalie Momen from the World \nHealth Organization (WHO) for the kind provision of an extract of EU27 data from its Occupational \nBurden of Disease database. Joana Soares and Réka Zayzon have meticulously checked data and \ncalculations of this report. \n\nLead author: Lothar Lieck (EU-OSHA) \n\nCo-authors and contributors: Ioannis Anyfantis, Xabier Irastorza, Lorenzo Munar, Birgit Müller, \nMalgorzata Milczarek, William Cockburn, Andrew Smith (EU-OSHA). \n\nFind more up-to-date information and data on occupational safety and health in Europe in the**OSH**\n**Barometer data visualisation tool**: https://visualisation.osha.europa.eu/osh-barometer \n\nThe tool informs on a large range of OSH indicators, such as work-related accidents, diseases and \nwellbeing as well as working conditions and prevention. It also presents the national OSH authorities \nand strategies, economic and sector information, and enforcement capacity. \n\nYou can visualise and compare country data, generate graphics and download a report of all data per \ncountry. The OSH Barometer is updated regularly with new indicators, data, publications and features.", + "page_start": 8, + "page_end": 8, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "legal2_opengouvernementlicense.pdf", + "query": "What was the age category of most new opiate/crack users during the crime peak in the mid-1990s?", + "target_page": 9, + "target_passage": "mplying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "7 Note that individuals aged 65 and over or who had a year of birth before 1959 were excluded. \n8 The total acquisitive crime arrests were calculated from the data to be found here: https://www.gov.uk/government/statistics/tables- \n\nNew opiate and crack-cocaine users: characteristics and trends 7", + "page_start": 6, + "page_end": 6, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Executive summary**\n\nThis paper uses a range of datasets and methodologies to: \n\n obtain working estimates for the number of individuals in England who started using \n\nopiates/crack from 2005 to 2013;1 \n\n examine the characteristics of these individuals. \n\nThe main findings of the paper are as follows. \n\n \n\nIt is estimated that around 5,000 to 8,000 individuals started using opiates or crack- \ncocaine in 2013. There is a high degree of uncertainty around this figure due to the \nsparse data on this population, but sense-checks based on treatment and criminal justice \nsystem data suggest the true figure is unlikely to be much larger than 10,000. \n\n Data also suggest that the number of current opiate/crack initiates involved with crime \n\nmay be even lower. The number of arrestees testing positive for the first time for opiates \n(or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first \n11 months of 2013, a fall of around 70 per cent2. Furthermore, of the new positive testers \nin 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a \nproportion of the true population, it does suggest that the number of new, young initiates \ninvolved with crime – those who have the potential to inflict most societal harm – has \ndecreased markedly, probably just to a few thousand per year; and that this group now \nmake up a small minority of the total number of opiate/crack-cocaine users (estimated to \nbe 294,000 in 2011/12), most of whom are older, longer-term users. \nIn terms of trends in new opiate/crack-cocaine users, all available data suggest that \nfigures have dipped by at least a fifth since 2005 and have dropped hugely since the late \n1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very \nrapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the \nepidemic years, published estimates of new opiate/crack-cocaine users in Manchester \nand Bolton show rates more than 11 times larger. \n\n However, the findings also suggest that between 2011 and early 2014, the number of \n\nnew opiate/crack-cocaine users stopped decreasing and instead stabilised at a \n(historically) low level. Further analysis was conducted to try and determine whether this \nwas a precursor to a new rise in initiates. Though the data are not totally conclusive, the \nresults suggest that a marked increase in new opiate/crack-cocaine users in the near \nfuture is unlikely. If anything, findings suggested that the downward trend may be set to \nresume. \n\n Analysis also revealed some possible changes in characteristics of the new opiate/crack- \ncocaine initiates. There is a trend in the treatment data towards new initiates coming to \ntreatment earlier in their drug-using careers than previous cohorts and also to have \n\n1 At the time of writing, data was unavailable for the period after November 2013. \n2 \n3 787 if adjusted for the missing month. \nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. \n\nNew opiate and crack-cocaine users: characteristics and trends", + "page_start": 2, + "page_end": 2, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "This report has attempted to draw together available data and evidence to estimate the number \nof new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look \nbriefly at their characteristics. This is important as previous research has suggested that – \nmostly through the actions of a minority - this group has the potential to have a large impact on \ncrime trends and therefore to impose significant societal costs. \n\nThough data on this population is imperfect, a number of different data sources and \nmethodologies are available to estimate OCU incidence. From these, three key conclusions \nemerge: \n\n The number of new opiate/crack users is clearly far lower now than it was in the 1980s \n\nand early 1990s and has even dropped 20-45% since 2005. \n\n This means numbers of new users in 2013 may be around 5,000-8,000 with an \n\napproximate upper bound of 10,000; and numbers involved with prolific criminality will be \nlower still. \n\n The downward trend in new OCUs has flattened since about 2011, but available data do \nnot suggest that this is the precursor to a new increase. If anything, the downward trend \nmay resume in 2014, though the situation requires further monitoring. \n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the \narrestee data showed that a proportion of these are likely to offend over a long period of time. \nBut also, there was some evidence of a shift to older initiates, which may require a slightly \ndifferent treatment approach.", + "page_start": 29, + "page_end": 29, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "initiated use at an older age. Currently it is not possible to determine whether this is a \nreporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users. \n\n The report has several important policy implications. Even though numbers of new \ninitiates involved with crime have dropped to the low thousands, putting downward \npressure on crime, identification and early diversion to treatment remains paramount. \nFrontier Economics have estimated that the average4 lifetime crime cost of an injecting \ndrug user is £445,000, so the potential for social harm – even from a small number of \nindividuals – remains large and potentially long-lasting. This means local areas need to \nmanage both the (relatively large) stock of current users, and the (much smaller) flow of \nnew initiates, whose treatment needs may be different. There is no evidence of any new \nepidemic in this country, but given the impact of the epidemic of the 80s and early 90s on \ncrime, ongoing monitoring of recent trends is required to spot early signs of any emerging \nproblems. \n\n**Aims and Methodology**\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use \nin driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates \nexist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al., 2013), \nthere are no estimates for the number of new OCUs each year (throughout this paper the \nnumber of new OCUs is also referred to as**‘incidence’**). This is important for three main \nreasons. \n\ni)**Stock and flows:**Simply knowing the stock of OCUs tells us nothing about the flows in \nand out – i.e. if the stock were constant each year that could mean that no one starts \nusing these drugs and no one quits or it could mean all existing users quit but that they \nare wholly replaced by new users, or any similar scenario in between. Clearly the policy \nresponse would need to be quite different for each of these cases, so knowing the true \nsituation is important. \n\nii)**Early-warning system:**Research by the Home Office and others has shown that there \nis generally a lag between the start of a heroin/crack epidemic and the point at which it \nbecomes visible on administrative datasets. Closing this gap is important for policy, and \npart of the reason for its existence is the lack of incidence estimates. Evidence also \nsuggests epidemics spread from area to area, so it is important to monitor local as well \nas national trends. \n\niii)**The social harm that can arise:**Though research suggests that not all OCUs resort to \n\nacquisitive crime to help finance their drug use, numerous studies show that a \nproportion consistently do and these individuals can be extremely prolific offenders \n(Morgan, 2014). One study by Frontier Economics estimated that the average lifetime \ncost to society of an injecting drug user was £445,000 from crime alone. Hence \nanalysing and identifying new OCUs is a policy priority (Frontier Economics, 2010). \n\nThere are two inter-connected reasons why regular national incidence estimates have not been \nattempted before5. The first is that data on this issue are sparse given the ‘hidden’ nature of \nopiate/crack markets and that date of first use is not something that gets recorded at the \nmoment it actually occurs. The second reason, which flows from the first, is that current \n\n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few \n\nindividuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to \nacquisitive crime at all (Morgan, 2014). \n\n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at \nvarious different levels of geography, see for example: De Angelis et al., 2004, Millar et al., 2001 and Hickman et al., 2001.", + "page_start": 3, + "page_end": 3, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "New opiate and crack-cocaine users: characteristics and trends 4", + "page_start": 3, + "page_end": 3, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Figure 10: New treatment presentations for opiate/crack use.**\n\n\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for \nopiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a \ndecrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics \nhave been missed before (see Morgan, 2014), and the potential social harm that a fresh \nincrease in new OCUs could cause, further analysis was conducted on the most recent data to \ntry and determine whether the apparent flattening in trends was actually caused by the early \nstages of a significant surge in new users. \n\nThe treatment data was broken down by age to check whether the slight fall in total new \npresentations in 2014/15 masked an increase in younger treatment presentations. This showed \ninstead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to \n3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a \nfaster rate over the last year than for those aged over-25. Furthermore, separate statistics \nproduced for those in treatment aged 18-and-under also show a fall in aggregate numbers in \ntreatment for opiates and crack. \n\nWe also looked at trends at the local level, given that previous epidemics have started in very \nspecific areas and have taken several years to spread nationally. This means that the start of an \nepidemic can be hidden in the national data because it has not reached enough areas to \nregister. \n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment \nbefore. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously. \n\nNew opiate and crack-cocaine users: characteristics and trends 27", + "page_start": 26, + "page_end": 26, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", + "page_start": 9, + "page_end": 9, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005**\n**and 2013, by age of individual at first presentation.**\n\n\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age \nprofile throughout. Rises in average age of initiation have also been reported recently in cohorts \nof Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible \nexplanations. \n\n There is a genuine shift towards new initiates being older, and for them to present to \n\ntreatment much faster than in previous years. \n\n There is a consistent, but small number of individuals who mis-report their age of onset \n\nwhen attending treatment i.e. who report that they have only been using opiates/crack for \na short period when in fact they have been using for a far longer period, and that this is \nstarting to really bias the numbers for recent cohorts because attendees from the original \nepidemic are becoming smaller. \n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of \nolder initiates, although mis-reporting may also explain that phenomenon. Either way though, as \nthis analysis has made clear throughout, absolute numbers of new OCUs appear to be small – \nprobably fewer than 10,000 per annum and the numbers of those involved with crime will be \nsmaller still. In addition, despite a flattening in the probable trend in new users, there is currently \nno sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to \nresume, though clearly it remains important to monitor the situation.", + "page_start": 28, + "page_end": 28, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "involved opiate/crack users will quit (or die) before being arrested and tested; 3) DIP’s geographical coverage is not 100 per \ncent; 4) Some may evade arrest through the entire series; and 5) Evidence suggests OCUs cycle in and out of periods of \nregular use and offending rather than offend at a high rate continuously. But clearly the gradual capture of the pre-existing \npopulation creates a big enough bias such that we cannot read the figures for new positive testers simply as an incidence \ntrend for crime-involved opiate/crack users. \n\nNew opiate and crack-cocaine users: characteristics and trends 17", + "page_start": 16, + "page_end": 16, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Figure 8: Comparison of new DIP and treatment cohorts, by age**\n\n\n\nThe DIP cohort has a far older age profile even than the 2014 cohort of treatment initiates, who \nthemselves have a far older age-of-initiation profile than previous treatment cohorts. As such, it \nseems highly unlikely that all, or even most, of the 4,281 positive testers in 2013 are new \ninitiates. \n\nOf course, even if just the small number of DIP testers (78716) who were aged under 25 in 2013 \nwere considered to be new initiates, this would still need to be multiplied up by three factors to \nprovide an estimate for total new initiates: i) the non-arrest rate (to account for the fact that only \na proportion of crime-involved initiates will get arrested in a given year); ii) the fact that DIP’s \ncoverage (in terms of age, geography and PNC-referenced individuals) is not 100 per cent; iii) \nthe likelihood that up to half of all new initiates will not be involved with crime at all. As an \nillustration, multiplying up 787 by these factors produces a figure close to 10,000.17 \n\nThese calculations are speculative and based on a number of assumptions. They are intended \nas a sense-check on the results for the next section. The fragility of the modelling should not \ndetract from the simple fact that the absolute number of new positive testers in 2013 is low \nrelative to the estimated size of the total population. This alone suggests that numbers of new \nusers in 2013 is markedly lower than in previous years. \n\n16 The figure in Table 8 is 721, but adjusting for the missing month of data this becomes 787. \n17 Assuming an arrest rate of 17% (see appendix), and that 50% of OCUs do not commit acquisitive crime (Gossop et al., \n2003) and the coverage figures shown in the appendix. \n\nNew opiate and crack-cocaine users: characteristics and trends 21", + "page_start": 20, + "page_end": 20, + "source_file": "legal2_opengouvernementlicense.pdf" + } + ] + }, + { + "references": { + "source_file": "legal2_opengouvernementlicense.pdf", + "query": "According to the National Database Treatment Monitoring System, how many people started using opiates/crack between 2005 and 2014?", + "target_page": 22, + "target_passage": " Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014", + "chunk_present": { + "presence": true, + "index": 1 + } + }, + "top_chunk": [ + { + "text": "Reading down the year columns, the table shows that of the 6,449 people who presented for \nopiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another \n470 said they started using in 2006, and so on. \n\nReading across the table shows that of all those who said they began using opiates/crack in \n2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per \ncent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from \nTable 12). Another 1,508 presented for the first time a year later, and so on. The first number in \nthe totals column (8,960) therefore represents all individuals who said they began using in 2005. \nIt is therefore the ‘observed’ incidence level. The column to the right of this is the cumulative \npercentages from the estimated lag-to-treatment distribution in Table 12. This shows the \n\notherwise similar data (i.e. first treatment presentation and year of initiation) from OCUs attending treatment in the \nManchester area. \n21 Note that the data for 2014 only includes Jan–Oct as this was all that was available. Hence we do not do not attempt to \n\ncalculate an incidence estimate for 2014 and we adjust all the values in that column by multiplying by (12/10) to account for \nthe missing months. \n\nNew opiate and crack-cocaine users: characteristics and trends 24", + "page_start": 23, + "page_end": 23, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "This section uses treatment data from the National Database Treatment Monitoring System \n(NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the \nnumbers of people presenting to services with problem drug misuse and information about the \ndrug treatment they receive. All drug treatment agencies in England provide a basic level of \ninformation to the NDTMS on their activities each month. The data for this report included all \nunique individuals presenting to treatment with opiates or crack-cocaine listed as their primary \ndrug between 2005 and 2014. All individuals whose age of first use was listed as below ten or \nbefore 2005 were then excluded. Excluding individuals who started using opiates/crack before \n2005 resulted in a large number of records being left out, due to the fact that the majority of the \ntreatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack \nuse surged in the UK. However, this exclusion is necessary for the incidence methodology, as \nexplained later in this section. The remaining dataset included 52,829 individuals, as shown in \nTable 10. \n\n**Table 10: Descriptive statistics from the NDTMS data.**\n\n| | | | Number of\nindividuals\nexcluded | | | Total number\nof individuals\nanalysed | | |\n|---|---|---|---|---|---|---|---|---|\n| | | | Number of individuals excluded | | | Total number of individuals analysed | | |\n| | Reason for exclusion | | | | | | | |\n| | | | | | | | | |\n| Initial sample prior to exclusion | | | 0 | | | 243,588 | | |\n| No age at first use recorded or age was below 10 or higher than age at first treatment | | | | | | | | |\n| | | | | 443 | | | 243,145 | |\n| | | | | | | | | |\n| | Year of first use before 2005 | | | 190,316 | | | 52,829 | |\n| Percentage of total sample initiating 2005–14 | | | | | | | | |\n| | | | | n/a | | | 21.7% | |\n| | | | | | | | | |\n\n\nThe majority of those presenting for treatment between 2005 and 2014 started using \nopiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an \nopiate/crack initiation date between 2005 and 2014. This suggests an average of just under \n5,000 new starters per year during this period. But this would be an under-estimate of incidence \nbecause it is likely that some of those who began use between 2005 and 2014 would not yet \nhave come to treatment during that period. \n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar et \nal. (2001) and Hickman et al. (2001). These papers discuss the methodology in detail. \n\nIn brief, the method uses the lag-to-treatment distribution for the sample coupled with the \nnumber of new treatment presentations in a given year to estimate OCU incidence in that year. \nSo, when presenting to treatment, all individuals are asked to provide the year in which they first \nbegan using their primary drug, which for this analysis was limited to opiates and/or crack- \nNew opiate and crack-cocaine users: characteristics and trends 22", + "page_start": 21, + "page_end": 21, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Executive summary**\n\nThis paper uses a range of datasets and methodologies to: \n\n obtain working estimates for the number of individuals in England who started using \n\nopiates/crack from 2005 to 2013;1 \n\n examine the characteristics of these individuals. \n\nThe main findings of the paper are as follows. \n\n \n\nIt is estimated that around 5,000 to 8,000 individuals started using opiates or crack- \ncocaine in 2013. There is a high degree of uncertainty around this figure due to the \nsparse data on this population, but sense-checks based on treatment and criminal justice \nsystem data suggest the true figure is unlikely to be much larger than 10,000. \n\n Data also suggest that the number of current opiate/crack initiates involved with crime \n\nmay be even lower. The number of arrestees testing positive for the first time for opiates \n(or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first \n11 months of 2013, a fall of around 70 per cent2. Furthermore, of the new positive testers \nin 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a \nproportion of the true population, it does suggest that the number of new, young initiates \ninvolved with crime – those who have the potential to inflict most societal harm – has \ndecreased markedly, probably just to a few thousand per year; and that this group now \nmake up a small minority of the total number of opiate/crack-cocaine users (estimated to \nbe 294,000 in 2011/12), most of whom are older, longer-term users. \nIn terms of trends in new opiate/crack-cocaine users, all available data suggest that \nfigures have dipped by at least a fifth since 2005 and have dropped hugely since the late \n1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very \nrapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the \nepidemic years, published estimates of new opiate/crack-cocaine users in Manchester \nand Bolton show rates more than 11 times larger. \n\n However, the findings also suggest that between 2011 and early 2014, the number of \n\nnew opiate/crack-cocaine users stopped decreasing and instead stabilised at a \n(historically) low level. Further analysis was conducted to try and determine whether this \nwas a precursor to a new rise in initiates. Though the data are not totally conclusive, the \nresults suggest that a marked increase in new opiate/crack-cocaine users in the near \nfuture is unlikely. If anything, findings suggested that the downward trend may be set to \nresume. \n\n Analysis also revealed some possible changes in characteristics of the new opiate/crack- \ncocaine initiates. There is a trend in the treatment data towards new initiates coming to \ntreatment earlier in their drug-using careers than previous cohorts and also to have \n\n1 At the time of writing, data was unavailable for the period after November 2013. \n2 \n3 787 if adjusted for the missing month. \nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. \n\nNew opiate and crack-cocaine users: characteristics and trends", + "page_start": 2, + "page_end": 2, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Figure 10: New treatment presentations for opiate/crack use.**\n\n\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for \nopiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a \ndecrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics \nhave been missed before (see Morgan, 2014), and the potential social harm that a fresh \nincrease in new OCUs could cause, further analysis was conducted on the most recent data to \ntry and determine whether the apparent flattening in trends was actually caused by the early \nstages of a significant surge in new users. \n\nThe treatment data was broken down by age to check whether the slight fall in total new \npresentations in 2014/15 masked an increase in younger treatment presentations. This showed \ninstead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to \n3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a \nfaster rate over the last year than for those aged over-25. Furthermore, separate statistics \nproduced for those in treatment aged 18-and-under also show a fall in aggregate numbers in \ntreatment for opiates and crack. \n\nWe also looked at trends at the local level, given that previous epidemics have started in very \nspecific areas and have taken several years to spread nationally. This means that the start of an \nepidemic can be hidden in the national data because it has not reached enough areas to \nregister. \n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment \nbefore. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously. \n\nNew opiate and crack-cocaine users: characteristics and trends 27", + "page_start": 26, + "page_end": 26, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "This report has attempted to draw together available data and evidence to estimate the number \nof new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look \nbriefly at their characteristics. This is important as previous research has suggested that – \nmostly through the actions of a minority - this group has the potential to have a large impact on \ncrime trends and therefore to impose significant societal costs. \n\nThough data on this population is imperfect, a number of different data sources and \nmethodologies are available to estimate OCU incidence. From these, three key conclusions \nemerge: \n\n The number of new opiate/crack users is clearly far lower now than it was in the 1980s \n\nand early 1990s and has even dropped 20-45% since 2005. \n\n This means numbers of new users in 2013 may be around 5,000-8,000 with an \n\napproximate upper bound of 10,000; and numbers involved with prolific criminality will be \nlower still. \n\n The downward trend in new OCUs has flattened since about 2011, but available data do \nnot suggest that this is the precursor to a new increase. If anything, the downward trend \nmay resume in 2014, though the situation requires further monitoring. \n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the \narrestee data showed that a proportion of these are likely to offend over a long period of time. \nBut also, there was some evidence of a shift to older initiates, which may require a slightly \ndifferent treatment approach.", + "page_start": 29, + "page_end": 29, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "cocaine. From this information it is possible to create a distribution, for all presentations, of the \nlag-time between initiation and their first presentation at treatment. This might show – for \nexample – that only ten per cent of all individuals presenting to treatment do so in the first year \nof use, but that 25 per cent present within two years, and so on. This means that for each year, \nwe can estimate the number of individuals who have begun an opiate-crack career but who \nhave yet to come to treatment. Adding these to the numbers who began in that year and have \ncome to treatment gives our total incidence estimate for each year. \n\nThe first model uses NDTMS data for the cohort starting use in 2005 (n=8,960), the lag-time \ndistribution for those initiating use in 2005 and presenting to treatment between 2005 and \n201418 is shown below. \n\n**Table 11: Time-to-treatment distribution for those initiating use in 2005 and presenting to**\n**treatment between 2005 and 2014.19**\n\n| Lag time to\ntreatment (years) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Lag time to treatment (years) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | 0-1 | | | 1-2 | | | 2-3 | | | 3-4 | | | 4-5 | | | 5-6 | | | 6-7 | | | 7-8 | | | 8-9 | | | 9-10 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | Percentage | | | 15% | | | 17% | | | 17% | | | 14% | | | 10% | | | 9% | | | 6% | | | 5% | | | 4% | | | 4% | |\n| Cumulative percentage | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | 15% | | | 31% | | | 49% | | | 62% | | | 73% | | | 82% | | | 88% | | | 92% | | | 96% | | | 100% | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n\n\nTable 11 shows that 15 per cent of the individuals who started use in 2005 and had presented \nfor treatment by 2014, presented within one year of initiation. A further 17 per cent presented \nbetween one and two years after initiation, prior to coming to treatment, meaning that overall 31 \nper cent of the sample said they came to treatment within two years of first using opiates/crack. \n(The fact this is not 32% is simply due to rounding).", + "page_start": 22, + "page_end": 22, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "initiated use at an older age. Currently it is not possible to determine whether this is a \nreporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users. \n\n The report has several important policy implications. Even though numbers of new \ninitiates involved with crime have dropped to the low thousands, putting downward \npressure on crime, identification and early diversion to treatment remains paramount. \nFrontier Economics have estimated that the average4 lifetime crime cost of an injecting \ndrug user is £445,000, so the potential for social harm – even from a small number of \nindividuals – remains large and potentially long-lasting. This means local areas need to \nmanage both the (relatively large) stock of current users, and the (much smaller) flow of \nnew initiates, whose treatment needs may be different. There is no evidence of any new \nepidemic in this country, but given the impact of the epidemic of the 80s and early 90s on \ncrime, ongoing monitoring of recent trends is required to spot early signs of any emerging \nproblems. \n\n**Aims and Methodology**\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use \nin driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates \nexist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al., 2013), \nthere are no estimates for the number of new OCUs each year (throughout this paper the \nnumber of new OCUs is also referred to as**‘incidence’**). This is important for three main \nreasons. \n\ni)**Stock and flows:**Simply knowing the stock of OCUs tells us nothing about the flows in \nand out – i.e. if the stock were constant each year that could mean that no one starts \nusing these drugs and no one quits or it could mean all existing users quit but that they \nare wholly replaced by new users, or any similar scenario in between. Clearly the policy \nresponse would need to be quite different for each of these cases, so knowing the true \nsituation is important. \n\nii)**Early-warning system:**Research by the Home Office and others has shown that there \nis generally a lag between the start of a heroin/crack epidemic and the point at which it \nbecomes visible on administrative datasets. Closing this gap is important for policy, and \npart of the reason for its existence is the lack of incidence estimates. Evidence also \nsuggests epidemics spread from area to area, so it is important to monitor local as well \nas national trends. \n\niii)**The social harm that can arise:**Though research suggests that not all OCUs resort to \n\nacquisitive crime to help finance their drug use, numerous studies show that a \nproportion consistently do and these individuals can be extremely prolific offenders \n(Morgan, 2014). One study by Frontier Economics estimated that the average lifetime \ncost to society of an injecting drug user was £445,000 from crime alone. Hence \nanalysing and identifying new OCUs is a policy priority (Frontier Economics, 2010). \n\nThere are two inter-connected reasons why regular national incidence estimates have not been \nattempted before5. The first is that data on this issue are sparse given the ‘hidden’ nature of \nopiate/crack markets and that date of first use is not something that gets recorded at the \nmoment it actually occurs. The second reason, which flows from the first, is that current \n\n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few \n\nindividuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to \nacquisitive crime at all (Morgan, 2014). \n\n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at \nvarious different levels of geography, see for example: De Angelis et al., 2004, Millar et al., 2001 and Hickman et al., 2001.", + "page_start": 3, + "page_end": 3, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "methods for calculating incidence are complicated and imperfect. It should be acknowledged in \nadvance that this paper does not fully resolve these issues. It is merely intended as a first step, \nto obtain workable estimates upon which to base policy until more sophisticated methods are \ndeveloped. That said, every effort is made in this analysis to sense-check the results against \nother available datasets. The datasets used and the structure of the paper is as follows. \n\ni)**Drug Interventions Programme (DIP) data.**In part one, we produce general \n\ndescriptive statistics from these data, which capture individuals who test positive for \nopiates/crack-cocaine following arrest or charge. Due to the limitations in coverage of \nthese data over time, we draw only broad conclusions, some of which act as a sense- \ncheck for the main results from part two. \n\nii)**Data on presentations to treatment from the National Drug Treatment Monitoring**\n**System (NDTMS).**In part two, we use two models based on previous research papers \nto calculate OCU incidence at the national level between 2005 and 2013. Most of the \nmain conclusions come from this section.", + "page_start": 4, + "page_end": 4, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", + "page_start": 9, + "page_end": 9, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the \nfact that DIP ceased to be a nationally funded programme in April 2013. \n\nThese data do show, however, that from 2006 onwards, between a third and half of all \nacquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those \ntests (depending on the year) resulted in a positive result for opiates-only or for both opiates and \ncocaine (hereafter labelled `positive-for-both’). \n\nThe reason for highlighting only the opiates-only and the `positive-for-both’ test results is that \nthe primary group of interest in this report are opiate and crack-cocaine users. To capture this \ngroup, cocaine-only tests must be excluded because DIP tests cannot distinguish between \npowder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous \nevidence has demonstrated that while there is much overlap between heroin and crack-cocaine \ncohorts (i.e. many of those who use heroin also use crack-cocaine), powder-cocaine users have \na quite different profile and are far less likely to be involved with acquisitive crime. Excluding the \ncocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who \nare not also using opiates or crack), but it also means we may miss some crack-cocaine-only \nusers, hence the figures may under-estimate the true population of OCUs slightly. \n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the \nperiod was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests \n(noting that the same individual may be included several times if they gave multiple positive \ntests). \n\n**Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\n| Opiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats\nby the same individual) | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Opiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats by the same individual) | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | Age | | | | | | Year of birth | | | | |\n| | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | Number of tests | | | 364,537 | | | Number of tests | | | 364,537 | |\n| | | | | | | | | | | | |\n| Mean | | | 32 | | | Mean | | | 1977 | | |\n| Median | | | 31 | | | Median | | | 1977 | | |\n| Mode | | | 28 | | | Mode | | | 1979 | | |\n| Minimum | | | 18 | | | Minimum | | | 1960 | | |\n| Maximum | | | 53 | | | Maximum | | | 1995 | | |\n\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these \nindividuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given \nevidence suggesting that the average age of initiation for opiate/crack use is around 18–20 \n(Millar et al., 2001), this age profile would tentatively suggest that OCU incidence also peaked in \nthe 1990s and that this created a large cohort of users who would be approaching 40 today. \n\nThe minimum and maximum years of birth are fixed by construction, because anyone born", + "page_start": 8, + "page_end": 8, + "source_file": "legal2_opengouvernementlicense.pdf" + } + ] + }, + { + "references": { + "source_file": "legal2_opengouvernementlicense.pdf", + "query": "What proportion of opiate users tested in 2004 were still positive a decade later?", + "target_page": 18, + "target_passage": "Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest)", + "chunk_present": { + "presence": true, + "index": 8 + } + }, + "top_chunk": [ + { + "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", + "page_start": 9, + "page_end": 9, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or**\n**positive-for-both as a proportion of all individuals first testing positive in that year.**\n\n| | | | | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | | | | | | | | | | | |\n| | Year of | | | Age | | | Age | | | Age | | | Age | | | Age | | | | |\n| | first test | | | 18 - 24 | | | 25 - 29 | | | 30 - 34 | | | 35 - 39 | | | 40 over | | | Total | |\n| | | | | | | | | | | | | | | | | | | | | |\n| 2004 | | | 26% | | | 27% | | | 24% | | | 16% | | | 7% | | | 100% | | |\n| 2005 | | | 23% | | | 27% | | | 24% | | | 17% | | | 9% | | | 100% | | |\n| 2006 | | | 25% | | | 26% | | | 22% | | | 17% | | | 11% | | | 100% | | |\n| 2007 | | | 24% | | | 25% | | | 21% | | | 16% | | | 13% | | | 100% | | |\n| 2008 | | | 21% | | | 23% | | | 21% | | | 18% | | | 16% | | | 100% | | |\n| 2009 | | | 23% | | | 22% | | | 20% | | | 17% | | | 18% | | | 100% | | |\n| 2010 | | | 22% | | | 21% | | | 20% | | | 17% | | | 20% | | | 100% | | |\n| 2011 | | | 22% | | | 19% | | | 20% | | | 16% | | | 22% | | | 100% | | |\n| 2012 | | | 19% | | | 20% | | | 22% | | | 17% | | | 23% | | | 100% | | |\n| 2013 | | | 17% | | | 20% | | | 22% | | | 16% | | | 25% | | | 100% | | |\n\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the \nnumber and the proportion of new positive testers. However, the proportion of those aged 40+ \nhas consistently risen and now constitutes the largest group of all new individuals testing \npositive. \n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very \ndifferent age profile to that we would expect from a cohort of recent initiates. It is far older, \nsuggesting again that many of those are actually pre-existing users only tested (positively) for \nthe first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence \ndemonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to \nbe longer-term users who have only been first arrested in 2013, rather than genuinely new \nOCUs. \n\nIn the next section, analysis will examine whether there has been a possible shift towards an \nolder profile amongst new initiates. But even taking this into account, it is unlikely that the \nmajority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 \nbelow, which compares the age-of-initiation curve from Figure 11 (in the next section) to the \n2013 ‘new-individuals’ cohort in the DIP data.", + "page_start": 19, + "page_end": 19, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Table 5: Table showing trends in total positive opiates-only or positive-for-both., in unique**\n**individuals testing positive, and in new individuals testing positive.**\n\n\n\nOf central interest for this paper is the third row which shows numbers of individuals testing \npositive for opiates only or were positive-for-both for the first time. All the previous caveats \nabout DIP trends need to be borne in mind when looking at those figures. Clearly the rise in new \npositive testers in the early period will be affected by the changes to DIP coverage through \nthose years, as possibly will the sharp fall in positive testers in the latter period. However, \ngraphing the data (see the red line in Figure 7 below) shows that the fall from 14,750 new \npositive testers in 2006 to 4,281 in 2013, is not only large (the drop is around 70 per cent even if \nwe use the adjusted figure for 2013) but also more or less linear. This means that there is no \nimmediate reason to suggest that the 2013 figures are artificially low due to changes in DIP \ncoverage (i.e. the fact that DIP ceased to be a centrally funded programme in April of that year). \nTaken together, the data from the period post-2006 (when DIP had achieved a high level of \ncoverage) certainly appear to show that the number of new crime-involved OCUs is unlikely to \nbe rising and may be falling markedly, see Figure 7. \n\n11 Individuals may have more than one positive test in a given year, which is why the numbers for tests are higher than the \nnumbers for individuals. Similarly, even new individuals not previously testing positive in a given year, may have multiple \npositive tests in the first year in which they test positive. \n\nNew opiate and crack-cocaine users: characteristics and trends 15", + "page_start": 14, + "page_end": 14, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | Number of unique individuals with positive opiate/opiate + cocaine tests per year | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | First test year | | | 2004 | | | 2005 | | | 2006 | | | 2007 | | | 2008 | | | 2009 | | | 2010 | | | 2011 | | | 2012 | | | 2013 | | | Adjusted 2013 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2004 | | | 12,246 | | | 3,171 | | | 3,299 | | | 3,090 | | | 2,992 | | | 2,573 | | | 2,311 | | | 1,766 | | | 1,513 | | | 1,092 | | | 1,191 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2005 | | | | | | 10,539 | | | 3,020 | | | 2,539 | | | 2,478 | | | 2,083 | | | 1,844 | | | 1,350 | | | 1,156 | | | 862 | | | 940 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2006 | | | | | | | | | 14,750 | | | 3,896 | | | 3,280 | | | 2,701 | | | 2,507 | | | 1,819 | | | 1,610 | | | 1,140 | | | 1,244 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2007 | | | | | | | | | | | | 13,391 | | | 3,063 | | | 2,291 | | | 2,091 | | | 1,567 | | | 1,334 | | | 954 | | | 1,041 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2008 | | | | | | | | | | | | | | | 13,629 | | | 2,670 | | | 2,263 | | | 1,612 | | | 1,366 | | | 978 | | | 1,067 | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | 2009 | | | | | | | | | | | | | | | | | | 11,655 | | | 2,211 | | | 1,431 | | | 1,125 | | | 847 | | | 924 | |", + "page_start": 17, + "page_end": 17, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the \nfact that DIP ceased to be a nationally funded programme in April 2013. \n\nThese data do show, however, that from 2006 onwards, between a third and half of all \nacquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those \ntests (depending on the year) resulted in a positive result for opiates-only or for both opiates and \ncocaine (hereafter labelled `positive-for-both’). \n\nThe reason for highlighting only the opiates-only and the `positive-for-both’ test results is that \nthe primary group of interest in this report are opiate and crack-cocaine users. To capture this \ngroup, cocaine-only tests must be excluded because DIP tests cannot distinguish between \npowder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous \nevidence has demonstrated that while there is much overlap between heroin and crack-cocaine \ncohorts (i.e. many of those who use heroin also use crack-cocaine), powder-cocaine users have \na quite different profile and are far less likely to be involved with acquisitive crime. Excluding the \ncocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who \nare not also using opiates or crack), but it also means we may miss some crack-cocaine-only \nusers, hence the figures may under-estimate the true population of OCUs slightly. \n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the \nperiod was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests \n(noting that the same individual may be included several times if they gave multiple positive \ntests). \n\n**Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\n| Opiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats\nby the same individual) | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Opiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats by the same individual) | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | Age | | | | | | Year of birth | | | | |\n| | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | Number of tests | | | 364,537 | | | Number of tests | | | 364,537 | |\n| | | | | | | | | | | | |\n| Mean | | | 32 | | | Mean | | | 1977 | | |\n| Median | | | 31 | | | Median | | | 1977 | | |\n| Mode | | | 28 | | | Mode | | | 1979 | | |\n| Minimum | | | 18 | | | Minimum | | | 1960 | | |\n| Maximum | | | 53 | | | Maximum | | | 1995 | | |\n\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these \nindividuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given \nevidence suggesting that the average age of initiation for opiate/crack use is around 18–20 \n(Millar et al., 2001), this age profile would tentatively suggest that OCU incidence also peaked in \nthe 1990s and that this created a large cohort of users who would be approaching 40 today. \n\nThe minimum and maximum years of birth are fixed by construction, because anyone born", + "page_start": 8, + "page_end": 8, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Table 7: Number of unique individuals testing positive for opiates-only or positive-for-both,**\n**by year of first positive test.**", + "page_start": 17, + "page_end": 17, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "**Executive summary**\n\nThis paper uses a range of datasets and methodologies to: \n\n obtain working estimates for the number of individuals in England who started using \n\nopiates/crack from 2005 to 2013;1 \n\n examine the characteristics of these individuals. \n\nThe main findings of the paper are as follows. \n\n \n\nIt is estimated that around 5,000 to 8,000 individuals started using opiates or crack- \ncocaine in 2013. There is a high degree of uncertainty around this figure due to the \nsparse data on this population, but sense-checks based on treatment and criminal justice \nsystem data suggest the true figure is unlikely to be much larger than 10,000. \n\n Data also suggest that the number of current opiate/crack initiates involved with crime \n\nmay be even lower. The number of arrestees testing positive for the first time for opiates \n(or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first \n11 months of 2013, a fall of around 70 per cent2. Furthermore, of the new positive testers \nin 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a \nproportion of the true population, it does suggest that the number of new, young initiates \ninvolved with crime – those who have the potential to inflict most societal harm – has \ndecreased markedly, probably just to a few thousand per year; and that this group now \nmake up a small minority of the total number of opiate/crack-cocaine users (estimated to \nbe 294,000 in 2011/12), most of whom are older, longer-term users. \nIn terms of trends in new opiate/crack-cocaine users, all available data suggest that \nfigures have dipped by at least a fifth since 2005 and have dropped hugely since the late \n1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very \nrapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the \nepidemic years, published estimates of new opiate/crack-cocaine users in Manchester \nand Bolton show rates more than 11 times larger. \n\n However, the findings also suggest that between 2011 and early 2014, the number of \n\nnew opiate/crack-cocaine users stopped decreasing and instead stabilised at a \n(historically) low level. Further analysis was conducted to try and determine whether this \nwas a precursor to a new rise in initiates. Though the data are not totally conclusive, the \nresults suggest that a marked increase in new opiate/crack-cocaine users in the near \nfuture is unlikely. If anything, findings suggested that the downward trend may be set to \nresume. \n\n Analysis also revealed some possible changes in characteristics of the new opiate/crack- \ncocaine initiates. There is a trend in the treatment data towards new initiates coming to \ntreatment earlier in their drug-using careers than previous cohorts and also to have \n\n1 At the time of writing, data was unavailable for the period after November 2013. \n2 \n3 787 if adjusted for the missing month. \nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. \n\nNew opiate and crack-cocaine users: characteristics and trends", + "page_start": 2, + "page_end": 2, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "| Table 3: Descriptive statistics for the DIP positive opiate-only/positive-for-both tests in which an individual can be identified with a PNC number. | | | |\n|---|---|---|---|\n| All positive opiate/opiate+cocaine tests (including repeats) that were recorded on PNC; England 2004–2013 | | | |\n| Age | | Year of birth | |\n| Number of tests | 296,008 | Number of tests | 296,008 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\n\nThe age and year of birth distributions are also similar and are shown in the Appendix. Thus, for \nthe majority of the analysis that follows, tests with no PNC number were excluded.10 \n\nThe charts and tables above use data from all positive tests, so will include cases where the \nsame individual has tested positively on more than one occasion. The following data look just at \nthe first test for each individual testing positive for opiates-only or positive-for-both. \n\n**Table 4: Descriptive statistics on first positive opiate-only/positive-for-both tests.**\n\n| First positive opiate/opiate+cocaine tests (unique individuals) | | | |\n|---|---|---|---|\n| First positive opiate/opiate+cocaine tests (unique individuals) | | | |\n| Age | | Year of birth | |\n| Number of tests | 104,817 | Number of tests | 104,817 |\n| Mean | 31 | Mean | 1977 |\n| Median | 30 | Median | 1977 |\n| Mode | 27 | Mode | 1980 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\n\nThere were just over 100,000 unique individuals who tested positive for opiates-only or positive- \nfor-both between 2004 and 2013. The distribution of the 296,008 positive tests these individuals \ngave, shows that the vast majority (55%) were only tested once (see Figure 4), which is likely to \nbe why the age statistics are quite similar between Table 3 and Table 4. However, within this \n\n10 Examining the data it is also clear that some areas recorded a higher proportion of cases without a PNC number than \nothers. Thus excluding these cases further affects the variation in geographic coverage across time. See Appendix for more. \n\nNew opiate and crack-cocaine users: characteristics and trends 12", + "page_start": 11, + "page_end": 11, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "These tables can be read both horizontally and vertically. Reading vertically (i.e. down the \ncolumns) it can be observed, for example, that of the 12,353 individuals with a positive test in \n2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive \nat least once in 2010 or before. \nReading horizontally – for example from left to right across the first row – it can be concluded \nthat of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; \n3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show \nwhether those who had a subsequent test in 2005 were the same individuals as those who had \na subsequent test in 2006. So reading the results of the two tables together, we can say that \n12,246 individuals had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in \n2005, resulting in 5,604 positive tests because some tested positive more than once in that \nyear. The last figure in each column gives the number of new users that year (10,539 in 2005, \n14,750 in 2006 and so on). \n\nThere are several observations to be drawn from these tables. First, it is clear that a proportion \nof opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of \nindividuals who tested positive for opiates at charge in 2004 also tested positive nearly a \ndecade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive \nin 2013, 1,092 (8.9%) had also tested positive almost a decade earlier. \n\nSecond, in relation to incidence, these numbers also allow for some back-of-the-envelope \nmodelling to address the extent to which the figure of 4,281 individuals, who are new positive \ntesters in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the \nfigures for 2008, when DIP was fully up and running, we know that around 25,000 unique \nindividuals had positive tests that year. This can be combined with available estimates of the \ntotal OCU population (Hay et al., 2013) and the proportion who are likely to be offending \n(Gossop et al., 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about \n150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per \nNew opiate and crack-cocaine users: characteristics and trends 18", + "page_start": 17, + "page_end": 17, + "source_file": "legal2_opengouvernementlicense.pdf" + }, + { + "text": "cent (25,000/150,000).14 It is then possible to model how many of the original population of \ncrime-involved OCUs would be likely to test positive in any given year. For example, if there \nwere 150,000 crime-involved OCUs in 2008, the chances of one of that group having a first test \nin 2013, providing they remained a crime-involved OCU throughout the period 2004–2013 is \ngiven by: \n\n(1*–*probability of arrest)^8 = chance of not getting caught between 2004 and 2012 \n\nMultiplied by: \n\nProbability that they do get arrested in 2013 \n\nThis can then be calculated for a range of plausible values for the initial number of OCUs, and \nhence range of arrest rates, to give a range of plausible values for the number of new testers in \n2013 who were actually longer-term users. The results of this modelling suggest that we would \nexpect about 2,400–7,000 new positive tests from individuals who are actually longer-term \nOCUs.15 So the fact we only see 4,281 in the real data suggests that genuinely new initiates \nmay be a minority within this figure, as many (probably most) will be from the original cohort. \n\nThis is further reinforced by the next set of analyses, which break down the data on new positive \ntests per year by age. Table 8 shows how numbers of unique individuals testing positive for the \nfirst time break down by year and by age group. The age breakdowns are shown first in \nabsolute numbers and in the second table as a proportion of all those with a first test in that \nyear. \n\n**Table 8: Unique individuals testing positive for opiates-only or positive-for-both, by age and**\n**by year of first test.**\n\n| Year of first\ntest | | | | | | | | | | | | | Age 40\nover | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| Year of first test | | | | | | | | | | | | | Age 40 over | | | |\n| | | Age 18-24 | | | Age 25-29 | | | Age 30-34 | | | Age 35-39 | | | | Total | |\n| | | | | | | | | | | | | | | | | |\n| 2004 | 3,150 | | | 3,319 | | | 2,938 | | | 1,958 | | | 881 | 12,246 | | |\n| 2005 | 2,391 | | | 2,832 | | | 2,548 | | | 1,791 | | | 977 | 10,539 | | |\n| 2006 | 3,635 | | | 3,768 | | | 3,275 | | | 2,491 | | | 1,580 | 14,749 | | |\n| 2007 | 3,182 | | | 3,359 | | | 2,869 | | | 2,178 | | | 1,803 | 13,391 | | |\n| 2008 | 2,912 | | | 3,197 | | | 2,857 | | | 2,425 | | | 2,238 | 13,629 | | |\n| 2009 | 2,711 | | | 2,594 | | | 2,304 | | | 1,998 | | | 2,048 | 11,655 | | |\n| 2010 | 2,287 | | | 2,180 | | | 2,105 | | | 1,744 | | | 2,075 | 10,391 | | |\n| 2011 | 1,772 | | | 1,519 | | | 1,622 | | | 1,274 | | | 1,726 | 7,913 | | |\n| 2012 | 1,136 | | | 1,179 | | | 1,300 | | | 1,030 | | | 1,377 | 6,022 | | |\n| 2013 | 721 | | | 850 | | | 938 | | | 704 | | | 1,068 | 4,281 | | |\n| Total | 23,897 | | | 24,797 | | | 22,756 | | | 17,593 | | | 15,773 | 104,816 | | |", + "page_start": 18, + "page_end": 18, + "source_file": "legal2_opengouvernementlicense.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia5.pdf", + "query": "Who led the Fronde des princes?", + "target_page": 4, + "target_passage": "It was headed by the highest-ranking French nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Condé, attacked the rebels in Paris; the rebels were under the political control of Anne's \nold friend Marie de Rohan. Beaufort, who had escaped from the prison where Anne had \nincarcerated him five years before, was the military leader in Paris, under the nominal \ncontrol of Conti. After a few battles, a political compromise was reached; the Peace of \nRueil was signed, and the court returned to Paris. \n\nUnfortunately for Anne, her partial victory depended on Condé, who wanted to control the \nqueen and destroy Mazarin's influence. It was Condé's sister who pushed him to turn \nagainst the queen. After striking a deal with her old friend Marie de Rohan, who was able \nto impose the nomination of*Charles de l'Aubespine, marquis de Châteauneuf*as minister \nof justice, Anne arrested Condé, his brother Armand de Bourbon, Prince of Conti, and the \nhusband of their sister Anne Genevieve de Bourbon, duchess of Longueville. This situation \ndid not last long, and Mazarin's unpopularity led to the creation of a coalition headed \nmainly by Marie de Rohan and the duchess of Longueville. This aristocratic coalition was \nstrong enough to liberate the princes, exile Mazarin, and impose a condition of virtual \nhouse arrest on Queen Anne. \n1655 portrait of Louis, the Victor of \nthe Fronde, portrayed as the god \nJupiter \n\nAll these events were witnessed by Louis and \nlargely explained his later distrust of Paris and the higher aristocracy.[27] \"In one sense, \nLouis's childhood came to an end with the outbreak of the Fronde. It was not only that life \nbecame insecure and unpleasant – a fate meted out to many children in all ages – but that \nLouis had to be taken into the confidence of his mother and Mazarin on political and \nmilitary matters of which he could have no deep understanding\".[28] \"The family home \nbecame at times a near-prison when Paris had to be abandoned, not in carefree outings to \nother chateaux but in humiliating flights\".[28] The royal family was driven out of Paris \ntwice in this manner, and at one point Louis XIV and Anne were held under virtual arrest \nin the royal palace in Paris. The Fronde years planted in Louis a hatred of Paris and a \nconsequent determination to move out of the ancient capital as soon as possible, never to \nreturn.[29] \n\n\n\nJust as the first*Fronde*(the*Fronde parlementaire*of 1648–1649) ended, a second one (the \n*Fronde des princes*of 1650–1653) began. Unlike that which preceded it, tales of sordid \nintrigue and half-hearted warfare characterized this second phase of upper-class \ninsurrection. To the aristocracy, this rebellion represented a protest for the reversal of their \npolitical demotion from vassals to courtiers. It was headed by the highest-ranking French \nnobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of \nMontpensier, known as*la Grande Mademoiselle*; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of \nConti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and \nFrançois, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, \nand Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld. \n\nPortrait by Justus van Egmont \nbetween the years 1649–1652. \n\nQueen Anne played the most important role in defeating the Fronde because she wanted to transfer absolute authority to her son. \nIn addition, most of the princes refused to deal with Mazarin, who went into exile for a number of years. The*Frondeurs*claimed \nto act on Louis's behalf, and in his real interest, against his mother and Mazarin.", + "page_start": 3, + "page_end": 3, + "source_file": "wikipedia5.pdf" + }, + { + "text": "experiences during the*Fronde*, when men of high birth readily took up the rebel cause against their king, who was actually the \nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French \nRevolution about a century later. \n\n\n\n**France as the pivot of warfare**\n\nUnder Louis, France was the leading European power, and most wars pivoted around its \naggressiveness. No European state exceeded it in population, and no one could match its \nwealth, central location, and very strong professional army. It had largely avoided the \ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial \nsystem that was hard-pressed to pay for its military adventures, and the tendency of most \nother powers to gang up against it. \n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine \nYears' War, and the War of the Spanish Succession. There were also two lesser conflicts: \nthe War of Devolution and the War of the Reunions.[64] The wars were very expensive but \ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by \na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to \nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught \nhis diplomats that their job was to create tactical and strategic advantages for the French \nmilitary.[6] By 1695, France retained much of its dominance but had lost control of the seas \nto England and Holland, and most countries, both Protestant and Catholic, were in alliance \nagainst it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned \nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that \nFrance fight back by licensing French merchant ships to privateer and seize enemy \nmerchant ships while avoiding its navies: \n\nLouis XIV \n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in \nEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies \nin the East and West Indies; and Holland with all its possessions in the four corners of the world where it has \ngreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, \nDenmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states \nsecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting \nand covering their trade.[65] \n\nVauban was pessimistic about France's so-called friends and allies: \n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England \n[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all \nin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of \npeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they \nsupport it by making war against us in concert with the other powers, and they keep it going by means of the \nmoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method of \nconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more \nso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many \ngood officers for the King, and in a short time force his enemies to sue for peace.[66] \n\n**Edict of Fontainebleau**", + "page_start": 9, + "page_end": 9, + "source_file": "wikipedia5.pdf" + }, + { + "text": "People in France were complaining about the expansion of royal authority, the high rate of \ntaxation, and the reduction of the authority of the Parlement de Paris and other regional \nrepresentative entities. Paris erupted in rioting as a result, and Anne was forced, under \nintense pressure, to free Broussel. Moreover, on the night of 9–10 February 1651, when \nLouis was twelve, a mob of angry Parisians broke into the royal palace and demanded to \nsee their king. Led into the royal bed-chamber, they gazed upon Louis, who was feigning \nsleep, were appeased, and then quietly departed.[25] The threat to the royal family \nprompted Anne to flee Paris with the king and his courtiers. \n\nEurope after the Peace of \nWestphalia in 1648 \n\nShortly thereafter, the conclusion of the Peace of Westphalia allowed Condé's army to \nreturn to aid Louis and his court. Condé's family was close to Anne at that time, and he \nagreed to help her attempt to restore the king's authority.[26] The queen's army, headed by", + "page_start": 2, + "page_end": 2, + "source_file": "wikipedia5.pdf" + }, + { + "text": "famous throughout Europe. Composers and musicians such as Jean-Baptiste Lully, Jacques \nChampion de Chambonnières, and François Couperin thrived. In 1661, Louis founded the \nAcadémie Royale de Danse, and in 1669, the Académie d'Opéra, important driving events \nin the evolution of ballet. He also attracted, supported and patronized such artists as André \nCharles Boulle, who revolutionised marquetry with his art of inlay, today known as \n\"Boulle work\". Always on the lookout for new talent, the king launched music \ncompetitions: in 1683, Michel-Richard de Lalande thus became deputy master of the Royal \nChapel, composing his*Symphonies for the Soupers du Roy*along with 77 large scale \n*Grand Motets*. \n\nOver the course of four building campaigns, Louis converted a hunting lodge \ncommissioned by Louis XIII into the spectacular Palace of Versailles. Except for the \ncurrent Royal Chapel (built near the end of his reign), the palace achieved much of its \ncurrent appearance after the third building campaign, which was followed by an official \nmove of the royal court to Versailles on 6 May 1682. Versailles became a dazzling, awe- \ninspiring setting for state affairs and the reception of foreign dignitaries. At Versailles, the \nking alone commanded attention. \n\n\n\n\n\nSeveral reasons have been suggested for the \ncreation of the extravagant and stately palace, as \nwell as the relocation of the monarchy's seat. The \nmemoirist Saint-Simon speculated \nthat Louis \nviewed Versailles as an isolated power centre where \ntreasonous cabals could be more readily discovered and foiled.[62] There has also been \nspeculation that the revolt of the*Fronde*caused Louis to hate Paris, which he abandoned \nfor a country retreat, but his sponsorship of many public works in Paris, such as the \nestablishment of a police force and of street-lighting,[111] lend little credence to this theory. \nAs a further example of his continued care for the capital, Louis constructed the*Hôtel des*\n*Invalides*, a military complex and home to this day for officers and soldiers rendered \ninfirm either by injury or old age. While pharmacology was still quite rudimentary in his \nday, the*Invalides*pioneered new treatments and set new standards for hospice treatment. \nThe conclusion of the Treaty of Aix-la-Chapelle in 1668 also induced Louis to demolish \nParis's northern walls in 1670 and replace them with wide tree-lined boulevards.[112] \n\nThe*Cour royale*and the*Cour de*\n*marbre*at Versailles \n\nBust of Louis XIV by Gianlorenzo \nBernini \n\nLouis also renovated and improved the Louvre and other royal residences. Gian Lorenzo \nBernini was originally to plan additions to the Louvre; however, his plans would have meant the destruction of much of the \nexisting structure, replacing it with an Italian summer villa in the centre of Paris. Bernini's plans were eventually shelved in \nfavour of the elegant Louvre Colonnade designed by three Frenchmen: Louis Le Vau, Charles Le Brun, and Claude Perrault. With \nthe relocation of the court to Versailles, the Louvre was given over to the arts and the public.[113] During his visit from Rome, \nBernini also executed a renowned portrait bust of the king. \n\n**Image and depiction**\n\nFew rulers in world history have commemorated themselves in as grand a manner as Louis.[114] He cultivated his image as the \nSun King (*le Roi Soleil*), the centre of the universe \"without equal\". Louis used court ritual and the arts to validate and augment \nhis control over France. With his support, Colbert established from the beginning of Louis's personal reign a centralised and \ninstitutionalised system for creating and perpetuating the royal image. The King was thus portrayed largely in majesty or at war, \nnotably against Spain. This portrayal of the monarch was to be found in numerous media of artistic expression, such as painting, \nsculpture, theatre, dance, music, and the almanacs that diffused royal propaganda to the population at large.", + "page_start": 16, + "page_end": 16, + "source_file": "wikipedia5.pdf" + }, + { + "text": "1. Robert II of Worms and Rheingau (Robert of Hesbaye), 770–807 \n2. Robert III of Worms and Rheingau, 808–834 \n3. Robert IV the Strong, 820–866 \n4. Robert I of France, 866–923 \n5. Hugh the Great, 895–956 \n6. Hugh Capet, 941–996 \n7. Robert II of France, 972–1031 \n8. Henry I of France, 1008–1060 \n9. Philip I of France, 1053–1108 \n10. Louis VI of France, 1081–1137 \n11. Louis VII of France, 1120–1180 \n12. Philip II of France, 1165–1223 \n13. Louis VIII of France, 1187–1226 \n14. Louis IX of France, 1214–1270 \n15. Robert, Count of Clermont, 1256–1317 \n16. Louis I, Duke of Bourbon, 1279–1342 \n17. James I, Count of La Marche, 1319–1362 \n18. John I, Count of La Marche, 1344–1393 \n19. Louis, Count of Vendôme, 1376–1446 \n20. Jean VIII, Count of Vendôme, 1428–1478 \n21. François, Count of Vendôme, 1470–1495 \n22. Charles de Bourbon, Duke of Vendôme, 1489–1537 \n23. Antoine, King of Navarre, Duke of Vendôme, 1518–1562 \n24. Henry IV, King of France and of Navarre, 1553–1610 \n25. Louis XIII, King of France and Navarre, 1601–1643 \n26. Louis XIV, King of France and Navarre, 1638–1715 \n\n| Issue | | | |\n|---|---|---|---|\n| Name | Birth | Death | Notes |\n| By Maria Theresa, Infanta of Spain, Archduchess of Austria, Queen of France and of Navarre (20 September 1638 – 30 July 1683) | | | |\n| Louis, le Grand Dauphin | 1 November 1661 | 14 April 1711 | Fils de France. Dauphin of France (1661–1711). Had issue. Father of Louis, Dauphin of France, Philip V of Spain and Charles, Duke of Berry. Grandfather of Louis XV of France |\n| Anne Élisabeth | 18 November 1662 | 30 December 1662 | Fille de France. Died in infancy. |\n| Marie Anne | 16 November 1664 | 26 December 1664 | Fille de France. Died in infancy. |\n| Marie Thérèse | 2 January 1667 | 1 March 1672 | Fille de France. Known as Madame Royale and la Petite Madame. Died in childhood. |\n| Philippe Charles, Duke of Anjou | 5 August 1668 | 10 July 1671 | Fils de France. Died in childhood. |\n| Louis François, Duke of Anjou | 14 June 1672 | 4 November 1672 | Fils de France. Died in infancy. |", + "page_start": 24, + "page_end": 24, + "source_file": "wikipedia5.pdf" + }, + { + "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European \nterritories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, \nhis allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands.[102] \n\n\n\n**Personal life**\n\n**Marriages and children**\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted \nfor them in 1660. However, only one child, the eldest, survived to adulthood: Louis,*le*\n*Grand Dauphin*, known as*Monseigneur*. Maria Theresa died in 1683, whereupon Louis \nremarked that she had never caused him unease on any other occasion. \n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria \nTheresa. He took a series of mistresses, both official and unofficial. Among the better \ndocumented are Louise de La Vallière (with whom he had five children; 1661–1667), \nBonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), Françoise- \nAthénaïs, Marquise de Montespan (with whom he had seven children; 1667–1680), Anne \nde Rohan-Chabot (1669–1675), Claude de Vin des Œillets (one child born in 1676), \nIsabelle de Ludres (1675–1678), and Marie Angélique de Scorailles (1679–1681), who died at age \n19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of \nwhom he married to members of cadet branches of the royal family. \n\nWedding of Louis and Maria \nTheresa \n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de \nMaintenon. He first met her through her work caring for his children by Madame de Montespan, \nnoting the care she gave to his favourite, Louis Auguste, Duke of Maine.[103] The king was, at \nfirst, put off by her strict religious practice, but he warmed to her through her care for his \nchildren.[103] \n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise \nd'Aubigné became the royal governess at Saint-Germain.[103] As governess, she was one of very \nfew people permitted to speak to him as an equal, without limits.[103] It is believed that they were \nmarried secretly at Versailles on or around 10 October 1683[104] or January 1684.[105] This \nmarriage, though never announced or publicly discussed, was an open secret and lasted until his \ndeath.[106] \n\nDual Cypher of King \nLouis XIV & Queen Marie \nThérèse \n\n\n\n**Piety and religion**\n\nLouis was a pious and devout king who saw himself as the head and protector of the \nCatholic Church in France. He made his devotions daily regardless of where he was, \nfollowing the liturgical calendar regularly.[107] Under the influence of his very religious \nsecond wife, he became much stronger in the practice of his Catholic faith.[108] This \nincluded banning opera and comedy performances during Lent.[108] \n\nTowards the middle and the end of his reign, the centre for the King's religious \nobservances was usually \nthe Chapelle Royale at Versailles. Ostentation was a \ndistinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and \nspecial ceremonies.[109] Louis established the Paris Foreign Missions Society, but his \nfor undermining \ninformal alliance with \nChristendom.[110] \n\nthe Ottoman Empire was criticised \n\n**Patronage of the arts**\n\nLouis generously supported the royal court of France and those who worked under him. He brought the Académie Française \nunder his patronage and became its \"Protector\". He allowed Classical French literature to flourish by protecting such writers as \nMolière, Racine, and La Fontaine, whose works remain influential to this day. Louis also patronised the visual arts by funding and \ncommissioning artists such as Charles Le Brun, Pierre Mignard, Antoine Coysevox, and Hyacinthe Rigaud, whose works became", + "page_start": 15, + "page_end": 15, + "source_file": "wikipedia5.pdf" + }, + { + "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis \nfeared the political concessions which they would demand in return. Only towards the \nclose of his reign under the extreme exigency of war, was he able, for the first time in \nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality \nbefore the law and toward sound public finance, though it was predictably diminished by \nconcessions and exemptions won by the insistent efforts of nobles and bourgeois.[35] \n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. \nColbert's mercantilist administration established new \nindustries and encouraged \nmanufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins \ntapestry manufactory. He invited manufacturers and artisans from all over Europe to \nFrance, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He \naimed to decrease imports while increasing French exports, hence reducing the net outflow \nof precious metals from France. \n\nEngraving of Louis XIV \n\nLouis instituted reforms in military administration through Michel le Tellier and his son \nFrançois-Michel le Tellier, successive Marquis de Louvois. They helped to curb the \nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted \nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the \nold military aristocracy (*noblesse d'épée*, nobility of the sword) monopolizing senior military positions and the higher ranks. \nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the \nsoldiers' material well-being and morale, and even tried to direct campaigns. \n\n\n\n**Relations with the major colonies**\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France \nwas a patchwork of legal systems, with as many traditional legal regimes as there were \nprovinces, and two co-existing legal systems—customary law in the north and Roman civil \nlaw in the south.[36] The*Grande Ordonnance de Procédure Civile*of 1667, the*Code*\n*Louis*, was a comprehensive legal code imposing a uniform regulation of civil procedure \nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death \nrecords in the state's registers, not the church's, and it strictly regulated the right of the \n*Parlements*to remonstrate.[37] The*Code Louis*later became the basis for the Napoleonic \ncode, which in turn inspired many modern legal codes. \n\nLouis and his family portrayed as \nRoman gods in a 1670 painting by \nJean Nocret. L to R: Louis's aunt, \nHenriette-Marie; his brother, \nPhilippe, duc d'Orléans; the Duke's \ndaughter, Marie Louise d'Orléans, \nand wife, Henriette-Anne Stuart; the \nQueen-mother, Anne of Austria; \nthree daughters of Gaston \nd'Orléans; Louis XIV; the Dauphin \nLouis; Queen Marie-Thérèse;*la*\n*Grande Mademoiselle*. \n\nOne of Louis's more infamous decrees was the*Grande Ordonnance sur les Colonies*of \n1685, the*Code Noir*(black code). Although it sanctioned slavery, it attempted to humanise \nthe practice by prohibiting the separation of families. Additionally, in the colonies, only \nRoman Catholics could own slaves, and these had to be baptised. \n\nLouis ruled through a number of councils:", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia5.pdf" + }, + { + "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's \nforeign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish \nthrone would ultimately be delivered to the House of Bourbon.[32] \n\n**Personal reign and reforms**\n\n**Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of \nMazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring \nthat he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government \nof my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] \nwill assist me with your counsels when I ask for them. I request and order you to seal no orders except by my \ncommand . . . I order you not to sign anything, not even a passport . . . without my command; to render \naccount to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning \nfor peace and order after decades of foreign and civil strife, the young king consolidated central political \nauthority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, \nthe historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of \nLouis\".[34] \n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on \nbankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in \n1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. \nAlthough Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's \nafter him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le- \nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds. \n\nRoyal \nMonogram \n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the \nremote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the*Parlement*found him guilty \nand sentenced him to exile; and finally Louis altered the sentence to life imprisonment.", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia5.pdf" + }, + { + "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine.[129] Orléans, however, had Louis's will annulled by the*Parlement of*\n*Paris*after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of \nthe rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130] \n\n**Line of succession in 1715**\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, \nPhilip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish \nSuccession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131] \n\n*Louis XIII (1601–1643)*\n\n**Louis XIV***(1638–1715)*\n*Louis, Grand Dauphin (1661–1711)*\n\n*Louis, Duke of Burgundy (1682–1712)*\n*Louis, Duke of Brittany (1707–1712)*\n**(1)**Louis, Duke of Anjou (1710–1774) \n\nPhilip V of Spain (1683–1746) \n*Charles, Duke of Berry (1686–1714)*\n*Philippe I, Duke of Orléans (1640–1701)*\n\n**(2)**Philippe II, Duke of Orléans (1674–1723) \n**(3)**Louis, Duke of Chartres (1703–1752) \n\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of \nthe House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin \nof French King Louis XIII (the father of Louis XIV) in the male line. \n\n**Legacy**\n\n**Reputation**\n\nAccording to Philippe de Courcillon's*Journal*, Louis on his deathbed advised his heir with these words: \n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for \nvanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the \nburdens of your subjects.[132] \n\nSome historians point out that it was a customary demonstration of piety in those days to \nexaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed \ndeclarations in assessing his accomplishments. Rather, they focus on military and \ndiplomatic successes, such as how he placed a French prince on the Spanish throne. This, \nthey contend, ended the threat of an aggressive Spain that historically interfered in \ndomestic French politics. These historians also emphasise the effect of Louis's wars in \nexpanding France's boundaries and creating more defensible frontiers that preserved \nFrance from invasion until the Revolution.[132] \n\nTerritorial expansion of France \nunder Louis XIV (1643–1715) is \ndepicted in orange. \n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] \nsubjects.\" For example, he patronised the arts, encouraged industry, fostered trade and \ncommerce, and sponsored the founding of an overseas empire. Moreover, the significant \nreduction in civil wars and aristocratic rebellions during his reign are seen by these \nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised \nFrance and marked the birth of the modern French state. They regard the political and military victories as well as numerous \ncultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France \nfor its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, \ngoods, and deportment. French became the universal language of the European elite. \n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted \nFrance. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting \nevidence, they cite the literature of the time, such as the social commentary in Montesquieu's*Persian Letters*.[134]", + "page_start": 20, + "page_end": 20, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Fouquet's downfall gave Colbert a free hand to reduce the national debt through more \nefficient taxation. The principal taxes included the*aides*and*douanes*(both customs \nduties), the*gabelle*(salt tax), and the*taille*(land tax). The*taille*was reduced at first, and \ncertain tax-collection contracts were auctioned instead of being sold privately to a \nfavoured few. Financial officials were required to keep regular accounts, revising \ninventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income \nfrom the royal domain reached the king. Reform had to overcome vested interests: the \n*taille*was collected by officers of the Crown who had purchased their post at a high price, \nand punishment of abuses necessarily lowered the value of the purchase. Nevertheless, \nColbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, \nwith interest on the debt decreasing from 52 million to 24 million livres. The*taille*was \nreduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation \nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million \nin 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The \nexpenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds \nsterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds. \n\nMembers of the*Académie des*\n*sciences*with Louis in 1667; in the \nbackground appears the new Paris \nObservatory. \n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil \nadministration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct \ntaxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private \ncontractors called tax farmers who made a handsome profit. The state coffers leaked at every joint. \n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation \nwithout consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the \npeasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses \non the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia5.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia5.pdf", + "query": "What was one of Louis XIV's most ill-famed decrees?", + "target_page": 6, + "target_passage": "One of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code)", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis \nfeared the political concessions which they would demand in return. Only towards the \nclose of his reign under the extreme exigency of war, was he able, for the first time in \nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality \nbefore the law and toward sound public finance, though it was predictably diminished by \nconcessions and exemptions won by the insistent efforts of nobles and bourgeois.[35] \n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. \nColbert's mercantilist administration established new \nindustries and encouraged \nmanufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins \ntapestry manufactory. He invited manufacturers and artisans from all over Europe to \nFrance, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He \naimed to decrease imports while increasing French exports, hence reducing the net outflow \nof precious metals from France. \n\nEngraving of Louis XIV \n\nLouis instituted reforms in military administration through Michel le Tellier and his son \nFrançois-Michel le Tellier, successive Marquis de Louvois. They helped to curb the \nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted \nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the \nold military aristocracy (*noblesse d'épée*, nobility of the sword) monopolizing senior military positions and the higher ranks. \nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the \nsoldiers' material well-being and morale, and even tried to direct campaigns. \n\n\n\n**Relations with the major colonies**\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France \nwas a patchwork of legal systems, with as many traditional legal regimes as there were \nprovinces, and two co-existing legal systems—customary law in the north and Roman civil \nlaw in the south.[36] The*Grande Ordonnance de Procédure Civile*of 1667, the*Code*\n*Louis*, was a comprehensive legal code imposing a uniform regulation of civil procedure \nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death \nrecords in the state's registers, not the church's, and it strictly regulated the right of the \n*Parlements*to remonstrate.[37] The*Code Louis*later became the basis for the Napoleonic \ncode, which in turn inspired many modern legal codes. \n\nLouis and his family portrayed as \nRoman gods in a 1670 painting by \nJean Nocret. L to R: Louis's aunt, \nHenriette-Marie; his brother, \nPhilippe, duc d'Orléans; the Duke's \ndaughter, Marie Louise d'Orléans, \nand wife, Henriette-Anne Stuart; the \nQueen-mother, Anne of Austria; \nthree daughters of Gaston \nd'Orléans; Louis XIV; the Dauphin \nLouis; Queen Marie-Thérèse;*la*\n*Grande Mademoiselle*. \n\nOne of Louis's more infamous decrees was the*Grande Ordonnance sur les Colonies*of \n1685, the*Code Noir*(black code). Although it sanctioned slavery, it attempted to humanise \nthe practice by prohibiting the separation of families. Additionally, in the colonies, only \nRoman Catholics could own slaves, and these had to be baptised. \n\nLouis ruled through a number of councils:", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia5.pdf" + }, + { + "text": "**Louis XIV**\n\n**Louis XIV**(Louis-Dieudonné; 5 September 1638 – 1 September 1715), also \nknown as**Louis the Great**(*Louis le Grand*) or the**Sun King**(*le Roi Soleil*), \nwas King of France from 1643 until his death in 1715. His verified reign of 72 \nyears and 110 days is the longest of any sovereign.[1][a] An emblematic \ncharacter of the Age of Absolutism in Europe,[3] Louis XIV's legacy is widely \ncharacterized by French colonial expansion, the conclusion of Eighty Years' \nWar involving the Habsburgs, and his architectural bequest, marked by \ncommissioned works of art and buildings. His pageantry, opulent lifestyle and \nornate cultivated image earned him enduring admiration. Louis XIV raised \nFrance to be the exemplar nation-state of the early modern period, and \nestablished a cultural prestige which lasted through the subsequent centuries, \nand continues today. \n\n**Louis XIV**\n\nLouis began his personal rule of France in 1661, after the death of his chief \nminister Cardinal Mazarin, when the King famously declared that he would \ntake over the job himself.[4] An adherent of the divine right of kings, Louis \ncontinued his predecessors' work of creating a centralised state governed from \nthe capital. He sought to eliminate the remnants of feudalism persisting in parts \nof France; by compelling many members of the nobility to reside at his lavish \nPalace of Versailles, he succeeded in pacifying the aristocracy, many of whom \nhad participated in the Fronde rebellions during his minority. He thus became \none of the most powerful French monarchs and consolidated a system of \nabsolute monarchy in France that endured until the French Revolution. Louis \nalso enforced uniformity of religion under the Catholic Church. His revocation \nof the Edict of Nantes abolished the rights of the Huguenot Protestant minority \nand subjected them to a wave of dragonnades, effectively forcing Huguenots to \nemigrate or convert, virtually destroying the French Protestant community. \n\nPortrait by Hyacinthe Rigaud , 1701 \n\n**King of France**(more...) \n\n**Reign**\n\n14 May 1643 – 1 September \n1715 \n\n**Coronation**\n\n7 June 1654 \nReims Cathedral \n\n**Predecessor** Louis XIII \n\n**Successor** Louis XV \n\n**Regent** Anne of Austria (1643–1651) \n\nCardinal Mazarin \n(1643–1661) \n\nJean-Baptiste Colbert \n(1661–1683) \n\nThe Marquis of Louvois \n(1683–1691) \n\n**Born**\n\n5 September 1638 \nChâteau de Saint-Germain- \nen-Laye, Saint-Germain-en- \nLaye, France \n\n**Chief ministers*See list***\n\nDuring Louis's long reign, France emerged as the leading European power and \nregularly made war. A conflict with Spain marked his entire childhood, while \nduring his personal rule, Louis fought three major continental conflicts, each \nagainst powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, \nand the War of the Spanish Succession. In addition, France contested shorter \nwars such as the War of Devolution and the War of the Reunions. Warfare \ndefined Louis's foreign policy, impelled by his personal ambition for glory and \npower: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's \nresources to the utmost, while in peacetime he concentrated on preparing for \nthe next war. He taught his diplomats that their job was to create tactical and \nstrategic advantages for the French military.[6] Upon his death in 1715, \nLouis XIV left his great-grandson and successor, Louis XV, a powerful but \nwar-weary kingdom, in major debt after the War of the Spanish Succession that \nhad raged on since 1701. \n**Died**\n\n1 September 1715 (aged 76) \nPalace of Versailles, \nVersailles, France \n\nSome of his other notable achievements include the construction of the Canal \ndu Midi, the patronage of artists, and the founding of the French Academy of \nSciences. \n**Burial**\n\n9 September 1715 \nBasilica of Saint-Denis \n\n**Spouses**\n\nMaria Theresa of Spain \n (m. 1660; died 1683) \n**Early years**\n\nFrançoise d'Aubigné, \nMarquise de Maintenon \n(private) \n (m. 1683)", + "page_start": 0, + "page_end": 0, + "source_file": "wikipedia5.pdf" + }, + { + "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's \nforeign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish \nthrone would ultimately be delivered to the House of Bourbon.[32] \n\n**Personal reign and reforms**\n\n**Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of \nMazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring \nthat he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government \nof my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] \nwill assist me with your counsels when I ask for them. I request and order you to seal no orders except by my \ncommand . . . I order you not to sign anything, not even a passport . . . without my command; to render \naccount to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning \nfor peace and order after decades of foreign and civil strife, the young king consolidated central political \nauthority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, \nthe historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of \nLouis\".[34] \n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on \nbankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in \n1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. \nAlthough Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's \nafter him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le- \nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds. \n\nRoyal \nMonogram \n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the \nremote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the*Parlement*found him guilty \nand sentenced him to exile; and finally Louis altered the sentence to life imprisonment.", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia5.pdf" + }, + { + "text": "He did say, \"Every time I appoint someone to a vacant position, I make a hundred unhappy and one ungrateful.\"[146][147] Louis is \nrecorded by numerous eyewitnesses as having said on his deathbed: \"*Je m'en vais, mais l'État demeurera toujours.*\" (\"I depart, but \nthe State shall always remain.\")[148] \n\n| | Notes\nUpon his accession to the throne Louis assumed the royal coat of arms of France &\nNavarre.[149]\nAdopted\n1643–1715\nCrest\nThe Royal crown of France\nHelm\nAn opened gold helmet, with blue and gold mantling.\nEscutcheon\nAzure, three fleurs-de-lis Or (for France) impaling Gules on a chain in cross saltire and orle\nOr an emerald Proper (for Navarre).\nSupporters\nThe two supporters are two angels, acting as heralds for the two realms. The dexter angel\ncarries a standard with the arms of France, and wears a tabard with the same arms. The\nsinister angel also carries a standard and wears a tabard, but that of Navarre. Both are\nstanding on puffs of cloud.\nMotto\nThe motto is written in gold on a blue ribbon: MONTJOIE SAINT DENIS the war cry of\nFrance, Saint Denis was also the abbey where the oriflamme was kept.\nOrders\nThe escutcheons are surrounded first by the chain of the Order of Saint Michael and by the\nchain of the Order of the Holy Spirit, both were known as the ordres du roi.\nOther elements\nAbove all is a pavilion armoyé with the Royal crown. From it, is a royal blue mantle with a\nsemis of fleurs-de-lis Or, lined on the inside with ermine.\nBanner\nRoyal standard of the king |\n|---|---|\n| | Notes Upon his accession to the throne Louis assumed the royal coat of arms of France & Navarre.[149] Adopted 1643–1715 Crest The Royal crown of France Helm An opened gold helmet, with blue and gold mantling. Escutcheon Azure, three fleurs-de-lis Or (for France) impaling Gules on a chain in cross saltire and orle Or an emerald Proper (for Navarre). Supporters The two supporters are two angels, acting as heralds for the two realms. The dexter angel carries a standard with the arms of France, and wears a tabard with the same arms. The sinister angel also carries a standard and wears a tabard, but that of Navarre. Both are standing on puffs of cloud. Motto The motto is written in gold on a blue ribbon: MONTJOIE SAINT DENIS the war cry of France, Saint Denis was also the abbey where the oriflamme was kept. Orders The escutcheons are surrounded first by the chain of the Order of Saint Michael and by the chain of the Order of the Holy Spirit, both were known as the ordres du roi. Other elements Above all is a pavilion armoyé with the Royal crown. From it, is a royal blue mantle with a semis of fleurs-de-lis Or, lined on the inside with ermine. Banner Royal standard of the king |\n\n\n**Order of Saint Louis**\n\nOn 5 April 1693, Louis also founded the Royal and Military Order of Saint Louis (French:*Ordre Royal et Militaire de Saint-*\n*Louis*), a military order of chivalry.[150][151] He named it after Louis IX and intended it as a reward for outstanding officers. It is \nnotable as the first decoration that could be granted to non-nobles and is roughly the forerunner of the*Légion d'honneur*, with \nwhich it shares the red ribbon (though the*Légion d'honneur*is awarded to military personnel and civilians alike). \n\n**Ancestry**\n\n**Ancestors of Louis XIV**\n\n| | 8. Antoine of Navarre[154] |\n|---|---|\n| | 8. Antoine of Navarre[154] |\n\n\n4. Henry IV of France[152] \n\n9. Jeanne III of Navarre[154] \n\n2. Louis XIII of France \n\n| | 10. Francesco I de' Medici, Grand Duke of Tuscany[155] |\n|---|---|\n| | 10. Francesco I de' Medici, Grand Duke of Tuscany[155] |\n\n\n5. Marie de' Medici[152] \n\n11. Joanna of Austria[155] \n\n1.**Louis XIV of France**", + "page_start": 22, + "page_end": 22, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Louis XIV was born on 5 September 1638 in the Château de Saint-Germain-en- \nLaye, to Louis XIII and Anne of Austria. He was named Louis Dieudonné \n(Louis the God-given)[7] and bore the traditional title of French heirs apparent: \n*Dauphin*.[8] At the time of his birth, his parents had been married for 23 years. \nHis mother had experienced four stillbirths between 1619 and 1631. Leading \ncontemporaries thus regarded him as a divine gift and his birth a miracle of \nGod.[9] \n\n**Issue**\n*more...*\n\nLouis's relationship with his mother was uncommonly affectionate for the time. \nContemporaries and eyewitnesses claimed that the Queen would spend all her \ntime with Louis.[10] Both were greatly interested in food and theatre, and it is \nhighly likely that Louis developed these interests through his close relationship \nwith his mother. This long-lasting and loving relationship can be evidenced by \nexcerpts in Louis's journal entries, such as: \n\n\"Nature was responsible for the first knots which tied me to my \nmother. But attachments formed later by shared qualities of the \nspirit are far more difficult to break than those formed merely by \nblood.\"[11] \n\nLouis, Grand Dauphin \n\nMarie Thérèse, Madame \nRoyale \n\nPhilippe Charles, Duke of \nAnjou \n\n*Illegitimate*: \nMarie Anne, Princess of Conti \n\nLouis, Count of Vermandois \n\nLouis Auguste, Duke of Maine \n\nLouis César, Count of Vexin \n\nLouise Françoise, Princess of \nCondé \n\nLouise Marie Anne, \nMademoiselle de Tours \n\nLouise, Baroness of La \nQueue \n\nFrançoise Marie, Duchess of \nOrléans \n\nLouis Alexandre, Count of \nToulouse \nIt was his mother who gave Louis his belief in the absolute and divine power of \nhis monarchical rule.[12] \n\n**Names**\n\nDuring his childhood, he was taken care of by the governesses Françoise de \nLansac and Marie-Catherine de Senecey. In 1646, Nicolas V de Villeroy \nbecame the young king's tutor. Louis XIV became friends with Villeroy's young \nchildren, particularly François de Villeroy, and divided his time between the \nPalais-Royal and the nearby Hotel de Villeroy. \n\nLouis-Dieudonné de France \n\n**House** Bourbon \n\n**Father** Louis XIII \n\n**Mother** Anne of Austria \n\n**Religion** Catholicism \n\n**Signature**\n**Minority and the*Fronde***\n\n\n\n**Accession**\n\nSensing imminent death in the spring of 1643, King Louis XIII decided to put his affairs in \norder for his four-year-old son Louis XIV. Not trusting the judgement of his Spanish wife \nQueen Anne, who would normally have become the sole regent of France, the king \ndecreed that a regency council would rule on his son's behalf, with Anne at its head.[13] \n\nLouis XIII died on 14 May 1643. On 18 May[14] Queen Anne had her husband's will \nannulled by the*Parlement de Paris*, a judicial body of nobles and high-ranking clergy,[15] \nand she became sole regent. She exiled her husband's ministers Chavigny and Bouthilier \nand appointed the Count of Brienne as her minister of foreign affairs.[16] Anne kept the \ndirection of religious policy strongly in hand until her son's majority in 1661. \n\nShe appointed Cardinal Mazarin as chief minister, giving him the daily administration of \npolicy. She continued the policies of her late husband and Cardinal Richelieu, despite their \npersecution of her, in order to win absolute authority in France and victory abroad for her \nson. Anne protected Mazarin by exiling her followers the Duke of Beaufort and Marie de \nRohan, who conspired against him in 1643.[17] \nLouis XIV as a young child, \nunknown painter \n\nThe best example of Anne's loyalty to France was her treatment of one of Richelieu's men, \nthe Chancellor Pierre Séguier. Séguier had brusquely interrogated Anne in 1637 (like a \n\"common criminal\", as she recalled) following the discovery that she was giving military secrets to her father in Spain, and Anne \nwas virtually under house arrest for years. By keeping the effective Séguier in his post, Anne sacrificed her own feelings for the \ninterests of France and her son Louis.", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Alternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French \ninstitutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that \nlargely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably \nforeseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own.[135] \n\nLouis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed \nthat Louis slighted him, criticised him thus: \n\nThere was nothing he liked so much as flattery, or, to put it more plainly, \nadulation; the coarser and clumsier it was, the more he relished it. \n\n\n\nFor his part, Voltaire saw Louis's vanity as the cause for his bellicosity: \n\nIt is certain that he passionately wanted glory, rather than the conquests \nthemselves. In the acquisition of Alsace and half of Flanders, and of all of \nFranche-Comté, what he really liked was the name he made for himself.[136] \n\nNonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the \nonly King of France worthy of the name\".[137] Leibniz, the German Protestant philosopher, commended him as \"one of the \ngreatest kings that ever was\".[138] And Lord Acton admired him as \"by far the ablest man who was born in modern times on the \nsteps of a throne\".[139] The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and \nwithout summoning the image of an eternally memorable age\".[140] Voltaire's history,*The Age of Louis XIV*, named Louis's reign \nas not only one of the four great ages in which reason and culture flourished, but the greatest ever.[141][142] \n\n**Quotes**\n\nNumerous quotes have been attributed to Louis XIV by legend. \n\nThe well-known \"I am the state\" (*\"L'État, c'est moi.\"*) was reported from at least the late 18th century.[143] It was widely repeated \nbut also denounced as apocryphal by the early 19th century.[144][b][145]", + "page_start": 21, + "page_end": 21, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Félix, Joël. \"'The most difficult financial matter that has ever presented itself': paper money and the financing of \n\nwarfare under Louis XIV.\"*Financial History Review*25.1 (2018): 43–70 online (http://centaur.reading.ac.uk/72452/ \n2/The%20most%20difficult%20financial%20matter%20FH.pdf) Archived (https://web.archive.org/web/2021022610 \n4833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf) 26 \nFebruary 2021 at the Wayback Machine. \n\nGoubert, Pierre (197).*Louis XIV and Twenty Million Frenchmen*. social history from Annales School. ISBN 978-0- \n3947-1751-7. \n\nJones, Colin.*The Great Nation: France from Louis XIV to Napoleon (1715–1799)*(2002) \nKlaits, Joseph.*Printed propaganda under Louis XIV: absolute monarchy and public opinion*(Princeton University \nPress, 2015). \n\nLe Roy Ladurie, Emmanuel.*The Ancien Régime: A History of France 1610–1774*(1999), survey by leader of the \n\nAnnales School ISBN 0631211969 \n\nLewis, W. H.*The Splendid Century: Life in the France of Louis XIV*(1953) ISBN 0881339210 \nMitford, Nancy (1966).*The Sun King: Louis XIV at Versailles*(2012 ed.). New York Review of Books. ISBN 978-1- \n5901-7491-3. \n\nPrest, Julia, and Guy Rowlands, eds.*The Third Reign of Louis XIV, c. 1682–1715*(Taylor & Francis, 2016). \nRothkrug, Lionel.*Opposition to Louis XIV: The Political and Social Origins of French Enlightenment*(Princeton \nUniversity Press, 2015). \n\nRowlands, Guy.*The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest, 1661–1701*\n(2002) \n\nRubin, David Lee, ed.*Sun King: The Ascendancy of French Culture during the Reign of Louis XIV*. Washington: \nFolger Books and Cranbury: Associated University Presses, 1992. \n\nRule, John C.,*Louis XIV and the craft of kingship*1969. \nShennan, J. H.*Louis XIV*(1993) \nThompson, Ian.*The Sun King's Garden: Louis XIV, André Le Nôtre And the Creation of the Gardens of Versailles*. \n\nLondon: Bloomsbury Publishing, 2006 ISBN 1-5823-4631-3 \n\nTreasure, Geoffrey.*The Making of Modern Europe, 1648–1780*(3rd ed. 2003). pp. 230–296. \nWilkinson, Rich.*Louis XIV*(Routledge, 2007). ISBN 978-0-4153-5815-6 \nCénat, Jean-Philippe.*Le roi stratège: Louis XIV et la direction de la guerre, 1661–1715*(Presses universitaires de \nRennes, 2019). \n\nCroix, Alain. \"Vingt millions de Français et Louis XIV.\"*Revue dhistoire moderne contemporaine*2 (2020): 27–46. \nEngerand, Fernand, editor (1899). (in French)*Inventaire des tableaux du Roy rédigé en 1709 et 1710 par Nicolas*\n\n*Bailly*. Paris: Ernest Leroux. Copy (http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) Archived (https://we \nb.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) 7 March 2016 at \nthe Wayback Machine at Gallica. \n\n**External links**\n\nRanum, Orest, ed. (1972).*The Century of Louis XIV*(http://www.palgrave.com/in/book/9781349004997). Archived \n(https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997) from the \noriginal on 7 February 2018. Retrieved 7 July 2017. {{cite book}}: |work= ignored (help) \nWorks by or about Louis XIV (https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the \n+Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29) at the Internet Archive \nWorks by Louis XIV (https://librivox.org/author/9631) at LibriVox (public domain audiobooks) \nLouis XIV (http://www.history.com/topics/louis-xiv) Archived (https://web.archive.org/web/20170622232619/http://w \nww.history.com/topics/louis-xiv) 22 June 2017 at the Wayback Machine at*History.com*\nFull text of marriage contract (https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/ch \noiseul/ressource/pdf/D16590004.pdf), France National Archives transcription (in French) \n*Le Siècle de Louis XIV*by Voltaire, 1751, hosted by French Wikisource", + "page_start": 33, + "page_end": 33, + "source_file": "wikipedia5.pdf" + }, + { + "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine.[129] Orléans, however, had Louis's will annulled by the*Parlement of*\n*Paris*after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of \nthe rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130] \n\n**Line of succession in 1715**\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, \nPhilip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish \nSuccession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131] \n\n*Louis XIII (1601–1643)*\n\n**Louis XIV***(1638–1715)*\n*Louis, Grand Dauphin (1661–1711)*\n\n*Louis, Duke of Burgundy (1682–1712)*\n*Louis, Duke of Brittany (1707–1712)*\n**(1)**Louis, Duke of Anjou (1710–1774) \n\nPhilip V of Spain (1683–1746) \n*Charles, Duke of Berry (1686–1714)*\n*Philippe I, Duke of Orléans (1640–1701)*\n\n**(2)**Philippe II, Duke of Orléans (1674–1723) \n**(3)**Louis, Duke of Chartres (1703–1752) \n\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of \nthe House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin \nof French King Louis XIII (the father of Louis XIV) in the male line. \n\n**Legacy**\n\n**Reputation**\n\nAccording to Philippe de Courcillon's*Journal*, Louis on his deathbed advised his heir with these words: \n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for \nvanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the \nburdens of your subjects.[132] \n\nSome historians point out that it was a customary demonstration of piety in those days to \nexaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed \ndeclarations in assessing his accomplishments. Rather, they focus on military and \ndiplomatic successes, such as how he placed a French prince on the Spanish throne. This, \nthey contend, ended the threat of an aggressive Spain that historically interfered in \ndomestic French politics. These historians also emphasise the effect of Louis's wars in \nexpanding France's boundaries and creating more defensible frontiers that preserved \nFrance from invasion until the Revolution.[132] \n\nTerritorial expansion of France \nunder Louis XIV (1643–1715) is \ndepicted in orange. \n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] \nsubjects.\" For example, he patronised the arts, encouraged industry, fostered trade and \ncommerce, and sponsored the founding of an overseas empire. Moreover, the significant \nreduction in civil wars and aristocratic rebellions during his reign are seen by these \nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised \nFrance and marked the birth of the modern French state. They regard the political and military victories as well as numerous \ncultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France \nfor its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, \ngoods, and deportment. French became the universal language of the European elite. \n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted \nFrance. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting \nevidence, they cite the literature of the time, such as the social commentary in Montesquieu's*Persian Letters*.[134]", + "page_start": 20, + "page_end": 20, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Louis ruled through a number of councils: \n\nConseil d'en haut (\"High Council\", concerning the most important matters of \nstate)—composed of the king, the crown prince, the controller-general of \nfinances, and the secretaries of state in charge of various departments. The \nmembers of that council were called ministers of state. \nConseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces). \nConseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments). \nConseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an \nhonorary post in most cases)—this was one of the few posts in the council available to the high aristocracy.[38] \n\n**Early wars in the Low Countries**\n\n**Spain**\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had \nmarried Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees.[39] The marriage \ntreaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants.[39] Mazarin", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia5.pdf" + }, + { + "text": "Fouquet's downfall gave Colbert a free hand to reduce the national debt through more \nefficient taxation. The principal taxes included the*aides*and*douanes*(both customs \nduties), the*gabelle*(salt tax), and the*taille*(land tax). The*taille*was reduced at first, and \ncertain tax-collection contracts were auctioned instead of being sold privately to a \nfavoured few. Financial officials were required to keep regular accounts, revising \ninventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income \nfrom the royal domain reached the king. Reform had to overcome vested interests: the \n*taille*was collected by officers of the Crown who had purchased their post at a high price, \nand punishment of abuses necessarily lowered the value of the purchase. Nevertheless, \nColbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, \nwith interest on the debt decreasing from 52 million to 24 million livres. The*taille*was \nreduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation \nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million \nin 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The \nexpenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds \nsterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds. \n\nMembers of the*Académie des*\n*sciences*with Louis in 1667; in the \nbackground appears the new Paris \nObservatory. \n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil \nadministration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct \ntaxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private \ncontractors called tax farmers who made a handsome profit. The state coffers leaked at every joint. \n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation \nwithout consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the \npeasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses \non the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia5.pdf" + } + ] + }, + { + "references": { + "source_file": "wikipedia5.pdf", + "query": "What did Louis XIV do to avoid the Spanish War of Succession in 1698?", + "target_page": 13, + "target_passage": "In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son le Grand Dauphin and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "succeeded to his father's throne.[90] The signatories, however, omitted to consult the ruler \nof these lands, and Charles II was passionately opposed to the dismemberment of his \nempire. In 1699, he re-confirmed his 1693 will that named Joseph Ferdinand as his sole \nsuccessor.[91] \n\nSix months later, Joseph Ferdinand died. Therefore, in 1700, Louis and William III \nconcluded a fresh partitioning agreement, the Treaty of London. This allocated Spain, the \nLow Countries, and the Spanish colonies to the Archduke. The Dauphin would receive all \nof Spain's Italian territories.[92] Charles II acknowledged that his empire could only remain \nundivided by bequeathing it entirely to a Frenchman or an Austrian. Under pressure from \nhis German wife, Maria Anna of Neuburg, Charles II named Archduke Charles as his sole \nheir. \n\n\n\n\n\n**Acceptance of the will of Charles II and consequences**\n\nOn his deathbed in 1700, Charles II of Spain \nunexpectedly \nclear \ndemonstration of French military superiority for \nmany decades before this time, the pro-French \nfaction at the court of Spain, and even Pope \nInnocent XII convinced him that France was more likely to preserve his empire intact. He \nthus offered the entire empire to the Dauphin's second son Philip, Duke of Anjou, provided \nit remained undivided. Anjou was not in the direct line of French succession, thus his \naccession would not cause a Franco-Spanish union.[92] If Anjou refused, the throne would \nbe offered to his younger brother Charles, Duke of Berry. If the Duke of Berry declined it, \nit would go to Archduke Charles, then to the distantly related House of Savoy if Charles \ndeclined it.[93] \n\nchanged his will. The \n\nPhilip V of Spain \n\nLouis was confronted with a difficult choice. He could agree to a partition of the Spanish \npossessions and avoid a general war, or accept Charles II's will and alienate much of \nEurope. He may initially have been inclined to abide by the partition treaties, but the \nDauphin's insistence persuaded him otherwise.[94] Moreover, Louis's foreign minister, \nJean-Baptiste Colbert, marquis de Torcy, pointed out that war with the Emperor would \nalmost certainly ensue whether Louis accepted the partition treaties or Charles II's will. He \nemphasised that, should it come to war, William III was unlikely to stand by France since \nhe \"made a treaty to avoid war and did not intend to go to war to implement the treaty\".[91] Indeed, in the event of war, it might be \npreferable to be already in control of the disputed lands. Eventually, therefore, Louis decided to accept Charles II's will. Philip, \nDuke of Anjou, thus became Philip V, King of Spain. \n\nLouis in 1701 \n\nMost European rulers accepted Philip as king, some reluctantly. Depending on one's views of the war's inevitability, Louis acted \nreasonably or arrogantly.[95] He confirmed that Philip V retained his French rights despite his new Spanish position. Admittedly, \nhe may only have been hypothesising a theoretical eventuality and not attempting a Franco-Spanish union. But his actions were \ncertainly not read as disinterested. Moreover, Louis sent troops to the Spanish Netherlands to evict Dutch garrisons and secure \nDutch recognition of Philip V. In 1701, Philip transferred the*asiento*(the right to supply slaves to Spanish colonies) to France, as \na sign of the two nations' growing connections. As tensions mounted, Louis decided to acknowledge James Stuart, the son of \nJames II, as King of England, Scotland and Ireland on the latter's death, infuriating William III. These actions enraged Britain and \nthe Dutch Republic.[96] With the Holy Roman Emperor and the petty German states, they formed another Grand Alliance and \ndeclared war on France in 1702. French diplomacy secured Bavaria, Portugal, and Savoy as Franco-Spanish allies.[97] \n\n**Commencement of fighting**", + "page_start": 13, + "page_end": 13, + "source_file": "wikipedia5.pdf" + }, + { + "text": "In July 1695, the city of Namur, occupied for three years by the French, was besieged by an allied \narmy led by William III. Louis XIV ordered the surprise destruction of a Flemish city to divert the \nattention of these troops. This led to the bombardment of Brussels, in which more than 4,000 \nbuildings were destroyed, including the entire city centre. The strategy failed, as Namur fell three \nweeks later, but harmed Louis XIV's reputation: a century later, Napoleon deemed the \nbombardment \"as barbarous as it was useless\".[85] \n\nPeace was broached by Sweden in 1690. By 1692, both sides evidently wanted peace, and secret \nbilateral talks began, but to no avail.[86] Louis tried to break up the alliance against him by dealing \nwith individual opponents but did not achieve his aim until 1696 when the Savoyards agreed to the \nTreaty of Turin and switched sides. Thereafter, members of the League of Augsburg rushed to the \npeace table, and negotiations for a general peace began in earnest, culminating in the Peace of \nRyswick of 1697.[87] \n\nMarshal de Luxembourg \n\n**Peace of Ryswick**\n\nThe Peace of Ryswick ended the War of the League of Augsburg and disbanded the Grand Alliance. By manipulating their \nrivalries and suspicions, Louis divided his enemies and broke their power. \n\nThe treaty yielded many benefits for France. Louis secured permanent French sovereignty over all of Alsace, including \nStrasbourg, and established the Rhine as the Franco-German border (as it is to this day). Pondichéry and Acadia were returned to \nFrance, and Louis's*de facto*possession of Saint-Domingue was recognised as lawful. However, he returned Catalonia and most of \nthe Reunions. \n\nFrench military superiority might have allowed him to press for more advantageous terms. Thus, his generosity to Spain with \nregard to Catalonia has been read as a concession to foster pro-French sentiment and may ultimately have induced King Charles II \nto name Louis's grandson Philip, Duke of Anjou, heir to the Spanish throne.[88] In exchange for financial compensation, France \nrenounced its interests in the Electorate of Cologne and the Palatinate. Lorraine, which had been occupied by the French since \n1670, was returned to its rightful Duke Leopold, albeit with a right of way to the French military. William and Mary were \nrecognised as joint sovereigns of the British Isles, and Louis withdrew support for James II. The Dutch were given the right to \ngarrison forts in the Spanish Netherlands that acted as a protective barrier against possible French aggression. Though in some \nrespects the Treaty of Ryswick may appear a diplomatic defeat for Louis since he failed to place client rulers in control of the \nPalatinate or the Electorate of Cologne, he did fulfil many of the aims laid down in his 1688 ultimatum.[89] In any case, peace in \n1697 was desirable to Louis, since France was exhausted from the costs of the war. \n\n**War of the Spanish Succession**\n\n**Causes and build-up to the war**\n\nBy the time of the Peace of Ryswick, the Spanish succession had been a source of concern to European leaders for well over forty \nyears. King Charles II ruled a vast empire comprising Spain, Naples, Sicily, Milan, the Spanish Netherlands, and numerous \nSpanish colonies. He produced no children, however, and consequently had no direct heirs.", + "page_start": 12, + "page_end": 12, + "source_file": "wikipedia5.pdf" + }, + { + "text": "experiences during the*Fronde*, when men of high birth readily took up the rebel cause against their king, who was actually the \nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French \nRevolution about a century later. \n\n\n\n**France as the pivot of warfare**\n\nUnder Louis, France was the leading European power, and most wars pivoted around its \naggressiveness. No European state exceeded it in population, and no one could match its \nwealth, central location, and very strong professional army. It had largely avoided the \ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial \nsystem that was hard-pressed to pay for its military adventures, and the tendency of most \nother powers to gang up against it. \n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine \nYears' War, and the War of the Spanish Succession. There were also two lesser conflicts: \nthe War of Devolution and the War of the Reunions.[64] The wars were very expensive but \ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by \na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to \nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught \nhis diplomats that their job was to create tactical and strategic advantages for the French \nmilitary.[6] By 1695, France retained much of its dominance but had lost control of the seas \nto England and Holland, and most countries, both Protestant and Catholic, were in alliance \nagainst it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned \nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that \nFrance fight back by licensing French merchant ships to privateer and seize enemy \nmerchant ships while avoiding its navies: \n\nLouis XIV \n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in \nEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies \nin the East and West Indies; and Holland with all its possessions in the four corners of the world where it has \ngreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, \nDenmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states \nsecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting \nand covering their trade.[65] \n\nVauban was pessimistic about France's so-called friends and allies: \n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England \n[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all \nin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of \npeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they \nsupport it by making war against us in concert with the other powers, and they keep it going by means of the \nmoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method of \nconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more \nso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many \ngood officers for the King, and in a short time force his enemies to sue for peace.[66] \n\n**Edict of Fontainebleau**", + "page_start": 9, + "page_end": 9, + "source_file": "wikipedia5.pdf" + }, + { + "text": "The French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St \nGermain for a time, where no one, except a few intimates, was allowed to disturb him.[47] French military advantages allowed \nthem however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual \nexhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the \nScanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of Saint- \nGermain-en-Laye, Fontainebleau and Lund imposed on Denmark–Norway and Brandenburg.[48] Yet Louis's two primary goals, \nthe destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed.[49] \n\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In \n1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too \nmuch with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military \nforce alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary \ntreaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his \nrights and obligations under those treaties. \n\n\n\nCities and territories, such as Luxembourg and Casale, were prized for their strategic \npositions on the frontier and access to important waterways. Louis also sought \nStrasbourg, an important strategic crossing on the left bank of the Rhine and theretofore \na Free Imperial City of the Holy Roman Empire, annexing it and other territories in \n1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and \nwas thus not ceded to France in the Peace of Westphalia. \n\n| Silver coin of Louis XIV, dated\n1674 | |\n|---|---|\n| Silver coin of Louis XIV, dated 1674 | |\n| | |\n| | |\n| Obverse. The Latin inscription is LVDOVICVS XIIII D[EI] GRA[TIA] (\"Louis XIV, by the grace of God\"). | Reverse. The Latin inscription is FRAN[CIÆ] ET NAVARRÆ REX 1674 (\"King of France and of Navarre, 1674\"). |\n\n\nFollowing these annexations, Spain declared war, precipitating the War of the Reunions. \nHowever, the Spanish were rapidly defeated because the Emperor (distracted by the \nGreat Turkish War) abandoned them, and the Dutch only supported them minimally. By \nthe Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation \nof most of the conquered territories, for 20 years.[50] \n\n\n\n**Non-European relations and the colonies**\n\nFrench colonies multiplied in Africa, the Americas, and Asia during Louis's reign, and \nFrench explorers made important discoveries in North America. In 1673, Louis Jolliet and \nJacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur \nde La Salle, followed the Mississippi to the Gulf of Mexico and claimed the vast \nMississippi basin in Louis's name, calling it*Louisiane*. French trading posts were also \nestablished in India, at Chandernagore and Pondicherry, and in the Indian Ocean at Île \nBourbon. Throughout these regions, Louis and Colbert embarked on an extensive program \nof architecture and urbanism meant to reflect the styles of Versailles and Paris and the \n'gloire' of the realm.[52] \n\nThe Persian embassy to Louis XIV \nsent by Soltan Hoseyn in 1715. \n*Ambassade de Perse auprès de*\n*Louis XIV*, studio of Antoine Coypel.", + "page_start": 7, + "page_end": 7, + "source_file": "wikipedia5.pdf" + }, + { + "text": "The Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in \nLouis's political and diplomatic fortunes. It arose from two events in the Rhineland. First, \nin 1685, the Elector Palatine Charles II died. All that remained of his immediate family \nwas Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from \nsucceeding to her brother's lands and electoral dignity, but it was unclear enough for \narguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the \nprincess was demonstrably entitled to a division of the family's personal property. Louis \npressed her claims to land and chattels, hoping the latter, at least, would be given to her.[76] \nThen, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France, \ndied. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the \nBavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at \nthat time not more than 17 years old and not even ordained. Louis sought instead to install \nhis own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state \nremained an ally.[77] \n\nIn light of his foreign and domestic policies during the early 1680s, which were perceived \nas aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created \nconcern and alarm in much of Europe. This led to the formation of the 1686 League of \nAugsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated \nintention was to return France to at least the borders agreed to in the Treaty of \nNijmegen.[78] Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into \na permanent treaty fed Louis's fears that the Emperor would turn on France and attack the \nReunions after settling his affairs in the Balkans.[79] \n\n\n\nAnother event Louis found threatening was England's Glorious Revolution of 1688. \nAlthough King James II was Catholic, his two Anglican daughters, Mary and Anne, \nensured the English people a Protestant succession. But when James II's son James Francis \nEdward Stuart was born, he took precedence in succession over his sisters. This seemed to \nherald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince \nWilliam III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's \nwarning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest \nto him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-in- \nlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus \ntransforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to \nEngland to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to \nthe German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises. \nThis military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army \nof sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation \nof the Palatinate\").[80] \n\nLouis in 1690", + "page_start": 11, + "page_end": 11, + "source_file": "wikipedia5.pdf" + }, + { + "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European \nterritories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, \nhis allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands.[102] \n\n\n\n**Personal life**\n\n**Marriages and children**\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted \nfor them in 1660. However, only one child, the eldest, survived to adulthood: Louis,*le*\n*Grand Dauphin*, known as*Monseigneur*. Maria Theresa died in 1683, whereupon Louis \nremarked that she had never caused him unease on any other occasion. \n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria \nTheresa. He took a series of mistresses, both official and unofficial. Among the better \ndocumented are Louise de La Vallière (with whom he had five children; 1661–1667), \nBonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), Françoise- \nAthénaïs, Marquise de Montespan (with whom he had seven children; 1667–1680), Anne \nde Rohan-Chabot (1669–1675), Claude de Vin des Œillets (one child born in 1676), \nIsabelle de Ludres (1675–1678), and Marie Angélique de Scorailles (1679–1681), who died at age \n19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of \nwhom he married to members of cadet branches of the royal family. \n\nWedding of Louis and Maria \nTheresa \n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de \nMaintenon. He first met her through her work caring for his children by Madame de Montespan, \nnoting the care she gave to his favourite, Louis Auguste, Duke of Maine.[103] The king was, at \nfirst, put off by her strict religious practice, but he warmed to her through her care for his \nchildren.[103] \n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise \nd'Aubigné became the royal governess at Saint-Germain.[103] As governess, she was one of very \nfew people permitted to speak to him as an equal, without limits.[103] It is believed that they were \nmarried secretly at Versailles on or around 10 October 1683[104] or January 1684.[105] This \nmarriage, though never announced or publicly discussed, was an open secret and lasted until his \ndeath.[106] \n\nDual Cypher of King \nLouis XIV & Queen Marie \nThérèse \n\n\n\n**Piety and religion**\n\nLouis was a pious and devout king who saw himself as the head and protector of the \nCatholic Church in France. He made his devotions daily regardless of where he was, \nfollowing the liturgical calendar regularly.[107] Under the influence of his very religious \nsecond wife, he became much stronger in the practice of his Catholic faith.[108] This \nincluded banning opera and comedy performances during Lent.[108] \n\nTowards the middle and the end of his reign, the centre for the King's religious \nobservances was usually \nthe Chapelle Royale at Versailles. Ostentation was a \ndistinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and \nspecial ceremonies.[109] Louis established the Paris Foreign Missions Society, but his \nfor undermining \ninformal alliance with \nChristendom.[110] \n\nthe Ottoman Empire was criticised \n\n**Patronage of the arts**\n\nLouis generously supported the royal court of France and those who worked under him. He brought the Académie Française \nunder his patronage and became its \"Protector\". He allowed Classical French literature to flourish by protecting such writers as \nMolière, Racine, and La Fontaine, whose works remain influential to this day. Louis also patronised the visual arts by funding and \ncommissioning artists such as Charles Le Brun, Pierre Mignard, Antoine Coysevox, and Hyacinthe Rigaud, whose works became", + "page_start": 15, + "page_end": 15, + "source_file": "wikipedia5.pdf" + }, + { + "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's \nforeign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish \nthrone would ultimately be delivered to the House of Bourbon.[32] \n\n**Personal reign and reforms**\n\n**Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of \nMazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring \nthat he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government \nof my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] \nwill assist me with your counsels when I ask for them. I request and order you to seal no orders except by my \ncommand . . . I order you not to sign anything, not even a passport . . . without my command; to render \naccount to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning \nfor peace and order after decades of foreign and civil strife, the young king consolidated central political \nauthority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, \nthe historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of \nLouis\".[34] \n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on \nbankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in \n1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. \nAlthough Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's \nafter him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le- \nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds. \n\nRoyal \nMonogram \n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the \nremote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the*Parlement*found him guilty \nand sentenced him to exile; and finally Louis altered the sentence to life imprisonment.", + "page_start": 4, + "page_end": 4, + "source_file": "wikipedia5.pdf" + }, + { + "text": "and Lionne, however, made the renunciation conditional on \nthe full payment of a Spanish dowry of 500,000 écus.[40] \nThe dowry was never paid and would later play a part \npersuading his maternal first cousin Charles II of Spain to \nleave his empire to Philip, Duke of Anjou (later Philip V of \nSpain), the grandson of Louis XIV and Maria Theresa. \n\nThe War of Devolution did not focus on the payment of the \ndowry; rather, the lack of payment was what Louis XIV \nused as a pretext \nfor nullifying Maria Theresa's \nrenunciation of her claims, allowing the land to \"devolve\" \nto him. In Brabant (the location of the land in dispute), \nchildren of \ntraditionally were not \ndisadvantaged by their parents' remarriages and still \ninherited property. Louis's wife was Philip IV's daughter by \nhis first marriage, while the new king of Spain, Charles II, was his son by a subsequent \nmarriage. Thus, Brabant allegedly \"devolved\" to Maria Theresa, justifying France to attack \nthe Spanish Netherlands. \n\nLouis XIV in 1670, \nengraved portrait by Robert \nNanteuil \nfirst marriages \n\nThe future Philip V being introduced \nas King of Spain by his grandfather, \nLouis XIV \n\n\n\n**Relations with the Dutch**\n\nDuring the Eighty Years' War with Spain, France supported the Dutch Republic as part \nof a general policy of opposing Habsburg power. Johan de Witt, Dutch Grand \nPensionary from 1653 to 1672, viewed this as crucial for Dutch security and a \ncounterweight against his domestic Orangist opponents. Louis provided support in the \n1665-1667 Second Anglo-Dutch War but used the opportunity to launch the War of \nDevolution in 1667. This captured Franche-Comté and much of the Spanish \nNetherlands; French expansion in this area was a direct threat to Dutch economic \ninterests.[41] \n\nThe Battle of Tolhuis, Louis XIV crosses \nthe Lower Rhine at Lobith on 12 June \n1672; Rijksmuseum Amsterdam \n\nThe Dutch opened talks with Charles II of England on a common diplomatic front \nagainst France, leading to the Triple Alliance, between England, the Dutch and \nSweden. The threat of an escalation and a secret treaty to divide Spanish possessions \nwith Emperor Leopold, the other major claimant to the throne of Spain, led Louis to relinquish many of his gains in the 1668 \nTreaty of Aix-la-Chapelle.[42] \n\n\n\nLouis placed little reliance on his agreement with Leopold and as it was now clear French and Dutch aims were in direct conflict, \nhe decided to first defeat the Republic, then seize the Spanish Netherlands. This required breaking up the Triple Alliance; he paid \nSweden to remain neutral and signed the 1670 Secret Treaty of Dover with Charles, an Anglo-French alliance against the Dutch \nRepublic. In May 1672, France invaded the Republic, supported by Münster and the Electorate of Cologne.[43] \n\nRapid French advance led to a coup that toppled De Witt and brought William III to power. \nLeopold viewed French expansion into the Rhineland as an increasing threat, especially after \nthey seized the strategic Duchy of Lorraine in 1670. The prospect of Dutch defeat led Leopold \nto an alliance with Brandenburg-Prussia on 23 June, followed by another with the Republic on \n25th.[44] Although Brandenburg was forced out of the war by the June 1673 Treaty of Vossem, \nin August an anti-French alliance was formed by the Dutch, Spain, Emperor Leopold and the \nDuke of Lorraine.[45]", + "page_start": 6, + "page_end": 6, + "source_file": "wikipedia5.pdf" + }, + { + "text": "The French alliance was deeply unpopular in England, and only more so after the \ndisappointing battles against Michiel de Ruyter's fleet. Charles II of England made peace with \nthe Dutch in the February 1674 Treaty of Westminster. However, French armies held \nsignificant advantages over their opponents; an undivided command, talented generals like \nTurenne, Condé and Luxembourg and vastly superior logistics. Reforms introduced by \nLouvois, the Secretary of War, helped maintain large field armies that could be mobilised \nmuch more quickly, allowing them to mount offensives in early spring before their opponents \nwere ready.[46] \n\nLouis XIV, 1670, by Claude \nLefèbvre", + "page_start": 6, + "page_end": 6, + "source_file": "wikipedia5.pdf" + }, + { + "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis \nfeared the political concessions which they would demand in return. Only towards the \nclose of his reign under the extreme exigency of war, was he able, for the first time in \nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality \nbefore the law and toward sound public finance, though it was predictably diminished by \nconcessions and exemptions won by the insistent efforts of nobles and bourgeois.[35] \n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. \nColbert's mercantilist administration established new \nindustries and encouraged \nmanufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins \ntapestry manufactory. He invited manufacturers and artisans from all over Europe to \nFrance, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He \naimed to decrease imports while increasing French exports, hence reducing the net outflow \nof precious metals from France. \n\nEngraving of Louis XIV \n\nLouis instituted reforms in military administration through Michel le Tellier and his son \nFrançois-Michel le Tellier, successive Marquis de Louvois. They helped to curb the \nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted \nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the \nold military aristocracy (*noblesse d'épée*, nobility of the sword) monopolizing senior military positions and the higher ranks. \nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the \nsoldiers' material well-being and morale, and even tried to direct campaigns. \n\n\n\n**Relations with the major colonies**\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France \nwas a patchwork of legal systems, with as many traditional legal regimes as there were \nprovinces, and two co-existing legal systems—customary law in the north and Roman civil \nlaw in the south.[36] The*Grande Ordonnance de Procédure Civile*of 1667, the*Code*\n*Louis*, was a comprehensive legal code imposing a uniform regulation of civil procedure \nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death \nrecords in the state's registers, not the church's, and it strictly regulated the right of the \n*Parlements*to remonstrate.[37] The*Code Louis*later became the basis for the Napoleonic \ncode, which in turn inspired many modern legal codes. \n\nLouis and his family portrayed as \nRoman gods in a 1670 painting by \nJean Nocret. L to R: Louis's aunt, \nHenriette-Marie; his brother, \nPhilippe, duc d'Orléans; the Duke's \ndaughter, Marie Louise d'Orléans, \nand wife, Henriette-Anne Stuart; the \nQueen-mother, Anne of Austria; \nthree daughters of Gaston \nd'Orléans; Louis XIV; the Dauphin \nLouis; Queen Marie-Thérèse;*la*\n*Grande Mademoiselle*. \n\nOne of Louis's more infamous decrees was the*Grande Ordonnance sur les Colonies*of \n1685, the*Code Noir*(black code). Although it sanctioned slavery, it attempted to humanise \nthe practice by prohibiting the separation of families. Additionally, in the colonies, only \nRoman Catholics could own slaves, and these had to be baptised. \n\nLouis ruled through a number of councils:", + "page_start": 5, + "page_end": 5, + "source_file": "wikipedia5.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed2.pdf", + "query": "Does nerve transection or crushing affect small afferents within the dorsal root ganglion in the same way?", + "target_page": 5, + "target_passage": "Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) \nApproach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: \nFLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. \nScale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG \n1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; \nTimepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) \nVolume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) \nNeuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by \ncross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , \n0.001; n 5 310 to 427 neurons from 3 mice.*P , 0.05,**P , 0.01,***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green \nfluorescent protein. \n\n28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 \nneurons was equivalent 7 and 35 days after FB injection, \ndemonstrating that this reduction was not because 7 days were \ninsufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// \nlinks.lww.com/PAIN/C84). No significant difference in the per- \ncentage of FB-labelled YFP1 DRG neurons between ipsilateral \nand contralateral DRG was observed at 7 days following SNItrans \n(Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrat- \ning that loss occurred after this timepoint. Analysis of the cross- \nsectional soma area of FB-labelled, YFP1 neurons in uninjured \nDRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, \nhttp://links.lww.com/PAIN/C84), which is a distribution profile \nmatching those neurons presumed lost. Collectively, these data \nshow that peripheral nerve injury results in a substantial loss of \nnonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an \nunrepaired axonal transection) resulting in an almost complete \nloss of this population. \n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A \nand B). SNItrans, but not sham, resulted in a significant decrease \n(54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 \nDRG (Fig. 3C). \n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is \ndriven by the endogenous Mrgprd promotor, which has been \nreported to be upregulated or downregulated following axonal \ndamage.44,58 Such changes in promoter activity could affect the \nproportion of nonpeptidergic nociceptors identified by YFP \nexpression. Therefore, \nto verify these findings, we used \nMrgDCreERT2;Ai32 mice and tamoxifen administration before \ninjury, to permanently label Mrgprd-expressing afferents with \nChR2-YFP (Figs. 3D–F). We then tested whether the proportion \nof cutaneous tibial afferents that were YFP1 was altered following \nnerve injury. Following hindpaw FB injection, ;15% of contralat- \neral, FB-labelled DRG neurons expressed YFP. This was reduced \nto 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9%", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed2.pdf" + }, + { + "text": "Peripheral nerve injury results in a biased loss of \nsensory neuron subpopulations \nAndrew H. Coopera, Allison M. Barryb, Paschalina Chrysostomidoua, Romane Loligniera, Jinyi Wanga, \nMagdalena Redondo Canalesa, Heather F. Tittertona, David L. Bennettb, Greg A. Weira,*\n\n| Abstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n|---|---|\n| Abstract There is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n| of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following i has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that sp nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Ne loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expressi Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptid nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and p Keywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury | njury label ared uron on of 50%) ergic DRG ain. |\n\n\n1. Introduction \n\nDorsal root ganglion (DRG) neurons represent a molecularly \nand functionally heterogeneous population. Under normal \nconditions, \nthe \nsomatosensory nervous system to detect a myriad of sensory \nstimuli that result in the perceptions of touch, temperature, \nitch, and pain. Following nerve injury, physiological changes in \nDRG neurons lead to hyperexcitability,57 which is a key \npathological driver of neuropathic pain.20,63 Concomitant \nmolecular changes in discrete subpopulations also occur, \nand these have recently been comprehensively described in \nsingle-cell37,44 and subpopulation-specific sequencing stud- \nies.3 These studies describe a transient and generalized \nreduction in the expression of subpopulation-specific genes \nfollowing nerve injury.3,37,44 \n\nthis diversity contributes to the ability of \n\nIn addition to molecular changes, there is a rich literature \ndescribing the frank loss of DRG neurons following traumatic", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed2.pdf" + }, + { + "text": "December 2024· Volume 165· Number 12 \n\ncell death and apoptosis with more than 10 genes were \nexamined. Filtered count data of expressed and nondifferentially \nexpressed genes were used as a background. \n\n2.8. Dorsal root ganglion culture \n\nobserved 7809 6 153 neurons per DRG; this was not significantly \ndifferent to the number of neurons in the contralateral DRG \n(7917 6 349), whereas cell number approximately halved by \n8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). \nSeparating analysis into intact vs axotomized afferents revealed \nthat only axotomized afferents were lost, with no difference \nobserved in numbers of intact afferents (Fig. 1D). Between 1 and \n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the \nnumber of GFP1 neurons. This loss of injured afferents resulted \nin a loss of neuron-containing (ie, excluding white matter regions) \nDRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss \npredominantly occurred between 1 and 2 weeks postinjury and \nstabilized after this timepoint. Population distributions of the \ncross-sectional area of nucleated, \ntdTomato-expressing cell \nprofiles were not significantly different at 1 vs 8 weeks post- \nSNItrans, in contrast to GFP-expressing/injured afferents, in which \na loss of a population of small afferents at 8 weeks postinjury was \nobserved (Fig. 1G). \n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and \nCalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and \nenzymatically digested at 37˚˚C for 80 minutes in dispase type II \n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington \nBiochemical), as described previously.63 Mechanically dissoci- \nated cells were plated onto laminin/poly-D-lysine (R&D Systems, \nMinneapolis, MN) treated coverslips in complete Neurobasal Plus \nmedium (Neurobasal Plus media supplemented with 2% (vol/vol) \nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic \n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth \nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, \nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor \n(GDNF, PeproTech) were added to the media under some \nconditions. Cytosine b-D-arabinofuranoside (4 mM) was added to \nthe media for 24 hours the day after plating to reduce the \nproliferation of nonneuronal cells. Media was refreshed 3 times \nper week thereafter. Cultures were fixed for 10 minutes at room \ntemperature with 4% paraformaldehyde and subsequently \nprocessed by immunocytochemistry (described earlier). \n\nSNItrans resulted in a mixed population of axotomized and intact \nafferents within the L4 DRG. Therefore, we developed an approach \nto restrict our analysis to axotomized afferents, without relying on \ntransgenic labelling, and used this as a complementary approach to \nconfirm our findings. We injected the neuronal tracer FB into the \nglabrous, tibial innervation territory of both hindpaws 1 week before \ncommon peroneal and tibial transection (SNItrans) or crush (SNIcrush) \nsurgeries (Figs. 2A and B). FastBlue-uptake was complete across \nneurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ \nC84), so this approach allowed us to profile a sample of the \naxotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) \ninjuries resulted in a rightward shift in population distributions of the \ncross-sectional area of nucleated, FB-labelled DRG neurons when \ncompared with contralateral DRG, consistent with a loss of small \nafferents post–nerve injury.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous \ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN \nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 \n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) \nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , \n0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG \nvolumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot \ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of \ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, \nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests:**P , 0.01. ANOVA, \nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. \n\n3.3. Spared nerve injury induces a loss of Trpm81 and \ncalcitonin gene-related peptide1 but not myelinated dorsal \nroot ganglion neurons \n\nloss of Trpm81 (cold- \ninduced loss. To investigate potential \nsensitive), calcitonin gene-related peptide1 (CGRP) (peptider- \ngic), and myelinated subpopulations of DRG neurons following \nnerve injury, we applied our FB-labelling approach in Trpm8FlpO; \nRC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; \nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP \nmice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed Loss restricted to nonpeptidergic nociceptors would not fully \naccount for the degree of total neuron loss that we observed. \nTherefore, we studied a range of other subpopulations, both \nsmall and large in diameter, for their vulnerability to injury-", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgDChR2-YFP L4 \nDRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue \nsections. Scale bars 5 100 mm. (C) Quantification of total number of MrgD-YFP1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG. \nTwo-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach \nused to generate data presented in (E–G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to \ninjury. White boxes represent regions enlarged in (F). Scale bars 5 100 mm (E) or 20 mm (F). (G) The proportion of FB-labelled DRG neurons decreased after spared \nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; side 3 injury interaction: \nF1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests:*P , 0.05,**P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB, \nFastBlue; RM, repeated measures.", + "page_start": 7, + "page_end": 7, + "source_file": "pubmed2.pdf" + }, + { + "text": "2.9. Statistical analysis \nData are expressed as mean 6 SEM unless otherwise specified, \nand P values of less than 0.05 were considered significant. Power \ncalculations were performed using G*Power 3.1.9.7.15 A \nquantitative Venn diagram was created using BioVenn.25 All \nother statistical analyses were performed in Prism 10 (GraphPad \nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way \nRM ANOVAs (repeated measures analysis of variance), where \nappropriate. Normality was assessed by the Shapiro–Wilk test. If \nˇS´ıd ´ak or \nthe main analysis of variance effect was significant, \nTukey multiple comparisons tests were performed. To compare \npopulation distributions of soma cross-sectional area or volume, \nKolmogorov–Smirnov tests were performed. \n\nAs a third complementary approach, we applied semiauto- \nmated volumetric analyses of nuclei size following tissue clearing. \nIn this study, whole DRGs were cleared 4 weeks after SNItrans for \nnuclei counting in “complete” tissue (Figs. 2E–H). Nuclei were \nlabelled by TDP-43, in line with the study by West et al.,67 and \nwere quantified using Imaris software (Fig. 2F, Video 1). We \nobserved a slight but significant rightward shift in nuclear spot \nvolume population distribution 4 weeks after SNItrans (Fig. 2G). In \naddition, there was a significant reduction in the number of small \nbut not medium or large nuclear spots, in support of a loss of \nsmall-diameter neuron populations (Fig. 2H). \n\n3. Results \n\n3.1. Peripheral nerve injury induces a loss of small neurons \nfrom the dorsal root ganglion \n\nTogether, our data derived from several different experimental \napproaches show that a population of small-diameter afferents \nare lost following peripheral nerve injury. \n\n3.2. Spared nerve crush or transection results in death of \nMrgprd-expressing neurons \n\nTo date, determining cell \nloss among specific populations of \nafferent neurons has proved challenging due to the down- \nregulation of subpopulation-specific marker genes following \ntransection.37,44 To overcome this issue, we took \naxonal \nadvantage of \ntransgenic strategies to label populations in \na manner that persisted after injury. Owing to the bias for the \nloss of small neurons and the known loss of IB4-binding central \nterminals postinjury,36 we initially focused on nonpeptidergic \nnociceptive neurons. We used MrgDChR2-YFP mice to identify \nneurons belonging to the largest of \nthe 3 classes of non- \npeptidergic nociceptors, NP1.55,59 To determine whether these \nneurons are lost following nerve injury, we used a stereological \nmethod to quantify L4 DRG MrgD-YFP1 (yellow fluorescent \n\nTo assess the gross loss of neurons from DRG following nerve \ninjury, we generated the AvilFlpO;Atf3CreERT2;RC::FLTG mouse \nline in which na¨ıve and axotomized sensory neurons were \ndifferentially labelled. In this mouse line, all neurons express \nin the na¨ıve state and switch to \ntdTomato (Flp-dependent) \nexpressing green fluorescent protein (GFP) upon axonal damage \nand concurrent tamoxifen treatment (Flp- and Cre-dependent) \n(Figs. 1A and B). Following pilot experiments to optimize \ntamoxifen dosing regimen, this approach was both highly efficient \nand specific (with the caveat that it was necessary to wait for \nseveral days after nerve injury for Cre-induced GFP expression): \n14 days after SNItrans surgery, GFP was expressed by 99.1 6 \n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we \nobserved GFP in only 4.6 6 0.7% of contralateral DRG neurons \n(Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used \na stereological approach to quantify the total number of neurons \nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as \nto injury. One week after SNItrans, we \nwell as contralateral", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2864 \n\n2.2. Spared nerve transection and crush surgeries \nneuron loss after nerve injury and to test the hypothesis that loss is \nnot equally distributed across molecular populations. \n\n2. Methods \n\n2.1. Animals \n\nMice were housed in groups in humidity- and temperature-controlled \nrooms with free access to food and water, on a 12-hour light–dark \ncycle, and with environmental enrichment. Animal procedures were \nperformed under a UK Home Office Project Licence and in \naccordance with the UK Home Office (Scientific Procedures) Act \n(1986). All studies were approved by the Ethical Review Process \nApplications Panel of the University of Glasgow or Oxford and conform \nto the ARRIVE guidelines. Experiments were performed on adult male \nand female mice aged 7 to 16 weeks at the start of the experiments. All \nexperimental cohorts contained a mix of male and female mice, apart \nfrom the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush \nsurgery, which was exclusively female. Details of transgenic lines are \nprovided in Table 1. Tamoxifen was administered by i.p. injection of \n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil \n(doses described in Table 1). There were 2 instances where animals \nwere excluded from data analysis: One (cyan fluorescent protein) \nThy1-CFP died of unknown causes not related to the procedure and \nbefore the experimental endpoint, and one MrgDCreERT2;Ai32 \nexhibited no fluorophore expression and was therefore deemed to \nhave been incorrectly genotyped. Group sizes were based on the \nextent of neuronal \nloss 28d following sciatic nerve transection \nidentified by Shi et al.50 Given a 5 0.05, power 5 0.8, and an effect \nsize of 4.81, power analysis projects that a group size of 3 mice would \nbe needed. \n\nSpared nerve injury (transection of the common peroneal and \ntibial branches of \nthe sciatic nerve; SNItrans) and common \nperoneal and tibial crush injury (SNIcrush), in which nerve axons \nwere severed but \nthe epineurium remained intact, were \nperformed as previously described.12 Anesthesia was induced \nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as \nrequired. Analgesia, consisting of carprofen (10 mg/kg) and \nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg) \nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper- \natively. The left hindpaw was secured with tape in hip abduction, \nand the operative field (lateral surface of the thigh) was shaved. \nOphthalmic ointment was applied to the eyes, and the shaved \narea was swabbed with chlorhexidine solution. A longitudinal \nincision was made in the skin at the lateral mid-thigh. Using blunt \ndissection, an opening was made through the biceps femoris, \nexposing the sciatic nerve and the 3 peripheral branches (sural, \ntibial, and common peroneal nerves). For SNItrans, the common \nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture \n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture \nwas removed using spring scissors. For SNIcrush, the exposed \ntibial and common peroneal nerves were clamped using a pair of \nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed \nleaving the nerve branches intact but \nto their second clip, \ntranslucent. The muscle was closed with one 6-0 Vicryl suture \n(Ethicon), and the skin incision was closed with one 10 mm \nwound clip (Alzet, Cupertino, CA). Animals were monitored daily \nfor self-mutilation, and no animals required sacrifice due to tissue \ndamage. \n\n| Table 1 | |\n|---|---|\n| Table 1 | |\n\n\nTransgenic lines used in the study. \n\nPutative population Tamoxifen regime", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed2.pdf" + }, + { + "text": "dorsal \nNeuroreport 2018;29:779–85. \n\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue \nA. Unbiased analysis of the dorsal root ganglion after peripheral nerve \ninjury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN \n2023;164:728–40. [69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum \nAI. Dorsal root ganglion macrophages contribute to both the initiation and \npersistence of neuropathic pain. Nat Commun 2020;11:264. \n\n[50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨okfelt T. Effect of \nperipheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J \n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia \ngelatinosa mediate interaction of signals from primary afferents. J Physiol \n2010;588:2065–75.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2872 \n\ninjury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating \nthat any loss of neurons within specific neuronal subpopulations \nwas not biased towards soma size. Collectively, these data show \nthat unrepaired axonal damage to peripheral sensory neurons \ninduces a partial loss of Trpm81 and CGRP1 subpopulations, \nbut no major loss of myelinated afferents. \nBased on our findings of preferential \n\ndeveloped transgenic recombinase driver lines, we have \nshown that \nloss is biased across molecularly defined \nsubpopulations. Nonpeptidergic nociceptive neurons are \nparticularly susceptible to loss, with almost all Mrgprd1 \naxotomized afferents lost following an unrepaired transection \ninjury (SNItrans) and roughly half lost following a model which \ncontrastingly allows for nerve regenerations (SNIcrush). \nFinally, we have observed that the vulnerability of Mrgprd1 \nneurons extends to the in vitro setting and provide data to \nsupport \nloss is driven by a lack of \nthe hypothesis that \nneurotrophic support following injury. \n\nloss of nonpeptidergic \nnociceptors, we re-analyzed a previous population-specific \ntranscriptomic dataset of mouse DRG neurons following nerve \ninjury for potential upregulation of cell death pathways (Fig. S7, \nhttp://links.lww.com/PAIN/C84).3 We found that early after injury \n(3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) \nneurons showed enhanced enrichment of GO terms associated \nwith apoptosis, in contrast to a broad population of nociceptors \n(labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- \nCreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and \nAd-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), \nin which \nthere was less or no enrichment of cell death pathways. By \n4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any \noverrepresentation of cell death pathways (in the populations \nstudied). Both injury-specific and apoptotic signatures in non- \npeptidergic neurons were no longer significantly enriched, \nconsistent with a loss of axotomized nonpeptidergic afferents \nby this late timepoint postinjury. These data suggest \nthat \napoptotic pathways are upregulated acutely after injury in a cell- \ntype-specific manner. \n\nThe question of whether DRG neurons die following traumatic \ninjury has been addressed by several groups over the last few \ndecades. Despite contrasting findings on the extent, timing, and \nform that loss takes, most studies have observed frank loss of \nDRG neurons.6,38,46,53 However, more recent studies using \nrecombinase driver lines and novel machine-learning approaches \nhave cast doubt on this consensus.44,49 Our data strongly \nsupport the loss hypothesis and suggest that approximately 60% \nof axotomized afferents die within 2 weeks of SNI. The \ndiscrepancy between our findings and other recent studies may \nbe partly explained by the sampling method used to estimate \nneuronal numbers. For example, Schulte et al.49 developed \na novel machine-learning approach and found no reduction in \nneuron density across serial sections of rat DRG following SNI, \nand they inferred from this that frank loss did not occur. Our \nresults are congruous, in that we also observed no reduction in \nneuron density. However, we found a substantial loss in the total \nneuron-containing volume of injured DRG, which underlies our \ncontrasting conclusion of \nfrank loss. Of note, morphological \nvolumetric analysis and MRI have also previously demonstrated \nvolume loss in both rodent and human DRG following nerve \ninjury.35,65,66 These findings occur despite a major increase of \nnonneuronal cells in the injured DRG30 and support the notion \nthat the total DRG neuron number is decreased.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed2.pdf" + }, + { + "text": "Neuronal \nloss has been proposed as a key contributor to poor \nfunctional recovery following nerve injury,54 and biased survival of \ntypes might be expected to contribute to \ndifferent afferent \nmodality-specific sensory deficits. Beyond loss of function, does \nDRG neuron loss contribute to chronic pain, in either an adaptive or \nmaladaptive manner? Intrathecal delivery of GDNF is neuro- \nprotective and reverses the reduction in the number of IB4-binding \nDRG neurons and central terminals seen following transection.5 \nTreatment is concurrently analgesic and abrogates pain-related \nbehaviors.7,60 However, the pleiotropic nature of GDNF makes it \nimpossible to directly attribute the analgesic effects to the reversal \nof neuron loss. Indeed, it is possible that GDNF exerts its effect by \nactions on intact nonpeptidergic nociceptive afferents,52 activation \nof which is known to drive aversive behaviors in the neuropathic \nstate.62 These data leave the contribution of nonpeptidergic \nnociceptor loss to behavior in the GDNF treatment paradigm \nambiguous. Other pharmacological approaches have been found \neffective at reversing a neuronal \nloss in rodent models, but the \nimpact on pain behavior was not studied.21,22 \n\nWhile we made efforts to profile the loss of several molecularly \ndiscrete sensory neuron populations, we acknowledge that not all \nsubtypes were profiled. Furthermore, recent single-cell RNA \nsequencing has given us a more granular appreciation of the \nheterogeneity of sensory neurons.42 Future studies could \nleverage our experimental approach and new transgenic lines \nto characterize the loss of neurons in more detail. Such \nexperiments may be pertinent before embarking on molecular \nor functional profiling of populations post–nerve injury. \n\nRodents develop marked mechanical and thermal hypersen- \nsitivity rapidly following nerve injury and before timepoints at \nwhich neuron loss is observed.10 This lack of a temporal \ncorrelation may suggest a limited contribution to evoked hyper- \nsensitivities. The temporal profile of ongoing tonic pain (eg, pain \naversiveness as measured by condition place preference \nassays26) is less defined and so is its correlation to the timing of \nneuron loss. \n\n4.5. Conclusions \n\nIn sum, we have provided data from multiple complementary \nexperimental approaches to support the hypothesis that DRG \nneurons are lost following nerve injury in mice. We describe \na substantial loss, which is biased towards specific subpopula- \ntions and particularly present in small-diameter nonpeptidergic \nnociceptive neurons. \n\nThere are many anatomical sites within the somatosensory \nnervous system where differential \nloss of sensory neuron \npopulations could impact neurobiology. For example, loss of \ncutaneous afferents may afford more opportunity for plasticity in \nreinnervation patterns, such as collateral sprouting of uninjured or \nsurviving afferents, and the types of nerve endings made by \ndifferent molecular subpopulations.17,27 It also seems likely that the \ndeath of many neurons within a DRG could contribute to the \nexpansion and activation of immune cell types, which are known to \nplay a major role in neuropathic pain.30,69 Finally, under normal \nconditions, peripheral sensory input is integrated into the dorsal \nhorn of the spinal cord by complex interneuron circuitry. Many \nspinal circuits are engaged by convergent input from different \nafferent types.9,41,70 Therefore, selective loss of input from discrete \nafferent types could undoubtedly impact the normal processing of \nremaining afferent signals.34 Experimentally abrogating neuronal \nloss may be a fruitful approach to assess the contribution to \nnervous system plasticity (adaptive or maladaptive) following injury. \nIn this regard, our in vitro readout would be a useful experimental \n\nConflict of interest statement", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed2.pdf" + } + ] + }, + { + "references": { + "source_file": "legal5_eubiodiversity_cc4.pdf", + "query": "What are the EU's key nature conservation commitments for 2030?", + "target_page": 6, + "target_passage": "1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "policies. In addition, by integrating policy coherence for sustainable development in all \nits policies, the EU will reduce the pressure on biodiversity worldwide. In all of its \ninternational cooperation, the EU should promote sustainable agricultural and fisheries \npractices and actions to protect and restore the world’s forests. Particular attention will \nalso be paid to sustainable water resource management, the restoration of degraded land, \nand the protection and restoration of biodiverse areas with high ecosystem services and \nclimate mitigation potential. A better protection of natural ecosystems, coupled with \nefforts to reduce wildlife trade and consumption, will also help prevent and build up \nresilience to possible future diseases and pandemics. The EU will enhance its support to \nglobal efforts to apply the**One Health approach**83, which recognises the intrinsic \nconnection between human health, animal health and healthy resilient nature. \n\nThe EU will step up support to partner countries across the world to achieve the new \nglobal targets, fight environmental crime, and tackle the drivers of biodiversity loss. In \nAfrica, the EU will launch the**NaturAfrica**initiative to protect wildlife and key \necosystems while offering opportunities in green sectors for local populations. Similar \nprojects will be developed in other regions. The EU will also support the Western \nBalkans and EU Neighbourhood countries in their efforts to protect biodiversity. \n\nIn all of its work, the EU will strengthen the links between**biodiversity protection and**\n**human rights**, gender, health, education, conflict sensitivity, the rights-based approach, \nland tenure and the role of indigenous peoples and local communities. \n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and \ncivil society around the world. For example, in March 2020, the Commission launched \nthe**Global Biodiversity Coalition**of national parks, aquariums, botanic gardens, zoos, \nnatural history and sciencemuseums to help raise awareness around the world on the need \nto protect and nurture biodiversity. The Commission will consider launching or joining \nother High Ambition Coalitions to help develop the post-2020 framework. \n\n**5. CONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and \ncontinuity of human life on Earth. The commitments proposed in this strategy pave the \nway for ambitious and necessary changes – changes that will ensure the wellbeing and \neconomic prosperity of present and future generations in a healthy environment. The \nimplementation of these commitments will take into account the diversity of challenges \nacross sectors, regions and Member States, recognise the need to ensure social justice, \nfairness and inclusiveness in line with the European Pillar of Social Rights, and will \nrequire a sense of responsibility and strong joint efforts from the EU, its Member States, \nstakeholders and citizens. \n\nThe Commission invites the European Parliament and the Council to endorse this \nstrategy ahead of the 15th Conference of the Parties to the Convention on Biological \nDiversity. To ensure full political ownership of this strategy, the Commission will \nsuggest a standing progress point at the Council and at the European Parliament. It will \nreview the strategy by 2024 to assess progress and whether further action is needed to \nmeet its objectives.", + "page_start": 22, + "page_end": 22, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "States and the European Environment Agency, will put forward in 2020 criteria and \nguidance for identifying and designating additional areas, including a definition of strict \nprotection, as well as for appropriate management planning. In doing so, it will indicate \nhow other effective area-based conservation measures and greening of cities could \ncontribute to the targets. \n\nThe targets relate to the EU as a whole and could be broken down according to the EU \nbio-geographical regions and sea basins or at a more local level.**Every Member State**\n**will have to do its fair share of the effort**based on objective ecological criteria, \nrecognising that each country has a different quantity and quality of biodiversity. \nParticular focus will be placed on protecting and restoring the tropical and sub-tropical \nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally \nhigh biodiversity value. \n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature \nNetwork, it will be important to set up**ecological corridors**to prevent genetic isolation, \nallow for species migration, and maintain and enhance healthy ecosystems. In this \ncontext, investments in green and blue infrastructure27 and cooperation across borders \namong Member States should be promoted and supported, including through the \nEuropean Territorial Cooperation. \n\nThe Commission will aim to agree the criteria and guidance for additional designations \nwith Member States by the end of 2021. Member States will then have until the end of \n2023 to demonstrate significant progress in legally designating new protected areas and \nintegrating ecological corridors. On this basis, the Commission will assess by 2024 \nwhether the EU is on track to meet its 2030 targets or whether stronger actions, including \nEU legislation, are needed. \n\nFinally, the**Overseas Countries and Territories**also host important biodiversity \nhotspots, not governed by EU environmental rules. The Commission encourages relevant \nMember States to consider promoting equal or equivalent rules in these countries and \nterritories. \n\n**Nature protection: key commitments by 2030**\n\n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea \narea and integrate ecological corridors, as part of a true Trans-European Nature \nNetwork. \n\n2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU \n\nprimary and old-growth forests. \n\n3. Effectively manage all protected areas, defining clear conservation objectives and \n\nmeasures, and monitoring them appropriately.", + "page_start": 5, + "page_end": 5, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "build on the headline ambition to ensure that by 2050**all of the world’s ecosystems are**\n**restored, resilient, and adequately protected.**The world should commit to the net-gain \nprinciple to give nature back more than it takes. As part of this, the world should commit \nto no human-induced extinction of species, at minimum where avoidable. \n\nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to \nensure that**Europe's biodiversity will be on the path to recovery by 2030**for the \nbenefit of people, the planet, the climate and our economy, in line with the 2030 Agenda \nfor Sustainable Development and with the objectives of the Paris Agreement on Climate \nChange. It addresses the five main drivers of biodiversity loss, sets out an enhanced \ngovernance framework to fill remaining gaps, ensures the full implementation of EU \nlegislation, and pulls together all existing efforts. This strategy is enterprising and \nincentivising in spirit and action. It reflects the fact that**protecting and restoring nature**\n**will need more than regulation alone**. It will require action by citizens, businesses, \nsocial partners and the research and knowledge community, as well as strong \npartnerships between local, regional, national and European level. This strategy is in line \nwith the ambitions and commitment set out in President von der Leyen’s Political \nGuidelines and in the European Green Deal. \n\nAdopted in the heart of the COVID-19 pandemic, this strategy will also be a central \nelement of the EU’s recovery plan. It will be crucial to prevent and build resilience to \nfuture zoonosis outbreaks and \ninvestment \nto provide \nopportunities for restoring the EU’s economy. \n\nimmediate business and \n\nAll new initiatives and proposals will be underpinned by the Commission’s better \nregulation tools. Based on public consultations and on the identification of the \nenvironmental, social and economic impacts, impact assessments will contribute to \nensuring that all initiatives achieve their objectives in the most effective and least \nburdensome way and live up to a green oath to “do no harm”. \n\n**2. PROTECTING AND RESTORING NATURE IN THE EUROPEAN UNION**\n\nThe EU has legal frameworks, strategies and action plans to protect nature and restore \nhabitats and species. But protection has been incomplete, restoration has been small- \nscale, and the implementation and enforcement of legislation has been insufficient17. \n\nTo put biodiversity on the path to recovery by 2030, we need to step up the protection \nand restoration of nature. This should be done by improving and**widening our network**\n**of protected areas**and by developing an ambitious**EU Nature Restoration Plan**. \n\n**2.1. A coherent network of protected areas**\n\nBiodiversity fares better in protected areas. However, the current network of legally \nprotected areas, including those under strict protection, is not sufficiently large to \nsafeguard biodiversity. Evidence shows that the targets defined under the Convention on \nBiological Diversity are insufficient to adequately protect and restore nature18. Global \n\n17 Mid-term review of the EU Biodiversity Strategy to 2020 (COM(2015) 478 and SWD(2015) 187); \nFitness Check of the EU Nature Legislation (Birds and Habitats Directives) (SWD(2016) 472); Fitness \nCheck of the EU Water Legislation (SWD(2019) 439). \n18 The global Aichi biodiversity targets are that protected areas should cover 17% on land and 10% at sea, \nwhile scientific studies’ figures range from 30% to 70%. See e.g. IPBES 2019. \n\n3", + "page_start": 3, + "page_end": 3, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "encouraging cooperation in**education for environmental sustainability**in 2021. This \nwill provide guidance for schools and teachers on how to cooperate and exchange \nexperiences across Member States on biodiversity teaching. The Commission will also \nprovide support materials and facilitate the exchange of good practices in EU networks of \nteacher-training programmes. \n\n**4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU’s external action and an integral part of efforts to \nmeet the United Nations Sustainable Development Goals. It will be mainstreamed \nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal \ndiplomacy’, and forthcoming green alliances76. The Commission will work closely with \nthe European Parliament and Member States to ensure a high level of EU ambition and \nmobilise all efforts for the good of the world’s biodiversity. \n\n**4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global \nefforts under the United Nations Convention on Biological Diversity have largely been \ninsufficient. Nature cannot afford any half measures or lack of ambition. \n\nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in**a**\n**high-ambition coalition on biodiversity**– to agree an ambitious new global framework \nfor post-2020 at the upcoming 15th Conference of the Parties to the Convention on \nBiological Diversity. \n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring \nto the table. The EU should also support governments and stakeholders across the globe \nto significantly step up their ambition and their action. \n\nThe Commission proposes that the EU ensures that the post-2020 global framework \nincludes, at a minimum, the elements outlined below: \n\n Overarching global goals for biodiversity for 2050, in line with the United \nNations 2030 Agenda for Sustainable Development and the vision of ‘living in \nharmony with nature’. The ambition should be that,**by 2050, all of the world’s**\n**ecosystems are restored, resilient, and adequately protected.**The world \nshould commit to the net-gain principle to give nature back more than it takes. \nThe world should commit to no human-induced extinction of species, at \nminimum where avoidable. \n\n Ambitious**global 2030 targets in line with EU commitments**in this strategy. \nThese should clearly address the drivers of biodiversity loss and be specific, \nmeasurable, actionable, relevant and time-bound. \n\n A much**stronger implementation, monitoring and review**process. Parties \nshould revise their National Biodiversity Strategies and Action Plans by the end \nof 2021, or as a minimum, submit national commitments for the most important \ntargets. There should be a**regular review cycle**to look at progress towards the", + "page_start": 19, + "page_end": 19, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "**2.2. An EU Nature Restoration Plan: restoring ecosystems across**\n\n**land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To \nreverse biodiversity loss, the world needs to be more ambitious on nature restoration. \nWith a**new EU Nature Restoration Plan**, Europe will lead the way. \n\nThe plan will help improve the health of existing and new protected areas, and bring \ndiverse and resilient nature back to all landscapes and ecosystems. This means reducing \npressures on habitats and species, and ensuring all use of ecosystems is sustainable. It \nalso means supporting the recovery of nature, limiting soil sealing and urban sprawl, and \ntackling pollution and invasive alien species. The plan will create jobs, reconcile \neconomic activities with nature growth and help ensure the long-term productivity and \nvalue of our natural capital. \n\n*2.2.1. Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU \nlegislation28. However,**significant implementation and regulatory gaps hinder**\n**progress**. For instance, there is no requirement for Member States to have biodiversity \nrestoration plans. There are not always clear or binding targets and timelines and no \ndefinition or criteria on restoration or on the sustainable use of ecosystems. There is also \nno requirement to comprehensively map, monitor or assess ecosystem services, health or \nrestoration efforts. These issues are exacerbated by the gaps in implementation that \nprevent the existing legislation from achieving its objectives29. Stronger implementation \nsupport and enforcement is required. To ensure that nature restoration across land and sea \npicks up, increases the EU’s resilience, and contributes to climate change mitigation and \nadaptation as a key nature-based solution, this strategy puts forward two strands of \nactions: \n\n Firstly, and subject to an impact assessment, the Commission will put forward a \nproposal for legally binding**EU nature restoration targets**in 2021 to restore \ndegraded ecosystems, in particular those with the most potential to capture and \nstore carbon and to prevent and reduce the impact of natural disasters. This will \nidentify the conditions in which the targets must be met, as well as the most \neffective measures to reach them. The impact assessment will also look at the \npossibility of an EU-wide methodology to map, assess and achieve good \ncondition of ecosystems so they can deliver benefits such as climate regulation, \nwater regulation, soil health, pollination and disaster prevention and protection. \n\n \n\nIn that context, the Commission will request and support Member States to raise \nthe level of implementation of existing legislation within clear deadlines. It will \nin particular request Member States to ensure**no deterioration in conservation**\n**trends and status**of all protected habitats and species by 203030. In addition, \nMember States will have to ensure that at least 30% of species and habitats not \n\n28 Notably the EU Birds Directive (2009/147/EC), Habitats Directive (92/43/EEC), Water Framework \nDirective (2000/60/EC), Floods Directive (2007/60/EC) and Marine Strategy Framework Directive \n(2008/56/EC). \n29 See Fitness Check of the EU Nature Legislation (SWD(2016) 472) and Fitness Check of the EU Water \nLegislation (SWD(2019) 439). See also below, Section 3.2. \n30 Habitats and species listed under the Birds and Habitats Directives.", + "page_start": 6, + "page_end": 6, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "efforts are needed and the EU itself needs to do more and better for nature and build a \ntruly**coherent Trans-European Nature Network**. \n\nEnlarging protected areas is also an economic imperative. Studies on marine systems \nestimate that every euro invested in marine protected areas would generate a return of at \nleast €319. Similarly, the Nature Fitness Check20 showed that the benefits of Natura 2000 \nare valued at between €200-300 billion per year. The investment needs of the network are \nexpected to support as many as 500,000 additional jobs21. \n\nFor the good of our environment and our economy, and to support the EU’s recovery \nfrom the COVID-19 crisis, we need to protect more nature. In this spirit,**at least 30% of**\n**the land and 30% of the sea should be protected in the EU**. This is a minimum of an \nextra 4% for land and 19% for sea areas as compared to today22. The target is fully in line \nwith what is being proposed23 as part of the post-2020 global biodiversity framework \n(see Section 4). \n\nWithin this, there should be specific focus on areas of very high biodiversity value or \npotential. These are the most vulnerable to climate change and should be granted special \ncare in the form of strict protection24. Today, only 3% of land and less than 1% of marine \nareas are strictly protected in the EU. We need to do better to protect these areas. In this \nspirit, at least one third of protected areas – representing**10% of EU land and 10% of**\n**EU sea – should be strictly protected**. This is also in line with the proposed global \nambition. \n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and \n**strictly protect all the EU’s remaining primary and old-growth forests**25. It will also \nbe important to advocate for the same globally and ensure that EU actions do not result in \ndeforestation in other regions of the world. Primary and old-growth forests are the richest \nforest ecosystems that remove carbon from the atmosphere, while storing significant \ncarbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, \ngrasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, \ntaking into account projected shifts in vegetation zones. \n\nMember States will be responsible for designating the additional protected and strictly \nprotected areas26. Designations should either help to complete the Natura 2000 network \nor be under national protection schemes. All protected areas will need to have clearly \ndefined conservation objectives and measures. The Commission, working with Member \n\n19 Brander et al. (2015), The benefits to people of expanding Marine Protected Areas. \n20 Fitness Check of the EU Nature Legislation (SWD(2016) 472). \n21 Member States’ Prioritised Action Frameworks 2020; Mutafoglu et al. (2017), Natura 2000 and Jobs: \nScoping Study. \n\n22 Latest EU-27 statistics (European database of nationally designated protected areas) v. 2019, and \nNatura 2000 dataset ‘end 2018’. Today, 26% of the EU’s land area is already protected, with 18% as \npart of Natura 2000 and 8% under national schemes. Of EU seas, 11% are protected, with 8% in Natura \n2000 and 3% under additional national protection. To note: offshore wind projects will be possible if in \ncompliance with relevant environmental and nature protection legislation. \n23 Zero draft of the post-2020 global biodiversity framework (CBD/WG2020/2/3), available at \nhttps://www.cbd.int/conferences/post2020/wg2020-02/documents. \n24 Strict protection does not necessarily mean the area is not accessible to humans, but leaves natural \n\nprocesses essentially undisturbed to respect the areas’ ecological requirements. \n\n25 https://www.cbd.int/forest/definitions.shtml; Natura 2000 and Forests. \n26 Additional Natura 2000 designations will be implemented with support from EU funds and \nenforcement as appropriate. \n\n4", + "page_start": 4, + "page_end": 4, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "legislation and guidance on**green public procurement**, the Commission will integrate \ncriteria and monitoring to boost nature-based solutions. \n\n*3.3.3. Measuring and integrating the value of nature*\n\nBiodiversity considerations need to be better integrated into public and business decision- \nmaking at all levels. Building on existing work74, the Commission will develop in 2021 \nmethods, criteria and standards to describe the essential features of biodiversity, its \nservices, values, and sustainable use. \n\nThese will include**measuring the environmental footprint of products and**\n**organisations on the environment**, including through life-cycle approaches and natural \ncapital accounting. In this context, the Commission will support the establishment of an \ninternational natural capital accounting initiative. \n\n*3.3.4. Improving knowledge, education and skills*\n\nThe fight against biodiversity loss must be underpinned by sound science. Investing in \nresearch, innovation and knowledge exchange will be key to gathering the best data and \ndeveloping the best nature-based solutions. Research and innovation can test and develop \nhow to prioritise ‘green’ over ‘grey’ solutions and help the Commission to support \ninvestments in nature-based solutions, such as in old-industrialised, low-income or disaster- \nhit areas. \n\nThe new Skills Agenda will play a key role in the transition to a green economy and the \nfight against biodiversity loss, focusing on training and reskilling of the workforce across \na wide range of sectors. \n\nThe future Horizon Europe programme will include a**long-term strategic research**\n**agenda for biodiversity,**including a science policy mechanism for research-based \noptions for ratcheting up the implementation of biodiversity commitments**,**with \nincreased funding. Horizon Europe’s Missions75 will significantly contribute to filling \nknowledge gaps and finding solutions to improve the health of ecosystems and their \ncontribution to human health. \n\nIn parallel, the Commission will promote and facilitate partnerships, including a \ndedicated Biodiversity Partnership, to make the bridge between science, policy and \npractice and make nature-based solutions a reality on the ground. The Commission will \nalso establish in 2020**a new Knowledge Centre for Biodiversity**in close cooperation \nwith the European Environment Agency. The Centre will: (i) track and assess progress \nby the EU and its partners including in relation to implementation of biodiversity related \ninternational instruments; (ii) foster cooperation and partnership, including between \nclimate and biodiversity scientists; and (iii) underpin policy development. Moreover, the \nCommission will increase its support to the Intergovernmental science-policy Platform on \nBiodiversity and Ecosystem Services. \n\n74 SWD(2019) 305. \n75 Missions on adaptation to climate change including societal transformation, on healthy oceans, seas \ncoastal and inland waters, on climate-neutral and smart cities, and on soil health and food. \n\n18", + "page_start": 18, + "page_end": 18, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "9. There is a 50% reduction in the number of Red List species threatened by invasive \n\nalien species. \n\n10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction \n\nofthe use of fertilisers by at least 20%. \n\n11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. \n12. No chemical pesticides are used in sensitive areas such as EU urban green areas. \n13. The negative impacts on sensitive species and habitats, including on the seabed \nthrough fishing and extraction activities, are substantially reduced to achieve good \nenvironmental status. \n\n14. The by-catch of species is eliminated or reduced to a level that allows species \n\nrecovery and conservation. \n\n**3. ENABLING TRANSFORMATIVE CHANGE**\n\n**3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the \nimplementation of biodiversity commitments agreed at national, European or \ninternational level. To address the gap, the Commission will put in place**a new**\n**European biodiversity governance framework**. This will help map obligations and \ncommitments and set out a roadmap to guide their implementation. \n\nAs part of this new framework, the Commission will put in place a monitoring and \nreview mechanism. This will include a**clear set of agreed indicators**and will enable \nregular progress assessment and set out corrective action if necessary. This mechanism \nwill feed the Environmental Implementation Review and contribute to the European \nSemester. \n\nThe new governance framework will ensure co-responsibility and co-ownership by all \nrelevant actors in meeting the EU’s biodiversity commitments. It will support \nadministrative capacity building, transparency, stakeholder dialogue, and participatory \ngovernance at different levels. \n\nThe Commission will assess the progress and suitability of this approach in 2023, and \nconsider whether a legally binding approach to governance is needed. \n\n**3.2.**\n\n**Stepping up**\n**environmental legislation**\n\n**implementation and enforcement of EU**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the \nlast 30 years, the EU has put in place a solid legislative framework to protect and restore \nits natural capital. However, recent evaluations show that although legislation is fit for \npurpose, implementation on the ground is lagging behind60. This is having dramatic \nconsequences on biodiversity and comes with a substantial economic cost61.**The full**\n**implementation and enforcement of EU environmental legislation is therefore at the**\n**heart of this strategy**, for which political support and financial and human resources \nwill need to be prioritised.", + "page_start": 15, + "page_end": 15, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "*3.3.2. Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and \nprivate investments at national and European level. This will mean making the most of \nall relevant EU programmes and financing instruments. The Commission will strengthen \nits**biodiversity proofing framework**69,*inter alia*by using in an appropriate way the \ncriteria established under the EU taxonomy, to ensure that EU funding supports \nbiodiversity-friendly investments. \n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and \ngreen infrastructure,**at least €20 billion a year70 should be unlocked for spending on**\n**nature**. This will require mobilising private and public funding at national and EU \nlevel71, including through a range of different programmes in the next long-term EU \nbudget. Moreover, as nature restoration will make a major contribution to climate \nobjectives, a significant proportion of the 25% of the EU budget dedicated to climate \naction will be invested on biodiversity and nature-based solutions. \n\n| Investment Plan. | To help unlock the investment needed, the EU must provide long-term | |\n|---|---|---|\n| Investment Plan. | To help unlock the investment needed, the EU must provide long-term | |\n| certainty for investors and help embed sustainability in the financial system. The EU | | |\n| sustainable finance taxonomy will help guide investment towards a green recovery and | | |\n| the deployment of nature-based solutions. In 2021, the Commission will adopt a | | |\n| delegated act under the | | Taxonomy Regulation72 to establish a common classification of |\n\n\n| and ecosystems. | This will be further supported by a Renewed Sustainable Finance | | |\n|---|---|---|---|\n| and ecosystems. | This will be further supported by a Renewed Sustainable Finance | | |\n| Strategy later this year which will help ensure that the | | | financial system contributes to |\n| mitigating existing and future risks to biodiversity and | | | |\n\n\nThe Commission will further promote tax systems and pricing that reflect environmental \ncosts, including biodiversity loss. This should encourage changes in national fiscal \nsystems to shift the tax burden from labour to pollution, under-priced resources, and \nother environmental externalities. The ‘**user pays’ and ‘polluter pays’ principles**have \nto be applied to prevent and correct environmental degradation. \n\nPublic authorities’ purchasing power represents 14% of EU GDP and can serve as a \npowerful driver of demand for the products and services of companies that invest in or \ncontribute to nature-based solutions. To tap into this potential, when proposing further \n\n69 See Common framework and guidance documents for biodiversity proofing of the EU budget. \n70 The cost estimate is based on the 2018 Impact Assessment of the LIFE Regulation (SWD(2018) 292), a \nStudy on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020 and data \nsubmitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will \nupdate the estimate, notably based on Member States’ Prioritised Action Frameworks under the \nHabitats Directive. \n71 Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European \nMaritime and Fisheries Fund, LIFE and external action funds. \n\n72 See EU taxonomy for sustainable activities. \n73 World Wildlife Fund (2019), The Nature of Risk – A Framework for Understanding Nature-Related \nRisk to Business. \n\n17", + "page_start": 17, + "page_end": 17, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "As regards the Birds and Habitats Directives, enforcement will focus on**completing the**\n**Natura 2000 network**, the effective management of all sites, species-protection \nprovisions, and species and habitats that show declining trends. The Commission will \nalso ensure that environment-related legislation with an impact on biodiversity62 is better \nimplemented, enforced and – where necessary – reviewed and revised. \n\nThe Commission will strive to**improve compliance assurance**, working closely with \nMember States and European networks of environmental agencies, inspectors, auditors, \npolice, prosecutors and judges. \n\nIn addition, the Commission will support civil society’s role as a compliance watchdog \nand will engage with Member States to improve access to justice in national courts in \nenvironmental matters for individuals and NGOs. It will also broaden standing for NGOs \nby proposing**a revision of the Aarhus Regulation63**. \n\n**3.3. Building on an integrated and whole-of-society approach**\n\n*3.3.1. Business for biodiversity*\n\nIn the partnership spirit of this strategy, all parts of the economy and society will have to \nplay their role. Industry and business have an impact on nature, but they also produce the \nimportant innovations, partnerships and expertise that can help address biodiversity loss. \n\nTo ensure environmental and social interests are fully embedded into business strategies, \nthe Commission will put forward a new initiative in 2021 on**sustainable corporate**\n**governance**. This initiative, which may take the form of a legislative proposal, will \naddress human rights and environmental duty of care and due diligence across economic \nvalue chains in a proportionate way according to different sizes of entreprises64. This will \nhelp ensure that shareholder and stakeholder interests are fully aligned with the \nobjectives set out in this strategy. In addition, in 2020, the Commission launched a \nreview of the reporting obligations of businesses under the**Non-Financial Reporting**\n**Directive**65, with a view to improving the quality and scope of non-financial disclosures, \nincluding on environmental aspects such as biodiversity. \n\nThrough its existing platforms66, the Commission will help to build a**European**\n**Business for Biodiversity**movement, taking inspiration from recent initiatives67 and \nmaking this movement an integral part of the European Climate Pact. Particular attention \nwill be paid to measures to incentivise and eliminate barriers for the take-up of nature- \nbased solutions, as these can lead to significant business and employment opportunities \nin various sectors68 and are the key to innovation for economic or societal needs that rely \non nature. \n\n| Such as the Directives on Environmental Impact Assessment (2014/52/EU), on Strategic Environmental Assessment (2001/42/EC), on Environmental Liability (2004/35/CE) and on Environmental Crime (2008/99/EC). https://ec.europa.eu/environment/aarhus/ Study on due diligence requirements through the supply chain – Final Report. | |\n|---|---|\n| Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non-financial and | |\n| diversity information by certain large undertakings. | |", + "page_start": 16, + "page_end": 16, + "source_file": "legal5_eubiodiversity_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "legal5_eubiodiversity_cc4.pdf", + "query": "Was there a biodiversity governance framework in place in the EU before the European Commission's proposal?", + "target_page": 16, + "target_passage": "In the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework. ", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "*3.3.2. Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and \nprivate investments at national and European level. This will mean making the most of \nall relevant EU programmes and financing instruments. The Commission will strengthen \nits**biodiversity proofing framework**69,*inter alia*by using in an appropriate way the \ncriteria established under the EU taxonomy, to ensure that EU funding supports \nbiodiversity-friendly investments. \n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and \ngreen infrastructure,**at least €20 billion a year70 should be unlocked for spending on**\n**nature**. This will require mobilising private and public funding at national and EU \nlevel71, including through a range of different programmes in the next long-term EU \nbudget. Moreover, as nature restoration will make a major contribution to climate \nobjectives, a significant proportion of the 25% of the EU budget dedicated to climate \naction will be invested on biodiversity and nature-based solutions. \n\n| Investment Plan. | To help unlock the investment needed, the EU must provide long-term | |\n|---|---|---|\n| Investment Plan. | To help unlock the investment needed, the EU must provide long-term | |\n| certainty for investors and help embed sustainability in the financial system. The EU | | |\n| sustainable finance taxonomy will help guide investment towards a green recovery and | | |\n| the deployment of nature-based solutions. In 2021, the Commission will adopt a | | |\n| delegated act under the | | Taxonomy Regulation72 to establish a common classification of |\n\n\n| and ecosystems. | This will be further supported by a Renewed Sustainable Finance | | |\n|---|---|---|---|\n| and ecosystems. | This will be further supported by a Renewed Sustainable Finance | | |\n| Strategy later this year which will help ensure that the | | | financial system contributes to |\n| mitigating existing and future risks to biodiversity and | | | |\n\n\nThe Commission will further promote tax systems and pricing that reflect environmental \ncosts, including biodiversity loss. This should encourage changes in national fiscal \nsystems to shift the tax burden from labour to pollution, under-priced resources, and \nother environmental externalities. The ‘**user pays’ and ‘polluter pays’ principles**have \nto be applied to prevent and correct environmental degradation. \n\nPublic authorities’ purchasing power represents 14% of EU GDP and can serve as a \npowerful driver of demand for the products and services of companies that invest in or \ncontribute to nature-based solutions. To tap into this potential, when proposing further \n\n69 See Common framework and guidance documents for biodiversity proofing of the EU budget. \n70 The cost estimate is based on the 2018 Impact Assessment of the LIFE Regulation (SWD(2018) 292), a \nStudy on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020 and data \nsubmitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will \nupdate the estimate, notably based on Member States’ Prioritised Action Frameworks under the \nHabitats Directive. \n71 Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European \nMaritime and Fisheries Fund, LIFE and external action funds. \n\n72 See EU taxonomy for sustainable activities. \n73 World Wildlife Fund (2019), The Nature of Risk – A Framework for Understanding Nature-Related \nRisk to Business. \n\n17", + "page_start": 17, + "page_end": 17, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "policies. In addition, by integrating policy coherence for sustainable development in all \nits policies, the EU will reduce the pressure on biodiversity worldwide. In all of its \ninternational cooperation, the EU should promote sustainable agricultural and fisheries \npractices and actions to protect and restore the world’s forests. Particular attention will \nalso be paid to sustainable water resource management, the restoration of degraded land, \nand the protection and restoration of biodiverse areas with high ecosystem services and \nclimate mitigation potential. A better protection of natural ecosystems, coupled with \nefforts to reduce wildlife trade and consumption, will also help prevent and build up \nresilience to possible future diseases and pandemics. The EU will enhance its support to \nglobal efforts to apply the**One Health approach**83, which recognises the intrinsic \nconnection between human health, animal health and healthy resilient nature. \n\nThe EU will step up support to partner countries across the world to achieve the new \nglobal targets, fight environmental crime, and tackle the drivers of biodiversity loss. In \nAfrica, the EU will launch the**NaturAfrica**initiative to protect wildlife and key \necosystems while offering opportunities in green sectors for local populations. Similar \nprojects will be developed in other regions. The EU will also support the Western \nBalkans and EU Neighbourhood countries in their efforts to protect biodiversity. \n\nIn all of its work, the EU will strengthen the links between**biodiversity protection and**\n**human rights**, gender, health, education, conflict sensitivity, the rights-based approach, \nland tenure and the role of indigenous peoples and local communities. \n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and \ncivil society around the world. For example, in March 2020, the Commission launched \nthe**Global Biodiversity Coalition**of national parks, aquariums, botanic gardens, zoos, \nnatural history and sciencemuseums to help raise awareness around the world on the need \nto protect and nurture biodiversity. The Commission will consider launching or joining \nother High Ambition Coalitions to help develop the post-2020 framework. \n\n**5. CONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and \ncontinuity of human life on Earth. The commitments proposed in this strategy pave the \nway for ambitious and necessary changes – changes that will ensure the wellbeing and \neconomic prosperity of present and future generations in a healthy environment. The \nimplementation of these commitments will take into account the diversity of challenges \nacross sectors, regions and Member States, recognise the need to ensure social justice, \nfairness and inclusiveness in line with the European Pillar of Social Rights, and will \nrequire a sense of responsibility and strong joint efforts from the EU, its Member States, \nstakeholders and citizens. \n\nThe Commission invites the European Parliament and the Council to endorse this \nstrategy ahead of the 15th Conference of the Parties to the Convention on Biological \nDiversity. To ensure full political ownership of this strategy, the Commission will \nsuggest a standing progress point at the Council and at the European Parliament. It will \nreview the strategy by 2024 to assess progress and whether further action is needed to \nmeet its objectives.", + "page_start": 22, + "page_end": 22, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "encouraging cooperation in**education for environmental sustainability**in 2021. This \nwill provide guidance for schools and teachers on how to cooperate and exchange \nexperiences across Member States on biodiversity teaching. The Commission will also \nprovide support materials and facilitate the exchange of good practices in EU networks of \nteacher-training programmes. \n\n**4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU’s external action and an integral part of efforts to \nmeet the United Nations Sustainable Development Goals. It will be mainstreamed \nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal \ndiplomacy’, and forthcoming green alliances76. The Commission will work closely with \nthe European Parliament and Member States to ensure a high level of EU ambition and \nmobilise all efforts for the good of the world’s biodiversity. \n\n**4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global \nefforts under the United Nations Convention on Biological Diversity have largely been \ninsufficient. Nature cannot afford any half measures or lack of ambition. \n\nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in**a**\n**high-ambition coalition on biodiversity**– to agree an ambitious new global framework \nfor post-2020 at the upcoming 15th Conference of the Parties to the Convention on \nBiological Diversity. \n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring \nto the table. The EU should also support governments and stakeholders across the globe \nto significantly step up their ambition and their action. \n\nThe Commission proposes that the EU ensures that the post-2020 global framework \nincludes, at a minimum, the elements outlined below: \n\n Overarching global goals for biodiversity for 2050, in line with the United \nNations 2030 Agenda for Sustainable Development and the vision of ‘living in \nharmony with nature’. The ambition should be that,**by 2050, all of the world’s**\n**ecosystems are restored, resilient, and adequately protected.**The world \nshould commit to the net-gain principle to give nature back more than it takes. \nThe world should commit to no human-induced extinction of species, at \nminimum where avoidable. \n\n Ambitious**global 2030 targets in line with EU commitments**in this strategy. \nThese should clearly address the drivers of biodiversity loss and be specific, \nmeasurable, actionable, relevant and time-bound. \n\n A much**stronger implementation, monitoring and review**process. Parties \nshould revise their National Biodiversity Strategies and Action Plans by the end \nof 2021, or as a minimum, submit national commitments for the most important \ntargets. There should be a**regular review cycle**to look at progress towards the", + "page_start": 19, + "page_end": 19, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "9. There is a 50% reduction in the number of Red List species threatened by invasive \n\nalien species. \n\n10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction \n\nofthe use of fertilisers by at least 20%. \n\n11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. \n12. No chemical pesticides are used in sensitive areas such as EU urban green areas. \n13. The negative impacts on sensitive species and habitats, including on the seabed \nthrough fishing and extraction activities, are substantially reduced to achieve good \nenvironmental status. \n\n14. The by-catch of species is eliminated or reduced to a level that allows species \n\nrecovery and conservation. \n\n**3. ENABLING TRANSFORMATIVE CHANGE**\n\n**3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the \nimplementation of biodiversity commitments agreed at national, European or \ninternational level. To address the gap, the Commission will put in place**a new**\n**European biodiversity governance framework**. This will help map obligations and \ncommitments and set out a roadmap to guide their implementation. \n\nAs part of this new framework, the Commission will put in place a monitoring and \nreview mechanism. This will include a**clear set of agreed indicators**and will enable \nregular progress assessment and set out corrective action if necessary. This mechanism \nwill feed the Environmental Implementation Review and contribute to the European \nSemester. \n\nThe new governance framework will ensure co-responsibility and co-ownership by all \nrelevant actors in meeting the EU’s biodiversity commitments. It will support \nadministrative capacity building, transparency, stakeholder dialogue, and participatory \ngovernance at different levels. \n\nThe Commission will assess the progress and suitability of this approach in 2023, and \nconsider whether a legally binding approach to governance is needed. \n\n**3.2.**\n\n**Stepping up**\n**environmental legislation**\n\n**implementation and enforcement of EU**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the \nlast 30 years, the EU has put in place a solid legislative framework to protect and restore \nits natural capital. However, recent evaluations show that although legislation is fit for \npurpose, implementation on the ground is lagging behind60. This is having dramatic \nconsequences on biodiversity and comes with a substantial economic cost61.**The full**\n**implementation and enforcement of EU environmental legislation is therefore at the**\n**heart of this strategy**, for which political support and financial and human resources \nwill need to be prioritised.", + "page_start": 15, + "page_end": 15, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "legislation and guidance on**green public procurement**, the Commission will integrate \ncriteria and monitoring to boost nature-based solutions. \n\n*3.3.3. Measuring and integrating the value of nature*\n\nBiodiversity considerations need to be better integrated into public and business decision- \nmaking at all levels. Building on existing work74, the Commission will develop in 2021 \nmethods, criteria and standards to describe the essential features of biodiversity, its \nservices, values, and sustainable use. \n\nThese will include**measuring the environmental footprint of products and**\n**organisations on the environment**, including through life-cycle approaches and natural \ncapital accounting. In this context, the Commission will support the establishment of an \ninternational natural capital accounting initiative. \n\n*3.3.4. Improving knowledge, education and skills*\n\nThe fight against biodiversity loss must be underpinned by sound science. Investing in \nresearch, innovation and knowledge exchange will be key to gathering the best data and \ndeveloping the best nature-based solutions. Research and innovation can test and develop \nhow to prioritise ‘green’ over ‘grey’ solutions and help the Commission to support \ninvestments in nature-based solutions, such as in old-industrialised, low-income or disaster- \nhit areas. \n\nThe new Skills Agenda will play a key role in the transition to a green economy and the \nfight against biodiversity loss, focusing on training and reskilling of the workforce across \na wide range of sectors. \n\nThe future Horizon Europe programme will include a**long-term strategic research**\n**agenda for biodiversity,**including a science policy mechanism for research-based \noptions for ratcheting up the implementation of biodiversity commitments**,**with \nincreased funding. Horizon Europe’s Missions75 will significantly contribute to filling \nknowledge gaps and finding solutions to improve the health of ecosystems and their \ncontribution to human health. \n\nIn parallel, the Commission will promote and facilitate partnerships, including a \ndedicated Biodiversity Partnership, to make the bridge between science, policy and \npractice and make nature-based solutions a reality on the ground. The Commission will \nalso establish in 2020**a new Knowledge Centre for Biodiversity**in close cooperation \nwith the European Environment Agency. The Centre will: (i) track and assess progress \nby the EU and its partners including in relation to implementation of biodiversity related \ninternational instruments; (ii) foster cooperation and partnership, including between \nclimate and biodiversity scientists; and (iii) underpin policy development. Moreover, the \nCommission will increase its support to the Intergovernmental science-policy Platform on \nBiodiversity and Ecosystem Services. \n\n74 SWD(2019) 305. \n75 Missions on adaptation to climate change including societal transformation, on healthy oceans, seas \ncoastal and inland waters, on climate-neutral and smart cities, and on soil health and food. \n\n18", + "page_start": 18, + "page_end": 18, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "principle79 and taking into account the call of the European Parliament80. In parallel, the \nEU will continue to fund research on the impact of deep-sea mining activities and on \nenvironmentally-friendly \ntechnologies. The EU should also advocate for more \ntransparency in international bodies such as the International Seabed Authority. \n\n*4.2.2. Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition**. In this \nspirit, the Commission will ensure full implementation and enforcement of the \nbiodiversity provisions in all trade agreements, including through the EU Chief Trade \nEnforcement Officer. The Commission will better assess the impact of trade agreements \non biodiversity, with follow-up action to strengthen the biodiversity provisions of \nexisting and new agreements if relevant. The Commission will also present in 2021 a \nlegislative proposal and other measures to avoid or minimise the placing of products \nassociated with deforestation or forest degradation on the EU market81, and to promote \nforest-friendly imports and value chains. The Commission will take a number of steps to \n**crack down on illegal wildlife trade**. This trade contributes to the depletion or \nextinction of entire species, is the world’s fourth most lucrative black market and is \nthought to be one of the causes behind the emergence of zoonotic diseases. It is a human, \neconomic and environmental duty to dismantle it. \n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife \nTrafficking in 2021 and propose a further**tightening of the rules on EU ivory trade**\nlater this year. It will explore a possible revision of the Environmental Crime Directive, \nincluding by looking at expanding its scope and introducing specific provisions for types \nand levels of criminal sanctions. It will consider strengthening the coordinating and \ninvestigative capacities of the European Anti-Fraud Office (OLAF) to work with \nMember States and non-EU countries to prevent illicit trade and the entry of illicit \nproducts into the Single Market. \n\nThe Commission will continue to engage with partner countries to ensure a smooth and \nfair transition, mobilising in particular Aid for Trade to ensure that partners reap the \nbenefits of biodiversity-friendly trade. \n\n*4.2.3. International cooperation, neighbourhood policy and resource*\n\n*mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater \ncooperation with partners, increased support and financing and phasing out of subsidies \nharmful to biodiversity. In the last decade, the EU and its Member States collectively \nupheld their commitment to**double financial flows to developing countries for**\n**biodiversity**82. The EU is ready to continue working with its partners and further \nincrease its support post-2020. This will be part of its work on biodiversity conservation, \nrestoration, sustainable use and mainstreaming in all development and partnership \n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection \nand shall be based on the precautionary principle. \n\n80 European Parliament Resolution on international ocean governance (2017/2055(INI)). \n81 In line with the Commission Communication on Stepping up EU Action to Protect and Restore the \nWorld’s Forests (COM(2019) 352). \n\n82 Including international financing where biodiversity is the principal objective and where it is a \nsignificant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States \nfinancial reports submitted to the Convention on Biological Diversity in 2015 and 2018. \n\n21", + "page_start": 21, + "page_end": 21, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "States and the European Environment Agency, will put forward in 2020 criteria and \nguidance for identifying and designating additional areas, including a definition of strict \nprotection, as well as for appropriate management planning. In doing so, it will indicate \nhow other effective area-based conservation measures and greening of cities could \ncontribute to the targets. \n\nThe targets relate to the EU as a whole and could be broken down according to the EU \nbio-geographical regions and sea basins or at a more local level.**Every Member State**\n**will have to do its fair share of the effort**based on objective ecological criteria, \nrecognising that each country has a different quantity and quality of biodiversity. \nParticular focus will be placed on protecting and restoring the tropical and sub-tropical \nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally \nhigh biodiversity value. \n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature \nNetwork, it will be important to set up**ecological corridors**to prevent genetic isolation, \nallow for species migration, and maintain and enhance healthy ecosystems. In this \ncontext, investments in green and blue infrastructure27 and cooperation across borders \namong Member States should be promoted and supported, including through the \nEuropean Territorial Cooperation. \n\nThe Commission will aim to agree the criteria and guidance for additional designations \nwith Member States by the end of 2021. Member States will then have until the end of \n2023 to demonstrate significant progress in legally designating new protected areas and \nintegrating ecological corridors. On this basis, the Commission will assess by 2024 \nwhether the EU is on track to meet its 2030 targets or whether stronger actions, including \nEU legislation, are needed. \n\nFinally, the**Overseas Countries and Territories**also host important biodiversity \nhotspots, not governed by EU environmental rules. The Commission encourages relevant \nMember States to consider promoting equal or equivalent rules in these countries and \nterritories. \n\n**Nature protection: key commitments by 2030**\n\n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea \narea and integrate ecological corridors, as part of a true Trans-European Nature \nNetwork. \n\n2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU \n\nprimary and old-growth forests. \n\n3. Effectively manage all protected areas, defining clear conservation objectives and \n\nmeasures, and monitoring them appropriately.", + "page_start": 5, + "page_end": 5, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "As regards the Birds and Habitats Directives, enforcement will focus on**completing the**\n**Natura 2000 network**, the effective management of all sites, species-protection \nprovisions, and species and habitats that show declining trends. The Commission will \nalso ensure that environment-related legislation with an impact on biodiversity62 is better \nimplemented, enforced and – where necessary – reviewed and revised. \n\nThe Commission will strive to**improve compliance assurance**, working closely with \nMember States and European networks of environmental agencies, inspectors, auditors, \npolice, prosecutors and judges. \n\nIn addition, the Commission will support civil society’s role as a compliance watchdog \nand will engage with Member States to improve access to justice in national courts in \nenvironmental matters for individuals and NGOs. It will also broaden standing for NGOs \nby proposing**a revision of the Aarhus Regulation63**. \n\n**3.3. Building on an integrated and whole-of-society approach**\n\n*3.3.1. Business for biodiversity*\n\nIn the partnership spirit of this strategy, all parts of the economy and society will have to \nplay their role. Industry and business have an impact on nature, but they also produce the \nimportant innovations, partnerships and expertise that can help address biodiversity loss. \n\nTo ensure environmental and social interests are fully embedded into business strategies, \nthe Commission will put forward a new initiative in 2021 on**sustainable corporate**\n**governance**. This initiative, which may take the form of a legislative proposal, will \naddress human rights and environmental duty of care and due diligence across economic \nvalue chains in a proportionate way according to different sizes of entreprises64. This will \nhelp ensure that shareholder and stakeholder interests are fully aligned with the \nobjectives set out in this strategy. In addition, in 2020, the Commission launched a \nreview of the reporting obligations of businesses under the**Non-Financial Reporting**\n**Directive**65, with a view to improving the quality and scope of non-financial disclosures, \nincluding on environmental aspects such as biodiversity. \n\nThrough its existing platforms66, the Commission will help to build a**European**\n**Business for Biodiversity**movement, taking inspiration from recent initiatives67 and \nmaking this movement an integral part of the European Climate Pact. Particular attention \nwill be paid to measures to incentivise and eliminate barriers for the take-up of nature- \nbased solutions, as these can lead to significant business and employment opportunities \nin various sectors68 and are the key to innovation for economic or societal needs that rely \non nature. \n\n| Such as the Directives on Environmental Impact Assessment (2014/52/EU), on Strategic Environmental Assessment (2001/42/EC), on Environmental Liability (2004/35/CE) and on Environmental Crime (2008/99/EC). https://ec.europa.eu/environment/aarhus/ Study on due diligence requirements through the supply chain – Final Report. | |\n|---|---|\n| Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non-financial and | |\n| diversity information by certain large undertakings. | |", + "page_start": 16, + "page_end": 16, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "targets, with the ability to ratchet up action if needed. These reviews should be \nbased on an independent, science-based gap-analysis and foresight process, with \ncommon headline indicators for all Parties. \n\n**An enabling framework**to bring the ambition to life, across areas such as \n\nfinance, capacity, research, innovation and technology. \n\n**Fair and equitable sharing of the benefits**from the use of genetic resources \n\nlinked to biodiversity. \n\n**A principle of equality**. This includes respect for the rights and the full and \neffective participation of indigenous peoples and local communities. There should \nbe an inclusive approach with participation of all stakeholders, including women, \nyouth, civil society, local authorities, the private sector, academia and scientific \ninstitutions. \n\n**4.2. Using external action to promote the EU’s ambition**\n\n*4.2.1. International Ocean Governance*\n\nIn line with the International Ocean Governance agenda77, the EU will support the \nconclusion of an ambitious legally binding agreement on**marine biological diversity of**\n**areas beyond national jurisdiction**(BBNJ) by the end of 2020. It must set clear global \nprocedures \nidentifying, designating and effectively managing ecologically \nrepresentative marine protected areas in the high seas. It should be ratified and \nimplemented as quickly as possible. \n\nfor \n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help \nbroker agreement on the designation of three vast**Marine Protected Areas in the**\n**Southern Ocean**78, two of which were co-proposed by the EU in East Antarctica and in \nthe Weddell Sea. If agreed, this would constitute one of the biggest acts of nature \nprotection in history. \n\nWork will continue with partner countries and regional organisations to put in place \nmeasures to protect and sustainably use sensitive maritime ecosystems and species, \nincluding in areas beyond national jurisdiction, with a focus on marine biodiversity \nhotspots. The EU should continue supporting Small Island Developing States and other \nrelevant partner countries to participate in meetings of regional and global organisations \nand bodies, and to implement relevant international commitments and regulations. \n\nThe EU will apply**zero tolerance towards illegal, unreported and unregulated**\n**fishing**and will combat overfishing, including through WTO negotiations on a**global**\n**agreement to ban harmful fisheries subsidies**. \n\nIn international negotiations, the EU should advocate that marine minerals in the \ninternational seabed area cannot be exploited before the**effects of deep-sea mining**on \nthe marine environment, biodiversity and human activities have been sufficiently \nresearched, the risks are understood and the technologies and operational practices are \nable to demonstrate no serious harm to the environment, in line with the precautionary", + "page_start": 20, + "page_end": 20, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "**2.2. An EU Nature Restoration Plan: restoring ecosystems across**\n\n**land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To \nreverse biodiversity loss, the world needs to be more ambitious on nature restoration. \nWith a**new EU Nature Restoration Plan**, Europe will lead the way. \n\nThe plan will help improve the health of existing and new protected areas, and bring \ndiverse and resilient nature back to all landscapes and ecosystems. This means reducing \npressures on habitats and species, and ensuring all use of ecosystems is sustainable. It \nalso means supporting the recovery of nature, limiting soil sealing and urban sprawl, and \ntackling pollution and invasive alien species. The plan will create jobs, reconcile \neconomic activities with nature growth and help ensure the long-term productivity and \nvalue of our natural capital. \n\n*2.2.1. Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU \nlegislation28. However,**significant implementation and regulatory gaps hinder**\n**progress**. For instance, there is no requirement for Member States to have biodiversity \nrestoration plans. There are not always clear or binding targets and timelines and no \ndefinition or criteria on restoration or on the sustainable use of ecosystems. There is also \nno requirement to comprehensively map, monitor or assess ecosystem services, health or \nrestoration efforts. These issues are exacerbated by the gaps in implementation that \nprevent the existing legislation from achieving its objectives29. Stronger implementation \nsupport and enforcement is required. To ensure that nature restoration across land and sea \npicks up, increases the EU’s resilience, and contributes to climate change mitigation and \nadaptation as a key nature-based solution, this strategy puts forward two strands of \nactions: \n\n Firstly, and subject to an impact assessment, the Commission will put forward a \nproposal for legally binding**EU nature restoration targets**in 2021 to restore \ndegraded ecosystems, in particular those with the most potential to capture and \nstore carbon and to prevent and reduce the impact of natural disasters. This will \nidentify the conditions in which the targets must be met, as well as the most \neffective measures to reach them. The impact assessment will also look at the \npossibility of an EU-wide methodology to map, assess and achieve good \ncondition of ecosystems so they can deliver benefits such as climate regulation, \nwater regulation, soil health, pollination and disaster prevention and protection. \n\n \n\nIn that context, the Commission will request and support Member States to raise \nthe level of implementation of existing legislation within clear deadlines. It will \nin particular request Member States to ensure**no deterioration in conservation**\n**trends and status**of all protected habitats and species by 203030. In addition, \nMember States will have to ensure that at least 30% of species and habitats not \n\n28 Notably the EU Birds Directive (2009/147/EC), Habitats Directive (92/43/EEC), Water Framework \nDirective (2000/60/EC), Floods Directive (2007/60/EC) and Marine Strategy Framework Directive \n(2008/56/EC). \n29 See Fitness Check of the EU Nature Legislation (SWD(2016) 472) and Fitness Check of the EU Water \nLegislation (SWD(2019) 439). See also below, Section 3.2. \n30 Habitats and species listed under the Birds and Habitats Directives.", + "page_start": 6, + "page_end": 6, + "source_file": "legal5_eubiodiversity_cc4.pdf" + } + ] + }, + { + "references": { + "source_file": "legal5_eubiodiversity_cc4.pdf", + "query": "What is the EU's tolerance for unauthorised fishing?", + "target_page": 21, + "target_passage": "The EU will apply zero tolerance towards illegal, unreported and unregulated fishing", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "threaten their conservation status. To support this, data collection on by-catch for all \nsensitive species needs to be stepped up. \n\nIn addition,**fisheries-management measures**must be established in all marine protected \nareas according to clearly defined conservation objectives and on the basis of the best \navailable scientific advice. \n\n*2.2.7. Restoring freshwater ecosystems*\n\nThe EU’s legal framework on water is ambitious but implementation is lagging behind \nand enforcement must be stepped up46. Greater efforts are needed to**restore freshwater**\n**ecosystems and the natural functions of rivers**in order to achieve the objectives of the \nWater Framework Directive. This can be done by removing or adjusting barriers that \nprevent the passage of migrating fish and improving the flow of water and sediments. To \nhelp make this a reality,**at least 25,000 km of rivers will be restored into free-flowing**\n**rivers by 2030**47 through the removal of primarily obsolete barriers and the restoration of \nfloodplains and wetlands. Technical guidance and support to the Member States to \nidentify sites and help mobilise funding will be provided by the Commission in 2021, in \nconsultation with all relevant authorities48. Member State authorities should review water \nabstraction and impoundment permits to implement ecological flows in order to achieve \ngood status or potential of all surface waters and good status of all groundwater by 2027 \nat the latest, as required by the Water Framework Directive49. To that effect, the \nCommission will provide technical support to Member States on their measures by 2023. \n\nOverall, large-scale river and floodplain restoration investments50 can provide a major \neconomic boost for the restoration sector and for local socioeconomic activities such as \ntourism and recreation. At the same time, these investments can improve water \nregulation, flood protection, nursery habitats for fish, and the removal of nutrient \npollution. \n\n*2.2.8. Greening urban and peri-urban areas*\n\n**Green urban spaces**, from parks and gardens to green roofs and urban farms, provide a \nwide range of benefits for people. They also provide opportunities for businesses and a \nrefuge for nature. They reduce air, water and noise pollution, provide protection from \nflooding, droughts and heat waves, and maintain a connection between humans and \nnature51. \n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the**value of green**\n**urban spaces for our physical and mental wellbeing**. While protection of some urban \n\n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water \nTreatment Directive (SWD(2019) 700). \n47 The target of 25,000 km is based on the Commission’s assessment of what is achievable in the EU by \n2030. \n48 The guidelines will take a wide range of issues into account, including hydropower generation, flood \nmanagement, water supply, agriculture and navigability. \n49 These measures should be planned in the 3rd River Basin Management Plans to be adopted by Member \nStates in 2021, under the Water Framework Directive. \n\n50 Fitness Check of the EU Water Legislation (SWD(2019) 439). \n51 EnRoute project. \n\n12", + "page_start": 12, + "page_end": 12, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "principle79 and taking into account the call of the European Parliament80. In parallel, the \nEU will continue to fund research on the impact of deep-sea mining activities and on \nenvironmentally-friendly \ntechnologies. The EU should also advocate for more \ntransparency in international bodies such as the International Seabed Authority. \n\n*4.2.2. Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition**. In this \nspirit, the Commission will ensure full implementation and enforcement of the \nbiodiversity provisions in all trade agreements, including through the EU Chief Trade \nEnforcement Officer. The Commission will better assess the impact of trade agreements \non biodiversity, with follow-up action to strengthen the biodiversity provisions of \nexisting and new agreements if relevant. The Commission will also present in 2021 a \nlegislative proposal and other measures to avoid or minimise the placing of products \nassociated with deforestation or forest degradation on the EU market81, and to promote \nforest-friendly imports and value chains. The Commission will take a number of steps to \n**crack down on illegal wildlife trade**. This trade contributes to the depletion or \nextinction of entire species, is the world’s fourth most lucrative black market and is \nthought to be one of the causes behind the emergence of zoonotic diseases. It is a human, \neconomic and environmental duty to dismantle it. \n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife \nTrafficking in 2021 and propose a further**tightening of the rules on EU ivory trade**\nlater this year. It will explore a possible revision of the Environmental Crime Directive, \nincluding by looking at expanding its scope and introducing specific provisions for types \nand levels of criminal sanctions. It will consider strengthening the coordinating and \ninvestigative capacities of the European Anti-Fraud Office (OLAF) to work with \nMember States and non-EU countries to prevent illicit trade and the entry of illicit \nproducts into the Single Market. \n\nThe Commission will continue to engage with partner countries to ensure a smooth and \nfair transition, mobilising in particular Aid for Trade to ensure that partners reap the \nbenefits of biodiversity-friendly trade. \n\n*4.2.3. International cooperation, neighbourhood policy and resource*\n\n*mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater \ncooperation with partners, increased support and financing and phasing out of subsidies \nharmful to biodiversity. In the last decade, the EU and its Member States collectively \nupheld their commitment to**double financial flows to developing countries for**\n**biodiversity**82. The EU is ready to continue working with its partners and further \nincrease its support post-2020. This will be part of its work on biodiversity conservation, \nrestoration, sustainable use and mainstreaming in all development and partnership \n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection \nand shall be based on the precautionary principle. \n\n80 European Parliament Resolution on international ocean governance (2017/2055(INI)). \n81 In line with the Commission Communication on Stepping up EU Action to Protect and Restore the \nWorld’s Forests (COM(2019) 352). \n\n82 Including international financing where biodiversity is the principal objective and where it is a \nsignificant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States \nfinancial reports submitted to the Convention on Biological Diversity in 2015 and 2018. \n\n21", + "page_start": 21, + "page_end": 21, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "**energy**41. It will also review in 2021 the data on biofuels with high indirect land-use \nchange risk and establish a trajectory for their gradual phase out by 2030. \n\nThe overall objective is to ensure that EU regulatory framework on bioenergy is in line \nwith the increased ambition set out in the European Green Deal. \n\n*2.2.6. Restoring the good environmental status of marine ecosystems*\n\n**Restored and properly protected marine ecosystems**bring substantial health, social \nand economic benefits to coastal communities and the EU as a whole. The need for \nstronger action is all the more acute as marine and coastal ecosystem biodiversity loss is \nseverely exacerbated by global warming42. \n\nAchieving good environmental status of marine ecosystems, including through strictly \nprotected areas, must involve the restoration of carbon-rich ecosystems as well as \nimportant fish spawning and nursery areas. Some of today’s sea uses endanger food \nsecurity, fishers’ livelihoods, and the fishery and seafood sectors.**Marine resources**\n**must be harvested sustainably and there must be zero-tolerance for illegal practices**. \nIn this regard, the full implementation of the EU’s Common Fisheries Policy, the Marine \nStrategy Framework Directive and the Birds and Habitats Directives is essential. \n\nThe application of an ecosystem-based management approach under EU legislation43 will \nreduce the adverse impacts of fishing, extraction and other human activities, especially \non sensitive species and seabed habitats. To support this,**national maritime spatial**\n**plans**, which Member States have to deliver in 2021, should aim at covering all maritime \nsectors and activities, as well as area-based conservation-management measures.44 The \nCommission will also propose a**new action plan to conserve fisheries resources and**\n**protect marine ecosystems**by 2021. Where necessary, measures will be introduced to \nlimit the use of fishing gear most harmful to biodiversity, including on the seabed. It will \nalso look at how to reconcile the use of bottom-contacting fishing gear with biodiversity \ngoals, given it is now the most damaging activity to the seabed. This must be done in a \nfair and just way for all. The European Maritime and Fisheries Fund should also support \nthe transition to more selective and less damaging fishing techniques. \n\nHealthy fish stocks are key to the long-term prosperity of fishermen and the health of our \noceans and biodiversity. This makes it all the more important to maintain or reduce \nfishing mortality at or under**Maximum Sustainable Yield levels**. This will help achieve \na healthy population age and size distribution for fish stocks. \n\nThe**by-catch of species threatened with extinction**must also be eliminated or reduced \nto a level that allows full recovery. This should also be the case for those in bad \nconservation status or not in good environmental status. Furthermore, the by-catch of \nother species45 must be eliminated or, where this is not possible, minimised so as not to \n\n41 Article 29 of the EU Renewable Energy Directive 2018/2001. \n42 See for example Intergovernmental Panel on Climate Change (2019), Special Report on the Ocean and \nthe Cryosphere in a Changing Climate. \n43 The Common Fisheries Policy, the Marine Strategy Framework Directive (2008/56/EC) and the \nMaritime Spatial Planning Directive (2014/89/EU). \n44 The Commission will report on the implementation of the Maritime Spatial Planning Directive by \nMarch 2022 at the latest, including the application of ecosystem-based management. \n45 Protected by international and EU law. \n\n11", + "page_start": 11, + "page_end": 11, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "targets, with the ability to ratchet up action if needed. These reviews should be \nbased on an independent, science-based gap-analysis and foresight process, with \ncommon headline indicators for all Parties. \n\n**An enabling framework**to bring the ambition to life, across areas such as \n\nfinance, capacity, research, innovation and technology. \n\n**Fair and equitable sharing of the benefits**from the use of genetic resources \n\nlinked to biodiversity. \n\n**A principle of equality**. This includes respect for the rights and the full and \neffective participation of indigenous peoples and local communities. There should \nbe an inclusive approach with participation of all stakeholders, including women, \nyouth, civil society, local authorities, the private sector, academia and scientific \ninstitutions. \n\n**4.2. Using external action to promote the EU’s ambition**\n\n*4.2.1. International Ocean Governance*\n\nIn line with the International Ocean Governance agenda77, the EU will support the \nconclusion of an ambitious legally binding agreement on**marine biological diversity of**\n**areas beyond national jurisdiction**(BBNJ) by the end of 2020. It must set clear global \nprocedures \nidentifying, designating and effectively managing ecologically \nrepresentative marine protected areas in the high seas. It should be ratified and \nimplemented as quickly as possible. \n\nfor \n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help \nbroker agreement on the designation of three vast**Marine Protected Areas in the**\n**Southern Ocean**78, two of which were co-proposed by the EU in East Antarctica and in \nthe Weddell Sea. If agreed, this would constitute one of the biggest acts of nature \nprotection in history. \n\nWork will continue with partner countries and regional organisations to put in place \nmeasures to protect and sustainably use sensitive maritime ecosystems and species, \nincluding in areas beyond national jurisdiction, with a focus on marine biodiversity \nhotspots. The EU should continue supporting Small Island Developing States and other \nrelevant partner countries to participate in meetings of regional and global organisations \nand bodies, and to implement relevant international commitments and regulations. \n\nThe EU will apply**zero tolerance towards illegal, unreported and unregulated**\n**fishing**and will combat overfishing, including through WTO negotiations on a**global**\n**agreement to ban harmful fisheries subsidies**. \n\nIn international negotiations, the EU should advocate that marine minerals in the \ninternational seabed area cannot be exploited before the**effects of deep-sea mining**on \nthe marine environment, biodiversity and human activities have been sufficiently \nresearched, the risks are understood and the technologies and operational practices are \nable to demonstrate no serious harm to the environment, in line with the precautionary", + "page_start": 20, + "page_end": 20, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "Obviously,**most informal, and**— in particular —**irregular and illegal types of work do not respect**\nlegal OSH obligations — and at the same time legal monitoring obligations also fail. The EU \nFundamental Rights Agency (FRA) published several case studies and examples in a series called \n‘Severe labour exploitation reports; 359 these studies provide an insight into most irregular working \nconditions. \n\n**Undeclared work**is defined as paid and lawful (not criminal) activity but undeclared to public authorities. (‘paid \nactivities that are lawful as regards their nature but not declared to public authorities, taking into account the \ndifferences in the regulatory systems of Member States’.) \n\nIn 2018, the European Commission estimated the scale of**undeclared work**in the EU. According to this estimate, \non average, 11.6% of total labour input in the private sector is undeclared, and undeclared work constitutes on \naverage 16.4% of gross value added. The main sectors according to the Special Flash Eurobarometer from 2019360 \nare personal services (childcare/elderly care/cleaning) followed by construction and hospitality services.361 The \n‘European Platform tackling undeclared work’ provides fact sheets about the type and quantity of undeclared work \nin all EU Member States.362 \n\nThe compliance of enterprises with OSH regulations is**supervised by state institutions, mainly the**\n**Labour Inspectorates**.363 At EU level, the SLIC developed common principles for their work. These \ncommon principles aim at harmonising their work and facilitate collaboration; they include planning and \nmonitoring, inspectors’ competencies and independence, prevention, protection, and assistance and \nguidance for inspectors, and internal and external communication.364 \n\nPractically all labour inspections in the EU Member States worked in the past two decades on \n**organisational and strategic measures to achieve an effective and broad impact**, and also to better \nadapt to new and emerging risks.365 To enhance the level of implementation in terms of coverage and \nquality, many labour inspections developed**smart enforcement**and**supervision concepts**.366 \n\n On average, two million visits per year were made by labour inspectorates, in approximately 22 million \nbusinesses in the EU, in the decade 2010-2020, with a steady decline over the years.367 .368 Many \nenterprises that are regarded as low-risk establishments have never been inspected by a labour \ninspectorate. Often more than one inspection is done in large enterprises, for example, as a follow-up \ninspection; there might also be more than one annual inspection in enterprises with high risks. The \nlabour inspection is also tasked to supervise enterprises with many separated sites or establishments, \nfor example, construction companies and shops of supermarket chains. The visit of one headquarter or \none shop cannot be regarded as a visit of a representative selection of enterprises’ locations, which \npossibly show different levels of safety and health. \n\nIn the decade between 2000 and 2010, the development of the resources of labour inspections show a \nmixed picture,**some countries extended the capacities of labour inspections, others cut**\n**resources**. 369 For the period between 2010 and 2020, the European Trade Union Institute (ETUI) \ncounted a decrease of labour inspectors and inspections in 20 of 27 Member States, a drop of 7% for \ninspectors and of 18% for inspections. 370 Again, the picture between Member States differs but, in \ngeneral, budget or staff cuts dominate. ESENER findings show that there was a significant decline \nbetween 2014 and 2019 regarding the number of visits by Labour Inspectorates.371", + "page_start": 122, + "page_end": 122, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Prohibition on arrival of vessels into England**\n\n**3.**—(1) A controller must not cause or permit a vessel whose last point of departure was a \ncountry or territory listed in paragraph 5 to moor at a port in England unless mooring at a port in \nEngland— \n\n(a) is reasonably necessary to secure the safety of the vessel or the health and safety of any \n\nperson aboard it; or \n\n(b) is otherwise required pursuant to a direction issued under Schedule 3A to the Merchant \nShipping Act 1995. \n\n(2) This paragraph does not apply in relation to— \n\n(a) a commercially operated vessel carrying no passengers; \n(b) a vessel operated by or in support of Her Majesty’s Government in the United Kingdom; \n(c) a vessel operated by or in support of a foreign country or territory where, prior to its \narrival in England, a United Kingdom Government Department has provided written \nconfirmation to the operator that the vessel is carrying passengers who are travelling to \nconduct official business with the United Kingdom. \n\n**4.**The countries or territories referred to in paragraph 2(1) are— \n\n(a) Argentina; \n(b) Brazil; \n(c) Cape Verde; \n(d) Chile; \n(e) Ethiopia; \n(f) The Maldives; \n(g) Oman; \n(h) Qatar; \n(i) South Africa; \n(j) Turkey; \n(k) United Arab Emirates. \n\n**5.**The countries or territories referred to in paragraph 3(1) are— \n\nTurkey \n\n**6.**A controller who contravenes paragraph 2(1) or 3(1) commits an offence punishable on \n\nsummary conviction by a fine. \n\nSCHEDULE 14 Regulation 20(4)(c) \n\nAmounts of fixed penalties \n\n**Amounts of fixed penalties**\n\n**1.**The amounts specified for the purposes of regulation 20(4)(c) are the amounts specified in \n\nparagraphs 2 to 17 in relation to the offences described in each paragraph. \n\n**Regulation 19(1)(a)**\n\n**2.**Breach of regulation 3(1), (2) (3) (5), (7) or (8) (without reasonable excuse fail to provide \npassenger information, or evidence of having provided passenger information, or to update \npassenger information)— \n\n(a) in the case of the first fixed penalty notice, £500; \n\n(b) in the case of the second fixed penalty notice, £1,000; \n(c) in the case of the third fixed penalty notice, £2,000; \n(d) in the case of the fourth and subsequent fixed penalty notices, £4,000. \n\n**Regulation 19(6)**\n\n**3.**Breach of regulation 19(6) (intentionally or recklessly provide false passenger information)— \n(a) if the offence consists of the intentional or reckless provision of false or misleading \npassenger information relating to the person’s travel history in relation to a category 3 \ncountry or territory), £10,000; \n\n(b) in any other case— \n\n(i) in the case of the first fixed penalty notice, £500, \n(ii) in the case of the second fixed penalty notice, £1,000, \n(iii) in the case of the third fixed penalty notice, £2,000, \n(iv) in the case of the fourth and subsequent fixed penalty notices, £4,000. \n\n**Regulation 19(1)(b)**\n\n**4.**Breach of regulation 4 (1), (2), (3) or (4) (without reasonable excuse fail to possess or produce \n\nevidence of negative test result on arrival)— \n\n(a) in the case of the first fixed penalty notice, £500; \n(b) in the case of the second fixed penalty notice, £1,000; \n(c) in the case of the third fixed penalty notice, £2,000; \n(d) in the case of the fourth and subsequent fixed penalty notices, £4,000.", + "page_start": 84, + "page_end": 84, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "362 ELA: European Platform tackling undeclared work \n\n363 The OSH Barometer contains a special section on enforcement capacities, here \n364 SLIC, 2015: Common Principles for Labour Inspection in Relation to Health and Safety In the Workplace \n365 Cardiff University et al., 2011: Contract to assess the potential impact of emerging trends and risks on labour \ninspection methodologies in the domain of occupational health and safety, \nEuropean Federation of Public Service Unions (EPSU), 2012: A mapping report on Labour Inspection Services in \n15 European countries (p. 13ff). \n\n366 The Nordic countries (Denmark, Finland, Iceland, Norway and Sweden) are particularly active in this area. \nThey have summarised the current challenges for labour inspections and supervision in general, giving extensive \nand detailed recommendations; Nordic Future of Work Group, 2020: Work today and in the future : Perspectives \non Occupational Safety and Health challenges and opportunities for the Nordic labour inspectorates, here \nBAuA, 2020: Scientific workshop on the future of smart and effective labour inspection, 3 November 2020, here", + "page_start": 153, + "page_end": 153, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Figure 41: Posted workers, receiving and sending countries in the EU315**\n\n\n\nUnambiguously, the data show that all eastern and southern European countries are senders (exception \nMalta). The central European countries Germany, France, Belgium and Austria and the two Nordic \ncountries Sweden and Finland are the receivers. Some smaller countries like Denmark, Ireland and \nLuxembourg are exceptions, and the Netherlands has an equal amount of sent and received posted \nworkers. \n\n**5.4 Globalisation and OSH**\n**Globalisation**is an**economic development accelerating during the past three decades**. Over the \nlast decades, production and services have become less and less solely based on national pre- \nproduction or national service suppliers but instead on international supply chains. 316**International**\n**supply chains**require logistics connections between countries and continents, harmonised technical \nstandards, and, as far as possible, common legal rules and agreements, be it for services or materials \nand products. The development of such supply chains divides the necessary work related to a product \nor a service in parts, which might also mean**that the OSH risks might not be shared in a fair or equal**\n**way**. A fair divide is most probable between economies of similar levels of development, but a main part \nof**globalisation is trade between different levels of economic and technological development**. \n\nA relevant part of outsourcing to less-developed countries**took place in sectors with high OSH risks**: \nmining, metallurgic processes, hazardous waste, basic chemicals and textiles. At the same time, EU \nenterprises ‘import’ health and safety risks by producing goods for export, for example, vehicles, \nmachines, food or specialty chemicals. A**full assessment of the divide of OSH risks needs a case-**\n**by-case description**; a variety of different shares of risk is possible: there might take place reverse \ndevelopments, for example, open-pit mining in a country will probably bear much lower risks than \nunderground coal mining in the EU, and the risks inside the EU might increase due to (partly illegal) \nimport of non-standard or even prohibited products and equipment into the EU (e.g. non certified \nmachines or equipment, cooling agents), and the other way around: EU enterprises might produce and \nexport products whose use is prohibited in the EU (e.g. pesticides). Regarding the**globalisation of**", + "page_start": 113, + "page_end": 113, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "tackling undeclared work’ provides fact sheets of the type and quantity of undeclared work in all EU \nMember States;464 Eurofound published several reports on platform work,465 and the FRA had a series \nof publications and fact sheets on severe cases of exploitation, particularly of migrant workforces.466 \nAlso, the creation of the European Labour Authority (ELA) 467 is partly a consequence of the**often**\n**irregular working conditions of mobile, posted, contracted or seasonal workers**who leave their \ncountry to work in the EU or in another European country. ELA particularly aims to mitigate such critical \nissues related to labour mobility and social security coordination between countries. \n\n**In this report**, the quantitative data and the interpretation of the developments will cover — in an ideal \ncase —**the period 2005 to 2020**. In 2004, a major extension of the EU took place, from 15 to 25 \nMember States. If it is not possible to cover the whole period, the analysis is limited to the maximum \npossible period. If comparability is high, for a very few selected data a further look back to the 1990s \nwas taken. \n\nMoreover, there can be**major comparability difficulties**caused by the change of methodological \napproaches, geographical coverage and other context factors during the last 10 to 30 years. Major \nchallenges for comparative assessments of EU-wide harmonised data collections from different years \nwere: \n\n• The EU went through**several enlargement processes**, expanded from EU-12 to EU-15 in \n1994, expanded from EU-15 to EU-25 in 2004, to EU27 in 2007 and to EU28 in 2013, and \nfrom 2020 on — due to the departure of the United Kingdom — the EU consists of 27 Member \nStates. In statistical publications the identifier EU27_2020 is often used to distinguish this \nperiod from the EU27 phase between 2008 and 2012, before Croatia joined and the EU27 \nbecame EU28. \n\n•**Methodologies of data collection changed**, questions in surveys were abandoned or \n\nchanged, and sample sizes or structures changed, for example, the given period in survey \nquestions changed. One example is from the EWCS: the time categories for health-related \nabsence from work changed from ‘between 10 and 20 days’ to absence of ‘more than 15 \ndays’. \nImportant**structural decisions were taken in the sector of economic statistics**, like the \nchange of the statistical composition and the coding of economic sectors, NACE Code 1, \nRevision 1 (NACE 1.1) was applied until 2007, and from 2008 NACE Code 2 is applied. \n\n• \n\n• The survey providers use(d) for**occupation and educational attainment different**\n**categories**and aggregations levels, for example, ESEG, ISCED or ISCO. \n\n• Some important categories and definitions are**not fully harmonised**in statistics, for example, \nthe definition of ‘manual worker’ or of ‘migration status’.468 \n\n**7.3 Qualitative data and research**\n**Quantitative data gain importance by a comprehensive description of the reasons behind these**\n**data**and their development,**by interpretation and analysis**. Such analytical explanations are \nelaborated by (roughly categorised): the providers of the quantitative data themselves, in addition by \nscientists at universities and governmental institutions, by European, national or regional governmental \norganisations, by business federations and trade unions, by professional associations and by \ninternational organisations. \n\nThis analytical work covers a large variety of topics like detailed studies and reports on**risks, exposures**\n**and outcomes**, on the development and application of**effective technical and organisational**\n**preventive measures**, on preventive**OSH systems and infrastructures**, for example, evaluations and \nassessments of the level of implementation of OSH directives, and finally on the**societal, economic**\n**and legal frame and context**of OSH.", + "page_start": 133, + "page_end": 133, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "OLAF’s own staff or by any outside body authorised to do so on its behalf. \n\nSuch checks and audits may be initiated at any moment during the provision of \nthe services and up to five years starting from the payment of the balance of the \nlast specific contract issued under this FWC \n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent \nby the contracting authority. Audits are carried out on a confidential basis. \n\n**II.24.2**The contractor must keep all original documents stored on any appropriate \nmedium, including digitised originals if authorised under national law, for a period \nof five years starting from the payment of the balance of the last specific contract \nissued under this FWC. \n\n**II.24.3**The contractor must grant the contracting authority’s staff and outside personnel \nauthorised by the contracting authority the appropriate right of access to sites and \npremises where the FWC is implemented and to all the information, including \ninformation in electronic format, needed to conduct such checks and audits. The \ncontractor must ensure that the information is readily available at the moment of \nthe check or audit and, if so requested, that information is handed over in an \nappropriate format. \n\n**II.24.4**On the basis of the findings made during the audit, a provisional report is drawn \nup. The contracting authority or its authorised representative must send it to the \ncontractor, who has 30 days following the date of receipt to submit observations. \nThe contractor must receive the final report within 60 days following the expiry of \nthe deadline to submit observations. \n\nOn the basis of the final audit findings, the contracting authority may recover all \nor part of the payments made in accordance with Article II.23 and may take any \nother measures which it considers necessary. \n\n**II.24.5**In accordance with Council Regulation (Euratom, EC) No 2185/96 of \n11 November 1996 concerning on-the-spot checks and inspection carried out by \nthe Commission in order to protect the European Communities’ financial interests \nagainst*fraud*and other*irregularities*and Regulation (EU, Euratom) No 883/2013 \nof the European Parliament and of the Council of 11 September 2013 concerning \ninvestigations conducted by the European Anti-Fraud Office, the European Anti- \nFraud Office may carry out investigations, including on the spot checks and \ninspections, to establish whether there has been*fraud*, corruption or any other \nillegal activity under the contract affecting the financial interests of the Union. \nFindings arising from an investigation may lead to criminal prosecution under \nnational law. \n\nThe investigations may be carried out at any moment during the provision of the \nservices and up to five years starting from the payment of the balance of the last \nspecific contract issued under this FWC. \n\n**II.24.6**The Court of Auditors, the European Public Prosecutor’s Office established by \nCouncil Regulation (EU) 2017/193977 (‘the EPPO’) and, for the processing of \npersonal data, the European Data Protection Supervisor have the same rights as \nthe contracting authority, particularly right of access, for the purpose of checks,", + "page_start": 37, + "page_end": 37, + "source_file": "EN-Draft FWC for services 0142.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_SMFG_2011.pdf", + "query": "What are the missions of the Sumitomo Mitsui Financial Group?", + "target_page": 7, + "target_passage": "• To provide optimum added value to our customers and together with them achieve growth • To create sustainable shareholder value through business growth• To create sustainable shareholder value through business growth • To provide a challenging and professionally rewarding work environment for our dedicated employees• To provide a challenging and professionally rewarding work environment for our dedicated employee", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Corporate Outline (as of September 30, 2011)** **Editorial Policy**\n\nCompany Name Sumitomo Mitsui Financial Group, Inc. This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group ：： \n\nBusiness Description Management of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \n： is fulfilling as we work to create a sustainable society. \n\nnon-bank subsidiaries, as well as the performance of ancillary functions \nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \n\nEstablished December 2, 2002 \n： \nthe essence of business itself, and our initiatives act upon this. \n\nHead Office 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan \n： \nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nChairman of the Board Masayuki Oku \n： \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \nPresident Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) \n： \n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR \nCapital ¥2,337.8 billion \n： \nactivities and statistical data omitted in the CSR Report 2011 (digest version). \nStock Exchange Listings Tokyo Stock Exchange (First Section) \n： \nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nOsaka Securities Exchange (First Section) \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nNagoya Stock Exchange (First Section) \nour CSR and other activities in greater detail. \nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. \n\nFrom the current fiscal year, we are including third-party opinions in the website version. \n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nDaiwa SB Investments \nDaiwa SB Investments \n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\nSumitomo Mitsui Auto Service \nSumitomo Mitsui Auto Service \n\n**Scope of this Report**\n\n(cid:129) Sumitomo Mitsui Financial Group, Inc. \n\n(cid:129) Sumitomo Mitsui Banking Corporation \n\n(cid:129) SMFG Card & Credit, Inc. \n\n(cid:129) Sumitomo Mitsui Card Company, Limited \n\n(cid:129) Cedyna Financial Corporation \n\n(cid:129) Sumitomo Mitsui Finance and Leasing Co., Ltd. \n\n(cid:129) The Japan Research Institute, Limited \n\n(cid:129) SMBC Friend Securities Co., Ltd. \n\n(cid:129) SMBC Nikko Securities Inc. \n\n(cid:129) THE MINATO BANK, LTD. \n\n(cid:129) Kansai Urban Banking Corporation \n\n(cid:129) Other Group companies \n\nCompany name abbreviations and other special terminology \n\nThroughout this report,**“Sumitomo Mitsui Financial Group”**or**“SMFG”**refers to the holding company alone.**“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates. \n\n\n\n**Reference guidelines**\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) \n\n*Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide. \n\n**CSR disclosure**\n**through**\n**specific examples**\n\n**CSR report 2011 (digest version)**\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, \nCovers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examples \ncentered on specific examples \n\n**CSR report 2011**\n**(digest version with examples of activities and**\n**statistical performance, online PDF file)**", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n**Keeping**\n**our shareholders**\n**informed**\n\nSpecific Examples of CSR Activities \n\n**Together with Our Shareholders**\n**and Markets**\n\nWebsite \n\nAnnual report \n\n**Contributing to the development of sounder financial markets**\n\nSRI Indexes on which SMFG is listed Examples of Group disclosure activities \n\nQuarterly and interim financial reports, \nQuarterly and interim financial reports, \n\nresults announcements, securities \nresults announcements, securities \n\nreports, legal disclosure statements, \nreports, legal disclosure statements, \n\nregular publications, etc. \nregular publications, etc. \n\nWe believe that the SMFG Group can contribute \nWe believe that the SMFG Group can contribute \nAnnual and interim reports (in Japanese \nAnnual and interim reports (in Japanese \nfurther to the creation of a sustainable society \nfurther to the creation of a sustainable society \nand English) \nand English) \n\n\n\nBased on this approach, SMFG goes \nBased on this approach, SMFG goes \n\n**We aim to further**\n**strengthen communication**\n**with our shareholders**\n**and investors**\n\nbeyond legal requirements in enriching its \nbeyond legal requirements in enriching its \n\ndisclosure of information on management \ndisclosure of information on management \n\npolicy and operational strategy. These \npolicy and operational strategy. These \n\ninitiatives have won the support of many \ninitiatives have won the support of many \n\nmarket participants. We were selected as \nmarket participants. We were selected as \n\nSMFG is committed to ensuring financial \nSMFG is committed to ensuring financial a winner of the Awards for Excellence in \na winner of the Awards for Excellence in \n\nsoundness through appropriate policy-making \nsoundness through appropriate policy-making Corporate Disclosure for fiscal 2011 by The \nCorporate Disclosure for fiscal 2011 by The \n\nand business operations. At the same time, \nand business operations. At the same time, Securities Analysts Association of Japan. \nSecurities Analysts Association of Japan. \n\nwe disclose corporate information in a \nwe disclose corporate information in a \n\ntimely and precise way to shareholders and \ntimely and precise way to shareholders and \n\ncompanies’ corporate social responsibility \ncompanies’ corporate social responsibility \n\n**Together with our investors:**\n**Creating a platform for**\n**social contribution through**\n**the financial markets**\n\nactivities, and uses the information it gathers \nactivities, and uses the information it gathers \n\nto create a basic file on companies managing \nto create a basic file on companies managing \n\nsocially responsible investment funds*3*3. \nsocially responsible investment fund \n\n**SMFG has listed**\n**its shares on SRI indexes**\n\nthrough its activities in financial markets. \nthrough its activities in financial markets. \n\nFor example, SMBC Friend Securities markets \nFor example, SMBC Friend Securities markets SRI indexes are for socially responsible \nSRI indexes are for socially responsible \n\n while \n“Environmental Sustainability Bond”*1*1 while \n“Environmental Sustainability Bond” investments in which major investment \ninvestments in which major investment \n\nSMBC Nikko Securities markets “WB Green \nSMBC Nikko Securities markets “WB Green decisions are based on environmental and \ndecisions are based on environmental and \n\n. These are bonds \nBonds (Green Bonds)”*2*2. These are bonds \nBonds (Green Bonds)” social factors as well as the target company’s s \nsocial factors as well as the target company \n\n\n\n\n\nmarkets. We believe full disclosure not only \nmarkets. We believe full disclosure not only \n\nhelps foster a more correct understanding \nhelps foster a more correct understanding \n\nand evaluation of the Group, but also \nand evaluation of the Group, but also \n\ncontributes to the development of sounder \ncontributes to the development of sounder", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n\n\nSpecific Examples of CSR Activities \n\n**Together with Our Employees**\n\n**We are developing human resources that can take on global roles,**\n**and we are creating globalized working environments**\n\nprocess of “in-house internationalization.” \nprocess of “in-house internationalization.” \n\n**Preparing human resources**\n**to take on global roles**\n\n**Creating support tools**\n**for developing the role of**\n**female employees**\n\nUnder our “global course” program, newly \nUnder our “global course” program, newly \n\nhired sogoshoku \nhired (management-track) staff \nsogoshoku (management-track) staff \n\nare sent overseas after basic training. We \nare sent overseas after basic training. We \n\nFaced with changing markets and rising \nFaced with changing markets and rising have also expanded human resource \nhave also expanded human resource \n**“My Story”**\ncosts, many Japanese companies are \ncosts, many Japanese companies are training programs in English and Chinese \ntraining programs in English and Chinese \n\nmoving their operations overseas. Many \nmoving their operations overseas. Many and at overseas units. \nand at overseas units. \n\nlarge companies already have gone global \nlarge companies already have gone global Improvement of language skills in particular \nImprovement of language skills in particular \n\nin terms of production and marketing bases, \nin terms of production and marketing bases, is s ome t hing t ha t r equir e s ongoing \nis s ome t hing t hat requir es ongoing \n\nbalance between work and care needs. \nbalance between work and care needs. \n\n**Better support for carers:**\n**Workplace measures to**\n**deal with the rising old-age**\n**dependency ratio**\n\nThe improvements have three aspects: \nThe improvements have three aspects: \n\n(1) Care-leave time has been extended to \n(1) Care-leave time has been extended to \n\none year; (2) the time frame during which \none year; (2) the time frame during which \n\nstaggered and shortened working hours \nstaggered and shortened working hours \n\nfor care-giving are allowed has been \nfor care-giving are allowed has been \n\nIn November 2010, the bank expanded its \nIn November 2010, the bank expanded its extended to three years; and (3) greater \nextended to three years; and (3) greater \n\nemployee carer support program. \nemployee carer support program. flexibility has been introduced in reduction \nflexibility has been introduced in reduction \n\nEven now, much remains to be done to \nEven now, much remains to be done to of working hours for care purposes. \nof working hours for care purposes. \n\ndevelop public suppor t mechanisms, \ndevelop public suppor t mechanisms, \n\nat overseas units and for regular employees \nat overseas units and for regular employees \n\nin Japan. All of these courses are in English \nin Japan. All of these courses are in English \n\nand feature discussions and presentations \nand feature discussions and presentations \n\non resolution of issues faced by global \non resolution of issues faced by global \n\ncompanies. Through such lively exchanges, \ncompanies. Through such lively exchanges, \n\nthe aim is to develop the ability to deepen \nthe aim is to develop the ability to deepen \n\ncross-cultural communication and cultivate \ncross-cultural communication and cultivate \n\na global outlook and mentality. \na global outlook and mentality. \n\nAt the bank, we will continue measures to \nAt the bank, we will continue measures to \n\npromote globalization going forward, and \npromote globalization going forward, and \n\ncreate systems that can provide higher \ncreate systems that can provide higher \n\nquality support to our customers. \nquality support to our customers. \n\nWe have also established the SMBC Care \nWe have also established the SMBC Care \n\nConsultation Desk as a convenient general \nConsultation Desk as a convenient general \n\nservice for employees and their family \nservice for employees and their family", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "SMFG CSR promotion structure CSR activities and the PDCA cycle\nGroup CSR Committee Board of Directors\nOur Mission\nChairman: Director in charge of SMFG\nCorporate Planning Department Management Committee Basic CSR Policy\nCommittee members: General Managers of SMFG, (Business Ethics)\nSumitomo Mitsui Banking Corporation,\nSMFG Card & Credit, Sumitomo Mitsui Card,\nCedyna, Sumitomo Mitsui Finance and Leasing, Promoting CSR through\nThe Japan Research Institute, core operations\nSMBC Friend Securities, SMBC Nikko Securities, Banking Sumitomo SMFG and Sumitomo Institute The Co., SMBC\nTHE MINATO BANK and Customers Plan Leasing Japan Ltd.\nKansai Urban Banking Corporation Card Friend\nCorporation Limited\nAdministered by: Group CSR Department of SMFG Shareholders and the Market Do Strategic advisor: Mitsui Credit, & Co., Mitsui Research Securities\nJRI Center for the Strategy of Emergence The Environment and Society Check\nLtd. Finance\nEmployees Act Inc.\nCSR Liaison Committee\nParticipation in global initiatives\nRReecceenntt yyeeaarrss hhaavvee sseeeenn aa ggrroowwiinngg rraannggee ooff iinntteerrnnaattiioonnaall iinniittiiaattiivveess ttoo ddeeaall wwiitthh tthhrreeaattss ttoo tthhee ssuussttaaiinnaabbiilliittyy ooff tthhee gglloobbaall eennvviirroonnmmeenntt..\nAAss aa gglloobbaall cciittiizzeenn,, tthhee SSMMFFGG GGrroouupp,, mmiinnddffuull ooff iittss ssoocciieettaall iinnfflluueennccee aass aa ffiinnaanncciiaall iinnssttiittuuttiioonn,, ffoolllloowwss tthhee gguuiiddeelliinneess aanndd pprriinncciipplleess ooff\ntthhee ffoolllloowwiinngg iinniittiiaattiivveess aanndd oorrggaanniizzaattiioonnss::\nUnited Nations The United Nations Environment Carbon Disclosure Project Equator Principles\nGlobal Compact Programme Finance Initiative (UNEP FI) (CDP)\nThe 10 principles advocated by The global partnership between the UNEP and An initiative to measure, manage A set of guiding principles for man-\nthe United Nations in the areas of financial institutions who are signatories to the and alleviate climate change by aging social and environmental\nhuman rights, labor standards, the UNEP FI Statements seeks to identify, promote, and encouraging sustained dialog issues in project finance, based on\nenvironment, and anti-corruption ensure best environmental and sustainability prac- with institutional investors and the guidelines of the International\nmeasures tice at all operational levels of financial institutions business leaders on this issue Finance Corporation (IFC)\nCSR REPORT 2011 12 |\n|---|---|", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report\nDigest version |\n|---|---|---|\n| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report Digest version |\n| | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\nSpecific Examples of CSR Activities \n\n**New queue-number display system**\n**installed at bank counters**\n\n**Together with Our Customers**\n\nColors and special designs are used to make \n\nqueue-number displays more visible to all customers \n\n(The Minato Bank) \n\n\n\n**We work as a team to improve customer satisfaction and product quality, and, while supporting the customer,**\n**contribute to the sustainable development of society as a whole.**\n\n\n\n\n\n\n\n\n\nA further measure is installation of handheld \nA further measure is installation of handheld \n\n**Making banking**\n**a more pleasant experience**\n**for all customers**\n\nhearing support devices at all branches \nhearing support devices at all branches \n\n(except housing loan promotion offices), to \n(except housing loan promotion offices), to \n\nallay the concerns of hearing-impaired \nallay the concerns of hearing-impaired \n\ncustomers who find it difficult to converse \ncustomers who find it difficult to converse \n\nWith the old-age dependency ratio soaring, \nWith the old-age dependency ratio soaring, and follow spoken instructions. By using the \nand follow spoken instructions. By using the \n\nthe SMFG Group aims to provide friendly, \nthe SMFG Group aims to provide friendly, devices as communication tools, bank \ndevices as communication tools, bank \n\neasy-to-use banking services for all its \neasy-to-use banking services for all its employees can respect customer privacy \nemployees can respect customer privacy \n\nand do not have to talk loudly. \nand do not have to talk loudly. \n\ncustomers. \ncustomers. \nSome Group companies are likewise making \nSome Group companies are likewise making Further measures include posting of “green \nFurther measures include posting of “green \n\ntheir facilities barrier-free at bank branches \ntheir facilities barrier-free at bank branches \n\n\n\nThe SMBC Food and Agricultural Assessment \nThe SMBC Food and Agricultural Assessment \n\nLoan comes with conditions, depending on \nLoan comes with conditions, depending on \n\nthe results of an evaluation of food-producers’ \nthe results of an evaluation of food-producers’ \n\nprogress in areas such as food safety and \nprogress in areas such as food safety and \n\nenvironment-friendliness, healthiness and \nenvironment-friendliness, healthiness and \n\nnutritional value, and efficiency of distribution. \nnutritional value, and efficiency of distribution. \n\nThe Japan Research Institute researches \nThe Japan Research Institute researches \n\nm e a s u r e s i n t h e \nm e a s u r e s i n t h e \n\nTelephone handset-type ATM \n (The Minato Bank) of food and \na r e a s of food and \na r e a s \n\nfarming being taken \nfarming being taken \n\nby the loan applicant, \nby the loan applicant, \n\n**Preparing our businesses**\n**for a higher old-age**\n**dependency ratio**\n\nand drafts a simple \nand drafts a simple \n\n“diagnosis” stating \n“diagnosis” stating \n\nwhether there is room \nwhether there is room \n\nfor future improvement. Ernst & Young \nfor future improvement. Ernst & Young \n\nShinNihon LLC provides expert opinions on \nShinNihon LLC provides expert opinions on \n\near” logos at branches to reassure customers \near” logos at branches to reassure customers \n\nBut in recent years, consumers have come to \nBut in recent years, consumers have come to that the bank has facilities for conversing \nthat the bank has facilities for conversing \n\n**The financial sector’s role in**\n**improving the nation’s diet and**\n**in strengthening the agricultural**\n**and fisheries sectors**\n\nplace more priority on factors other than \nplace more priority on factors other than writing. All branches are being equipped \nin in writing. All branches are being equipped \n\nvolume and price, such as food safety and \nvolume and price, such as food safety and with white boards and special message \nwith white boards and special message", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "tthhee PPDDCCAA ccyyccllee iinn oouurr CCSSRR iinniittiiaattiivveess.. SMFG CSR promotion structure CSR activities and the PDCA cycle Group CSR Committee Board of Directors Our Mission Chairman: Director in charge of SMFG Corporate Planning Department Management Committee Basic CSR Policy Committee members: General Managers of SMFG, (Business Ethics) Sumitomo Mitsui Banking Corporation, SMFG Card & Credit, Sumitomo Mitsui Card, Cedyna, Sumitomo Mitsui Finance and Leasing, Promoting CSR through The Japan Research Institute, core operations SMBC Friend Securities, SMBC Nikko Securities, Banking Sumitomo SMFG and Sumitomo Institute The Co., SMBC THE MINATO BANK and Customers Plan Leasing Japan Ltd. Kansai Urban Banking Corporation Card Friend Corporation Limited Administered by: Group CSR Department of SMFG Shareholders and the Market Do Strategic advisor: Mitsui Credit, & Co., Mitsui Research Securities JRI Center for the Strategy of Emergence The Environment and Society Check Ltd. Finance Employees Act Inc. CSR Liaison Committee Participation in global initiatives RReecceenntt yyeeaarrss hhaavvee sseeeenn aa ggrroowwiinngg rraannggee ooff iinntteerrnnaattiioonnaall iinniittiiaattiivveess ttoo ddeeaall wwiitthh tthhrreeaattss ttoo tthhee ssuussttaaiinnaabbiilliittyy ooff tthhee gglloobbaall eennvviirroonnmmeenntt.. AAss aa gglloobbaall cciittiizzeenn,, tthhee SSMMFFGG GGrroouupp,, mmiinnddffuull ooff iittss ssoocciieettaall iinnfflluueennccee aass aa ffiinnaanncciiaall iinnssttiittuuttiioonn,, ffoolllloowwss tthhee gguuiiddeelliinneess aanndd pprriinncciipplleess ooff tthhee ffoolllloowwiinngg iinniittiiaattiivveess aanndd oorrggaanniizzaattiioonnss:: United Nations The United Nations Environment Carbon Disclosure Project Equator Principles Global Compact Programme Finance Initiative (UNEP FI) (CDP) The 10 principles advocated by The global partnership between the UNEP and An initiative to measure, manage A set of guiding principles for man- the United Nations in the areas of financial institutions who are signatories to the and alleviate climate change by aging social and environmental human rights, labor standards, the UNEP FI Statements seeks to identify, promote, and encouraging sustained dialog issues in project finance, based on environment, and anti-corruption ensure best environmental and sustainability prac- with institutional investors and the guidelines of the International measures tice at all operational levels of financial institutions business leaders on this issue Finance Corporation (IFC) CSR REPORT 2011 12 |", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "financial institutions in the disaster-affected areas \nfinancial institutions in the disaster-affected areas \n\n\n\n\n\n\n\n\n\n\nAnd today \nAnd today Besshi copper mine in the Meiji era \nBesshi copper mine in the Meiji era \n\nMitsui Charity Hospital at its establishment \nMitsui Charity Hospital at its establishment \n\n\n\n**Creating systems for sustainability**\n\n**Environmental measures**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \n\nleverage its role as a leading financial services group. This is a priority field for the future. \nleverage its role as a leading financial services group. This is a priority field for the future. \n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \n\ntechnological breakthroughs, with a particular focus on the Asian region. \ntechnological breakthroughs, with a particular focus on the Asian region. \n\n\n\n**Further measures needed**\n\n\n\n\n\n**Symbiosis and diversity**\n\n**Global challenges**\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory \noperations both in Japan and overseas. Initiatives include aggressive development of advisory \n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \n\nas well as contributions to the international community and the environmental business, chiefly \nas well as contributions to the international community and the environmental business, chiefly \n\nthrough branches and representative offices overseas. \nthrough branches and representative offices overseas. \n\nWe will continue to discuss and review various approaches to issues facing the international \nWe will continue to discuss and review various approaches to issues facing the international \n\ncommunity so as to build up trust internationally as a global player. \ncommunity so as to build up trust internationally as a global player. \n\n**Further measures needed**\n\nShare expertise in corporate social responsibility \nShare expertise in corporate social responsibility ● \n\nwith the international community \nwith the international community \n\nImprove financial services in preparation for the \nImprove financial services in preparation for the ● \n\nglobalization of operations in Japan (multilingual \nglobalization of operations in Japan (multilingual \n\nsupport) \nsupport) \n\nPromote diversity \nPromote diversity ● \n\nIn the past, the Sumitomo Group \nIn the past, the Sumitomo Group undertook large-scale afforestation \nundertook large-scale afforestation \n\nprograms to solve the problem of \nprograms to solve the problem of pollution around the Besshi copper \npollution around the Besshi copper \n\nmine, while the Mitsui Group set up \nmine, while the Mitsui Group set up the Mitsui Memorial Hospital to \nthe Mitsui Memorial Hospital to \n\ngive the poorest in society access to \ngive the poorest in society access to basic medical care. Based on this \nbasic medical care. Based on this", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Social Contribution**\n**Activities**\n\n\n\n\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated \n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\nbranches at their own initiative. A wide variety \nbranches at their own initiative. A wide variety \n\n**SMFG and**\n**its Group companies**\n**participate in neighborhood**\n**cleanup programs** **Supporting education in**\n**developing countries,**\n**together with our customers**\n**and employees**\n\n**Donations through**\n**“The World Bank**\n**Green Fund”**\n\nof social contribution activities, such as the \nof social contribution activities, such as the \nMitsui Sumitomo VISA Card \ncollection of used stamps and PET bottle \ncollection of used stamps and PET bottle \n\ncaps, were carried out for global causes. \ncaps, were carried out for global causes. \n\nSumitomo Mitsui \nCard staff \nPOINT UP Mall \nSMBC Nikko Securities will continue activi- \nSMBC Nikko Securities will continue activi \n\nties that contribute to society and prioritize \nties that contribute to society and prioritize \n\ncommunication between employees. \ncommunication between employees. \n\nPromoting usage through \nthe point-allocation system \nDonation of used books \n\n| | | |\n|---|---|---|\n| | | |\n| | | |\n| o | f | us |\n| | | |\n\n\nSumitomo Mitsui \nCardholders \n\nBOOKOFF CORP Group \n\nCardholders and employees of Sumitomo \nCardholders and employees of Sumitomo \n\nMitsui Card joined a literary social contribution \nMitsui Card joined a literary social contribution \n\ninitiative by participating in the Books To \ninitiative by participating in the Books To \n\nThe People 2010 project operated by BOOKOFF \nThe People 2010 project operated by BOOKOFF \n\n environ- \nCORP. This project aims to provide environ \nCORP. This project aims to provide \n\nments in which children can read books in \nments in which children can read books in \n\npurpose-built facilities, through donations to \npurpose-built facilities, through donations to \nBuying used books \nRoom to Read, a non-governmental organi- \nRoom to Read, a non-governmental organi \nPurchase price \nzation that supports education in developing \nzation that supports education in developing \n\n| | | | | |\n|---|---|---|---|---|\n| | | | | |\n| | | | | |\n| | | Purchase price | | |\n\n\n| | | | |\n|---|---|---|---|\n| | | | |\n| | | Buying used books | |\n\n\ncountries. These NGO donations are pegged \ncountries. These NGO donations are pegged \n\nto total numbers of used books and other \nto total numbers of used books and other \n\nIn the fall of 2010, SMBC Nikko Securities \nIn the fall of 2010, SMBC Nikko Securities \n\nestablished its “Green Week” for strength- \nestablished its “Green Week” for strength \n\nening environmental protection and social \nening environmental protection and social \n\ncontribution activities, with the aim of \ncontribution activities, with the aim of \n\npromoting communication within regional \npromoting communication within regional \n\nsociety and among participating employees \nsociety and among participating employees \n\nand their families, while deepening under- \nand their families, while deepening under \n\nstanding of environmental protection through \nstanding of environmental protection through \n\nEmployees and their families pitch in to clean up \n the bed of the Ara River in Tokyo \nparticipation in social contribution activities. \nparticipation in social contribution activities. \n\nBetween November 13 and December 5, \nBetween November 13 and December 5, \nEnvironmental protection activities \n2010, environmental protection programs \n2010, environmental protection programs \nForestry management volunteering experience in Osaka \n(Izumi no Mori) \nwere rolled out by cross-organizational \nwere rolled out by cross-organizational \n117 participants \n“Green Committees” in four locations in \n“Green Committees” in four locations in", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Social Contribution Activities**\n\n**1**\n★★ \n\n**Helping build prosperity**\n**in Asia and the world**\n\n**7** **8**\n★★ \n\n**2**\n★★ \n\n★★ \n\n★★ \n**3**\n**4**\n★★ \n★★ \n**10**\n★★ \n★★ \n**5**\n★★ \n★★ \n★★ \n\nThe SMFG Group is engaged in a range of activities \nThe SMFG Group is engaged in a range of activities \n\nthat contribute to development at both the regional \nthat contribute to development at both the regional \n\nand international level. In addition to overseas units’ \nand international level. In addition to overseas units’ \n\nindependent initiatives, which are geared to host \nindependent initiatives, which are geared to host \n\ncountry issues and characteristics, the Group supports \ncountry issues and characteristics, the Group supports \n\nprojects that have contributed to achievement of the \nprojects that have contributed to achievement of the \n\nUnited Nations’ global Millennium Development Goals, \nUnited Nations’ global Millennium Development Goals, \n\nsuch as poverty eradication, health improvement and \nsuch as poverty eradication, health improvement and \n\nstatus improvement for education and women in \nstatus improvement for education and women in \n\ndeveloping countries. Our support takes the form of \ndeveloping countries. Our support takes the form of \n\ndonations to non-profit and non-governmental \ndonations to non-profit and non-governmental \n\norganizations, through the employee volunteer fund. \norganizations, through the employee volunteer fund. \n\n(The map shows areas where fund money is used, \n(The map shows areas where fund money is used, \n\n**Europe**\n**7**\n\n**Donations to charity groups**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe \nEmployees of Sumitomo Mitsui Banking Corporation Europe \n(SMBCE) conducted volunteer activities in their time off. \n(SMBCE) conducted volunteer activities in their time off. \nSMBCE contributes to charitable organizations through an \nSMBCE contributes to charitable organizations through an \nin-house fund and also uses a matching gifts program under \nin-house fund and also uses a matching gifts program under \nwhich it donates a \nwhich it donates a \ncertain amount for \ncertain amount for \nevery donation made \nevery donation made \nby its employees. \nby its employees. \n\n**The United States**\n**10**\n\n**SMBC GLOBAL FOUNDATION**\n\nBased in the United States, SMBC Global Foundation has \nBased in the United States, SMBC Global Foundation has \nprovided scholarships to more than 5,000 university students \nprovided scholarships to more than 5,000 university students \nin Asian countries since its establishment in 1994. In the \nin Asian countries since its establishment in 1994. In the \nUnited States, it supports educational trips to Japan \nUnited States, it supports educational trips to Japan \norganized by a high school located in Harlem, New York City, \norganized by a high school located in Harlem, New York City, \nand volunteer employees of SMBC and JRI to participate in \nand volunteer employees of SMBC and JRI to participate in \nschool beautification programs. The foundation also provides \nschool beautification programs. The foundation also provides \nmatching gifts for SMBC employees. \nmatching gifts for SMBC employees. \n\n\n\n\n\n\n\n**6**\n\nMiddle East & Asia \n★★ \n\n symbol). Please see our website for \nmarked with a ★ symbol). Please see our website for \nmarked with a \nmore details. \nmore details. \n**South Korea** **Vietnam**\n**1** **4**\n\n**Support for a South Korean students’**\n**Japanese-language theater competition**\nAs a way of increasing understanding of Japanese culture, \nAs a way of increasing understanding of Japanese culture, \nSMBC \ns Seoul Branch donates funds to make possible the \nSMBC’s Seoul Branch donates funds to make possible the \nholding of a competition \nholding of a competition \ninvolving theatrical perfor- \ninvolving theatrical perfor \nmances in the Japanese \nmances in the Japanese \nlanguage by South Korean \nlanguage by South Korean \nstudents of Japanese. \nstudents of Japanese.", + "page_start": 14, + "page_end": 14, + "source_file": "NYSE_SMFG_2011.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_SMFG_2011.pdf", + "query": "Did Katsutoshi Konuma participate in the August 2011 expert roundtable on the role of the Sumitomo Mitsui Financial Group's new Food and Agricultural Assessment Loan? ", + "target_page": 8, + "target_passage": "Key comments of participants Together with Our Customers Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Corporate Outline (as of September 30, 2011)** **Editorial Policy**\n\nCompany Name Sumitomo Mitsui Financial Group, Inc. This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group ：： \n\nBusiness Description Management of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \n： is fulfilling as we work to create a sustainable society. \n\nnon-bank subsidiaries, as well as the performance of ancillary functions \nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \n\nEstablished December 2, 2002 \n： \nthe essence of business itself, and our initiatives act upon this. \n\nHead Office 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan \n： \nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nChairman of the Board Masayuki Oku \n： \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \nPresident Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) \n： \n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR \nCapital ¥2,337.8 billion \n： \nactivities and statistical data omitted in the CSR Report 2011 (digest version). \nStock Exchange Listings Tokyo Stock Exchange (First Section) \n： \nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nOsaka Securities Exchange (First Section) \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nNagoya Stock Exchange (First Section) \nour CSR and other activities in greater detail. \nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. \n\nFrom the current fiscal year, we are including third-party opinions in the website version. \n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nDaiwa SB Investments \nDaiwa SB Investments \n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\nSumitomo Mitsui Auto Service \nSumitomo Mitsui Auto Service \n\n**Scope of this Report**\n\n(cid:129) Sumitomo Mitsui Financial Group, Inc. \n\n(cid:129) Sumitomo Mitsui Banking Corporation \n\n(cid:129) SMFG Card & Credit, Inc. \n\n(cid:129) Sumitomo Mitsui Card Company, Limited \n\n(cid:129) Cedyna Financial Corporation \n\n(cid:129) Sumitomo Mitsui Finance and Leasing Co., Ltd. \n\n(cid:129) The Japan Research Institute, Limited \n\n(cid:129) SMBC Friend Securities Co., Ltd. \n\n(cid:129) SMBC Nikko Securities Inc. \n\n(cid:129) THE MINATO BANK, LTD. \n\n(cid:129) Kansai Urban Banking Corporation \n\n(cid:129) Other Group companies \n\nCompany name abbreviations and other special terminology \n\nThroughout this report,**“Sumitomo Mitsui Financial Group”**or**“SMFG”**refers to the holding company alone.**“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates. \n\n\n\n**Reference guidelines**\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) \n\n*Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide. \n\n**CSR disclosure**\n**through**\n**specific examples**\n\n**CSR report 2011 (digest version)**\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, \nCovers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examples \ncentered on specific examples \n\n**CSR report 2011**\n**(digest version with examples of activities and**\n**statistical performance, online PDF file)**", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "housing for the elderly, expected to be a \nhousing for the elderly, expected to be a \n\nfuture growth area. \nfuture growth area. \n\nW hile c o n t inuing t o t a ilo r bu sine s s \nW hile c o n t inuin g t o t a ilo r b u s in e s s \n\nactivities to the needs of the community at \nactivities to the needs of the community at \n\nlarge and ensuring a friendly banking \nlarge and ensuring a friendly banking \n\nenvironment for our customers, the SMFG \nenvironment for our customers, the SMFG \n\nGroup also plans to support the creation of \nGroup also plans to support the creation of \n\n\n\n\n\n**Roundtable session: SMBC Food and Agricultural Assessment Loan**\n\nA roundtable session with experts held in August 2011 \nconsidered the role of the new SMBC Food and Agricultural \nAssessment Loan in improving the food supply chain that \nlinks food and fishery producers with food processors and \nconsumers. Opinions were also exchanged on what other \nfuture role the bank might assume in this regard, given \nthe current situation and issues facing the food industry \nand agriculture \nin Japan. \n\n**Key comments of participants**\n\n| | For further details, please see our website. |\n|---|---|\n| | For further details, please see our website. |\n\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, \nThe University of Tokyo \n“Eating should be something that generates emotion. New potential exists in the world of cuisine.” \nDaisuke Yamamoto, Vice Senior Consultant, Research Department, \nThe Japan Research Institute, Limited \n“As consumer tastes go through a time of great change, I think it is important to \nprioritize ingredients and the attitude of customers toward eating.” \nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of \nthe Corporate Banking Unit & Middle Market Banking Unit, SMBC \n“An important concept is multilateral dialogue as the number of parties involved in food \nproduction increases throughout the supply chain.” \nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC \n\nThe Minato Bank has created a position \nThe Minato Bank has created a position \n\ntitled “Service Care Manager” at each of \ntitled “Service Care Manager” at each of \n\nits branches, filled by at least one branch \nits branches, filled by at least one branch \n\nmanagerial staffer, as part of measures to \nmanagerial staffer, as part of measures to \n\nmake branch visits more pleasant for \nmake branch visits more pleasant for \n\ncustomers, following earlier nuts-and-bolts \ncustomers, following earlier nuts-and-bolts \n\nimprovements. \nimprovements. \n\nService Care Managers are dedicated to \nService Care Managers are dedicated to \n\nimproving support and services for the \nimproving support and services for the \n\ncustomer at each branch. Their training \ncustomer at each branch. Their training \n\nincludes simulations of the problems faced \nincludes simulations of the problems faced \n\nby persons with disabilities, awareness \nby persons with disabilities, awareness \n\nraising and support methods for the elderly \nraising and support methods for the elderly \n\nand persons with disabilities. \nand persons with disabilities.", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n**Keeping**\n**our shareholders**\n**informed**\n\nSpecific Examples of CSR Activities \n\n**Together with Our Shareholders**\n**and Markets**\n\nWebsite \n\nAnnual report \n\n**Contributing to the development of sounder financial markets**\n\nSRI Indexes on which SMFG is listed Examples of Group disclosure activities \n\nQuarterly and interim financial reports, \nQuarterly and interim financial reports, \n\nresults announcements, securities \nresults announcements, securities \n\nreports, legal disclosure statements, \nreports, legal disclosure statements, \n\nregular publications, etc. \nregular publications, etc. \n\nWe believe that the SMFG Group can contribute \nWe believe that the SMFG Group can contribute \nAnnual and interim reports (in Japanese \nAnnual and interim reports (in Japanese \nfurther to the creation of a sustainable society \nfurther to the creation of a sustainable society \nand English) \nand English) \n\n\n\nBased on this approach, SMFG goes \nBased on this approach, SMFG goes \n\n**We aim to further**\n**strengthen communication**\n**with our shareholders**\n**and investors**\n\nbeyond legal requirements in enriching its \nbeyond legal requirements in enriching its \n\ndisclosure of information on management \ndisclosure of information on management \n\npolicy and operational strategy. These \npolicy and operational strategy. These \n\ninitiatives have won the support of many \ninitiatives have won the support of many \n\nmarket participants. We were selected as \nmarket participants. We were selected as \n\nSMFG is committed to ensuring financial \nSMFG is committed to ensuring financial a winner of the Awards for Excellence in \na winner of the Awards for Excellence in \n\nsoundness through appropriate policy-making \nsoundness through appropriate policy-making Corporate Disclosure for fiscal 2011 by The \nCorporate Disclosure for fiscal 2011 by The \n\nand business operations. At the same time, \nand business operations. At the same time, Securities Analysts Association of Japan. \nSecurities Analysts Association of Japan. \n\nwe disclose corporate information in a \nwe disclose corporate information in a \n\ntimely and precise way to shareholders and \ntimely and precise way to shareholders and \n\ncompanies’ corporate social responsibility \ncompanies’ corporate social responsibility \n\n**Together with our investors:**\n**Creating a platform for**\n**social contribution through**\n**the financial markets**\n\nactivities, and uses the information it gathers \nactivities, and uses the information it gathers \n\nto create a basic file on companies managing \nto create a basic file on companies managing \n\nsocially responsible investment funds*3*3. \nsocially responsible investment fund \n\n**SMFG has listed**\n**its shares on SRI indexes**\n\nthrough its activities in financial markets. \nthrough its activities in financial markets. \n\nFor example, SMBC Friend Securities markets \nFor example, SMBC Friend Securities markets SRI indexes are for socially responsible \nSRI indexes are for socially responsible \n\n while \n“Environmental Sustainability Bond”*1*1 while \n“Environmental Sustainability Bond” investments in which major investment \ninvestments in which major investment \n\nSMBC Nikko Securities markets “WB Green \nSMBC Nikko Securities markets “WB Green decisions are based on environmental and \ndecisions are based on environmental and \n\n. These are bonds \nBonds (Green Bonds)”*2*2. These are bonds \nBonds (Green Bonds)” social factors as well as the target company’s s \nsocial factors as well as the target company \n\n\n\n\n\nmarkets. We believe full disclosure not only \nmarkets. We believe full disclosure not only \n\nhelps foster a more correct understanding \nhelps foster a more correct understanding \n\nand evaluation of the Group, but also \nand evaluation of the Group, but also \n\ncontributes to the development of sounder \ncontributes to the development of sounder", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report\nDigest version |\n|---|---|---|\n| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report Digest version |\n| | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\nSpecific Examples of CSR Activities \n\n**New queue-number display system**\n**installed at bank counters**\n\n**Together with Our Customers**\n\nColors and special designs are used to make \n\nqueue-number displays more visible to all customers \n\n(The Minato Bank) \n\n\n\n**We work as a team to improve customer satisfaction and product quality, and, while supporting the customer,**\n**contribute to the sustainable development of society as a whole.**\n\n\n\n\n\n\n\n\n\nA further measure is installation of handheld \nA further measure is installation of handheld \n\n**Making banking**\n**a more pleasant experience**\n**for all customers**\n\nhearing support devices at all branches \nhearing support devices at all branches \n\n(except housing loan promotion offices), to \n(except housing loan promotion offices), to \n\nallay the concerns of hearing-impaired \nallay the concerns of hearing-impaired \n\ncustomers who find it difficult to converse \ncustomers who find it difficult to converse \n\nWith the old-age dependency ratio soaring, \nWith the old-age dependency ratio soaring, and follow spoken instructions. By using the \nand follow spoken instructions. By using the \n\nthe SMFG Group aims to provide friendly, \nthe SMFG Group aims to provide friendly, devices as communication tools, bank \ndevices as communication tools, bank \n\neasy-to-use banking services for all its \neasy-to-use banking services for all its employees can respect customer privacy \nemployees can respect customer privacy \n\nand do not have to talk loudly. \nand do not have to talk loudly. \n\ncustomers. \ncustomers. \nSome Group companies are likewise making \nSome Group companies are likewise making Further measures include posting of “green \nFurther measures include posting of “green \n\ntheir facilities barrier-free at bank branches \ntheir facilities barrier-free at bank branches \n\n\n\nThe SMBC Food and Agricultural Assessment \nThe SMBC Food and Agricultural Assessment \n\nLoan comes with conditions, depending on \nLoan comes with conditions, depending on \n\nthe results of an evaluation of food-producers’ \nthe results of an evaluation of food-producers’ \n\nprogress in areas such as food safety and \nprogress in areas such as food safety and \n\nenvironment-friendliness, healthiness and \nenvironment-friendliness, healthiness and \n\nnutritional value, and efficiency of distribution. \nnutritional value, and efficiency of distribution. \n\nThe Japan Research Institute researches \nThe Japan Research Institute researches \n\nm e a s u r e s i n t h e \nm e a s u r e s i n t h e \n\nTelephone handset-type ATM \n (The Minato Bank) of food and \na r e a s of food and \na r e a s \n\nfarming being taken \nfarming being taken \n\nby the loan applicant, \nby the loan applicant, \n\n**Preparing our businesses**\n**for a higher old-age**\n**dependency ratio**\n\nand drafts a simple \nand drafts a simple \n\n“diagnosis” stating \n“diagnosis” stating \n\nwhether there is room \nwhether there is room \n\nfor future improvement. Ernst & Young \nfor future improvement. Ernst & Young \n\nShinNihon LLC provides expert opinions on \nShinNihon LLC provides expert opinions on \n\near” logos at branches to reassure customers \near” logos at branches to reassure customers \n\nBut in recent years, consumers have come to \nBut in recent years, consumers have come to that the bank has facilities for conversing \nthat the bank has facilities for conversing \n\n**The financial sector’s role in**\n**improving the nation’s diet and**\n**in strengthening the agricultural**\n**and fisheries sectors**\n\nplace more priority on factors other than \nplace more priority on factors other than writing. All branches are being equipped \nin in writing. All branches are being equipped \n\nvolume and price, such as food safety and \nvolume and price, such as food safety and with white boards and special message \nwith white boards and special message", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "volume and price, such as food safety and \nvolume and price, such as food safety and with white boards and special message \nwith white boards and special message \n\nhealthiness, and the cultural aspects of diet. \nhealthiness, and the cultural aspects of diet. ablets for dialogue with customers who \ntablets for dialogue with customers who \n\nAs discussion continues on the need for \nAs discussion continues on the need for have concerns about their hearing and who \nhave concerns about their hearing and who \n\nfarmers to increase production scale and \nfarmers to increase production scale and dislike written conversations. \ndislike written conversations. \n\nFor many years, food supply networks in \nFor many years, food supply networks in move into processing and marketing, major \nmove into processing and marketing, major \n\nJapan were premised on mass production and \nJapan were premised on mass production and changes are underway in the agriculture and \nchanges are underway in the agriculture and \n\n**Peace of mind**\n**at the bank counter**\n\nmass consumption, enabling the country to \nmass consumption, enabling the country to fisheries sector in Japan. \nfisheries sector in Japan. \n\nmeet soaring food demand at a time of rapid \nmeet soaring food demand at a time of rapid Against this backdrop, SMBC has developed \nAgainst this backdrop, SMBC has developed \n\ngrowth in the population and economy. \ngrowth in the population and economy. a new financial product for this sector. \na new financial product for this sector. \n\nongoing improvement of this system. \nongoing improvement of this system. \n\nBy backing customer companies’ own \nBy backing customer companies’ own \n\ninitiatives in the areas of food and agriculture \ninitiatives in the areas of food and agriculture \n\nin this way, SMBC will be supporting measures \nin this way, SMBC will be supporting measures \n\nto improve the diet of the Japanese and \nto improve the diet of the Japanese and \n\nstrengthen the agriculture and fisheries sector. \nstrengthen the agriculture and fisheries sector. \n\nwith large numbers of customers, to tailor \nwith large numbers of customers, to tailor \n\nservices to the needs of all customers. \nservices to the needs of all customers. \n\nFor example at the Minato Bank, we have \nFor example at the Minato Bank, we have \n\nequipped all ATMs at all our branches and \nequipped all ATMs at all our branches and \n\ncashpoints with voice-guidance handsets for \ncashpoints with voice-guidance handsets for \n\nthe visually impaired. \nthe visually impaired. \n\nIn addition, we have set up priority seating \nIn addition, we have set up priority seating \n\nin the lobby of each of our branches for \nin the lobby of each of our branches for \n\ncustomers who are very old or who have \ncustomers who are very old or who have \n\nmobility problems. We are also steadily \nmobility problems. We are also steadily \n\nintroducing queue-number displays using \nintroducing queue-number displays using \n\nColor Universal Design (CUD) principles, \nColor Universal Design (CUD) principles, \n\n**For further details, please see our website.**\nwhich are easier to read for customers with \nwhich are easier to read for customers with \n\neyesight concerns. \neyesight concerns. \n\nIn addition to removing mobility barriers at \nIn addition to removing mobility barriers at \n\nbranches, the bank plans to aggressively \nbranches, the bank plans to aggressively \n\nsupport installation of facilities needed to \nsupport installation of facilities needed to \n\ncope with the rapidly rising old-age \ncope with the rapidly rising old-age \n\ndependency ratio. As a first step, SMBC \ndependency ratio. As a first step, SMBC \n\nhas est ablished clear guidelines for \nhas est ablished clear guidelines for \n\nsuppor ting the construction of rental \nsuppor ting the construction of rental \n\nhousing for the elderly, expected to be a \nhousing for the elderly, expected to be a \n\nfuture growth area. \nfuture growth area.", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**CSR report 2011**\n**(digest version with examples of activities and**\n**statistical performance, online PDF file)**\n\n**Comprehensive**\n**disclosure of**\n**CSR activities**\nCovers environment-related statistical data and gives more detailed \nCovers environment-related statistical data and gives more detailed \ninformation on CSR activities \ninformation on CSR activities \n\n\n\n\n\n**About this Report**\n\nPeriod Covered \n\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” ) \nNote: Certain items in this report refer to activities taking place after April 2011. \n\n： \n\n**CSR report (online version, Japanese only)**\n\nPublication Date of \nJapanese Document \n\n**Enriched**\n**CSR disclosure**\n\nDecember 2011 \n： \nwww.smfg.co.jp/responsibility \n\nContact \n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc. \n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 \nTEL: +81-3-3282-8111 \n\n： \n\nThis is the official version of our CSR report. Covers the full spectrum of \nThis is the official version of our CSR report. Covers the full spectrum of \nCSR activities at SMFG \nCSR activities at SMFG", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Impact on Operating Profit**\n(Billion Yen) **Net Cash Flow (automotive)**\n(Billion Yen) \n\n| | | +284 | | | –92 | |\n|---|---|---|---|---|---|---|\n| | | olume /mix | –114 Sales | e | –92 Product nrichme | |\n| | | e | xpenses | +131 | | –44 |\n| | | | | | | |\n| Forex | | | | | | |\n| | +31 | | | | | |\n\n\n1,200 1,100 \n\n| | | | |\n|---|---|---|---|\n| | | | |\n| peratin activities | g | –203.0 | |\n| efore ta | x Tax paid I | | nvesting activitie |\n| | | | |\n| | | | |\n| | | | |\n\n\n1,000 \n\nWarranty \nexpenses \n–41 \nh \ns \na \nC \n1,000 \n800 \nG&A \nand \nothers 600 \n\n–26.0 \nTreasury \nstock \n900 \n\n–94.0 \nDividend \npaid \n–25.7**861.2**\nFY04 \nOP \n\n400 \n\n–99.1 +10.0 \nOther \nFX rate \nfinancial \nimpact \nactivities \n\n**205.8**\n\nNet debt \nat end \nof FY03 \n**–13.6**\n200 \nNet debt \nat the end \nof FY04 \nFY03 \nOP \n800 \n0 \nt \nb \ne \nD \n-200 700 \n\n**Net Income**\n\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7 \n\nbillion lower than last year. This was primarily due to a ¥5.3 \n\nbillion decrease in financial costs and a ¥5.3 billion \n\nincrease in equity in earnings of unconsolidated \n\nsubsidiaries and affiliates, thanks mainly to Renault. Net \n\nextraordinary losses totaled ¥62.5 billion, ¥10.7 billion \n\nlower than last year, mainly due to the sale of the site of \n\nthe former Murayama plant. Net income before taxes came \n\nto ¥793.2 billion. Income taxes totaled ¥258.0 billion, with \n\nan effective consolidated tax rate of 33 percent. Minority \n\ninterests amounted to ¥22.9 billion, mainly from Yulon \n\nNissan Motor. As a result, net income reached ¥512.3 \n\nbillion, an increase of ¥8.6 billion. \n\nCurrent liabilities increased by 28.1 percent, or ¥872.2 \n\nbillion, to ¥3,974.7 billion. This increase included changes \n\nin the scope of consolidation of ¥144.4 billion and an \n\nincrease in short-term borrowings for sales financing of \n\n¥558.5 billion. \n\nIn 2004, total shareholder equity increased from \n\n¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily \n\ndue to net income of ¥512.3 billion, offset by dividends \n\npaid totaling ¥101.2 billion. Consolidated shareholder \n\nequity represented 29 percent of total revenues and 25 \n\npercent of total assets. \n\n**Cash Flow**\n\nCash from operating activities was ¥369.4 billion, below \n\nthe previous year’s level of ¥797.4 billion. This drop was \n\nprimarily caused by a ¥331.2 billion increase in finance \n\n**FINANCIAL POSITION**\nreceivables in the U.S. and Japan. There were also \n\nincreases in inventory and income tax paid. \n\nCash used for investing activities increased by ¥108.9 \n\nbillion to ¥865.0 billion. This increase was mainly due to an \n\nincrease of leased vehicles in the U.S. \n\nCash from financing activities totaled ¥521.0 billion, \n\nincluding an increase in short-term borrowing of ¥666.2 \n\nbillion, offset by ¥94 billion for the payment of dividends \n\nand ¥26 billion for the acquisition of treasury stock. \n\nIn total, cash and cash equivalents increased by ¥95.6 \n\nbillion to ¥289.8 billion from fiscal 2004. \n\n**Balance Sheet**\n\nIn 2004, total consolidated assets increased by 25.3 \n\npercent to ¥9,848.5 billion. \n\nCurrent assets increased by 36.4 percent, or ¥1,372.4 \n\nbillion, to ¥5,139.4 billion. This increase included changes \n\nin the scope of consolidation by ¥271.1 billion and an \n\nincrease in sales finance receivables by ¥840.6 billion \n\nthanks to increased sales in the U.S. Fixed assets \n\nincreased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0 \n\nbillion. Property, plant and equipment valuation increased \n\nby ¥593.6 billion, mainly due to capital expenditures of \n\n¥477.5 billion and an increase in leased vehicles.", + "page_start": 14, + "page_end": 14, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n\n\nSpecific Examples of CSR Activities \n\n**Together with Our Employees**\n\n**We are developing human resources that can take on global roles,**\n**and we are creating globalized working environments**\n\nprocess of “in-house internationalization.” \nprocess of “in-house internationalization.” \n\n**Preparing human resources**\n**to take on global roles**\n\n**Creating support tools**\n**for developing the role of**\n**female employees**\n\nUnder our “global course” program, newly \nUnder our “global course” program, newly \n\nhired sogoshoku \nhired (management-track) staff \nsogoshoku (management-track) staff \n\nare sent overseas after basic training. We \nare sent overseas after basic training. We \n\nFaced with changing markets and rising \nFaced with changing markets and rising have also expanded human resource \nhave also expanded human resource \n**“My Story”**\ncosts, many Japanese companies are \ncosts, many Japanese companies are training programs in English and Chinese \ntraining programs in English and Chinese \n\nmoving their operations overseas. Many \nmoving their operations overseas. Many and at overseas units. \nand at overseas units. \n\nlarge companies already have gone global \nlarge companies already have gone global Improvement of language skills in particular \nImprovement of language skills in particular \n\nin terms of production and marketing bases, \nin terms of production and marketing bases, is s ome t hing t ha t r equir e s ongoing \nis s ome t hing t hat requir es ongoing \n\nbalance between work and care needs. \nbalance between work and care needs. \n\n**Better support for carers:**\n**Workplace measures to**\n**deal with the rising old-age**\n**dependency ratio**\n\nThe improvements have three aspects: \nThe improvements have three aspects: \n\n(1) Care-leave time has been extended to \n(1) Care-leave time has been extended to \n\none year; (2) the time frame during which \none year; (2) the time frame during which \n\nstaggered and shortened working hours \nstaggered and shortened working hours \n\nfor care-giving are allowed has been \nfor care-giving are allowed has been \n\nIn November 2010, the bank expanded its \nIn November 2010, the bank expanded its extended to three years; and (3) greater \nextended to three years; and (3) greater \n\nemployee carer support program. \nemployee carer support program. flexibility has been introduced in reduction \nflexibility has been introduced in reduction \n\nEven now, much remains to be done to \nEven now, much remains to be done to of working hours for care purposes. \nof working hours for care purposes. \n\ndevelop public suppor t mechanisms, \ndevelop public suppor t mechanisms, \n\nat overseas units and for regular employees \nat overseas units and for regular employees \n\nin Japan. All of these courses are in English \nin Japan. All of these courses are in English \n\nand feature discussions and presentations \nand feature discussions and presentations \n\non resolution of issues faced by global \non resolution of issues faced by global \n\ncompanies. Through such lively exchanges, \ncompanies. Through such lively exchanges, \n\nthe aim is to develop the ability to deepen \nthe aim is to develop the ability to deepen \n\ncross-cultural communication and cultivate \ncross-cultural communication and cultivate \n\na global outlook and mentality. \na global outlook and mentality. \n\nAt the bank, we will continue measures to \nAt the bank, we will continue measures to \n\npromote globalization going forward, and \npromote globalization going forward, and \n\ncreate systems that can provide higher \ncreate systems that can provide higher \n\nquality support to our customers. \nquality support to our customers. \n\nWe have also established the SMBC Care \nWe have also established the SMBC Care \n\nConsultation Desk as a convenient general \nConsultation Desk as a convenient general \n\nservice for employees and their family \nservice for employees and their family", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "financial institutions in the disaster-affected areas \nfinancial institutions in the disaster-affected areas \n\n\n\n\n\n\n\n\n\n\nAnd today \nAnd today Besshi copper mine in the Meiji era \nBesshi copper mine in the Meiji era \n\nMitsui Charity Hospital at its establishment \nMitsui Charity Hospital at its establishment \n\n\n\n**Creating systems for sustainability**\n\n**Environmental measures**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \n\nleverage its role as a leading financial services group. This is a priority field for the future. \nleverage its role as a leading financial services group. This is a priority field for the future. \n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \n\ntechnological breakthroughs, with a particular focus on the Asian region. \ntechnological breakthroughs, with a particular focus on the Asian region. \n\n\n\n**Further measures needed**\n\n\n\n\n\n**Symbiosis and diversity**\n\n**Global challenges**\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory \noperations both in Japan and overseas. Initiatives include aggressive development of advisory \n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \n\nas well as contributions to the international community and the environmental business, chiefly \nas well as contributions to the international community and the environmental business, chiefly \n\nthrough branches and representative offices overseas. \nthrough branches and representative offices overseas. \n\nWe will continue to discuss and review various approaches to issues facing the international \nWe will continue to discuss and review various approaches to issues facing the international \n\ncommunity so as to build up trust internationally as a global player. \ncommunity so as to build up trust internationally as a global player. \n\n**Further measures needed**\n\nShare expertise in corporate social responsibility \nShare expertise in corporate social responsibility ● \n\nwith the international community \nwith the international community \n\nImprove financial services in preparation for the \nImprove financial services in preparation for the ● \n\nglobalization of operations in Japan (multilingual \nglobalization of operations in Japan (multilingual \n\nsupport) \nsupport) \n\nPromote diversity \nPromote diversity ● \n\nIn the past, the Sumitomo Group \nIn the past, the Sumitomo Group undertook large-scale afforestation \nundertook large-scale afforestation \n\nprograms to solve the problem of \nprograms to solve the problem of pollution around the Besshi copper \npollution around the Besshi copper \n\nmine, while the Mitsui Group set up \nmine, while the Mitsui Group set up the Mitsui Memorial Hospital to \nthe Mitsui Memorial Hospital to \n\ngive the poorest in society access to \ngive the poorest in society access to basic medical care. Based on this \nbasic medical care. Based on this", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_SMFG_2011.pdf" + } + ] + }, + { + "references": { + "source_file": "news2.pdf", + "query": "What is the trend of flood risk in Canada in 2024?", + "target_page": 1, + "target_passage": "(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n|---|---|---|---|---|---|---|\n| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n| Three ways Canadian communities are reducing flood EDITOR'S PICKS risks (NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions. Have your say! Complete our ISSUE 2025 Media Survey Wetlands can reduce flood risk by absorbing large quantities of water, but they are not typically December 2024 found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community  Gardens created a wetland on downtown’s east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community’s flood risk CATEGORIES  by catching and absorbing rainfall and runoff from surrounding surfaces. Home - Safety Community Affairs Knowing the risks is the first step to protecting homes and communities. In New Brunswick, the  Finance - Insurance City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online Editor's Picks flood prevention guidance. Residents can input their addresses to see if they are at risk and learn  Retrain your way to a new job tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year. FRANÇAIS Rebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events. Communities can learn more about the grant program and how to apply at intactfc.com/mcrg. The top AI-powered tech trends in 2025 Trois façons dont des www.newscanada.com collectivités au Canada Word Count: 281 réduisent leurs risques d’inondation − Media Attachments View + Related Posts + Terms of Use | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "news2.pdf" + }, + { + "text": "27.9 \n−5.5 \n6.7 \n\n0.66 \n\n0.78 \n\n2.9 \n\n4.9 \n\n5.1 \n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India \nand Bangladesh, for which such increases are projected in all ensemble members to some extent. \nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although \nthe magnitude and location within the country varied between members. Similar increases are \nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members. \nThe HCVI calculated for 2°C global warming showed very large geographical variability \n(figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the \nclimate change simulated in different ensemble members leads to some variation in the HCVI at", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed11.pdf" + }, + { + "text": "**6**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \nvulnerability to food insecurity \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n0.4 0.6 0.8 1.0 1.2 1.4 \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Table 2.**Proxies for flood and drought events used in the HCVI. \n\nextreme weather event \naverage length of flood events description of proxy \nnumber of days in which the cumulative daily rainfall excess is positive, \ncompared with the 95th percentile in the 1981–2010 average \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \naverage length of drought events number of days in which the cumulative daily rainfall deficit is positive, \n\ncompared with the 20th percentile in the 1981–2010 average \n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . \n\nUN Food and Agriculture Organization, UN Development Programme and UN Population \nFund [22]. The exposure component comprised proxies for the average length of flood and \ndrought events calculated with daily precipitation data [23] (table 2). These proxies were chosen \nabove other possible metrics as they were required to replace self-reported instances of flood \nand drought events used in the original HCVI, which correlate with undernutrition data at the \ncountry-level [23]. The proxies were therefore masked to only include data where a significant \nproportion of people live and grow crops before aggregating to country level and combining to \ncomprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone \nmay not always be adequate for representing flood and drought events, so the current method is \nregarded as preliminary. \n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In \nthe current version of the HCVI, climate-change impacts on other quantities such as crop yield \nare not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at \npresent-day conditions. \n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected \nHadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values \ncalculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable \nregions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables \ninclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed11.pdf" + }, + { + "text": "**17**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \n\n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n\n\n**Figure 11.**Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– \nhydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show \nthe 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of \nthe range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, \nin millimetres of rain equivalent. \n\nGFDL- \nESM2M \n1.9 \n\nHadGEM2- \nES \n\nIPSL- \nCM5A-MR \n2.0 MIROC- \nESM-CHEM \n1.5 ensemble \nmean \n1.7 ACCESS1-0 \n1.9 1.7 \n\n15.7 \n\n16.2 \n−1.3 \n4.5 19.2 \n−5.4 \n4.6 \n\n14.1 \n\n18.3 \n−3.8 \n4.3 15.6 \n−1.6 \n3.6 \n\n0.7 0.0 \n\n3.6 4.0 \n\n0.48 n.a. 0.39 0.16 0.31 0.42 \n\n0.73 n.a. 0.73 0.79 0.73 0.75 \n\n0.9 3.1 1.3 3.9 2.4 2.2 \n\n0.7 5.4 0.7 6.7 5.0 3.9 \n\n0.3 5.9 2.2 5.9", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "**2014 Outlook**\n**Economic Growth Opportunities in Atlantic Canada**\n\nLarge economic projects, either proposed or underway in Atlantic Canada, are expected to drive economic and population growth. Highlights \nfrom the five largest projects are included below: \n\nv Continued progress on the $25 billion Irving Shipbuilding project is expected to generate growth in Nova Scotia in 2014, 2015 and beyond. \nPresently, Irving is investing approximately $350 million modernizing the Halifax Shipyard to begin cutting steel in 2015. \n\nv The $7.8 billion Muskrat Falls hydro project is driving strong economic growth in Newfoundland and Labrador (“NL”) and recently the \n$1.52 billion Maritime Link subsea cable designed to transport electricity from NL to Nova Scotia has been approved. \n\nv Shell Canada has been awarded the exploration rights for eight parcels offshore Nova Scotia and has committed to spending more than \n$1 billion exploring these parcels over the next six years. \n\nv BP Exploration Company Ltd (“BP”) was awarded another four deep water parcels for a total exploration spending commitment of nearly \n$1.1 billion over six years. This offshore oil activity has the potential for long‑term spending and employment opportunities in the region \ndepending on the results of the exploration activity over the coming years. \n\nv The proposed Energy East Pipeline Project is positive economic news for the Saint John, New Brunswick market. \n\nKillam’s Atlantic portfolio is also poised to benefit from the continued migration to urban centers, which is generating population growth in \nKillam’s core markets in Atlantic Canada. \n\n**Occupancy Gains Expected**\n\nKillam expects to see modest gains in occupancy levels in the first and second quarter of 2014 compared to 2013. These gains are expected from \nfurther expansion of marketing and leasing activities, including a focus on tenant retention. Killam expects to see continued positive results \nfrom its Ontario portfolio throughout the next year as the Company’s Ottawa properties acquired in 2012 and early 2013 have stabilized. Killam \nforecasts to operate these properties at an average vacancy rate of approximately 2%, consistent with market norms in this region. Furthermore, \nthe Company expects to continue to outperform CMHC in its core markets located in Atlantic Canada. Trending in the first quarter of 2014 has \nshown steady occupancy gains in all New Brunswick markets as well as PEI, more than offsetting a slight decrease in occupancy in Halifax. Rental \nrevenue growth is expected in the range of 1% ‑ 2% across the portfolio in 2014, given Ontario’s rental increases are capped at 0.8% for 2014 and \nmarket pressures from new supply in Killam’s core markets in Atlantic Canada. \n\n**Natural Gas Volatility**\n\nThe Company expects to see continued volatility in natural gas pricing in Nova Scotia and New Brunswick until additional pipeline capacity is built \nto alleviate supply constraints in Atlantic Canada and the Northeastern US, bringing pricing more in‑line with other areas of North America. In \nthe short‑term, Management will continue to manage properties to maximize energy efficiencies. In addition, where dual‑fired heating systems \nexist, the Company will switch to oil when the economics support the change and will explore investing in increasing the base of dual‑fired \nsystems. \n\n**Acquisition Activity With a Focus in Ontario and Two New Developments Underway**", + "page_start": 27, + "page_end": 27, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**13**\n\nr \ns \nt \na \n. \nr \no \ny \na \nl \ns \no \nc \ni \ne \nt \ny \np \nu \nb \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n–3 \n3 \n0 \nchange in length of average flood event (days) \n–2 –1 1 2 \n. \n. \n. \n. \n. \n. \n GFDL-ESM2M \n. \n. \n\nl \ni \ns \nh \nn \ng \n. \no \nr \ng \n\n. \n. \n. \ni \n. \n. \n. \n. \n. \n. \n. \nP \nh \n. \n. \n. \ni \nl \n. . \n\nT \nr \na \nn \ns \n. \n\n. \n. \n. \n. \n. \n. \nR . \n\n. \nS \no \nc \n. \nMIROC-ESM-CHEM \n. \n. \n. \n. \n. \n\nA \n**3**\n**7**\n**6**\n\n. \n. \n. \n. \n\n: \n2 \n0 \n1 \n6 \n0 \n4 \n5 \n2 \n\n. \n. \n. \n. \n. \n. \n. \n. \n. \n\n**Figure 6.**Simulated changes in the average length of flood events (number of days in which the cumulative daily rainfall excess \nis positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven \nby SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify \nthe driving CMIP5 model (or ensemble mean). \n\n\n–0.2 0 \n0.2 \n1.0 \n0.6 \nvulnerability to food insecurity \n0.4 0.8 1.2 1.4 \n\n\n\n\n\n**Figure 7.**Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five \nindividual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble \nmean.", + "page_start": 12, + "page_end": 12, + "source_file": "pubmed11.pdf" + }, + { + "text": "**Table 6.**Global mean changes at 1.5°C global warming compared to present day for individual ensemble members, for the \nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean \nprecipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). \n\nIPSL- \nCM5A-LR \n1.2 \n\n10.0 \n−1.2 \n1.1 \n\n0.74 \n\n0.75 \n\n1.4 \n\n2.1 \n−3.4 4.9 2.6 \n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or \nmore. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater \nincreases in the tropics than mid-latitudes (electronic supplementary material).", + "page_start": 16, + "page_end": 16, + "source_file": "pubmed11.pdf" + }, + { + "text": "**19**\n\n\n\n\n\n\n\n(*a*) \n6.0 \n5.0 \n\n4.0 \n\n3.0 \n2.0 \n\n1.0 \n\n0 \n\n(*b*) \n10.0 \n\n8.0 \n\n6.0 \n\n4.0 \n\n2.0 \n\n0 \n\n(*c*) \n12.0 \n\n8.0 \n\n4.0 \n\n0.0 \n\n–4.0 \n\nIPS L-C M 5 A-L R \n\n\n\nG F D L-E S M 2 M \n\nM IR O C-E S M -C H E M \n\nA C C E SS1-0 \n\n1.5°C 2°C \n\n**Figure 13.**Global mean percentage changes relative to 1981–2010 in (a) precipitation over land, (b) mean run-off flows, (c) low \nrun-off lows (10th percentile), at 2°C and 1.5°C global warming. \n\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be \ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at \neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the \npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries. \nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food \ninsecurity generally increases with global warming, and for approximately three-quarters of \ncountries assessed, this increase is larger at 2°C than 1.5°C. \n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global \nwarming compared to 1.5°C (figure 20). This is often the case for both increases and decreases \nin flows—increasing the level of global warming magnifies the pattern of river flow changes, \nalthough not in all cases. \n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, \nbut this was not always the case, with many basins showing similar or smaller ranges at \n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", + "page_start": 18, + "page_end": 18, + "source_file": "pubmed11.pdf" + }, + { + "text": "| | | | Land | | | |\n|---|---|---|---|---|---|---|\n| | | | Land | | | |\n| | Observations (UK State of the Climate) | Marine and coastal projections | Global projections | Probabilistic projections | High resolution projections | |\n| Characteristics | Observed trends; long-term climatologies; weather events for the preceding year | Updated sea level rise and surge projections based on operational storm surge model (CS3) using CMIP5, EURO-CORDEX‡ | Ensemble of ~20 spatially coherent time series of the Met Office Hadley Centre model and a similar number of CMIP5 models | Updated probability density functions presented as 30- year and monthly time series based on Met Office models (HadCM3, ESPPE) and CMIP5 | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP4.5, RCP8.5 ++ H | RCP8.5; additional lower scenario (for Met Office Hadley Centre model only) | SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | RCP8.5 | RCP8.5 |\n| Variables available++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |\n\n\n*Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see**http://www.ntslf.org/**\n**data/uk-network-real-time**). \n‡An ensemble of regional climate model results over Europe (see**http://www.euro-cordex.net**). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels. \n\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website. \n\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users. \n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*\n\n*July 2017*", + "page_start": 3, + "page_end": 3, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "Research \n\n**Cite this article:**Betts RA et al. 2018 Changes \nin climate extremes, fresh water availability \nand vulnerability to food insecurity projected \nat 1.5°C and 2°C global warming with a \nhigher-resolution global climate model. Phil. \nTrans. R. Soc. A**376**: 20160452. \nhttp://dx.doi.org/10.1098/rsta.2016.0452 \n\nAccepted: 13 February 2018 \n\nOne contribution of 20 to a theme issue ‘The \nParis Agreement: understanding the physical \nand social challenges for a warming world of \n1.5°C above pre-industrial levels’. \n\n**Subject Areas:**\nclimatology, hydrology \n\n**Keywords:**\n1.5°C, Paris Agreement, 2°C, global climate \nimpacts, water resources, terrestrial \necosystems \n\n**Author for correspondence:**\nRichard A. Betts \ne-mail: richard.betts@metoffice.gov.uk \n\n\n\nChanges in climate extremes, \nfresh water availability and \nvulnerability to food insecurity \nprojected at 1.5°C and 2°C \nglobal warming with a \nhigher-resolution global \nclimate model \nRichard A. Betts1,2, Lorenzo Alfieri3, Catherine \nBradshaw2, John Caesar2, Luc Feyen3, Pierre \nFriedlingstein4, Laila Gohar2, Aristeidis Koutroulis5, \nKirsty Lewis2, Catherine Morfopoulos1, Lamprini \nPapadimitriou5,6, Katy J. Richardson2, Ioannis Tsanis5 \nand Klaus Wyser7 \n\n1College of Life and Environmental Sciences, University of Exeter, \nExeter EX4 4PS, UK \n2Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK \n3European Commission – Joint Research Centre, 21027 Ispra, Italy \n4College of Engineering, Mathematics and Physical Sciences, \nUniversity of Exeter, Exeter EX4 4QE, UK \n5School of Environmental Engineering, Technical University of \nCrete—TUC, Chania 73100, Greece \n6Cranfield Water Science Institute, Cranfield University, Cranfield \nMK43 0AL, UK \n7Rossby Centre, SMHI, 601 76 Norrköping, Sweden \n\nRAB, 0000-0002-4929-0307 \n\nextremes, \nin weather \nWe \nhydrological \nimpacts and vulnerability to food \ninsecurity at global warming of 1.5°C and 2°C relative \nto pre-industrial, using a new global atmospheric \ngeneral circulation model HadGEM3A-GA3.0 driven \nby patterns of sea-surface temperatures and sea \nthe 5th Coupled \nice from selected members of \n\nprojected changes \n\n2018 The Authors. Published by the Royal Society under the terms of the \nCreative Commons Attribution License http://creativecommons.org/licenses/ \nby/4.0/, which permits unrestricted use, provided the original author and \nsource are credited.", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed11.pdf" + } + ] + }, + { + "references": { + "source_file": "news2.pdf", + "query": "How flooding was prevented in Vancouver? ", + "target_page": 1, + "target_passage": "In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown’s east side, an area historically prone to flooding. ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n|---|---|---|---|---|---|---|\n| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n| Three ways Canadian communities are reducing flood EDITOR'S PICKS risks (NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions. Have your say! Complete our ISSUE 2025 Media Survey Wetlands can reduce flood risk by absorbing large quantities of water, but they are not typically December 2024 found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community  Gardens created a wetland on downtown’s east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community’s flood risk CATEGORIES  by catching and absorbing rainfall and runoff from surrounding surfaces. Home - Safety Community Affairs Knowing the risks is the first step to protecting homes and communities. In New Brunswick, the  Finance - Insurance City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online Editor's Picks flood prevention guidance. Residents can input their addresses to see if they are at risk and learn  Retrain your way to a new job tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year. FRANÇAIS Rebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events. Communities can learn more about the grant program and how to apply at intactfc.com/mcrg. The top AI-powered tech trends in 2025 Trois façons dont des www.newscanada.com collectivités au Canada Word Count: 281 réduisent leurs risques d’inondation − Media Attachments View + Related Posts + Terms of Use | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "news2.pdf" + }, + { + "text": "threaten their conservation status. To support this, data collection on by-catch for all \nsensitive species needs to be stepped up. \n\nIn addition,**fisheries-management measures**must be established in all marine protected \nareas according to clearly defined conservation objectives and on the basis of the best \navailable scientific advice. \n\n*2.2.7. Restoring freshwater ecosystems*\n\nThe EU’s legal framework on water is ambitious but implementation is lagging behind \nand enforcement must be stepped up46. Greater efforts are needed to**restore freshwater**\n**ecosystems and the natural functions of rivers**in order to achieve the objectives of the \nWater Framework Directive. This can be done by removing or adjusting barriers that \nprevent the passage of migrating fish and improving the flow of water and sediments. To \nhelp make this a reality,**at least 25,000 km of rivers will be restored into free-flowing**\n**rivers by 2030**47 through the removal of primarily obsolete barriers and the restoration of \nfloodplains and wetlands. Technical guidance and support to the Member States to \nidentify sites and help mobilise funding will be provided by the Commission in 2021, in \nconsultation with all relevant authorities48. Member State authorities should review water \nabstraction and impoundment permits to implement ecological flows in order to achieve \ngood status or potential of all surface waters and good status of all groundwater by 2027 \nat the latest, as required by the Water Framework Directive49. To that effect, the \nCommission will provide technical support to Member States on their measures by 2023. \n\nOverall, large-scale river and floodplain restoration investments50 can provide a major \neconomic boost for the restoration sector and for local socioeconomic activities such as \ntourism and recreation. At the same time, these investments can improve water \nregulation, flood protection, nursery habitats for fish, and the removal of nutrient \npollution. \n\n*2.2.8. Greening urban and peri-urban areas*\n\n**Green urban spaces**, from parks and gardens to green roofs and urban farms, provide a \nwide range of benefits for people. They also provide opportunities for businesses and a \nrefuge for nature. They reduce air, water and noise pollution, provide protection from \nflooding, droughts and heat waves, and maintain a connection between humans and \nnature51. \n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the**value of green**\n**urban spaces for our physical and mental wellbeing**. While protection of some urban \n\n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water \nTreatment Directive (SWD(2019) 700). \n47 The target of 25,000 km is based on the Commission’s assessment of what is achievable in the EU by \n2030. \n48 The guidelines will take a wide range of issues into account, including hydropower generation, flood \nmanagement, water supply, agriculture and navigability. \n49 These measures should be planned in the 3rd River Basin Management Plans to be adopted by Member \nStates in 2021, under the Water Framework Directive. \n\n50 Fitness Check of the EU Water Legislation (SWD(2019) 439). \n51 EnRoute project. \n\n12", + "page_start": 12, + "page_end": 12, + "source_file": "legal5_eubiodiversity_cc4.pdf" + }, + { + "text": "flow through vent and stoping in the past 12 opportunity to review the site emergency\nhave also decreased by 15 percent.\nmonths. Challenger West will form the founda- management plan.\ntion of future mining activities at Challenger There were no air medical evacuations during\ninto the foreseeable future. the year.\nwww.kingsgate.com.au |\n|---|---|", + "page_start": 23, + "page_end": 23, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "Work on Dampier B A S E E X P A N S I O N W O R K S A N D E N V I R O N M E N T A L M A N A G E M E N T \n\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving \n\na capital budget of $13m. \n\n**A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance \n\nchannel, vessel berths, cyclone moorings and to provide access to the slipway. \n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of \n\ndredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) \n\nand a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material. \n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial \n\ndredging tool using the experience gained from the earlier Woodside project. \n\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting \n\nwhile fulfilling functional objectives. \n\n**B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main \n\nberth to accommodate a wider range of vessels than originally contemplated. The berth is now \n\nlocated in deeper water with better vessel access. \n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide \n\n(MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", + "page_start": 13, + "page_end": 13, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "to review the site emergency have also decreased by 15 percent. months. Challenger West will form the founda- management plan. tion of future mining activities at Challenger There were no air medical evacuations during into the foreseeable future. the year. www.kingsgate.com.au |", + "page_start": 23, + "page_end": 23, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**21.**—(1) Workers engaged in essential or emergency works— \n(a) related to water supplies and sewerage services; and \n(b) carried out by, for, or on behalf of a water undertaker, sewerage undertaker, water supply \nlicensee, sewerage licensee or local authority, \n\nwhere they have travelled to the United Kingdom in the course of their work. \n\n(2) For the purposes of sub-paragraph (1)— \n\n(a) “essential or emergency works” includes— \n\n(i) inspections, maintenance, repairs, and asset replacement activities, \n(ii) monitoring, sampling and analysis of water supplies under the Private Water \nSupplies (England) Regulations 2016(**a**), the Water Supply (Water Quality) \nRegulations 2016(**b**), the Private Water Supplies (Wales) Regulations 2017(**c**), or the \nWater Supply (Water Quality) Regulations 2018(**d**); \n\n(b) “sewerage licensee” means the holder of a sewerage licence under section 17BA of the \nWater Industry Act 1991(**e**); \n\n(c) “sewerage services” has the meaning given in section 219(1) of the Water Industry Act \n\n1991(**f**); \n\n(d) “water supply licensee” has the meaning given in sections 17A(7) and 219(1) of the \nWater Industry Act 1991(**g**). \n\n**22.**—(1) Workers engaged in essential or emergency works relating to flood and coastal erosion \n\nrisk management on behalf of— \n\n(a) the Environment Agency; or \n(b) a lead local flood authority in England. \n\n(2) For the purposes of sub-paragraph (1)— \n\n(a) “flood” and “coastal erosion” have the meanings given in section 1 of the Flood and \n\nWater Management Act 2010(**h**); \n\n(b) “lead local flood authority” has the meaning given in section 6(7) of that Act; \n(c) “risk management” has the meaning given in section 3 of that Act(**i**). \n\n**23.**—(1) Workers engaged in essential or emergency works— \n\n(a) related to— \n\n(i) a generating station, \n(ii) an electricity interconnector, \n(iii) a district heat network as defined in regulation 2 of the Heat Network (Metering and \nBilling) Regulations 2014(**j**), \n\n(iv) communal heating as defined in regulation 2 of the Heat Network (Metering and \n\nBilling) Regulations 2014, \n\n(v) automated ballast cleaning and track re-laying systems on a network, or \n(vi) the commissioning, maintenance and repair of industrial machinery for use on a \nnetwork; or \n\n(**a**) S.I. 2016/618; relevant amending instruments are S.I. 2017/506, 2018/707 and 2019/558. \n(**b**) S.I. 2016/614; relevant amending instruments are S.I. 2017/506, 2018/706 and 378, 2019/526 and 558. \n(**c**) S.I. 2017/1041 (W. 270), as amended by S.I. 2018/647 (W. 121), S.I. 2019/460 (W. 110) and S.I. 2019/463 (W. 111). \n(**d**) S.I. 2018/647 (W. 121), as amended by S.I. 2019/463 (W. 111). \n(**e**) 1991 c. 56. Section 17BA(6) was inserted by section 4(1) of the Water Act 2014 (c. 21). The reference to “sewerage \n\nlicensee” was inserted in section 219(1) by paragraph 120(2)(f) of Schedule 7 to the Water Act 2014. \n(**f**) The definition of “sewerage services” was amended by paragraph 120 of Schedule 7 to the Water Act 2014. \n(**g**) Section 17A was inserted by section 1 of the Water Act 2014. \n(**h**) 2010 c. 29. \n(**i**) And see section 2 of the Flood and Water Management Act 2010 for the meaning of “risk”. \n(**j**) S.I. 2014/3120. There are no relevant amending instruments.", + "page_start": 39, + "page_end": 39, + "source_file": "uksi_20210582_en.pdf" + }, + { + "text": "**E. CYCLONE MOORINGS.**\n\nThe extent of the cyclone problem in Australia’s north and north west was emphasised when \n\nCyclone Tracey struck Darwin in 1974. The most powerful cyclone to cross the Australian coast \n\nwas Cyclone Vance in 1999, which passed near Dampier, destroying large parts of the towns of \n\nOnslow and Exmouth further to the south. \n\nThe problem is acute, particularly in the area between Exmouth and Port Hedland, which suffers \n\ncyclones of an intensity and frequency as high as anywhere in the world. The Mermaid Base is \n\ntypically on cyclone alert three times per season. The season is November to April. \n\nTo date there have been three options available to vessel owners when a cyclone approaches:. \n\n• Run to sea \n\n• Take refuge with crew onboard, on a mooring in the most sheltered location available such \n\nas the Dampier Archipelago or the Monte Bello Islands. \n\n• Construct a cyclone shelter. \n\nMermaid has undertaken significant engineering work on the placing of vessels on partially \n\nsheltered spread moorings, allowing the vessels to be secured near to shore and the crews \n\ndemobilized to take care of their families and attend to household cyclone preparation.", + "page_start": 15, + "page_end": 15, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**APPLYING NEW TECHNOLOGIES**\nReservoir studies have identified \nthat some lower permeability \nreservoirs may have significant \npotential to increase recoveries \nthrough activities such as \nadditional infill drilling, fracture \nstimulation and waterflooding. \n\nThe Santos base business \ncomprises production from assets \nin all of the Company's existing \nproducing fields. \n\nand increased interests at \nPatricia-Baleen. Amadeus Basin \ngas production remained flat \nas declining production was \ncountered by successful \ndevelopment drilling during \nthe second half of 2004 at Palm \nValley and Mereenie. \n\nSantos is countering decline from \nmature fields with strategies such \nas optimisation and trialling new \ntechnologies to maximise output, \nwhile running an exploration \nprogram which aims to add new \nprojects and production. \n\nCrude oil production was 13% \nlower at 9.5 million barrels, down \nfrom 10.9 million barrels in the \nprevious year as production \ndeclined at Stag, Legendre and \nJabiru-Challis. Successful infill \ndrilling at Legendre and Stag \nhelped turn around declines for \nthese fields during the second \nhalf of 2004. The program to \nimprove production at Stag will \ncontinue into 2005 as simulation \nstudies suggest further drilling \nand increased water injection \ncould improve future production. \n\nAt all times, ensuring the safety \nof all operations and minimising \nany environmental impacts \nremains paramount. \n\n**2004 PRODUCTION IMPACTED**\n**BY MOOMBA INCIDENT**\nSantos' total production in 2004 \nfell from 54.2 million boe in 2003 \nto 47.1 million boe, primarily due \nto the effects of the 1 January \nincident at Moomba that resulted \nin a reduction of 4.6 million \nboe, together with declining \nperformance from the East Spar \nand Stag fields in the Carnarvon \nBasin, offshore Western Australia. \n\ndelineation wells on the deep \nFrio trend contributed with \nimproved condensate content \nduring the year. \n\nThese programs will now be \nextended to a variety of more \ncomplex and possibly harsher \noil and gas wellbore/reservoir \nenvironments during 2005. \n\nLPG production declined by \n34% to 158,600 tonnes in 2004 \nfrom 240,700 tonnes in 2003, \ndue mainly to the effects \nof the Moomba incident on the \nproduction of liquids through the \nliquids recovery plant. Production \nfrom Bayu-Undan was able to \nonly partially offset this decrease. \n\nSantos increased gas well \ndeliverability in the Cooper \nBasin by 63 TJ per day through \nnumerous projects brought on \nline during 2004. Some 8 PJ \nof incremental gas production \nresulted during 2004 from this \noptimisation program. These \nresults were achieved at a \nsignificantly lower cost than \nconventional development drilling \nand substantially exceeded \ntargets set at the beginning \nof the year. \n\nSantos tested new technologies \nin the Cooper Basin in drilling, \ncompletions and artificial lift \noptimisation during 2004 to \nimprove product delivery and \nrecovery in order to reduce \nproduction costs per unit. \n\nWhile the Cooper Basin \nis a mature hydrocarbon area, \nSantos is drilling wells which can \nbe commercialised quickly and \ncost-effectively, delivering strong \ncash flow which can be applied \nto other growth opportunities. \nA further focus in 2004 was \nto leverage Cooper Basin \ninfrastructure; for example, via \ngas swaps, and increase prices \nunder existing agreements. \n\nCooper Basin oil production \ndeclined just 4% during 2004 \ndue to successful delineation, \ndevelopment and production \noptimisation at several fields, \nparticularly Merrimelia, Derrilyn \nand Mulberry. Amadeus Basin oil \nproduction declines were made \nless severe through successful \ndrilling at Mereenie.", + "page_start": 13, + "page_end": 13, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "***The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.***\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this \n\ntechnique by the cyclone season in 2001. \n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room \n\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four \n\nvessel specific mooring lines secured to special attachment points on the vessel. \n\n**F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or \n\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is \n\nsuitable for development in its present state. \n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services \n\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex \n\nregulatory requirements related to health, safety, quarantine, environmental management, dust, \n\ndangerous goods and hazchem materials have been the subject of considerable study prior to this \n\nimplementation stage.", + "page_start": 16, + "page_end": 16, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "**•**\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle \n\nmost of the 60 vessels currently working in the region, a considerable number, but one \n\nwhich will rise over coming years. First class engineering facilities have been planned \n\nand highly experienced management recruited. Alternative slipways offering \n\ncomparable capacity are only to be found in Darwin or Fremantle, a sea journey of \n\napproximately 1000 miles from this operational region. Australia has emerged as a \n\ncentre of excellence with respect to vessel repair work, the Dampier facility will both \n\nbenefit from and protect that valuable reputation. \n\n**•**\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The \n\nmajor oilfield services company Halliburton, have been attracted to the base as a \n\ntenant and a $1.1m purpose built building is being constructed for their use. \n\nNegotiations are also proceeding with other groups who recognise the unique \n\nadvantages of operating from this strategically positioned Base. Rental income and \n\nassociated revenues such as plant and labour hire will contribute significantly to the \n\noverall economics of the facility. \n\n**•**\nProtected moorings for cyclone shelter will be established inside the breakwater for \n\nlong term lease to local tug operators. The demand arises from serious vessel and crew \n\nsafety considerations. The Dampier Port Authority are reluctant to see the continued \n\nuse of cyclone moorings in the Harbour, not only for safety reasons, but for \n\nenvironmental concerns as well. Oil spills are not acceptable under any circumstances \n\nand will be avoided whatever the cost. Tug owners share similar concerns, but in \n\naddition they need to remain in a position of readiness for crews and equipment to \n\nresume their important functions immediately following a cyclonic event. The number \n\nof specific purpose spread moorings, detailed on the adjacent plan will total 10 in the \n\nfirst phase of construction, a limit which will be assisted by an ability to remove vessels \n\nup to 100 tonnes from the water by wharf crane for tie down on cradles.", + "page_start": 12, + "page_end": 12, + "source_file": "ASX_MRM_2000.pdf" + } + ] + }, + { + "references": { + "source_file": "news2.pdf", + "query": "How can citizens in Fredericton easily access flood risk data?", + "target_page": 1, + "target_passage": "New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n|---|---|---|---|---|---|---|\n| | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN |\n| Three ways Canadian communities are reducing flood EDITOR'S PICKS risks (NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions. Have your say! Complete our ISSUE 2025 Media Survey Wetlands can reduce flood risk by absorbing large quantities of water, but they are not typically December 2024 found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community  Gardens created a wetland on downtown’s east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community’s flood risk CATEGORIES  by catching and absorbing rainfall and runoff from surrounding surfaces. Home - Safety Community Affairs Knowing the risks is the first step to protecting homes and communities. In New Brunswick, the  Finance - Insurance City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online Editor's Picks flood prevention guidance. Residents can input their addresses to see if they are at risk and learn  Retrain your way to a new job tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year. FRANÇAIS Rebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events. Communities can learn more about the grant program and how to apply at intactfc.com/mcrg. The top AI-powered tech trends in 2025 Trois façons dont des www.newscanada.com collectivités au Canada Word Count: 281 réduisent leurs risques d’inondation − Media Attachments View + Related Posts + Terms of Use | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | |", + "page_start": 0, + "page_end": 0, + "source_file": "news2.pdf" + }, + { + "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for \n\nthe world) at the bus stops. Scanning the QR code now allows people to see not just the bus \n\ntimetable, but also the notes other travelers have left on that stop, including*\"what's nearby, who's*\n\n*waiting for whom, what number can you call for a good time. It's a cross between bus stop*\n\n*Facebook and digital graffiti\"*, that happened thanks to the openness of the original bus stop data. \n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used \n\nthem, how those people are connected and what conversations happen around Open Data. \n\n**3.3. Legal issues remain crucial**\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this \n\nrule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing \n\nEaves, until a government get the licensing issue right, Open Data cannot bring all the possible \n\nbenefits in that country. If there are no guarantees that public data can be used without restriction, \n\nvery little happens in practice, and when it happens it may be something against the public interest. \n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process \n\nand analyze official crime data, also publishes online, with a proprietary license, anonymized \n\nsummaries of those data. When in 2010 another company, Report See Inc, scraped those data from \n\ntheir website to reuse them, Public Engines sued. \n\nReporting this, D. Eaves rightly points out that*both*companies are right: one is trying to protect its \n\ninvestment, the other is simply trying to reuse what IS public data, by getting it from the ONLY \n\nplace where it's available. This is what happens when public officials leave the ownership of*public*\n\ndata to the third parties hired to collect them. Please note that, in practice, it makes very little \n\ndifference whether those third parties are private, for-profit corporations or even other Public \n\nAdministrations. Unless, of course, there are national laws already in place that define in advance \n\nwhat is the license of all present and future Public Data,*no matter how they were generated and by*\n\n*whom*, those data can be lost in any moment for society. In all other cases, the legal status of data \n\nwill be either officially closed and locked, or uncertain enough to prevent most or all reuses. In \n\nFebruary 2011, the news came that, even if they weren't the original copyright holders, Public \n\nEngines had been able to put together enough legal claims to convince Report See to give up. \n\nDisputes like this should not happen and would not happen if all contracts regarding collection and \n\nmanagement of PSI clearly specified that all the resulting data either go directly into the public \n\ndomain (after being anonymized if necessary, of course) or remain exclusive property of the", + "page_start": 12, + "page_end": 12, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "website that tracks which councils have published public toilet open data, and which have not. A \n\nmap like this solves one specific, concrete problem in the ordinary, daily life of many people: \n\n*\"Many older people have continence concerns and only go to places where they know there is a*\n\n*toilet. \"*\n\nIt is also possible and useful to pass the message that, when it comes to participation, activism and \n\ntransparency in politics, Open Data are a concrete and pacific weapon that is both very effective and \n\nvery easy to use for everybody. Dino Amenduni explained the first point well at the end of 2010 \n\nwith words and arguments that, while tightly bound to the current situation in Italy, apply, in spirit, \n\nalso to other countries: \n\n*in order to have your voice heard, it is necessary to threaten the private interests of*\n*politicians. The ways to achieve this goal are, in my opinion... Communication*\n*guerrilla: physical violence doesn't generate change anymore. Power is in the hands of*\n*those who have data. But those data must be communicated, made usable, fun to use,*\n*shareable, in order to give the feeling that knowledge brings a concrete (economic or*\n*intangible) personal advantage*\n\nProofs that participation to generation and usage of Open Data is easy would include, instead, \n\nexamples like electionleaflets. All citizens who can use a computer scanner and have Internet access \n\ncan upload on that website the leaflets distributed by the candidates during a campaign, making \n\nmuch easier (after other, more skilled volunteers have inserted the content of the leaflets in \n\nsearchable databases) comparisons between the candidates positions or making public some \n\ndisrespectful material (racist, insulting…). \n\n**4.7. Involve NGOs, charities and business associations**\nAs a final note and recommendation of this report, we'll note that, in comparison with hackers and \n\npublic officers, there are other parties that could and should play a role in Open Data adoption much \n\nbigger than what they have had so far. \n\nNGOs and charities, as well as professionals or business associations, all have lots to gain from \n\nOpen Data but don't seem, in many cases, to have realized this yet. Members of the first category \n\nshould routinely ask for support directly to Open Data civic hackers to gather (either from \n\ngovernment or citizens) more up to date information that is specifically relevant for their \n\ncampaigns. \n\nThe other associations, instead, should be much more active both in publishing Open Data about \n\ntheir activities, to gain better access to customers and guarantee fair market competition, and in", + "page_start": 31, + "page_end": 31, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As \n\nother suggestions made here, these are activities that should start at the city and regional level, first \n\nwith custom-made education initiatives, then with specific data-based services. Engaging all these \n\nactors in the adoption of (local) Open Data will be one of the big challenges of the next years. \n\n**5. Bibliography**\nBesides those explicitly linked from the text, this report has drawn inspiration by many other \n\nresources. The most important ones are listed here, but the complete list should be much longer. We \n\nwish to thank first the authors of the works listed below and, immediately after, to all the activists, \n\ninside and outside governments worldwide, who are working on this topic. \n\n1. Are you prepared for the pitfalls of Gov 2.0? \n\n2. Can we use Mobile Tribes to pay for the costs of Open Data? \n\n3. Canada launches data.gc.ca - what works and what is broken \n\n4. Creative Commons and data bases: huge in 2011, what you can do \n\n5. Defining Gov 2.0 and Open Government \n\n6. How Government Data Can Improve Lives \n\n7. If you like solar, tell your utility to publish this map \n\n8. Indian corruption backlash builds after \"year of the treasure hunters\" \n\n9. Información Cívica / Just What is Civic Information? \n\n10.Is open government just about information? \n\n11.LSDI : In un click la mappa del crimine \n\n12.La casta è online: dategli la caccia! \n\n13.Linee guida UK sull'opendata \n\n14.MSc dissertation on Open Government Data in the UK \n\n15.Open Data (2): Effective Data Use . \n\n16.Open Data: quali prospettive per la pianificazione? \n\n17.Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data \n\nOpen? \n\n18.Open data, democracy and public sector reform \n\n19.Pubblicato Camere Aperte 2011 - blog - OpenParlamento \n\n20.Reasons for not releasing data in government \n\n21.The impact of open data: first evidence", + "page_start": 32, + "page_end": 32, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that \n\nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next \n\nparagraph. For example, visualization techniques like those used by ABC News to show the effects \n\nof the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before \n\nand after the earthquake is to move a slider, should be routinely used to explain proposals about \n\nurban planning, zoning and related topics. \n\n**4.6. Focus on local, specific issues to raise interest for Open**\n**Data**\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens \n\nto use Open Data in their political, economic and professional decisions, one of the final \n\nrecommendations of the Open Data, Open Society report confirms its importance and needs to be \n\nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of \n\ncitizens that demand and use Open Data in the shortest possible time, to practice all the \n\nrecommendations of this report*at the local level*, \n\nMost people encounter their local governments much more often then their national ones. When \n\nworking within a single city or region it is much easier to inform citizens, raise their interest and \n\ninvolve them, because they would be searching*local*solutions to improve*local*services and/or \n\nsave*local*money. There may also be much more opportunities to do so, especially in this period of \n\nfinancial crisis that will see substantial decreases both in credit by financial institutions and in \n\nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" \n\nmust be the keys for local activists and public employees working on local Open Data: \n\n• work on specific issues and with precise objectives \n\n• focus on immediate usefulness \n\n• work on demand, on the*services*that people want. Required services define what data must \n\nbe open, not the contrary \n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \n\n*\"how do we get people to use the data that we publish?\"*. The right question, instead, is \"what data \n\ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, \n\nor that what they need can be done more quickly and cheaply by releasing some information in that \n\nway. \n\nA great example of what all this means is the Great British Public Toilet Map: a public participation \n\n*31/34*\n\n*Copyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)*", + "page_start": 30, + "page_end": 30, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "elections \n\n• Open Congress : a tool for political scientists to track the work and effectiveness of \n\nthe Brazilian congress \n\n• Paraguay: Who Do We Choose?: lists profiles of all candidates for many public posts. \n\nIn Brazil, the principle that*\"what is not confidential should be available on the Internet in the open*\n\n*data format\"*is already discussed and, in principle, accepted, by some departments of the Brazilian \n\nfederal government. However, the preferred practice for now is (if there are no other obstacles) to \n\nonly publish data that have been explicitly requested by some citizens. \n\nA report presented in May 2011 at the First Global Conference on Transparency Research \n\nmentioned a couple of Open Data issues in Latin America that are worth noting, because they're \n\npresent even in Europe and North America, in spite of the different historical and social \n\nbackground: \n\n• \"Better coordination is needed between right to information campaigners and open data \n\nactivists.\" \n\n• \"If activist manage to target particular topics to add \"value\" to the discussion, demand for \n\nopen data could eventually increase in the region.\" \n\nIn Africa, mobile phones are much more available, and more essential than computer with Internet \n\naccess, often bypassing the need for real desktop PCs with many applications. Therefore, from a \n\npurely technical point of view, transparency, accountability and efficiency in government are \n\nquickly becoming accessible to most African citizens through mobile networks rather than through \n\nthe \"traditional\" Internet. However, there are still too few public departments and procedures that \n\nuse digital documents and procedures on a scale large enough to generate meaningful volumes of \n\ndigital data that could be then published online. \n\nWhile we write, Kenya is laying the legal groundwork to support Open Data. Permanent Secretary \n\nfor Information and Communications, Dr. Bitange Ndemo is reported as having been championing \n\nfor quite some time. In practice, big challenges remain for Open Data usage in Kenya. The easiest \n\none to solve is to technical, that is find skilled people that can package the data in ways that the \n\npublic can consume (even on mobile phones...). The real problem, however, is the fact that \n\n(summarizing from Thinking About Africa's Open Data): \n\nThere is a lot of Kenya data but it isn't accessible. The entities that hold the most public \nand infrastructure data are always government institutions. Getting information from \nthem can be very hard indeed. We don't know who to go to to get the data we need, and", + "page_start": 9, + "page_end": 9, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "**Fredericton, NB**\n**Year Built Units**\n 25 McKnight Street \n64 \n2001 \n 110 McKnight Street \n45 \n1996 \n 116 & 126 Wilsey Avenue \n48 \n1975 \n 120 McKnight Street \n45 \n1998 \n 127 & 157 Biggs Street \n46 \n1985/92 \n 200 Reynolds Street \n52 \n2001 \n 260 Wetmore Road \n38 \n1978 \n52 \n 300 Reynolds Street \n2006 \n52 \n2010 \n 305 Reynolds Street \n72 \n 50,60 Greenfields & 190 Parkside 1977/86 \n44 \n1980 \n 75 Greenfields Drive \n62 \n1997/01 \n 969 Regent Street \n41 \n2002 \n Carrington House \n194 \n1973 \n Elroy Apartments \n151 \n1968/79 \n Forest Hill Towers \n141 \n1968/79 \n Princess Place \n47 \n2003 \n Southgate Apartments \n101 \n2013 \n The Plaza \n54 \n1965 \n Venus Apartments \n45 \n Westwood Apartment \n1975 \n**1,394**\n**Fredericton Total**\n**$896**\n**Fredericton Average Rent**\n\n**Saint John, NB**\n 37 Somerset Place \n 53 Somerset Place \n 115 Woodhaven Drive \n Blue Rock Estates \n Carleton Towers \n Cedar Glen Apartments \n Ellerdale Apartments \n Fort Howe Apartments \n Parkwood Apartments \n Rocky Hill Apartments \n Sydney Arms \n The Anchorage \n Woodward Gardens \n**Saint John Total**\n**Saint John Average Rent** **Year Built Units**\n21 \n2007 \n16 \n1973 \n24 \n1977 \n60 \n2007 \n60 \n1968 \n204 \n1977 \n154 \n1975 \n153 \n1970 \n205 \n1947 \n42 \n2004 \n54 \n1961 \n51 \n2003 \n99 \n1962 \n**1,143**\n**$746**\n\n**St. John’s, NL**\n Bennett House \n Blackshire Court \n Cornwall Manor \n Freshwater Road Apartments \n Forest Manor \n Meadowland Apartments \n Mount Pleasant Manor \n Pleasantview Manor \n Rutledge Manor \n Torbay Road Apartments \n Village Manor \n**St. John’s Total**\n**St. John’s Average Rent**\n\n2013 \n1981 \n1976 \n1972 \n1978 \n1976 \n1976 \n1979 \n1983 \n1972 \n1978 \n\n71 \n69 \n31 \n159 \n65 \n105 \n100 \n36 \n53 \n84 \n40 \n**813**\n**$849**\n\n**Charlottetown, PE**\n 198 Spring Park Road \n 27 Longworth Avenue \n 280 Shakespeare Drive \n 319-323 Shakespeare Drive \n 36 Westridge Crescent \n 505-525 University Avenue \n Bridlewood Apartments \n Browns Court \n Brighton House \n Burns/University \n Charlotte Court \n Country Place \n DesBarres House \n Ducks Landing \n Horton Park \n Kensington Court \n Queen Street \n**Charlottetown Total**\n**Charlottetown Average Rent**\n\n**Moncton, NB**\n 100 Archibald Street \n 101 Archibald Street \n 115 Kedgewick Drive \n 133 Kedgewick Drive \n 135 Gould Street \n 155 Canaan Drive \n 1111 Main Street \n 276-350 Gauvin Road \n 303 Normandie Street \n 316 Acadie Avenue \n 360 Acadie Avenue \n 364-368 Gauvin Road \n 46 & 54 Strathmore Ave \n Gauvin Estates \n Belmar Plaza \n Buckingham Place \n Cambridge Court \n Cambridge Place \n Cameron Arms \n Cameron Street \n Eagles Ridge Estates \n Gordon/Bonaccord Street \n Hester & Church Street \n Lakeview Estates \n Lorentz Apartments \n Lutz & Kendra Street \n Pine Glen Apartments \n Suffolk Street \n**Moncton Total**\n**Moncton Average Rent**\n\n2003 \n1993 \n2009 \n2010 \n2011 \n2008 \n1957 \n1991/96 \n1994 \n1996 \n1998 \n1995 \n2001 \n2013 \n2005 \n1998 \n1994 \n1995 \n1981 \n1966/67 \n1994 \n1950/84 \n1993 \n1980/81 \n1969 \n1950/75 \n1974 \n2000 \n\n60 \n60 \n25 \n23 \n69 \n48 \n16 \n84 \n70 \n48 \n60 \n80 \n40 \n48 \n50 \n55 \n45 \n63 \n81 \n81 \n59 \n41 \n64 \n48 \n101 \n40 \n54 \n80 \n**1,593**\n**$831**\n\n**London, ON**\n 180 Mill Street (2) \n Richmond Hill Apartments \n**London Total**\n**London Average Rent**\n\n2006 \n1983 \n2010 \n2004 \n1985 \n2003 \n1998/99 \n1997 \n2013 \n2003 \n2011 \n1998/02 \n1978 \n2005/12 \n1987 \n1990 \n1978 \n\n32 \n24 \n26 \n22 \n8 \n35 \n66 \n52 \n47 \n95 \n49 \n39 \n51 \n138 \n69 \n105 \n48 \n**906**\n**$878**\n\n2011 \n2009 \n\n127 \n137 \n**264**\n**$1,632**", + "page_start": 17, + "page_end": 17, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "more concrete over time is damage control. In a world that produces digital data without \n\ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \n\npredict, practically impossible to avoid and increasingly common. Opening public government data, \n\nthat is providing plenty of officially verified information, becomes therefore also a damage control \n\nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \n\nOpen Public Data, individual citizens, political parties or other organizations will start to process \n\nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \n\ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \n\nconclusions. This is not some theoretical possibility far in the future, as this real world example \n\n(from a comment to an Open Data discussion in an italian blog) proves: \n\n\"*on the*[non italian]*Geonames website you can download geo-referenced data*\n*about... 47000 Italian municipalities. That worries me, because there are only 8094 of*\n*them. Besides, I grabbed a few random data about population, and I can guarantee you*\n*that not one was right. What should be done in such cases?*\n\n**2.1. Wikileaks and the Open Data movement**\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \n\nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \n\nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \n\nData and Wikileaks are about transparency, accountability and democracy. \n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \n\nscandal. \n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \n\ntransparency whenever government activities are concerned. Citizens must be able to know what \n\nthe state is*actually*doing but sometimes, be it for careful evaluation of all the alternatives or \n\nbecause of security, it must be possible to work behind closed doors, at least temporarily. We'll \n\ncome back to this point later in this report. \n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \n\nand transparency in politics, not only there are deep differences between the two ideas but, in our", + "page_start": 4, + "page_end": 4, + "source_file": "Open_Data_Report.pdf" + }, + { + "text": "What can users expect from UKCP18? \n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty. \n\n**OBSERVATIONS**\n**Annual report: State of the UK Climate. Downloadable data.**\nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi- \ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year. \n\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \n\n**MARINE PROJECTIONS**\n**Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events. \n\n8 The latest update can be found at**http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n9**http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10**https://www.ipcc.ch/report/ar5/**", + "page_start": 1, + "page_end": 1, + "source_file": "legal1_opengouvernementlicense.pdf" + }, + { + "text": "**Obtaining Access to Support Structures and Municipal Rights**\n**of Way**\nWe must have access to support structures and municipal rights of way \nfor our cable facilities. We can apply to the CRTC to obtain a right of \naccess under the Telecommunications Act in areas where we cannot \nsecure access to municipal rights of way. Failure to obtain access could \nincrease Cable costs and adversely affect our business. \n\n**Complexity of Our Business**\nOur businesses, technologies, processes and systems are operationally \ncomplex and increasingly interconnected. If we do not execute properly, \nor if manmade or natural disasters impact them, customers may have a \nnegative experience, resulting in increased churn and lower revenue. \n\n**Reliance on Third Party Service Providers**\nWe have outsourcing arrangements with third parties to provide certain \nessential components of our business operations to our employees and \ncustomers, including payroll, certain facilities or property management \nfunctions, \ncertain installation and service \ntechnicians, certain information technology functions, and invoice \nprinting. Interruptions in these services can adversely affect our ability to \nservice our customers. \n\ncall centre support, \n\n**Dependence on Facilities and Services of ILECs**\nBusiness telephony operations that are outside our cable territory highly \ndepend on the availability of facilities and services acquired from \nincumbent telecom operators, according to CRTC rules. Changes to \nthe cost of operating these \nthese rules could significantly affect \nbusinesses. \n\n**Dependence on Certain Key Infrastructure and Handset**\n**Vendors**\nOur wireless business has relationships with a relatively small number of \nessential network infrastructure and handset vendors. We do not have \noperational or financial control over them, and only have limited \ninfluence on how they conduct their business with us. \n\n**Copyright Tariffs**\nPressures on copyright tariffs continue to affect our services. Any \nincrease in fees could negatively affect our results of operations. \n\nIf one of our network infrastructure suppliers fails, it could delay adding \nnetwork capacity or new capabilities and services across the business. \nHandsets and network infrastructure suppliers can extend delivery \ntimes, raise prices and limit supply due to their own shortages and \nbusiness requirements, among other things. If these suppliers do not \ndevelop handsets that satisfy customer demands, or deliver products", + "page_start": 79, + "page_end": 79, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed2.pdf", + "query": "In these mice, which lumbar levels were the dorsal root ganglion removed from?", + "target_page": 3, + "target_passage": "L3 to L5 DRGs were removed and postfixed for another 2 hours", + "chunk_present": { + "presence": true, + "index": 9 + } + }, + "top_chunk": [ + { + "text": "December 2024· Volume 165· Number 12 \n\ncell death and apoptosis with more than 10 genes were \nexamined. Filtered count data of expressed and nondifferentially \nexpressed genes were used as a background. \n\n2.8. Dorsal root ganglion culture \n\nobserved 7809 6 153 neurons per DRG; this was not significantly \ndifferent to the number of neurons in the contralateral DRG \n(7917 6 349), whereas cell number approximately halved by \n8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). \nSeparating analysis into intact vs axotomized afferents revealed \nthat only axotomized afferents were lost, with no difference \nobserved in numbers of intact afferents (Fig. 1D). Between 1 and \n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the \nnumber of GFP1 neurons. This loss of injured afferents resulted \nin a loss of neuron-containing (ie, excluding white matter regions) \nDRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss \npredominantly occurred between 1 and 2 weeks postinjury and \nstabilized after this timepoint. Population distributions of the \ncross-sectional area of nucleated, \ntdTomato-expressing cell \nprofiles were not significantly different at 1 vs 8 weeks post- \nSNItrans, in contrast to GFP-expressing/injured afferents, in which \na loss of a population of small afferents at 8 weeks postinjury was \nobserved (Fig. 1G). \n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and \nCalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and \nenzymatically digested at 37˚˚C for 80 minutes in dispase type II \n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington \nBiochemical), as described previously.63 Mechanically dissoci- \nated cells were plated onto laminin/poly-D-lysine (R&D Systems, \nMinneapolis, MN) treated coverslips in complete Neurobasal Plus \nmedium (Neurobasal Plus media supplemented with 2% (vol/vol) \nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic \n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth \nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, \nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor \n(GDNF, PeproTech) were added to the media under some \nconditions. Cytosine b-D-arabinofuranoside (4 mM) was added to \nthe media for 24 hours the day after plating to reduce the \nproliferation of nonneuronal cells. Media was refreshed 3 times \nper week thereafter. Cultures were fixed for 10 minutes at room \ntemperature with 4% paraformaldehyde and subsequently \nprocessed by immunocytochemistry (described earlier). \n\nSNItrans resulted in a mixed population of axotomized and intact \nafferents within the L4 DRG. Therefore, we developed an approach \nto restrict our analysis to axotomized afferents, without relying on \ntransgenic labelling, and used this as a complementary approach to \nconfirm our findings. We injected the neuronal tracer FB into the \nglabrous, tibial innervation territory of both hindpaws 1 week before \ncommon peroneal and tibial transection (SNItrans) or crush (SNIcrush) \nsurgeries (Figs. 2A and B). FastBlue-uptake was complete across \nneurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ \nC84), so this approach allowed us to profile a sample of the \naxotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) \ninjuries resulted in a rightward shift in population distributions of the \ncross-sectional area of nucleated, FB-labelled DRG neurons when \ncompared with contralateral DRG, consistent with a loss of small \nafferents post–nerve injury.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2876 \n\n[30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M, \nLa Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional \ntoolbox for exploring peripheral neuroimmune interactions. PAIN 2020; \n161:2089–106. \n\nmouse: marked changes both in cell numbers and neuropeptide \nexpression. Neuroscience 2001;105:249–63. \n\n[51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional \ncharacterization of pulmonary neuroendocrine cells in lung development, \ninjury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531–6. \n[52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of \nGDNF in the uninjured DRG exerts analgesic effects on neuropathic pain \nfollowing segmental spinal nerve ligation in mice. J Pain 2011;12: \n1130–1139. \n\n[53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root \nganglion cells after transection of the rat sciatic nerve. J Comp Neurol \n2000;422:172–80. \n[54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons: \ndiagnosis and prevention. J Hand Surg Eur Vol 2011;36:730–4. \n\n[31] Love MI, Huber W, Anders S. Moderated estimation of fold change and \ndispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550. \n[32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA, \nGarcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden \nES, Buzs ´aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE, \nZeng H. A toolbox of Cre-dependent optogenetic transgenic mice for \nlight-induced activation and silencing. Nat Neurosci 2012;15:793–802. \n[33] Madisen L, Zwingman TA, Sunkin SM, Oh SW, Zariwala HA, Gu H, Ng LL, \nPalmiter RD, Hawrylycz MJ, Jones AR, Lein ES, Zeng H. A robust and \nhigh-throughput Cre reporting and characterization system for the whole \nmouse brain. Nat Neurosci 2010;13:133–40. \n\n[55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling- \nLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S, \nErnfors P. Unbiased classification of sensory neuron types by large-scale \nsingle-cell RNA sequencing. Nat Neurosci 2015;18:145–53. [34] McCoy ES, Taylor-Blake B, Street SE, Pribisko AL, Zheng J, Zylka MJ. \nPeptidergic CGRPa primary sensory neurons encode heat and itch and \ntonically suppress sensitivity to cold. Neuron 2013;78:138–51. \n\n[56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on \nnumber and volume of dorsal root ganglion cell bodies. J Comp Neurol \n1997;388:307–12. \n\n[35] McKay Hart A, Brannstrom T, Wiberg M, Terenghi G. Primary sensory \nneurons and satellite cells after peripheral axotomy in the adult rat: \ntimecourse of cell death and elimination. Exp Brain Res 2002;142:308–18. \n[36] Molander C, Wang H, Rivero-Meli ´an C, Grant G. Early decline and late \nrestoration of spinal cord binding and transganglionic transport of \nisolectin B4 from Griffonia simplicifolia I after peripheral nerve \ntransection or crush. Restor Neurol Neurosci 1996;10:123–33. \n\n[57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from \na neuroma. Nature 1974;248:740–43. \n\n[58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang \nY, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation \nof MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33: \n1360–73. \n[37] Nguyen MQ, Le Pichon CE, Ryba N. Stereotyped transcriptomic \ntransformation of somatosensory neurons in response to injury. Elife \n2019;8:e49679. \n\n[59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons \ninnervate most known classes of substantia gelatinosa neurons. \nJ Neurosci 2009;29:13202–9. \n[38] Oliveira ALR. Apoptosis of sensory neurons and satellite cells after sciatic \nnerve transection in C57BL/6J mice. Braz J Med Biol Res 2001;34: \n375–80.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed2.pdf" + }, + { + "text": "Peripheral nerve injury results in a biased loss of \nsensory neuron subpopulations \nAndrew H. Coopera, Allison M. Barryb, Paschalina Chrysostomidoua, Romane Loligniera, Jinyi Wanga, \nMagdalena Redondo Canalesa, Heather F. Tittertona, David L. Bennettb, Greg A. Weira,*\n\n| Abstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n|---|---|\n| Abstract There is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n| of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following i has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that sp nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Ne loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expressi Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptid nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and p Keywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury | njury label ared uron on of 50%) ergic DRG ain. |\n\n\n1. Introduction \n\nDorsal root ganglion (DRG) neurons represent a molecularly \nand functionally heterogeneous population. Under normal \nconditions, \nthe \nsomatosensory nervous system to detect a myriad of sensory \nstimuli that result in the perceptions of touch, temperature, \nitch, and pain. Following nerve injury, physiological changes in \nDRG neurons lead to hyperexcitability,57 which is a key \npathological driver of neuropathic pain.20,63 Concomitant \nmolecular changes in discrete subpopulations also occur, \nand these have recently been comprehensively described in \nsingle-cell37,44 and subpopulation-specific sequencing stud- \nies.3 These studies describe a transient and generalized \nreduction in the expression of subpopulation-specific genes \nfollowing nerve injury.3,37,44 \n\nthis diversity contributes to the ability of \n\nIn addition to molecular changes, there is a rich literature \ndescribing the frank loss of DRG neurons following traumatic", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 4. Spared nerve injury induces a loss of Trpm81 and CGRP1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B–D) FastBlue \nlabelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNItrans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury. \nImages are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (E–G) Quantification of the \nproportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNItrans. Paired t tests; \nTrpm8-tdTom: t2 5 5.31, P 5 0.034, n 5 3 mice; Calca-YFP: t3 5 4.12, P 5 0.026, n 5 4 mice; Thy1-CFP: t3 5 4.42, P 5 0.022, n 5 4 mice.*P , 0.05. CFP, cyan \nfluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue. \n\nby a population of small-diameter, putative cold-sensitive \nneurons (Fig. 4B), accounting for 8.3 6 0.27% of FB-labelled \nneurons in contralateral DRG. This decreased to 4.2 6 0.96% \nipsilateral to SNItrans injury (Fig. 4E), indicating a partial loss of \nTrpm81 afferents. When examining peptidergic afferents, we \nfound that 48.1 6 2.42% of FB-labelled neurons in contralateral \nDRG were Calca-YFP1, compared with 34.3 6 2.54% 4 weeks \nafter SNItrans injury (Figs. 4C and F), consistent with a partial loss \nof CGRP1 afferents. We used a Thy1-CFP line that demon- \nstrates consistent expression postinjury61 and labels a sample of \nmedium/large diameter myelinated afferents. CFP was largely \nrestricted to NF2001 neurons, labelling 56% of this population. in a heterogenous population of \nExpression was present \nnociceptive (TrkA1) and nonnociceptive (TrkA-) myelinated \nneurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral \nto injury, 15.6 6 1.8% of FB-labelled neurons expressed Thy1- \nCFP (Figs. 4D and G). In contrast to unmyelinated subpopula- \ntions, this proportion was higher in ipsilateral DRG following \nSNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of \nThy1-CFP-expressing afferents, accompanied by a loss of Thy1- \nCFP-negative neurons. We did not observe significant alter- \nations in the population distributions of the cross-sectional area \nof surviving, damaged Trpm8-tdTom1, Calca-YFP1, or Thy1- \nCFP1 DRG neurons when compared with DRG contralateral to", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous \ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN \nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 \n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) \nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , \n0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG \nvolumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot \ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of \ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, \nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests:**P , 0.01. ANOVA, \nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. \n\n3.3. Spared nerve injury induces a loss of Trpm81 and \ncalcitonin gene-related peptide1 but not myelinated dorsal \nroot ganglion neurons \n\nloss of Trpm81 (cold- \ninduced loss. To investigate potential \nsensitive), calcitonin gene-related peptide1 (CGRP) (peptider- \ngic), and myelinated subpopulations of DRG neurons following \nnerve injury, we applied our FB-labelling approach in Trpm8FlpO; \nRC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; \nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP \nmice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed Loss restricted to nonpeptidergic nociceptors would not fully \naccount for the degree of total neuron loss that we observed. \nTherefore, we studied a range of other subpopulations, both \nsmall and large in diameter, for their vulnerability to injury-", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2872 \n\ninjury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating \nthat any loss of neurons within specific neuronal subpopulations \nwas not biased towards soma size. Collectively, these data show \nthat unrepaired axonal damage to peripheral sensory neurons \ninduces a partial loss of Trpm81 and CGRP1 subpopulations, \nbut no major loss of myelinated afferents. \nBased on our findings of preferential \n\ndeveloped transgenic recombinase driver lines, we have \nshown that \nloss is biased across molecularly defined \nsubpopulations. Nonpeptidergic nociceptive neurons are \nparticularly susceptible to loss, with almost all Mrgprd1 \naxotomized afferents lost following an unrepaired transection \ninjury (SNItrans) and roughly half lost following a model which \ncontrastingly allows for nerve regenerations (SNIcrush). \nFinally, we have observed that the vulnerability of Mrgprd1 \nneurons extends to the in vitro setting and provide data to \nsupport \nloss is driven by a lack of \nthe hypothesis that \nneurotrophic support following injury. \n\nloss of nonpeptidergic \nnociceptors, we re-analyzed a previous population-specific \ntranscriptomic dataset of mouse DRG neurons following nerve \ninjury for potential upregulation of cell death pathways (Fig. S7, \nhttp://links.lww.com/PAIN/C84).3 We found that early after injury \n(3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) \nneurons showed enhanced enrichment of GO terms associated \nwith apoptosis, in contrast to a broad population of nociceptors \n(labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- \nCreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and \nAd-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), \nin which \nthere was less or no enrichment of cell death pathways. By \n4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any \noverrepresentation of cell death pathways (in the populations \nstudied). Both injury-specific and apoptotic signatures in non- \npeptidergic neurons were no longer significantly enriched, \nconsistent with a loss of axotomized nonpeptidergic afferents \nby this late timepoint postinjury. These data suggest \nthat \napoptotic pathways are upregulated acutely after injury in a cell- \ntype-specific manner. \n\nThe question of whether DRG neurons die following traumatic \ninjury has been addressed by several groups over the last few \ndecades. Despite contrasting findings on the extent, timing, and \nform that loss takes, most studies have observed frank loss of \nDRG neurons.6,38,46,53 However, more recent studies using \nrecombinase driver lines and novel machine-learning approaches \nhave cast doubt on this consensus.44,49 Our data strongly \nsupport the loss hypothesis and suggest that approximately 60% \nof axotomized afferents die within 2 weeks of SNI. The \ndiscrepancy between our findings and other recent studies may \nbe partly explained by the sampling method used to estimate \nneuronal numbers. For example, Schulte et al.49 developed \na novel machine-learning approach and found no reduction in \nneuron density across serial sections of rat DRG following SNI, \nand they inferred from this that frank loss did not occur. Our \nresults are congruous, in that we also observed no reduction in \nneuron density. However, we found a substantial loss in the total \nneuron-containing volume of injured DRG, which underlies our \ncontrasting conclusion of \nfrank loss. Of note, morphological \nvolumetric analysis and MRI have also previously demonstrated \nvolume loss in both rodent and human DRG following nerve \ninjury.35,65,66 These findings occur despite a major increase of \nnonneuronal cells in the injured DRG30 and support the notion \nthat the total DRG neuron number is decreased.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) \nApproach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: \nFLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. \nScale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG \n1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; \nTimepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) \nVolume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) \nNeuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by \ncross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , \n0.001; n 5 310 to 427 neurons from 3 mice.*P , 0.05,**P , 0.01,***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green \nfluorescent protein. \n\n28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 \nneurons was equivalent 7 and 35 days after FB injection, \ndemonstrating that this reduction was not because 7 days were \ninsufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// \nlinks.lww.com/PAIN/C84). No significant difference in the per- \ncentage of FB-labelled YFP1 DRG neurons between ipsilateral \nand contralateral DRG was observed at 7 days following SNItrans \n(Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrat- \ning that loss occurred after this timepoint. Analysis of the cross- \nsectional soma area of FB-labelled, YFP1 neurons in uninjured \nDRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, \nhttp://links.lww.com/PAIN/C84), which is a distribution profile \nmatching those neurons presumed lost. Collectively, these data \nshow that peripheral nerve injury results in a substantial loss of \nnonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an \nunrepaired axonal transection) resulting in an almost complete \nloss of this population. \n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A \nand B). SNItrans, but not sham, resulted in a significant decrease \n(54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 \nDRG (Fig. 3C). \n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is \ndriven by the endogenous Mrgprd promotor, which has been \nreported to be upregulated or downregulated following axonal \ndamage.44,58 Such changes in promoter activity could affect the \nproportion of nonpeptidergic nociceptors identified by YFP \nexpression. Therefore, \nto verify these findings, we used \nMrgDCreERT2;Ai32 mice and tamoxifen administration before \ninjury, to permanently label Mrgprd-expressing afferents with \nChR2-YFP (Figs. 3D–F). We then tested whether the proportion \nof cutaneous tibial afferents that were YFP1 was altered following \nnerve injury. Following hindpaw FB injection, ;15% of contralat- \neral, FB-labelled DRG neurons expressed YFP. This was reduced \nto 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9%", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed2.pdf" + }, + { + "text": "dorsal \nNeuroreport 2018;29:779–85. \n\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue \nA. Unbiased analysis of the dorsal root ganglion after peripheral nerve \ninjury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN \n2023;164:728–40. [69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum \nAI. Dorsal root ganglion macrophages contribute to both the initiation and \npersistence of neuropathic pain. Nat Commun 2020;11:264. \n\n[50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨okfelt T. Effect of \nperipheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J \n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia \ngelatinosa mediate interaction of signals from primary afferents. J Physiol \n2010;588:2065–75.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed2.pdf" + }, + { + "text": "Neuronal \nloss has been proposed as a key contributor to poor \nfunctional recovery following nerve injury,54 and biased survival of \ntypes might be expected to contribute to \ndifferent afferent \nmodality-specific sensory deficits. Beyond loss of function, does \nDRG neuron loss contribute to chronic pain, in either an adaptive or \nmaladaptive manner? Intrathecal delivery of GDNF is neuro- \nprotective and reverses the reduction in the number of IB4-binding \nDRG neurons and central terminals seen following transection.5 \nTreatment is concurrently analgesic and abrogates pain-related \nbehaviors.7,60 However, the pleiotropic nature of GDNF makes it \nimpossible to directly attribute the analgesic effects to the reversal \nof neuron loss. Indeed, it is possible that GDNF exerts its effect by \nactions on intact nonpeptidergic nociceptive afferents,52 activation \nof which is known to drive aversive behaviors in the neuropathic \nstate.62 These data leave the contribution of nonpeptidergic \nnociceptor loss to behavior in the GDNF treatment paradigm \nambiguous. Other pharmacological approaches have been found \neffective at reversing a neuronal \nloss in rodent models, but the \nimpact on pain behavior was not studied.21,22 \n\nWhile we made efforts to profile the loss of several molecularly \ndiscrete sensory neuron populations, we acknowledge that not all \nsubtypes were profiled. Furthermore, recent single-cell RNA \nsequencing has given us a more granular appreciation of the \nheterogeneity of sensory neurons.42 Future studies could \nleverage our experimental approach and new transgenic lines \nto characterize the loss of neurons in more detail. Such \nexperiments may be pertinent before embarking on molecular \nor functional profiling of populations post–nerve injury. \n\nRodents develop marked mechanical and thermal hypersen- \nsitivity rapidly following nerve injury and before timepoints at \nwhich neuron loss is observed.10 This lack of a temporal \ncorrelation may suggest a limited contribution to evoked hyper- \nsensitivities. The temporal profile of ongoing tonic pain (eg, pain \naversiveness as measured by condition place preference \nassays26) is less defined and so is its correlation to the timing of \nneuron loss. \n\n4.5. Conclusions \n\nIn sum, we have provided data from multiple complementary \nexperimental approaches to support the hypothesis that DRG \nneurons are lost following nerve injury in mice. We describe \na substantial loss, which is biased towards specific subpopula- \ntions and particularly present in small-diameter nonpeptidergic \nnociceptive neurons. \n\nThere are many anatomical sites within the somatosensory \nnervous system where differential \nloss of sensory neuron \npopulations could impact neurobiology. For example, loss of \ncutaneous afferents may afford more opportunity for plasticity in \nreinnervation patterns, such as collateral sprouting of uninjured or \nsurviving afferents, and the types of nerve endings made by \ndifferent molecular subpopulations.17,27 It also seems likely that the \ndeath of many neurons within a DRG could contribute to the \nexpansion and activation of immune cell types, which are known to \nplay a major role in neuropathic pain.30,69 Finally, under normal \nconditions, peripheral sensory input is integrated into the dorsal \nhorn of the spinal cord by complex interneuron circuitry. Many \nspinal circuits are engaged by convergent input from different \nafferent types.9,41,70 Therefore, selective loss of input from discrete \nafferent types could undoubtedly impact the normal processing of \nremaining afferent signals.34 Experimentally abrogating neuronal \nloss may be a fruitful approach to assess the contribution to \nnervous system plasticity (adaptive or maladaptive) following injury. \nIn this regard, our in vitro readout would be a useful experimental \n\nConflict of interest statement", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed2.pdf" + }, + { + "text": "Mice were briefly anesthetized during the procedure, induced with \n3% to 5% isoflurane, and then maintained at 1.5% to 2% as required. \nHindlimbs were taped with the plantar surface of the paw facing up, \nand a custom, 26G removable needle with a 30˚ bevel, attached to \na 25-mL Hamilton syringe, was inserted between the 2 distal-most \nfootpads, towards the medial aspect of the hindpaw. The needle \nwas then rotated 90˚, so the bevel faced medially. Furthermore, 4-mL \nFastBlue (FB; 2% in sterile phosphate-buffered saline (PBS); CAS# \n73819-41-7; Polysciences, Inc, Warrington, PA) per paw was then \nslowly injected, and the needle was left in place for 10 seconds, \nbefore rotating and carefully retracting to avoid backflow of FB along \nthe needle track. This prevented the FB bolus from contacting the \nsural innervation territory of the lateral hindpaw, restricting it largely to \nthe tibial innervation territory of the glabrous hindpaw skin. \n\nformaldehyde. L3 to L5 DRGs were removed and postfixed for \nanother 2 hours, cryoprotected in 30% sucrose overnight, and \nthen embedded in optimal cutting temperature media (OCT; \nTissue Tek, Alphen aan den Rijn, the Netherlands). Dorsal root \nganglia were sectioned on a Leica CM1950 cryostat at 30 mm, \nwith every section collected serially on 5 Superfrost Plus slides \n(VWR, Lutterworth, United Kingdom) and each slide containing 1 \nin every 5 sections (4-7 sections per slide). One slide per DRG was \nselected at random and was washed with PBS, before being \nincubated with appropriate primary antibodies (Table 2) diluted in \n5% normal donkey serum and 0.3% Triton X-100 in PBS for \n3 days at 4˚C. After PBS washes, slides were incubated with \nappropriate secondary antibodies (Table 2) in the same PBS/ \n(normal donkey serum) NDS/Triton-X100 solution as for prima- \nries, overnight at room temperature. Slides were washed and \ncoverslipped with VectaShield Vibrance Hardset mounting media \n(Vector Labs, Newark, CA), with 4’,6-diamidino-2-phenylindole \nincluded in mounting media where FB-labelled cells were not \nbeing examined. Sections were imaged using a Zeiss LSM900 \nAiryscan confocal microscope equipped with 405-, 488-, 561-, \n\n| Table 2 | |\n|---|---|\n| Table 2 | |\n\n\nPrimary and secondary antibodies used in the study. \n\nAntibody Source Identifiers Working dilution \n\n| Anti-GFP (Chicken polyclonal) | | Abcam, plc, Cambridge, United Kingdom | | Cat#: ab13970\nRRID: AB_300798 | | 1:1000 |\n|---|---|---|---|---|---|---|\n| Anti-GFP (Chicken polyclonal) | | Abcam, plc, Cambridge, United Kingdom | | Cat#: ab13970 RRID: AB_300798 | | 1:1000 |\n| | | | | | | |\n\n\nAnti-NeuN (Guinea pig polyclonal) Synaptic Systems, G ¨ottingen, Germany 1:500 \n\n| | | | | RRID: AB_2619988 | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| Anti-mCherry (Rat monoclonal) | | Invitrogen, Waltham, MA; Thermo Fisher Scientific, United Kingdom | | Cat#: M11217 RRID: AB_2536611 | | 1:500 |\n| | | | | | | |\n\n\nAnti-Atf3 (Rabbit polyclonal) Novus Biologicals, Minneapolis, MN \n\n| | | | | RRID: AB_11014863 | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| Anti-NF200 (Rabbit polyclonal) | | Sigma-Aldrich, Saint Louis, MO | | Cat#: N4142 RRID: AB_477272 | | 1:1000 |\n| | | | | | | |\n\n\nAnti-TrkA (Goat polyclonal) R&D Systems, Minneapolis, MN 1:500 \n\n| | | | | RRID: AB_2283049 | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| Anti-TDP43 (Rabbit polyclonal) | | Abcam, plc, Cambridge, United Kingdom | | Cat#: ab133547 RRID: AB_2920621 | | 1:100 |\n| | | | | | | |\n\n\nAnti-RFP (Mouse monoclonal) Thermo Fisher Scientific, United Kingdom \n\n| | | | | RRID: AB_10999796 | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| Anti-RFP (Chicken polyclonal) | | Sigma-Aldrich, United Kingdom | | Cat#: AB3528 RRID: AB_11212735 | | 1:200 |\n| | | | | | | |", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed2.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed2.pdf", + "query": "Did the researcher responsible for quantifying the cells in the dorsal root ganglion know which group each mouse belonged to?", + "target_page": 4, + "target_passage": "During all image quantification, the experimenter was blind to the experimental groups.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Nv ¼ Nsec \nVsec \n\nFinally, \ncalculated: \nthe total number of cells per DRG (NDRG) was \n\nNDRG ¼ Nv 3 VDRG \n\nFor quantification of the proportion of FB-labelled cells co- \nlabelled with afferent subpopulation markers, initially, the total \nnumber of FB-filled neuronal cell profiles with a visible nucleus \nanywhere within the section was counted, with the observer blind \nto other channels. The other channel was then revealed, and \ninstances of co-labelling were quantified. No stereological \ncorrection was applied, given that the similar size of neuronal \nnuclei would prevent over-counts of large neurons and that no \ncomparisons of the total number of labelled cells were made. For \nsoma area analyses, the area of neuronal soma expressing the \nappropriate marker was measured in the optical section within \nthe Z-stack in which that neuron was at its largest, by drawing \naround the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f. \n\n2.7. Gene Ontology \n\nGene Ontology term analyses were performed on previously \npublished mouse subtype RNA-seq after SNI (GSE2164443). In \nthis study, subtype-specific bulk RNA-seq was performed on 5 \ntransgenic mouse lines through reporter labelling and fluores- \ncence activated cell sorting. spliced transcripts alignment to \na reference was used to map reads to the GRCm38 (mm10) \nMouse Genome,14 and Samtools was used to sort, index, and \nmerge Binary Alignment Map files in line with published reports.28 \nQuality control was performed as per Barry et al.3 Downstream \nanalyses were performed using DESeq2 on grouped male and \nfemale samples.31 For differentially expressed genes (false \ndiscovery rate) (FDR , 0.05, LFC .1) (log-fold change), GO \nanalyses were performed using the Wallenius method using \ngoSeq (R). In this study, significantly regulated terms related to \n\n2.6. Tissue clearing and 3D volumetric analyses \n\nDorsal root ganglia were extracted from animals 4 weeks post- \nSNItrans for whole DRG analyses. In this study, tissue was extracted", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed2.pdf" + }, + { + "text": "Peripheral nerve injury results in a biased loss of \nsensory neuron subpopulations \nAndrew H. Coopera, Allison M. Barryb, Paschalina Chrysostomidoua, Romane Loligniera, Jinyi Wanga, \nMagdalena Redondo Canalesa, Heather F. Tittertona, David L. Bennettb, Greg A. Weira,*\n\n| Abstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n|---|---|\n| Abstract There is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnera | bility |\n| of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following i has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that sp nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Ne loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expressi Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptid nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and p Keywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury | njury label ared uron on of 50%) ergic DRG ain. |\n\n\n1. Introduction \n\nDorsal root ganglion (DRG) neurons represent a molecularly \nand functionally heterogeneous population. Under normal \nconditions, \nthe \nsomatosensory nervous system to detect a myriad of sensory \nstimuli that result in the perceptions of touch, temperature, \nitch, and pain. Following nerve injury, physiological changes in \nDRG neurons lead to hyperexcitability,57 which is a key \npathological driver of neuropathic pain.20,63 Concomitant \nmolecular changes in discrete subpopulations also occur, \nand these have recently been comprehensively described in \nsingle-cell37,44 and subpopulation-specific sequencing stud- \nies.3 These studies describe a transient and generalized \nreduction in the expression of subpopulation-specific genes \nfollowing nerve injury.3,37,44 \n\nthis diversity contributes to the ability of \n\nIn addition to molecular changes, there is a rich literature \ndescribing the frank loss of DRG neurons following traumatic", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed2.pdf" + }, + { + "text": "2.9. Statistical analysis \nData are expressed as mean 6 SEM unless otherwise specified, \nand P values of less than 0.05 were considered significant. Power \ncalculations were performed using G*Power 3.1.9.7.15 A \nquantitative Venn diagram was created using BioVenn.25 All \nother statistical analyses were performed in Prism 10 (GraphPad \nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way \nRM ANOVAs (repeated measures analysis of variance), where \nappropriate. Normality was assessed by the Shapiro–Wilk test. If \nˇS´ıd ´ak or \nthe main analysis of variance effect was significant, \nTukey multiple comparisons tests were performed. To compare \npopulation distributions of soma cross-sectional area or volume, \nKolmogorov–Smirnov tests were performed. \n\nAs a third complementary approach, we applied semiauto- \nmated volumetric analyses of nuclei size following tissue clearing. \nIn this study, whole DRGs were cleared 4 weeks after SNItrans for \nnuclei counting in “complete” tissue (Figs. 2E–H). Nuclei were \nlabelled by TDP-43, in line with the study by West et al.,67 and \nwere quantified using Imaris software (Fig. 2F, Video 1). We \nobserved a slight but significant rightward shift in nuclear spot \nvolume population distribution 4 weeks after SNItrans (Fig. 2G). In \naddition, there was a significant reduction in the number of small \nbut not medium or large nuclear spots, in support of a loss of \nsmall-diameter neuron populations (Fig. 2H). \n\n3. Results \n\n3.1. Peripheral nerve injury induces a loss of small neurons \nfrom the dorsal root ganglion \n\nTogether, our data derived from several different experimental \napproaches show that a population of small-diameter afferents \nare lost following peripheral nerve injury. \n\n3.2. Spared nerve crush or transection results in death of \nMrgprd-expressing neurons \n\nTo date, determining cell \nloss among specific populations of \nafferent neurons has proved challenging due to the down- \nregulation of subpopulation-specific marker genes following \ntransection.37,44 To overcome this issue, we took \naxonal \nadvantage of \ntransgenic strategies to label populations in \na manner that persisted after injury. Owing to the bias for the \nloss of small neurons and the known loss of IB4-binding central \nterminals postinjury,36 we initially focused on nonpeptidergic \nnociceptive neurons. We used MrgDChR2-YFP mice to identify \nneurons belonging to the largest of \nthe 3 classes of non- \npeptidergic nociceptors, NP1.55,59 To determine whether these \nneurons are lost following nerve injury, we used a stereological \nmethod to quantify L4 DRG MrgD-YFP1 (yellow fluorescent \n\nTo assess the gross loss of neurons from DRG following nerve \ninjury, we generated the AvilFlpO;Atf3CreERT2;RC::FLTG mouse \nline in which na¨ıve and axotomized sensory neurons were \ndifferentially labelled. In this mouse line, all neurons express \nin the na¨ıve state and switch to \ntdTomato (Flp-dependent) \nexpressing green fluorescent protein (GFP) upon axonal damage \nand concurrent tamoxifen treatment (Flp- and Cre-dependent) \n(Figs. 1A and B). Following pilot experiments to optimize \ntamoxifen dosing regimen, this approach was both highly efficient \nand specific (with the caveat that it was necessary to wait for \nseveral days after nerve injury for Cre-induced GFP expression): \n14 days after SNItrans surgery, GFP was expressed by 99.1 6 \n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we \nobserved GFP in only 4.6 6 0.7% of contralateral DRG neurons \n(Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used \na stereological approach to quantify the total number of neurons \nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as \nto injury. One week after SNItrans, we \nwell as contralateral", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed2.pdf" + }, + { + "text": "December 2024· Volume 165· Number 12 \n\ncell death and apoptosis with more than 10 genes were \nexamined. Filtered count data of expressed and nondifferentially \nexpressed genes were used as a background. \n\n2.8. Dorsal root ganglion culture \n\nobserved 7809 6 153 neurons per DRG; this was not significantly \ndifferent to the number of neurons in the contralateral DRG \n(7917 6 349), whereas cell number approximately halved by \n8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). \nSeparating analysis into intact vs axotomized afferents revealed \nthat only axotomized afferents were lost, with no difference \nobserved in numbers of intact afferents (Fig. 1D). Between 1 and \n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the \nnumber of GFP1 neurons. This loss of injured afferents resulted \nin a loss of neuron-containing (ie, excluding white matter regions) \nDRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss \npredominantly occurred between 1 and 2 weeks postinjury and \nstabilized after this timepoint. Population distributions of the \ncross-sectional area of nucleated, \ntdTomato-expressing cell \nprofiles were not significantly different at 1 vs 8 weeks post- \nSNItrans, in contrast to GFP-expressing/injured afferents, in which \na loss of a population of small afferents at 8 weeks postinjury was \nobserved (Fig. 1G). \n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and \nCalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and \nenzymatically digested at 37˚˚C for 80 minutes in dispase type II \n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington \nBiochemical), as described previously.63 Mechanically dissoci- \nated cells were plated onto laminin/poly-D-lysine (R&D Systems, \nMinneapolis, MN) treated coverslips in complete Neurobasal Plus \nmedium (Neurobasal Plus media supplemented with 2% (vol/vol) \nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic \n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth \nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, \nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor \n(GDNF, PeproTech) were added to the media under some \nconditions. Cytosine b-D-arabinofuranoside (4 mM) was added to \nthe media for 24 hours the day after plating to reduce the \nproliferation of nonneuronal cells. Media was refreshed 3 times \nper week thereafter. Cultures were fixed for 10 minutes at room \ntemperature with 4% paraformaldehyde and subsequently \nprocessed by immunocytochemistry (described earlier). \n\nSNItrans resulted in a mixed population of axotomized and intact \nafferents within the L4 DRG. Therefore, we developed an approach \nto restrict our analysis to axotomized afferents, without relying on \ntransgenic labelling, and used this as a complementary approach to \nconfirm our findings. We injected the neuronal tracer FB into the \nglabrous, tibial innervation territory of both hindpaws 1 week before \ncommon peroneal and tibial transection (SNItrans) or crush (SNIcrush) \nsurgeries (Figs. 2A and B). FastBlue-uptake was complete across \nneurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ \nC84), so this approach allowed us to profile a sample of the \naxotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) \ninjuries resulted in a rightward shift in population distributions of the \ncross-sectional area of nucleated, FB-labelled DRG neurons when \ncompared with contralateral DRG, consistent with a loss of small \nafferents post–nerve injury.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous \ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN \nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 \n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) \nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , \n0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG \nvolumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot \ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of \ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, \nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests:**P , 0.01. ANOVA, \nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. \n\n3.3. Spared nerve injury induces a loss of Trpm81 and \ncalcitonin gene-related peptide1 but not myelinated dorsal \nroot ganglion neurons \n\nloss of Trpm81 (cold- \ninduced loss. To investigate potential \nsensitive), calcitonin gene-related peptide1 (CGRP) (peptider- \ngic), and myelinated subpopulations of DRG neurons following \nnerve injury, we applied our FB-labelling approach in Trpm8FlpO; \nRC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; \nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP \nmice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed Loss restricted to nonpeptidergic nociceptors would not fully \naccount for the degree of total neuron loss that we observed. \nTherefore, we studied a range of other subpopulations, both \nsmall and large in diameter, for their vulnerability to injury-", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2872 \n\ninjury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating \nthat any loss of neurons within specific neuronal subpopulations \nwas not biased towards soma size. Collectively, these data show \nthat unrepaired axonal damage to peripheral sensory neurons \ninduces a partial loss of Trpm81 and CGRP1 subpopulations, \nbut no major loss of myelinated afferents. \nBased on our findings of preferential \n\ndeveloped transgenic recombinase driver lines, we have \nshown that \nloss is biased across molecularly defined \nsubpopulations. Nonpeptidergic nociceptive neurons are \nparticularly susceptible to loss, with almost all Mrgprd1 \naxotomized afferents lost following an unrepaired transection \ninjury (SNItrans) and roughly half lost following a model which \ncontrastingly allows for nerve regenerations (SNIcrush). \nFinally, we have observed that the vulnerability of Mrgprd1 \nneurons extends to the in vitro setting and provide data to \nsupport \nloss is driven by a lack of \nthe hypothesis that \nneurotrophic support following injury. \n\nloss of nonpeptidergic \nnociceptors, we re-analyzed a previous population-specific \ntranscriptomic dataset of mouse DRG neurons following nerve \ninjury for potential upregulation of cell death pathways (Fig. S7, \nhttp://links.lww.com/PAIN/C84).3 We found that early after injury \n(3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) \nneurons showed enhanced enrichment of GO terms associated \nwith apoptosis, in contrast to a broad population of nociceptors \n(labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- \nCreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and \nAd-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), \nin which \nthere was less or no enrichment of cell death pathways. By \n4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any \noverrepresentation of cell death pathways (in the populations \nstudied). Both injury-specific and apoptotic signatures in non- \npeptidergic neurons were no longer significantly enriched, \nconsistent with a loss of axotomized nonpeptidergic afferents \nby this late timepoint postinjury. These data suggest \nthat \napoptotic pathways are upregulated acutely after injury in a cell- \ntype-specific manner. \n\nThe question of whether DRG neurons die following traumatic \ninjury has been addressed by several groups over the last few \ndecades. Despite contrasting findings on the extent, timing, and \nform that loss takes, most studies have observed frank loss of \nDRG neurons.6,38,46,53 However, more recent studies using \nrecombinase driver lines and novel machine-learning approaches \nhave cast doubt on this consensus.44,49 Our data strongly \nsupport the loss hypothesis and suggest that approximately 60% \nof axotomized afferents die within 2 weeks of SNI. The \ndiscrepancy between our findings and other recent studies may \nbe partly explained by the sampling method used to estimate \nneuronal numbers. For example, Schulte et al.49 developed \na novel machine-learning approach and found no reduction in \nneuron density across serial sections of rat DRG following SNI, \nand they inferred from this that frank loss did not occur. Our \nresults are congruous, in that we also observed no reduction in \nneuron density. However, we found a substantial loss in the total \nneuron-containing volume of injured DRG, which underlies our \ncontrasting conclusion of \nfrank loss. Of note, morphological \nvolumetric analysis and MRI have also previously demonstrated \nvolume loss in both rodent and human DRG following nerve \ninjury.35,65,66 These findings occur despite a major increase of \nnonneuronal cells in the injured DRG30 and support the notion \nthat the total DRG neuron number is decreased.", + "page_start": 9, + "page_end": 9, + "source_file": "pubmed2.pdf" + }, + { + "text": "A.H. Cooper et al.·165 (2024) 2863–2876 \n2876 \n\n[30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M, \nLa Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional \ntoolbox for exploring peripheral neuroimmune interactions. PAIN 2020; \n161:2089–106. \n\nmouse: marked changes both in cell numbers and neuropeptide \nexpression. 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Braz J Med Biol Res 2001;34: \n375–80.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed2.pdf" + }, + { + "text": "SNI-related gene expression signatures were less evident in \nMrgprd-expressing and C-LTMR neurons at later timepoints, \ncompared with other populations in injured DRG.3 This could be \nexplained by a loss of axotomized neurons of these classes and \ntherefore sampling of only uninjured neurons at \nthis time- \npoint.24,43,64 In terms of the transcriptional response to injury, \nindividual \nnonpeptidergic nociceptors show enrichment of \nproapoptotic factors early after injury,23,68 and we extend these \nresults in this study, by describing a subpopulation-specific \nenrichment of GO terms associated with apoptosis that is evident \nas early as 3 days after \ninjury. Such data and single-cell \ntranscriptomic profiling of all DRG neurons following injury37,44 \nmay offer the opportunity to elucidate the cell death pathways \nengaged and upstream effectors that enrich this process to \nnonpeptidergic nociceptive neurons. \n\nplatform to help delineate the precise cell death pathways and \nsignaling cascades engaged (which could then be experimentally \nmanipulated). Such studies should consider that plasticity may \nevolve over time. The loss of IB41 central terminals is transient \nfollowing crush and has even been observed to reverse at longer \ntimepoints following SNItrans.36 These observations, in conjunction \nwith ours of loss of neurons, raise the intriguing question of the \nsource of such central reinnervation. \n\n4.4. Study limitations \n\nOur efforts focused on traumatic nerve injury paradigms owing to \nprevious contrasting results using these robust and reproducible \nexperimental models. We did not extend our studies to systemic \nneuropathy models, such as chemotherapy or diabetic neurop- \nathy. A recent postmortem analysis reported a neuronal loss in \nthe DRG from patients with painful diabetic peripheral neurop- \nathy.19 Transcriptional \nresponses vary substantially across \ndifferent nerve insults,44 so it would be of interest to test whether \nneuronal loss and the subpopulation vulnerability reported in this \nstudy are common features across different types of insults. \n\nUsing multiple approaches, we assess the na¨ıve mouse L4 \nDRG to contain approximately 8000 neurons, consistent with \na previous estimate,67 and observed a frank loss of small- \ndiameter neurons following injury. However, the extent of loss \nobserved using our semiautomated approach was less than that \nobserved using manual techniques.67 Two major limitations in \nthis study may explain this discrepancy: First, owing to technical \nissues, the cleared DRG dataset is unpaired ipsilateral–contra- \nlateral which adds larger variability. Second, the analysis method \nis prone to undercounting deep nuclei. The signal-to-noise is \nbetter for superficial nuclei and smaller tissue volumes. Given the \nreduction in DRG volume after SNItrans, nuclei \nin larger \ncontralateral DRG may be undercounted.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed2.pdf" + }, + { + "text": "[39] Olson W, Abdus-Saboor I, Cui L, Burdge J, Raabe T, Ma M, Luo W. \nSparse genetic tracing reveals regionally specific functional organization \nof mammalian nociceptors. Elife 2017;6:e29507. \n\n[60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. 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[48] Schulte A, Degenbeck J, Aue A, Schindeh ¨utte M, Schlott F, Schneider M, \nMonoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL. \nHuman dorsal root ganglia after plexus injury: either preservation or loss of \nthe multicellular unit. bioRxiv 2023.02.06.526934.", + "page_start": 13, + "page_end": 13, + "source_file": "pubmed2.pdf" + }, + { + "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) \nApproach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: \nFLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. \nScale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG \n1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; \nTimepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) \nVolume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) \nNeuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by \ncross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , \n0.001; n 5 310 to 427 neurons from 3 mice.*P , 0.05,**P , 0.01,***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green \nfluorescent protein. \n\n28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 \nneurons was equivalent 7 and 35 days after FB injection, \ndemonstrating that this reduction was not because 7 days were \ninsufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// \nlinks.lww.com/PAIN/C84). No significant difference in the per- \ncentage of FB-labelled YFP1 DRG neurons between ipsilateral \nand contralateral DRG was observed at 7 days following SNItrans \n(Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrat- \ning that loss occurred after this timepoint. Analysis of the cross- \nsectional soma area of FB-labelled, YFP1 neurons in uninjured \nDRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, \nhttp://links.lww.com/PAIN/C84), which is a distribution profile \nmatching those neurons presumed lost. Collectively, these data \nshow that peripheral nerve injury results in a substantial loss of \nnonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an \nunrepaired axonal transection) resulting in an almost complete \nloss of this population. \n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A \nand B). SNItrans, but not sham, resulted in a significant decrease \n(54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 \nDRG (Fig. 3C). \n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is \ndriven by the endogenous Mrgprd promotor, which has been \nreported to be upregulated or downregulated following axonal \ndamage.44,58 Such changes in promoter activity could affect the \nproportion of nonpeptidergic nociceptors identified by YFP \nexpression. Therefore, \nto verify these findings, we used \nMrgDCreERT2;Ai32 mice and tamoxifen administration before \ninjury, to permanently label Mrgprd-expressing afferents with \nChR2-YFP (Figs. 3D–F). We then tested whether the proportion \nof cutaneous tibial afferents that were YFP1 was altered following \nnerve injury. Following hindpaw FB injection, ;15% of contralat- \neral, FB-labelled DRG neurons expressed YFP. This was reduced \nto 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9%", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed2.pdf" + } + ] + }, + { + "references": { + "source_file": "basic-english-language-skills.PDF", + "query": "Does the Oxbridge Academy have a guide on how to apply to college?", + "target_page": 21, + "target_passage": "To make the college registration process easier for you, we’ve compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/).", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "Applying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a \ndaunting experience. Not only do you need to choose a course, but you \nalso need to make sure that you: \n• meet the entry requirements \n• meet the deadlines \n• \n• \n• fill in the forms correctly \nsend the forms to the right address \ninclude all the necessary attachments \n\nTo make the college registration process easier for you, we’ve compiled a \ncomprehensive guide on how to register at Oxbridge Academy \n(www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general \ntips that will be relevant to the application and registration processes at \nother colleges. \n\n**There are 4 steps you need to follow when you want to**\n**register as a student at Oxbridge Academy:**\n\n**1.**Select Your Course \n\n**2.** Fill in Your Student Details \n\n**3.**Select Your Delivery Option \n\n**4.** Pay Your Registration Fee and Send in Your Form", + "page_start": 20, + "page_end": 20, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Different courses have different registration fees. Please check the course \nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to \nfind out how much you need to pay to register for your chosen course, and \npay this amount using the banking details provided at the bottom of the \nregistration form. Remember to attach your proof of payment. \n\nIf you are under the age of 18, your parent or guardian will need to sign \nthis section of the form to state that they are aware of your registration \nwith Oxbridge Academy, and that they do not have any objections. If you \nare unemployed, you will need a guarantor to sign this section of the \nform. Your parent or guarantor will be held responsible if you miss any of \nyour payments in relation to your course fees.", + "page_start": 25, + "page_end": 25, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "SEND YOUR REGISTRATION FORM \n\nSend your registration form to the \nregistrations office at Oxbridge Academy via \none of the following channels: \n\nFax: \nPost: \nE-mail: registrar@oxbridgeacademy.co.za \n086 262 5550 \nPO Box 12723, Die Boord, 7613", + "page_start": 26, + "page_end": 26, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "Depending on which course you study, you will either be assessed \nby means of written assignments, or through a combination of \nwritten assignments and exams. Assignments not only help to \ndeepen your understanding of the work, but they often also count \ntoward your final mark. \n\nIf you are an Oxbridge Academy student, we’d like you to know \nthat we are here to help you every step of the way, and that we will \ngive you the opportunity to resubmit your assignments if you don’t \nachieve a pass mark the first time around.", + "page_start": 36, + "page_end": 36, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "With our head office in Stellenbosch in the Western Cape, we cater to our \nstudents’ needs by recruiting industry-expert tutors to provide academic \nassistance via telephone and e-mail, as well as by designing our study \nmaterial in such a way that it is clear, simple, and easy for our students \nto understand. \n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section \n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070. \n\n*Developed for Oxbridge Academy*", + "page_start": 58, + "page_end": 58, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "1. Read (and follow) the instructions carefully. \nIf you are an Oxbridge Academy student, the general assignment \nguidelines will be provided in your “Success” Study Guide. Specific \ninstructions will also be included at the beginning of each of your \nassignments. \n\n2. Read the questions carefully. \nMake sure you understand what is being asked of you, so that you \nfocus on answering the right questions, instead of providing irrelevant \ninformation. \n\n3. Remember that presentation is important. \nNeatness, spelling, and the structure of your assignment will all count \ntoward the mark that you receive for your assignment. \n\n4. \nto the assignment questions. \nBut make sure to use your own words – don’t just copy. You need to show \nthe person marking your assignment that you have developed a sound \nunderstanding of the subject. \n\nUse your course material and other external sources to find answers \n\n5. When you use external resources, remember to reference them \nproperly, and to include them in a bibliography. \nIf you don’t, you may be guilty of plagiarism (www.oxforddictionaries. \ncom/definition/english/plagiarism), which is a serious offence. \n\n6. \nown words when you formulate your answers. \n\nAlways hand in your own work, and make sure that you use your", + "page_start": 37, + "page_end": 37, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "You can find the course name and course code for your chosen course on \nthe relevant detailed course information page on our website. Have a look \nat the example in the screenshot below (the course name and course code \nare circled in red): \n\n\n\nPlease make sure to check the accreditation status of your chosen course. \nSome of our courses are non-credit bearing skills development courses, \nwhich are neither accredited by external bodies nor registered on the NQF. \nPlease go to our website:*oxbridgeacademy.co.za*for more \nabout our skills development courses. \n\ninformation", + "page_start": 21, + "page_end": 21, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "To be successful in your studies, you need to learn how to create \nmeaningful summaries of your course material. This is especially \nimportant if you are a distance learning student (www.oxbridgeacademy. \nco.za/distance-learning/), as you won’t have a teacher or lecturer to \npoint out key concepts, or to give you tips about the types of questions \nyou can expect in the exams. \n\n• Organise your study material into a structure that makes sense to you. \n\n• Arrange your study material into a format that suits your learning style. \n\n• Create memory aids for yourself. \n\n• Identify key ideas and concepts. \n\n• Focus on what’s important. \n\n• Prepare for exams more easily.", + "page_start": 27, + "page_end": 27, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "And if you are studying via distance learning (www.oxbridgeacademy.co. \nza/distance-learning/), where you don’t have any face-to-face interac- \ntion with lecturers, you will need to rely on your tutors for the necessary \nacademic support.", + "page_start": 32, + "page_end": 32, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "than in connection with a residential trip away from the school); \n\n(b) “school” means— \n\n(i) an alternative provision academy within the meaning of section 1C of the Academies \n\nAct 2010(**a**), \n\n(ii) a community, foundation or voluntary school or a community or foundation special \nschool within the meaning of section 20 of the School Standards and Framework Act \n1998(**b**), \n\n(iii) an independent school (as defined by section 463 of the Education Act 1996(**c**)) \nregistered under section 95 of the Education and Skills Act 2008(**d**), \n\n(iv) a non-maintained special school (as defined in section 337A of the Education Act \n\n1996(**e**), or \n\n(v) a pupil referral unit within the meaning of section 19(2B) of the Education Act \n1996(**f**); \n\n(c) “college” means— \n\n(i) an institution within the further education sector within the meaning of section 91 of \n\nthe Further and Higher Education Act 1992(**g**), or \n\n(ii) a 16 to 19 Academy within the meaning of section 1B of the Academies Act \n\n2010(**h**). \n\n(**a**) 2010 c. 32; section 1C was inserted by section 53(7) of the Education Act 2011 (c. 21). \n(**b**) 1998 c. 31; section 20 was amended by paragraph 95 of Schedule 21 to the Education Act 2002 (c. 32), paragraph 13 of \nSchedule 3 to the Education and Inspections Act 2006 (c. 40) and S.I. 2010/1158. \n(**c**) 1996 c. 56; section 463 was substituted by section 172 of the Education Act 2002 and amended so far as relevant by \nparagraphs 1 and 43 of Schedule 3 to the Children and Families Act 2014 (c. 6) and S.I. 2010/1158 \n\n(**d**) 2008 c. 25 \n(**e**) 1996 c. 56; section 337A was substituted by section 142(1) of the Education and Skills Act 2008 (c. 25). \n(**f**) Section 19(2B) was amended so far as relevant by section 47 of and Schedule 8 to the Education Act 1997, section 3 of and \nparagraph 1 of Schedule 3 and Schedule 4 to the Children, Schools and Families Act 2010, section 101 of the Education and \nInspections Act 2006, S.I. 2007/1507 and S.I. 2010/1158. \n\n(**g**) 1992 c. 13; section 91 was amended in so far as relevant by paragraph 42 of Schedule 9 and Schedule 11 to the Learning \nand Skills Act 2000 (c. 21), paragraph 13 of Schedule 8 to the apprenticeships, Skills, Children and Learning Act 2009 (c. \n22) and by paragraphs 23 and 26 of Schedule 8 to the Higher Education and Research Act 2018 (c. 29). \n(**h**) Section 1B was inserted by section 53(7) of the Education Act 2011.", + "page_start": 79, + "page_end": 79, + "source_file": "uksi_20210582_en.pdf" + } + ] + }, + { + "references": { + "source_file": "basic-english-language-skills.PDF", + "query": "I have trouble writing effective summaries in English, do you have any tips?", + "target_page": 29, + "target_passage": "To make a good summary, you need to: • Keep it brief. • Make sure to use main headings and keywords. • Focus on the main ideas. • Classify and organise the information in a logical manner. • Use your own words where possible. • Include examples. • Remember that your summaries are there to help you", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "To make a good summary, you need to: \n\n• Keep it brief. \n\n• Make sure to use main headings and keywords. \n\n• Focus on the main ideas. \n\n• Classify and organise the information in a logical manner. \n\n• Use your own words where possible. \n\n• Include examples. \n\n• Remember that your summaries are there to help you.", + "page_start": 28, + "page_end": 28, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "SUMMARIES \n\nGeneral Tips for Making Summaries \n\n• Underline or highlight key points as you work through your study \n\nmaterial, and make notes. \n\n• When you come across a word or concept you don’t understand, \n\nlook it up in a dictionary, or do some research on the concept, and \nadd your own definition to your summary.", + "page_start": 31, + "page_end": 31, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "29. List 3 methods you can use to summarise your study material. (3) \n\n30. Give 2 examples of how good language skills can benefit your ca- \nreer. (2) \n\n31. Complete the following sentence:", + "page_start": 57, + "page_end": 57, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "• Always use a relevant and descriptive subject line. \n\nE-mails with blank subject lines may be marked as spam by the \nrecipient’s e-mail client, and e-mails with non-descriptive subject \nlines such as “Hello” or “Meeting” may be ignored. \n\n• Write your e-mail in clear and simple language. \n\nDon’t try to sound too formal, and don’t use complicated words \nwhen simple ones would work just fine. As far as possible, write in \nthe active voice. \n\n• Structure your message clearly, and include only the necessary \n\ninformation. \nTake care not to confuse the message by including too many topics \nin one e-mail. Respect your colleagues’ time, and try to keep your \nmessages as short as possible. \n\nIf you include a link in your e-mail, make sure that you provide some \ncontext. \nYour recipients are unlikely to click on a link if they don’t have any \nidea as to what they are going to see when they open it. \n\n• \n\n• Only mark an e-mail as ‘urgent’ when it really does require immedi- \n\nate attention. \nWhat’s urgent to you may not always be urgent to your recipients.", + "page_start": 52, + "page_end": 52, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "summaries that outperform standard physician documentation in completeness and error \nfrequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the \ncontext length increases,36 and for medium- to long-context tasks, fine-tuning an open-source \nmodel has been shown to perform better than a prompt-learning approach.37 In prior work, \nmembers of this study team demonstrated 62% of LLM-generated hospital course summaries met \nstandard-of-care for a formal inpatient discharge summary.24 However, recently published clinical \n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted)", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed8.pdf" + }, + { + "text": "To be successful in your studies, you need to learn how to create \nmeaningful summaries of your course material. This is especially \nimportant if you are a distance learning student (www.oxbridgeacademy. \nco.za/distance-learning/), as you won’t have a teacher or lecturer to \npoint out key concepts, or to give you tips about the types of questions \nyou can expect in the exams. \n\n• Organise your study material into a structure that makes sense to you. \n\n• Arrange your study material into a format that suits your learning style. \n\n• Create memory aids for yourself. \n\n• Identify key ideas and concepts. \n\n• Focus on what’s important. \n\n• Prepare for exams more easily.", + "page_start": 27, + "page_end": 27, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "**36**. Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit \nMed. 2023;6(1):158. doi:10.1038/s41746-023-00896-7 \n\n**37**. Goswami J, Prajapati KK, Saha A, Saha AK. Parameter-efficient fine-tuning large language model approach for \nhospital discharge paper summarization. Appl Soft Comput. 2024;157:111531. doi:10.1016/j.asoc.2024.111531 \n\n**38**. Huang KT, Mehta NH, Gupta S, See AP, Arnaout O. Evaluation of the safety, accuracy, and helpfulness of the \nGPT-4.0 large language model in neurosurgery. J Clin Neurosci. 2024;123:151-156. doi:10.1016/j.jocn.2024.03.021 \n\n**39**. Giuffrè M, Kresevic S, You K, et al. Systematic review: the use of large language models as medical chatbots in \ndigestive diseases. Aliment Pharmacol Ther. 2024;60(2):144-166. doi:10.1111/apt.18058 \n\n**40**. Tailor PD, Dalvin LA, Chen JJ, et al. A comparative study of responses to retina questions from either experts, \nexpert-edited large language models or large language models alone. Ophthalmol Sci. 2024;4(4):100485. doi:10. \n1016/j.xops.2024.100485 \n\n**41**. Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge \nsummaries to patient-friendly language and format. JAMA Netw Open. 2024;7(3):e240357. doi:10.1001/ \njamanetworkopen.2024.0357 \n\n**42**. Zhou C, Liu P, Xu P, et al. Lima: less is more for alignment. arXiv. Preprint posted online May 18, 2023. doi:10. \n48550/arXiv.2305.11206", + "page_start": 10, + "page_end": 10, + "source_file": "pubmed8.pdf" + }, + { + "text": "Syntec \n100 queries \n90 documents \n\nSummEvalFr \n100 texts \n1100 human summaries \n1600 machine summaries \nTranslation from English \nto French with Deepl of \nthe SummEval dataset. \n\nScraping of Syntec col- \nlective bargaining agree- \nment with articles as doc- \numents. Writing queries \ncorresponding to articles. \n\nScraping of HAL arti- \ncles with id, title and do- \nmain. Further cleaning \nwith deduplication, \nlan- \nguage filtering and class \nsubsampling. \nAnnotations provided by \nauthors when submitting \ntheir paper. They choose \nthe domain between exist- \ning academic fields. \n\n4 annotators divided into \n2 groups. Each group was \ngiven half of the articles \nand asked to choose an ar- \nticle and ask a question \nabout it. Each annotator \nwrote 25 questions. \nHuman verification of an- \nnotations. \n\nDetailed annotation pro- \ncess provided in Fabbri \net al. (2021). \n\nBaseline models for clas- \nsification and topic model- \ning. \n\nbetween \nCorrelation \nROUGE \nBLEU and \nscores of \nthe French \nand the original English \ndatasets. LLM as-a-judge \ntranslation \nand \nrating \nhuman verification. \n\nlyMail dataset. Each article has 11 human-written \nsummaries and 16 machine-generated summaries \nannotated by 8 people with a score for coherence, \nconsistency, fluency, and relevance. We trans- \nlated it from English to French using DeepL API6. \nSince MTEB evaluation is based on the embedding \nsimilarity between machine-generated and human- \ngenerated summaries, we propose to compute the \nROUGE (Lin, 2004) and BLEU (Papineni et al., \n2002) metrics between machine and human sum- \nmaries for both French and English version. In Ta- \nble 2, we report the average of the scores as well as \ntheir correlations between the two languages. The \ncorrelation is high (above 0.7), showing that the \nword and n-gram overlap between human and ma- \nchine summaries is highly preserved in the French \nversion. One may argue that computing the met- \nric on fully translated texts (human and machine \nsummaries are both translated from English) may \nintroduce biases and not assess the quality of the \ntranslations. For this purpose, we ensure the French \nhuman summaries are correctly translated from En- \nglish. We use an LLM as-a-judge (Zheng et al., \n\n• Samples belonging to domain classes with \nless than 500 samples were removed, which \nleads us to keep only 10 classes. \n\n• Subsampling was performed on 2 classes con- \ntaining more than 10k samples each to lower \nthe number of samples and mitigate the unbal- \nance of the dataset. \n\nMore details about this process are provided in the \nappendix A.2 along with some extracts in Figure \n6. We make the dataset publicly available in both \ntheir raw and clean versions. We use this dataset in \na clustering setup to cluster publications by their \ntitle and use the domain as ground truth. To ensure \nthe quality of this dataset, we run 3 baseline mod- \nels for classification: TF-IDF + SVM, a fine-tuned \nCamembert (Martin et al., 2019) and GPT-4 lever- \naging In-Context Learning (ICL). Furthermore, we \nrun one baseline model for topic modeling: Latent \nDirichlet Allocation (LDA) (Blei et al., 2003) and \nreport scores in the appendix A.2. \n\n3.1.3 SummEvalFr (Summarization) \nThe original SummEval dataset (Fabbri et al., 2021) \nconsists of 100 news articles from the CNN/Dai-", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv4.pdf" + }, + { + "text": "Read as much as possible. Reading improves your vocabulary, \nand helps you to become familiar with sentence structure, \nword order, and the correct use of punctuation. \n\n1. \n\nInvest in a good dictionary. When you are unsure of the \nmeaning of a word, or when you come across an unfamiliar \nword, make sure to look it up in your dictionary. \n\n2. \n\nKeep a journal. This will give you an opportunity to practice \nyour writing skills on a regular basis. \n\n3.", + "page_start": 6, + "page_end": 6, + "source_file": "basic-english-language-skills.PDF" + }, + { + "text": "When a word or phrase is emphasized, it is*shown in italics like this*. \n\nExercises are presented like this: \n\n**Exercise 1: Accomplish this**\n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n1. Do this. \n\n2. Then do this. \n\n3. Then do this. \n\n__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___\n\n\nPotential pitfalls and warnings are presented like this. \n\n\nTips and suggestions related to using Protégé are presented like this. \n\n| | Explanations as to what things mean are presented like this. |\n|---|---|\n| | Explanations as to what things mean are presented like this. |\n\n\n\n\n| | General notes are presented like this. |\n|---|---|\n| | General notes are presented like this. |\n\n\n\n\n\nVocabulary explanations and alternative names are presented like this.", + "page_start": 5, + "page_end": 5, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", + "query": "Is exposure to risk factors that may affect mental wellbeing at work comparable across European countries?", + "target_page": 25, + "target_passage": "The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "k \nc \no \nt \nS \ne \nb \no \nd \nA \n/ \ns \nt \nr \n\nA \nk \nc \no \nt \nS \ny \nt \ni \nl \n\na \nu \nQ \n© \n\n\n\nIn 2007, 2013 and 2020,**Eurostat**asked employed persons in its ad hoc surveys to the Labour Force \nSurvey (LFS) whether they had**‘… exposure to risk factors that can adversely affect mental well-**\n**being’**.10 In 2007 and 2013, the questions covered four items (time pressure and overload of work, \nviolence or threat of violence, harassment and bullying, other factors). In the 2020 survey,11 ‘Mental \nwell-being’ was operationalised by an additional four response options, resulting in a total of eight \noptions:12 \n\n*1. Severe time pressure or overload of work;*\n*2. Violence or threat of violence;*\n*3. Harassment or bullying;*\n*4. Poor communication or cooperation within the organisation;*\n*5. Having to deal with difficult customers, patients, pupils etc.;*\n*6. Job insecurity;*\n*7. Lack of autonomy, or lack of influence over the work pace or work processes; and*\n*8. Another significant risk factor for mental well-being.*\n\nForty-five per cent of the employed persons reported being exposed to risk factors that can adversely \naffect mental wellbeing. The country data vary significantly. Sweden, Greece and Luxembourg report \nover two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.13", + "page_start": 24, + "page_end": 24, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Figure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ – LFS Ad hoc survey 202014**\n\n\n\nESENER 2019 reveals that several**psychosocial risk factors**are reported to be present in a significant \nshare of establishments in the EU27, namely having to deal with difficult customers, patients and pupils \n(59%) and time pressure (45%). \n\nThe aspects**‘Difficult clients’, ‘Poor communication’ and ‘Long working hours’**are major psycho- \nsocial risks. The increase of workforce in communicative and client-oriented occupations — social work, \neducation, tourism and entertainment, health and care — during the last 30 years adds to the \nconventional work with clients in service, sales and health occupations. \n\nThe next table shows the top seven EU Member states with the highest share of these risks for all \nsectors and for the sector ‘Human health and social work activities’ (HHSW). \n\n**Table 1: Psychosocial risks, Top countries ‘All Sectors’ and ‘Human health and social work’ – ESENER**\n**2019**\n\n\n\n**Difficult customers, patients and pupils (‘clients’)**seem to be the most widespread psychosocial \nburden, with workers in Portugal, Malta and Cyprus are most exposed. In the sector HHSW, eastern \nEuropean countries are much more present, Slovenia at the top, followed by Portugal, Estonia, Poland \nand Bulgaria. \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n26", + "page_start": 25, + "page_end": 25, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "Concerning the complaints about**poor communication and cooperation**within the organisation, all \nthree Nordic EU Member States are represented in the seven countries with the highest burden, together \nwith several central European countries. This is valid for both selected groupings, ‘All sectors’ and \n‘HHSW’. \n\nRegarding**long or irregular working hours**, we see a mix of countries from all regions. The order of \ncountries in the sector HHSW — a mixture of countries from the East, South and North — is probably \ndue to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed \nby Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%. \n\nMany analyses of psychosocial risks include**other relevant factors like decision latitude**(or decision \nauthority) and**skill discretion**(level of skill and creativity required on the job). In a long-term analysis \nof the responses to the EWCS between 1995 and 2015, the authors conclude:15 \n\n*‘Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was*\n*mostly driven by psychological demands. People working in lower-skilled occupations had generally higher*\n*levels of job strain and effort-reward imbalance, as well as they tend to have a steeper increase in job*\n*strain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.’*\n\nAccording to this study, the**differences between the skills groups**are significant, below illustrated for \nthe development of**‘Psychological demands’**and**‘Job strain’**; for these two indicators high-skilled \nand low-skilled manual workers are at the top of the scale. \n\n**Figure 4: Psychosocial risk factors – Differences between skill groups (Job strain)**", + "page_start": 26, + "page_end": 26, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**List of figures**\nFigure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019................................ 23 \n\nFigure 2: Risk factors that can adversely affect mental wellbeing – EWCS and ESENER ................. 24 \n\nFigure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ – LFS Ad hoc survey 2020 . 26 \n\nFigure 4: Psychosocial risk factors – Differences between skill groups (Job strain)............................. 27 \n\nFigure 5: Psychosocial risk factors – Differences between skill groups (Psychological demand) ........ 28 \n\nFigure 6: Psychosocial risk factors – Differences between skill groups (Decision authority) ............... 28 \n\nFigure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion) ..................... 29 \n\nFigure 8: Hours worked per week of full-time employment, EU27 – Eurostat ...................................... 31 \n\nFigure 9: Average working time and work during unsocial hours – Eurostat LFS ................................ 32 \n\nFigure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound ................ 33 \n\nFigure 11: Establishment size and ‘Pressure due to time constraints’ – ESENER 2014 and 2019 ...... 34 \n\nFigure 12: Establishment size and ‘Long or irregular working hours’ – ESENER 2014 and 2019 ....... 34 \n\nFigure 13: ‘Pressure due to time constraints’, Yes responses – ESENER 2019 .................................. 35 \n\nFigure 14: Employed persons and percentage of working time under pressure – Eurostat LFS Ad hoc \n2019 ....................................................................................................................................................... 35 \n\nFigure 15: Percentage of employed persons with working time under pressure (per country, sum of \nresponses ‘Always’ and ‘Often’) – LFS Ad hoc 2019 ............................................................................ 36 \n\nFigure 16: Exposure to physical risks – ESENER, EWCS and LFS ..................................................... 39 \n\nFigure 17: Physical health risks compared (%) – EWCS 2015 ............................................................. 42 \n\nFigure 18: Employment types in EU27, development 2005 to 2022 – Eurostat .................................. 47 \n\nFigure 19: Employed persons by main place of work – Eurostat .......................................................... 51 \n\nFigure 20: Employees working mostly from home (in % of employed persons) – Eurostat .................. 52 \n\nFigure 21: Development of the total number of non-fatal accidents at work and incidence rates (accidents \nper 100,000 workers), 1998 and 2019 – Eurostat ................................................................................. 65 \n\nFigure 22: Share of people reporting any accident and accidents resulting in time off work by country, \n2020 ....................................................................................................................................................... 70 \n\nFigure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and \n2015-2020 ............................................................................................................................................. 71 \n\nFigure 24: Main causes of mortality 2019, EU27 .................................................................................. 79 \n\nFigure 25: Work-related deaths – estimates by WHO/ILO and ICOH for EU27 ................................... 83 \n\nFigure 26: Work-related DALYs – estimates by WHO/ILO and ICOH for the EU27 ............................. 84 \n\nFigure 27: Prevalence of musculoskeletal diseases – EWCS 2015 ..................................................... 88 \n\nFigure 28: Satisfaction with working conditions in the main paid job – EWCS 2015 ............................ 89", + "page_start": 4, + "page_end": 4, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "Some of these groups are**directly addressed by European and national legislation**, for example, \nworkers with disabilities, young workers or pregnant women. For other groups of workers, for example, \nfor women or migrant workers, the legislative protection is formulated as a general ‘equal treatment’ \nprescription, like to provide preventive measures for all groups in an enterprise (Framework Directive, \nArticle 15 ‘Risk groups’), or to provide solutions that fit to the individual (Framework Directive, Art. 6.2.d.). \nThere are some prescriptions that refer to specific preventive activities, for example, to provide written \ninstructions in different languages for safe work with chemicals. \n\n**3.6 Conclusions**\nThe exposure**to psychosocial risks**is increasing, with mental health prevalence still emerging. Major \nwork-related exposures have grown in the past 15 to 25 years that is, time pressure, difficult clients, \nlonger working hours and poor communication. There is also some evidence that countries with over- \naverage employment in sectors like health and care or other human and client-oriented services \n(education, social work, tourism, entertainment) suffer from longer working hours and more mental \nburden. The northern countries are at the top of the countries with highest mental burden. The southern \ncountries have a high share of specific psychosocial risks related to work in tourism and entertainment, \ncharacterised by atypical working times and issues with difficult clients. \n\nEU-OSHA found in its ESENER 2014 data analysis:112 \n*‘Concerning the sectors, national context appears to be related to differences in psychosocial risk*\n*management in all types of organisations, although in some sectors this relationship is weak. In the*\n*agriculture, forestry and fishing sector and the sectors of mining, construction, electricity, trade,*\n*transport, and accommodation and food, the low level of psychosocial risk management is observed*\n*also in a favourable national context. An explanation for this finding might relate to the large proportion*\n*of small organisations in these sectors, which, as concluded earlier, have poorer psychosocial risk*\n*management independently of the national context.’*\n\nThere is a stable**block of ‘conventional’ physical health risks**— ergonomics and risk from the work \nenvironment — and ergonomic risks that did not significantly change since 1990. It varies between 15% \nfor exposure to smoke, fumes and dusts to over 60% for repetitive hand/arm movements.**Ergonomic**\n**risks**develop in two directions: 1) traditional risks stagnate in total, that is, lifting and moving heavy \nloads, painful or tiring positions, and shifts between sectors (from industry to transport, health and care); \n2) risks of inactivity and highly repetitive hand/arm movements increase. Beside sectoral and \noccupational differences, it can be noted that in general higher percentages of exposed employed \npersons (workers and self-employed) are working in eastern and southern Member States. \n\nSince 2006 the average**working time**per week went down by 15 minutes for employees, and a slight \nreduction of most atypical — or unsocial — working times can be observed. Work intensification has \nemerged until 2005 but seems to stagnate since then. There are strong indications but no quantitative \nevidence on the extent to which working long hours, work at atypical times and probably also work with \nhigher risks were**transferred to workers in non-standard types of employment**.", + "page_start": 58, + "page_end": 58, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "satisfaction, for example, Austria, Cyprus, Germany, Greece, Ireland, Hungary, the Netherlands, \nPortugal and Slovakia. The one negative item might also be work-related health problems, for example, \nfor Sweden and Finland. \n\nMost countries show more extreme contradictions, that is, being in some aspects better and in others \nworse than average, like Estonia, Lithuania, Poland, Bulgaria, Portugal, Slovenia and Spain. Many of \nthese countries have very low figures for work-related health problems. Contradictory but mostly \nnegative responses (two or three fields with values under average) we find for Austria, Belgium, Croatia, \nFrance, Latvia, Lithuania, Malta, Romania, Poland, Spain and Slovenia. \n\n**4.4 Conclusions**\n**Work accident data**— fatal and non-fatal — show an impressive decline in the past 20 years, even if \none takes into account the significant level of underreporting. Preventive technical and organisational \nsafety measures and sectoral shifts were the crucial factors for this improvement. The relevance of**non-**\n**fatal accidents with severe health consequences**— permanent disability or more than three months’ \ntime-off period (more than 230,000) — should be recognised and further investigated. \n\n**Public health data**show a significant increase in**life expectancy**and**substantial shifts in morbidity**\nduring the past three decades at EU level, also documenting major differences between EU Member \nStates in mortality and morbidity.**Socioeconomic inequality**is an evident reason for higher mortality \nand morbidity. There is less evidence concerning the correlation between working conditions — as a \nmajor element of the socioeconomic status — and mortality and morbidity at EU level. \n\nThe clearest evidence on the**relationship between working conditions and diseases**exists for \nrecognised occupational diseases, and for these, the trend is also strongly downwards. In contrast, the \nestimates of the development of**work-related diseases**— based on fractions of diseases attributable \nto work occupation — show a persistently high burden. The current estimates of ILO/WHO and of ICOH \nrange between 115,000 and 180,000 deaths and between 4.5 million and 6.9 million DALYs; advanced \nresearch and the incorporation of more disease groups — mental health, diseases caused by biological \nagents — will significantly increase these figures. Literature, studies and surveys like the EWCS, LFS \nand the Flash Eurobarometer clearly show the strong relations between health status and occupation. \nEurostat works on improvements concerning the morbidity statistics (task force, pilot statistics on \noccupational diseases). EU-wide morbidity statistics from national administrative sources might be \navailable in the future; currently self-reported health data are the major source for EU-wide harmonised \nquantitative data. \n\n**Wellbeing and satisfaction at work**show similar patterns as health and work accidents and work- \nrelated health issues. Sectors with high physical demands and high customer and client orientation and \noccupations with a lower skill level report lower wellbeing and satisfaction levels; these groups report a \ngood health status — mostly being younger — but fewer expectations to be able to work in this \noccupation until the age of 60. Professions with strong customer and client orientation have lower-than- \naverage wellbeing and satisfaction rates. \n\n**Workers in manual occupations**265 have higher accident rates, lower life expectancy and less \nexpectancy to do the job until age 60.**Administrative workers (clerical, managerial)**have a better \nstatus in the above-mentioned aspects but report a worse health situation. For many items the eastern \nEU Member States — often all of them — report the least positive data. The**healthy worker effect and**\n**cultural differences**— to express not being healthy — probably strongly influence the self-assessment.", + "page_start": 98, + "page_end": 98, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "highest quintile, a difference of 21% (EU27, 2019).196 The**European Quality of Life Survey**(EQLS) \nfinds that 13% of the lowest quartile report bad health (EU28, 2016), compared to only 4% of the \nrespondents of the highest income quartile. 197 \n\nThe**relation between socioeconomic status — measured by income — and working conditions**\nis often not further analysed, at least not on an aggregated statistical level. Due to complex \nmethodological difficulties and strong national variations of the health systems, there are until now**no**\n**EU-wide morbidity statistics available, based on administrative data**.198 A ‘Morbidity Task Force’ \nat EU level worked between 2005 and 2011 on the development of such statistics.199 Country-specific \ndata — without a harmonised approach between countries — are provided in EU and OECD publication \nseries.200 \n\nThe system of**European Core Health Indicators (ECHI)**provides an overview on prevalence of major \ndiseases.201 Main morbidities covered until now are asthma, chronic obstructive pulmonary diseases \n(COPD), communicable diseases, depression, dementia, diabetes, diseases caused by drugs, \nHIV/AIDS, and physical or sensory functional limitations. However, in ECHI there is no option to relate \nthese diseases to sectors or occupations. \n\n| The impact of work — as one essential element of the socioeconomic status — on health was the subject of numerous academic studies, often performed as specific case studies. The authors of an overview study on ‘Cross-country inequality in the EU’ summarise (more references in the original text): | |\n|---|---|\n| ‘Occupational grade and labour market status are among the factors most often studied in relation to | |\n| health and mortality. Occupational grade has been found to be associated with self-rated health, mental | |\n| and physical health, such as the presence of long-standing illness and a number of diseases. Lower | |\n| occupation might affect health through poor working conditions, such as the higher exposure to | |\n| occupational hazards and toxic compounds, health-damaging behaviours and psychosocial stress. | |\n| Work-based stress combined with a lack of autonomy over one’s work are believed to be the | |\n| psychosocial factors that can cause physiological changes, such as increased risk of cardiovascular | |\n| diseases and reduced immune system response. It has been shown that the gaps in mortality between | |\n| different occupational grades persist in old age and tend to widen with age.202 | |\n\n\nEurostat provides in the LFS**2020 Ad hoc module**on ‘Accidents at work and other work-related health \nproblems’ a rough overview on such relations, with some specification, for example, for sectors, \nattainment levels, professional status, size of enterprise or occupation. 203 The differences between four \naggregated occupational groups and work-related health problems is shown in the next table. \n\n**Table 23: People reporting work-related health problems by group of occupations (ISCO) – LFS Ad hoc**\n**2020204**\n\n\n\n9.4% of the group of ‘Managers, professionals, technicians and associate professionals’ and also 9.4% \nof the group of ‘Clerical support workers, service and sales workers’ report work-related health problems, \n2.4% to 4% lower than the two groups with predominantly manual occupations. \n\nBased on a systematic review of literature on the topic of health factors, a consortium of World Bank \nand Harvard School of Public Health developed for the WHO in the early 1990s a new approach, the \n**Global Burden of Disease (BoD)**. 205 This approach is meanwhile used by researchers and health \ninstitutes across the globe.206 \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n80", + "page_start": 79, + "page_end": 79, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**4.3 Wellbeing and health status**\nExisting concepts of**wellbeing**cover**more aspects of work than working conditions or safety and**\n**health**at workplaces. Eurofound mentions as the most relevant components:*income, working time*\n*arrangements, possibilities for skills development and career advancement, and the degree of individual*\n*control over work*. 243 The United Nations Economic Commission for Europe (UNECE) developed a \nscheme of quality of employment that covers these aspects:*safety and ethics of employment, income*\n*benefits and employment, working hours and balancing working and non-working life, security of*\n*employment and social protection, social dialogue, skills development and training, workplace*\n*relationships and work motivation.*244 \n\nThis chapter**focuses on the health and safety aspects**of wellbeing, although the OSH aspect is often \nnot clearly separable from the above-mentioned aspects, that is, when surveys are intending to identify \nthe level of ‘satisfaction at work’. Still, due to its serious impact on all other aspects of working conditions, \nthe consequences of insufficient health are regarded as critical: \n\n*‘While OHS is only one substantive working condition, like earnings and job insecurity it is arguably a*\n*critical one for many workers. In terms of scope and severity, even official data … suggests poor OHS*\n*is something most workers will experience at some point and many far more frequently.’*245 \n\nA common methodology to collect data on**health status**and wellbeing is**self-reporting and self-**\n**assessment**of workplace risks, health risks and health problems, absence, job satisfaction and working \nlife perspective from a health point of view. The data are in general collected by EU-wide surveys, for \nexample, by the EWCS, the Flash Eurobarometer, ESENER or the LFS Ad hoc modules. The \ndescription of working conditions in the OSH Barometer starts with responses regarding the**‘Overall**\n**opinion’**on working conditions. This allows insight into the subjective assessment of health risks at \nwork and wellbeing. \n\n***4.3.1 Satisfaction at work***\n\nIn the EWCS of 2015, at EU level 86% of the workers respond that they are**‘satisfied’**(60%) or**‘very**\n**satisfied’**(26%) with their work. Country differences exist but are not striking. The EU Member States \nwith the highest satisfaction rates are Austria, the Netherlands, Finland, Czechia, Denmark, Belgium \nand Estonia; they range between 93% and 90%. The six countries with the lowest sum of satisfied and \nvery satisfied responses are Greece, Croatia, France, Spain, Italy and Latvia; their values range \nbetween 77% and 82%. \n\n**Figure 28: Satisfaction with working conditions in the main paid job – EWCS 2015246**", + "page_start": 88, + "page_end": 88, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**3 Status of working conditions**\nThis chapter on health and safety-related working conditions provides an overview on status and \ndevelopment of working conditions; it is mainly based on the indicators that were**selected for the data**\n**visualisation in the OSH Barometer**. This is a quite limited selection of major data; in surveys and \nstatistics many more indicators on working conditions are provided, particularly at national level. \n\nPractically all working conditions influence**mental health**, that is, they involve**psychosocial risks**, and \nall also involve**‘physical risks’**, including safety aspects of these risks. Mental health risks are \nillustrated in the OSH Barometer by datasets on time pressure, poor communication, dealing with difficult \nclients, discrimination and harassment, and similar.**Physical risks**include datasets on accidents at \nwork, exposures to chemical and biological substances, exposure to noise, vibrations, high or low \ntemperatures, and working tasks with ergonomic risks, like carrying, lifting heavy loads or work in tiring \nor painful positions; and also permanent physical inactivity, mainly sitting or long standing. 2 \n\nThe figure below shows the percentage of enterprises reporting OSH risks ‘present in the establishment’, \ncompared between 2014 and 2019 (ESENER) and covering mental and physical risks.3 \n\n**Figure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019**\n\n\n\nNote: Prolonged sitting was a new item in the 2019 survey. \n\nBetween 2014 and 2019, some risk factors increased, like ‘Repetitive hand and arm movements’, ‘Lifting \nor moving people of heavy loads’, and ‘Having to deal with difficult customer, patient and pupils; many \nothers showed no changes, like ‘Risk of accidents with machines or hand tools’, ‘Chemical or biological \nsubstances’, and ‘Loud noise’, or minor decreases like ‘Risk of accidents with vehicles’.", + "page_start": 22, + "page_end": 22, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**3.1 Psychosocial risks at work**\nDuring the last 30 years, the scientific, political and practical discussions on**psychosocial risks**and \npreventive measures against psychosocial risks have gained strong importance. After a period of doubts \nand resistance, today they are regarded as risks of the same severity as the classical physical safety \nand health risks.4 (Chapter 1 covers the psychosocial risk aspect; for the prevalence of mental diseases \nand the burden of mental diseases see Chapter 2.2. 5) \n\nLooking at the steady increase of certain psychosocial risk indicators at workplace level, either the**risks**\n**have increased**and/or the**number of people working in occupations**with higher psychosocial risks \nhas increased.6,7 This is valid, for example, for the indicator time pressure, for example, in delivery \nservices, transport, and often also clerical work; the workforce has grown in sectors where emotional \ndemands from dealing with difficult clients, customers, pupils or patients are common; there are also \nmore workers employed (or self-employed) in interactional occupations, for example, in call centres, or \nin occupations with a high level of emotional tensions, for example, education, health and care. \n\n**Figure 2: Risk factors that can adversely affect mental wellbeing – EWCS8 and ESENER9**\n\nA major difference between the ESENER and the EWCS survey is the respondent. In ESENER those \npersons who are most familiar with OSH or responsible for OSH in an enterprise were asked whether a \ncertain risk factor exists in the enterprise; in the EWCS survey workers themselves were asked whether \nthey are exposed to a risk factor.", + "page_start": 23, + "page_end": 23, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", + "query": "Has the average working week for employees working full-time decreased since 2006?", + "target_page": 31, + "target_passage": ". The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**Figure 8: Hours worked per week of full-time employment, EU27 – Eurostat**\n\n\n\nThe**commuting time**between home and workplace is quite stable; in 2005 at EU27 level, it stood at \n42.4 minutes, and in 2015 Eurostat reports 40.2 minutes (time for both ways, to the workplace and \nback).19 \n\n**Work at atypical working times**is in general regarded as a working condition with negative health \nimpact, called**work extensity**. The two major indicators of atypical working times are work at**‘atypical**\n**working times’**and**‘long working hours’**. \n\nEurostat reports for**‘Employment at atypical working time’**20 a minor decrease between 2011 and \n2019, from 38.8% to 37.2% (EU27), for all employed workforce and all types of such atypical time. 21 \nSome**groups of self-employed**show a higher rate of atypical working times but also for most of the \ncategories of self-employed the rates decreased during the period 2011 to 2019.**High managerial self-**\n**employed**had a slight increase from 42.1% to 43.2% in this period. For the**low managerial self-**\n**employed**Eurostat finds a decrease from 69.2% to 64.5%. The figures for**small entrepreneurs**\ndropped slightly from 56.6% to 54.1%, the same applies for employed persons in**personal care work**\nwith a minor change (50.6% to 49.8%).**Agricultural self-employed**had the highest level of such \nworking times; they showed a decrease from 68.4% to 63.4%. \n\nThe length of the daily or weekly working time, its allocation over the 24 hours of a day or at night are \nimportant factors for health and wellbeing. The statistical data (Eurostat) show a slight decrease**of the**\n**average weekly working time for full-time employees**(15-64 years) from 40.2 to 39.9 hours between \n2006 and 2019.22 The data also document slight increases and decreases of work at atypical times \n(response option for frequency: ‘usual’).23 In 2006 and 2019, the following percentages of all employed \npersons worked at atypical times: on**Saturdays**the percentage decreased from 28% to 25%,**working**\n**on Sundays**remained stable at around 13.5%,**working in the evenings**decreased from 19% to 15%, \n**work at night**fell from 7% to 5% and**shift work**increased slightly from 17% to 18%.24", + "page_start": 30, + "page_end": 30, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Figure 15: Percentage of employed persons with working time under pressure (per country, sum of**\n**responses ‘Always’ and ‘Often’) – LFS Ad hoc 2019**\n\n\n\nOne hypothesis to explain the increased time pressure is to draw a direct**connection between short**\n**weekly working time and more intense work**; or in other words, a short weekly working time leads to \nmore**intensification of work or more long hours or atypical working times**(‘trading flexibility for \neffort’). 38 \n\nThe analysis of EU survey data shows**a mixed picture**: Firstly, ESENER data corroborate this \nhypothesis, the three countries with highest percentage of work under time constraints — that is, Finland, \nSweden and Denmark — all have working hours under the EU average. Secondly, LFS data show a \ndifferent picture; a country like Greece has the longest working hours and also reports the highest time \npressure, the same ‘combination’ — but less extreme — applies to Austria, Cyprus and Malta. Trends \nof low or less than average working time and no time constraints are reported for Lithuania, and medium \nworking time and low time constraints for Italy and Ireland. \n\nAn analysis of EWCS data concluded39 that in general intensity increases with long working hours, in \nenterprises with 1-19 the work intensity index (on a scale between 0 and 12) is 4.4, in larger enterprises \nwith above 40 employees it is 6.3. This is in line with ESENER data that corroborate the importance of \nthe**size of the enterprise**for time pressure and long working hours. \n\nLiterature — from very diverse disciplines — on work intensification points to**reasons for**\n**intensification on developments as:40**\n\n• Economic developments, particularly the dominance of neoliberalist policies and enhanced \ncompetition between workers, companies and states; reduction of state influence and \nprivatisation.41 \n\n• Pressure due to substantial organisational changes, for example, introduction of short-term \neconomic objectives in enterprise policies, 42 expansion into new markets or new countries, \nacquiring other enterprises or merging, being acquired, restructuring of management or of basic \nstaff working conditions (contracts, working time, flexibility).43 \n\n• Decrease of trade union influence or worker participation regarding labour relations. \n• Liberalisation of labour legislation, creation of ‘new forms of work’ and new contract types, \nbeyond the permanent full-time employment.44 \n\n• New forms of management, application of management concepts like just-in-time production or \nlean management, higher flexibility of production and higher customer orientation, 45 \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n36", + "page_start": 35, + "page_end": 35, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Figure 9: Average working time and work during unsocial hours – Eurostat LFS**\n\nTwo country examples might illustrate these developments (all data for 2019): Slovakia, a country with \na high share of process-based industries, reports that 15.0% of its workforce is working at night and 29% \nin shifts; for the EU27 this rate is 5.2% respectively and 18.3%.25 Regarding work on Sundays three \nother countries are at the top of the EU27, the Netherlands, Ireland and Spain; they report between 18% \nand 21% (EU27 average = 13.5%); all three countries have an above-average share of sectors like \ntransport, tourism and agriculture.26 \n\nFor all these types of work it should be take into account that other groups of**workers under non-**\n**standard types of employment contracts**(self-employed, agency workers, students, pensioners, \nundeclared workers) might have taken over work at these atypical working times. \n\nConcluding, it can be stated that there is a**slight trend towards a reduction of weekly working hours**\n**for regularly employed**workers, including a stable commuting time. Working hours at atypical times \nshow a mixed picture. Looking at most types of employees,**atypical working time decreased, except**\n**work on Sundays**. For self-employed with employees, the working time at atypical hours is in general \nat a higher level. The number of employees in night work is decreasing. More employees in service and \nclient-related occupations at night or in shifts but also here the atypical times are slightly decreasing. \n\nProbably these changes**mirror the structural economic changes**, that is, the shift of workforce \nbetween sectors. Night work was common in many industries as part of a three 8-hours shifts, not only \nin industries with permanent production processes (steel, chemicals, etc.). 27 Moreover night work is and \nwas common in essential services like health, transport, technical infrastructure and security. The \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n32", + "page_start": 31, + "page_end": 31, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "22 Eurostat Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status, \nfull-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2). here Filter: Employees, Full-time, All \nNACE, EU27 2019 Q4. \nEurostat Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status, \nfull-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), here Filter: Employees, Full-time, All \nNACE, EU27 2019 Q4. \n23 Eurostat definition of atypical work: The atypical work distinguishes between “evening or night work”, “Saturday \nor Sunday working”, and “shift work”. \n24 All data were retried from tables in: Labour market > Employment and unemployment (Labour force survey) M \n> LFS series - detailed annual survey results M > Population in employment working during unsocial hours - LFS \nseries \n25 Eurostat: Employed persons working at nights as a percentage of the total employment, by sex, age and \nprofessional status (%) \n26 Eurostat: Employed persons working on Sundays as a percentage of the total employment, by sex, age and \nprofessional status (%) \n27 Fiz Perez et al., 2019: Shift and night work management in European companies \n28 OSHWiki, 2022: Psychosocial issues – the changing world of work \n29 Eurofound, 2003: Time and work: Work intensity \nEurofound, 2009: Working conditions in the European Union: Working time and work intensity \n30 Eurofound, 2017: Sixth European Working Conditions Survey – Overview report (2017 Update) (p. 48). \n\n31 ESENER addresses the person in an enterprise responsible for or closest to the topic of OSH; the EWCS is a \nworker survey. In addition, the response options were different from the EWCS. Two options in ESENER, ‘Yes’ or \n‘No’, compared to three options in the EWCS: ‘(Almost) all of the time’, ‘Between ¼ and ¾ of the time’, ‘(Almost) \nnever’. \n\n32 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data \nvisualisation, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, \n‘Pressure due to time constraints’. \n33 Ibid., Section ‘Psychosocial risk factors present in the establishment’, ‘Long or irregular working hours’. \n34 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me \nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’. \nResponse option: Time pressure. \n35 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me \nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’. \nResponse option: Time pressure. \n36 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data \nvisualisation, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, \nThe exact question was: ‘Please tell me for each of the following risks whether or not it is present in the \nestablishment?‘ ‘Pressure due to time constraints’. Response option: Time pressure. \n\n37 Eurostat, 2019: Persons in employment by frequency of working under time pressure, educational attainment \nlevel and professional status, 20-64 years, percentages calculated from numerical data", + "page_start": 141, + "page_end": 141, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Figure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion)**\n\n\n\nFor ‘Decision authority’ and ‘Skill discretion’, the authors found a stable situation since 1995, even a \nsmall rise of skill discretion for manual workers after 2010. Regarding ‘Psychological demands’ and ‘Job \nstrain’, the major increase for all groups took place between 1995 and 2005. This growth decelerated \nafter 2005, this observation is also valid for other working conditions, like work intensity. \n\n***3.1.1 Working time in hours and at atypical times***\n\n**Too many hours of working time and/or working hours at atypical or unsocial times**can put**the**\n**mental**and**the physical health**of humans at risk. It is also regarded as a major**contributing factor**\n**to work accidents**, due to fatigue or exhaustion.16 \n\nThe main indicator to describe working time is the**number of the weekly average working hours**of \nfull-time employees. However, regarding its impact on health and safety,**other aspects of working**\n**time are of the same relevance**: \n\n• How long is the average working day? \n• At which times and days is this work done (typical, atypical times)? \n• How often do long working hours take place? \n• \n• How flexible are start and end? \n• How intense is the work during this time (breaks, deadlines)? \n• Which groups of workers have standard working times and which do not (e.g. depending on the \n\nIs the work split between two jobs? \n\nsector or the type of contract, e.g. sub-contracted workers or self-employed)? \n\nThere is a**slight trend towards fewer working hours**for full-time**employees**(not ‘Employed persons’) \nin the EU27; between 2006 and 2019 the average weekly working time dropped from 40.2 to 39.9 hours, \na decrease of approximately 15 minutes.17 \n\nRegarding the weekly hours, there are**no striking differences**between the EU27 Member States. In \n2019, Cyprus, Austria and Malta with a high share of workers in the sector of tourism (accommodation) \nhad the highest number of working hours per week (above 41 hours), and Denmark, the Netherlands \nand Italy the lowest number (39 or fewer) (full-time, employees, 15-64 years, all NACE codes).18", + "page_start": 28, + "page_end": 28, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "***3.1.2 Work intensity***\nThere are numerous references showing that during the period**between 1990 and 2005 work intensity**\n**has considerably increased**.28 \n\nFor example, Eurofound has analysed the responses to the two EWCS questions on high speed at work \nand tight deadlines. The EWCS found a significant increase of work intensity between 1991 and 2005. \nIn 1991,**‘Working at a very high speed’**was for the majority of respondents not an issue. Fifty-two per \ncent of the workers responded to this statement ‘Never’ or ‘Almost never’; in 1991, 24% worked at high \nspeed and responded ‘Around ¾ of the time’, ‘Almost all of the time’ and ‘All of the time’; until 2005 this \nresponse rate went up by 11% to 35%. \n\n**Working to tight deadlines**was not an issue for 34% in 1990, and in 2005 only for 19%, a reduction \nof 15%. The percentage of the sum of responses ‘Around ¾ of the time’, ‘Almost all of the time’ or ‘All \nof the time’ to this question on tight deadlines increased between 1991 and 2005 from 29% to 37%. \nRegarding these two indicators,**work intensity has evidently increased**between 1991 and 2005. 29 \n\n**Figure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound**\n\n\n\nAfter that first period between 1991 and 2005,**this development seems to stagnate between 2005**\n**and 2015**.30 The responses ‘Almost all of the time’ or ‘All of the time’ vary only slightly, between 33% \nand 37% depending on year and question (‘Working at high speed’ or ‘Working to tight deadlines’). \n\nDifferences can be seen regarding sector, company size and occupation.**Regarding work intensity**, \nESENER enterprise data on time pressure for the EU27 indicate a slight increase of 2.3% between 2014 \nand 2019 from 43% to 45%.31 Interestingly, according to ESENER, time pressure drastically**increases**\n**with the size of the enterprise**. In enterprises with 5 - 9 employees, 39% report time pressure, and in \nenterprises with above 250 employees 69%. 32 The same applies for long working hours, where \nenterprises with 5 - 9 employees report 19% ‘long working hours’, and in enterprises with above 250 \nemployees this percentage increases to about 39% (EU27, 2019).33", + "page_start": 32, + "page_end": 32, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Table 17: Self-reported work accidents during the last 12 months (EU27) – LFS Ad hoc modules**\n\n\n\nIn 2007, 3.2% of the respondents reported an accident, in 2013 this fell to 2.8%, and in 2020 2.3% of \nthe ‘Person in labour force’, aged 15-64, responded with a ‘Yes’. This corresponds to a decline of 28% \nfrom 2007 to 2020. The decline of the total estimated number of work accidents shows a similar trend, \na 24% decrease from 5.89 million to 4.46 million (if the persons with more than one accident from the \n2020 survey are not taken into account to achieve a better comparability with 2007 and 2013). \n\nFor 2020,**an estimate of the number of accidents based on the Ad hoc module results in a figure**\n**of 5.24 million**. The number of ESAW-registered non-fatal accidents in 2019 was 3.14 million, \napproximately 60% of the self-reported. One reason for this difference surely is that the respondents to \nthe question in the LFS Ad hoc module**might refer to every work accident**, including those resulting \nin under four days of absence.153 \n\n**Estimations**\nEurostat itself estimated in 1999 that approximately 37% of the non-fatal accidents did not need to be \nregistered because they resulted in fewer than four days of absence:*‘Around 37% of accidents at work*\n*in the EU result in fewer than 4 days’ loss of work.’*154 .In the estimate above the figures are in a similar \nrange. The**LFS surveys also reveal strong differences between occupational groups**. The ISCO \ngroups 1-3 have less than half the accidents compared to groups 6-7 and 8-9.155", + "page_start": 67, + "page_end": 67, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Table 30: Development of male and female workforce in the EU27 between 2005 and 2019299**\n\n\n\nAlthough female employment has grown faster than the men’s rate, the employment rate for men is still \n11% higher. Due to the much higher rate of part-time work — women 30%, men 9% 300 — the gender \ngap concerning participation in the labour market is higher when transforming the working time into ‘full- \ntime equivalents’ (FTE). EIGE calculated a difference of 16%:*‘The EU average FTE employment rate*\n*is 41% for women, compared to 57% for men.’301,302*\n\nThe**average age of the workforce has drastically changed**during the last 17 years. In 2005, the age \nclass between 55 and 64 years represented 11.1% of all employed persons, and in 2019 already 18.4% \nof the workforce — a growth of 16 million employed persons. At the same time, the share of the age \nclass between 15 and 39 years decreased from 49.6% to 41.6%, or 8.5 million. Already 5.1 million \nemployed persons are older than 65 years, making up a share of 2.6% of the workforce.303 \n\n**Table 31: Average age of the EU27 workforce304**", + "page_start": 109, + "page_end": 109, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "37 Eurostat, 2019: Persons in employment by frequency of working under time pressure, educational attainment \nlevel and professional status, 20-64 years, percentages calculated from numerical data \n\n38 Kelliher & Anderson, 2010: Doing more with less? Flexible working practices and the intensification of work \n39 Piaska, 2018: Scheduled to work hard: The relationship between non-standard working hours and work \nintensity among European workers (2005–2015) \n40 See also the overview in: EU-OSHA, OSHWiki, Guyot, S: Psychosocial issues – the changing world of work, \nhere \n41 Newer literature: James & Walters, 2022: Work and Health: 50 Years of regulatory failure. \n42 Davis & Kim, 2015: Financialization of the Economy \n43 Ethics & Compliance Initiative, 2020: Global Business Ethics Survey Report. Pressure in the Workplace: \nPossible Risk Factors and Those at Risk \n44 Johnstone et al., 2005: Statutory Occupational Health and Safety Workplace Arrangements for the Modern \nLabour Market \n\n45 Lorenz & Valeyre, 2005: Organisational Innovation, Human Resource Management and Labour Market \nStructure: A comparison of the EU-15", + "page_start": 141, + "page_end": 141, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "Some important questions remain at the end of such a report: \n\n• The**quality of statistics and surveys fades the more irregular are the working**conditions \nbeing studied. Which research methods are adequate for a clearer and more reliable evidence \nbase on these working conditions? It might require research methods different from those used \ntoday, for example, more investigative case studies; it might also be helpful to evaluate the \n**existing national working conditions surveys or statistics**under this aspect. \n\n•**Fading employer–employee relations.**There are special research efforts necessary to study \nthe application of OSH regulations of work with weak or no employer–employee relations, for \nexample, for the self-employed and new forms of employment. \n\n•**Surveys usually suffer a participation bias, for example, for the migrant workforce.**The \nlow participation rate of migrants can contribute to a particular underestimation regarding their \noften unfavourable working conditions. \n\n•**Workers in manual occupations**report**better health than administrative workers**but**less**\n**expectations to do the job until being 60 years old**. What are the reasons behind this? Is it \nthe healthy worker effect, strong occupation-related differences regarding the perception of \nhealth and the expression of health problems? 502,503 \n\n• High work intensity is a major cause for low wellbeing and high psychosocial risks. Survey data \nsuggest that**work intensification stopped after 2005**. What might be the reasons? Are the \ncurrent indicators not specific enough to measure developments of work intensity? Has since \nthen the major burden of intensification been put on other types of workers, for example, \nsubcontracted or self-employed, temporary and seasonal workers, or on workers in the global \nsupply chain? \n\n• How much evidence is there that**dangerous work has been increasingly contracted out to**\n**small and medium-size enterprises and the self-employed**? Are there sufficiently detailed \ndata on whether a larger share of service and client-related work at atypical times or work \nrequiring long working hours has been taken over by self-employed or subcontractors? \n\n• The**influence of enterprise size**is often difficult to explain. In several aspects, the SMEs \nperform better, and in other important aspects worse. What might be the reason for this? \n•**How is it possible to overcome the ‘prevention gap’ that in general exists between mobile**\n**and stationary workplaces?**Can the solutions be technical or must there be organisational \nand legal measures, for example, a limitation of the prolonged use of ergonomically inadequate \nequipment like mobile phones? \nImpact of**international and global supply chains on OSH: Does it improve or worsen the**\n**working conditions in the EU?**Research could try to estimate the risk-reducing impact of the \nshift of some high-risk productions to enterprises outside the EU, for example, mining, base \nchemicals, recycling and so on (export of risks), and to estimate the OSH impact of EU export \nproduction, for example, vehicles, specialty chemicals, machines for risks at work inside the EU \n(import of risks). \nIt would also be a big step forward if research could achieve an agreed**standard value or a**\n**standard range**(as reliable as possible) for the**attributable fraction of work**to widespread \ndiseases, that is, cardiovascular diseases, mental and behavioural disorders, musculoskeletal \ndiseases and cancer. \n\n• \n\n•", + "page_start": 139, + "page_end": 139, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", + "query": "What is the definition of a work accident according to the International Labour Organisation?", + "target_page": 38, + "target_passage": "ILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.’", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "***4.1.2 Serious non-fatal and fatal work accidents***\n\nEurostat defines a fatal work accident as follows*: ‘A “fatal accident” means an accident which leads to*\n*the death of a victim within one year of the accident’.*160 \nFatal commuting accidents are excluded, or when counted at national level, excluded from the ESAW \ndata. \n\nIn the last decade, most EU Member States registered a**significant decrease of fatal work**\n**accidents**.161 From 2010 to 2019, for the EU27, the**incidence rate of fatal accidents decreased over**\n**all sectors from 2.31 to 1.74**, or a minus of 25%. In the period between 2010 and 2019 the sectoral \nfigures of five major sectors developed as follows: \n\n**Table 19: Incidence rates of fatal accidents per sector in 2010 and 2019 (EU27)162**\n\n\n\nAlso, large differences between countries can be noted. The following figure — taken from the OSH \nBarometer — calculates the number of fatal accidents in periods and compares the period 2010-2014 \nwith 2015-2020. The reason is that — particularly in smaller Member States — a year with one serious \nand large work accident and several fatalities, or another year without any fatal accident, would distort \nthe annual picture and create significant changes from year to year. Romania, Luxembourg and Bulgaria \nhave the highest incident rates, and the Netherlands, Sweden and Germany the lowest. In 25 countries \nthe rate fell or stagnated in these two periods, with exceptions being Luxembourg and Greece. \n\n**Figure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and 2015-**\n**2020163**", + "page_start": 70, + "page_end": 70, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Table 18: People reporting an accident by group of occupations (ISCO) – LFS Ad hoc 2020156**\n\n\n\nIn the Member States there exist very**diverging perceptions of which level of severity of a work**\n**accident justifies a notification**— or in the case of the LFS survey a positive response. In the LFS \nAd hoc module of 2020, the figures vary significantly between Member States. Some countries \npractically report only accidents with ‘Off work’ periods, for example, Italy, Lithuania, Malta and Poland. \nIn other countries the shares of work accidents reported that result in ‘Off work’ are under 40%, for \nexample, for Sweden and Finland, Greece, Denmark and France. 157 That means that in these countries \nthe respondents reported more than 50% such work accidents that did not cause an absence. Cultural \ndifferences in health perception in society and working life will probably be the major reason for these \ndifferences. \n\n\n\nA \nH \nS \nO \nU \nE \n/ \ny \nc \nn \ne \ng \na \no \nt \no \nh \np \n\n- \n\no \nr \na \nc \n©", + "page_start": 68, + "page_end": 68, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**ICOH**stated in its Centennial Declaration: \n\n*‘The globalization process has not succeeded in equalising the conditions of work but in fact the opposite*\n*has occurred; the gaps are increasing. Poverty, inequality and under-development are closely*\n*associated with the poor safety, health and social conditions of work, as they are also linked with illiteracy,*\n*lack of education, poor access to health services and low or non-existent social protection.*323 \n\nInternational organisations like the ILO, WHO and UN have also taken up**the task to promote OSH**\n**worldwide**. The ILO has established a system of conventions; their implementation is monitored in the \nsignature states.324 The ILO has issued and decided on nine ‘Fundamental conventions’ that have been \nsigned by 92% of the ILO member states. 325 These fundamental conventions are: \n\n1. Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87); \n\n2. Right to Organise and Collective Bargaining Convention, 1949 (No. 98); \n\n3. Forced Labour Convention, 1930 (No. 29) (and its 2014 Protocol); \n\n4. Abolition of Forced Labour Convention, 1957 (No. 105); \n\n5. Minimum Age Convention, 1973 (No. 138); \n\n6. Worst Forms of Child Labour Convention, 1999 (No. 182); \n7. Equal Remuneration Convention, 1951 (No. 100); \n8. Discrimination (Employment and Occupation) Convention, 1958 (No. 111); and \n\n9. (since 2022) Two conventions on Occupational Safety and Health, that is, C-155 Occupational \nSafety and Health Convention, 326 and C-187 Promotional Framework for OSH Convention.327 \n\nThe ILO also promotes the**‘Decent work’ approach**to improve working conditions, covering aspects \nlike fair income, social protection for families, better prospects for personal development and social \nintegration, and equal opportunities and treatment. In the frame of this approach, the ILO has developed \nflagship programmes like*‘Safety and Health for all’ 328*and the**‘Global Action for Prevention on**\n**Occupational Safety and Health’ (OSH-GAP)**, a programme to support and promote OSH globally. 329 \nIts priorities are: \n\n• \n*legal, regulatory and adjudicative frameworks that address and integrate OSH, including core*\n*OSH laws and technical regulations;*\n\n•*enforcement and compliance with OSH in workplaces, including public, private and non-*\n*governmental systems that operate independently or in concert;*\n\n•*employer and worker competencies that are necessary to achieve and sustain OSH at global,*\n\n*national and enterprise levels;*\n*social dialogue that supports OSH;*\n\n• \n•*public and private financial resources for investment in OSH;*\n•*occupational health services including public and private health services;*\n•*employment injury insurance programmes that support prevention of OSH fatalities, injuries*\n*and illnesses;*\n\n•*OSH professionals, institutions and networks;*\n•*OSH indicators and implementation of effective methodologies for OSH data collection; and*\n•*demand for the safety and health of workers and workplaces.*\n\nThe**International Social Security Association**(ISSA) developed the**Vision Zero initiative**. 330 ISSA \npromotes together with enterprises and many global OSH organisations this concept, aiming at the \ncomplete elimination of work accidents and occupational diseases. \n\nThe**UN**has developed a set of targets and indicators,**the Social Development Goals**(SDG).331 Target \n8 is dedicated to*‘Promote sustained, inclusive and sustainable economic growth, full and productive*\n*employment and decent work for all’.*Sub targets are: \n\n*8.5 By 2030, achieve full and productive employment and decent work for all women and men,*\n*including for young people and persons with disabilities, and equal pay for work of equal value*", + "page_start": 115, + "page_end": 115, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "way by OSH legislation or OSH practice. The principle of employer responsibility for working conditions \nof workers is undermined or at least blurred in such situations. \n\nFuture solutions could focus on several aspects — a**new definition of ‘work’ or of ‘employment’,**\n**stronger individual responsibility, or extended state interventions to guarantee OSH**also in such \nworking and employment conditions. There are some examples of such solutions but to date most of \nthem focus on better information, that is, stronger individual responsibility. \n\n**Undeclared and illegal employment is scarcely visible**in the statistics. Due to the difficult conditions \nfor research, the overall OSH situation in these types of work is widely unknown; in case study-based \ninvestigative studies, the working conditions — including safety and health — for this group are mostly \nregarded as worse compared to workers with a regular work contract. It seems to be necessary to \nconsider different research and action initiatives for this type of work, also in collaboration with other \nstate supervising authorities. \n\nThe health data clearly show an ever-growing**share of work tasks that go along with or even require**\n**physical inactivity**. Inactive work is often characterised by permanent sitting combined with high \nrequirements for visual and mental focusing during work, for example, towards digital equipment or to \ntraffic situations. Serious indirect health consequences of such inactivity can be seen in the strong \nincrease in certain widespread diseases or disease-supporting factors, like obesity. \n\nEven 15 years after the enlargement of the EU in 2004,**significant differences between Member**\n**States**can still be observed regarding several working conditions. The data demonstrate that the worst \nstatus concerning physical risks, wellbeing, and expectations to do the job until the age of 60 — is almost \nalways present in eastern EU Member States, followed by southern Member States, all compared to the \nstatus in central, western and northern Member States**.**For psychosocial risks, it is just the other way \naround, these are more often reported in central, western and northern Member States. \n\n**International organisations complain about an unfair divide of OSH risks in globalised supply**\n**chains**, be it in mining, metallurgy, textile production, disposal of hazardous waste or other sectors. The \nILO decided in June 2022 to make OSH one of the Fundamental Principles and Rights at Work. In this \ncontext, 10 ILO conventions and instruments are considered now as fundamental, including two OSH \nconventions: the Occupational Safety and Health Convention, of 1981 (No. 155) and the Promotional \nFramework for Occupational Safety and Health Convention, of 2006 (No. 187). Ethical, fairness and \njustice considerations have led to more activities on decent, safe and healthy work in developing \ncountries and a fair share of risks at work in global supply chains. These are important initiatives, but \nuntil now they only slightly changed the overall situation when looking at the global scale of the issue.", + "page_start": 18, + "page_end": 18, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "147 In 2019, there were 3.141 million non-fatal accidents that resulted in at least four calendar days of absence \nfrom work and 3,408 fatal accidents in the EU27, a ratio of approximately 922 non-fatal accidents for every fatal \naccident, here \n148 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An \nexploratory semi-quantitative study – ‘What goes unreported goes unfixed’ (p. 20 ff). \n\n149 Eurostat: Non-fatal accidents at work by NACE Rev. 2 activity and sex; Eurostat: Fatal Accidents at work by \nNACE Rev. 2 activity \n\n150 Detailed studies from hospitals in Denmark show that even a large share of serious work accidents (25%) \nresulting in amputations and fractions are not registered, see: LO Denmark, 2012: Underrapportering af \narbejdsulykker Table 14; and the Danish Working Environment Authority published a report concluding a total of \n50% in underreporting, here \n151 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An \nexploratory semi-quantitative study – ‘What goes unreported goes unfixed’ (p. 20ff). \n152 LFS Ad hoc module: Accidents at work and other work-related health problems (2020, 2013 and 2007) \n153 Eurostat: EU labour force survey 2020 module on accidents at work and other work-related health problems : \nassessment report : 2021 edition. The exact question is (p. 47):*‘Thinking of the year before [last day of reference*\n*week], have you had any accident at work? Accidents outside working hours and accidents during the journey*\n*from home to work or from work to home are excluded. However, accidents during a journey in the course of work*\n*are included.’*\n154 Eurostat, Statistics in focus, Theme 3 – 16/2001: Accidents at work in the EU 1998-1999, here \n155 ISCO-Groups: 1. Managers, 2. Professionals, 3. Technicians and Associate Professionals, 4. Clerical Support \nWorkers, 5. Services and Sales Workers, 6. Skilled Agricultural, Forestry and Fishery Workers, 7. Craft and \nRelated Trades Workers, 8. Plant and Machine Operators and Assemblers, 9. Elementary Occupations, 0. Armed \nForces Occupations. \n\n*156 Eurostat: Persons reporting an accident at work by sex, age and occupation*\n\n157 Eurostat, 2021: Self-reported accidents at work - key statistics \n\n158 Ibid. \n\n159 Agilis, 2015: Final statistical report on the quality assessment and statistical analysis of the 2013 Labour Force \nSurvey ad hoc module (p. 45) \n\n160 Eurostat, 2013: European Statistics on Accidents at Work (ESAW) - Summary methodology - 2013 edition \n(p. 6). \n161 Fatal work accidents are seen as a more reliable data source than non-fatal accidents. \n162 Eurostat: Fatal accidents at work by NACE Rev. 2 activity, Filter: Incidence rate. \n\n163 The OSH Barometer shows the ESAW data from Eurostat’s Fatal accidents in a column diagram showing the \nincidence rate per 100,000 workers for two periods, here \n\n164 Communication from the Commission to the European Parliament, the Council, the European Economic And \nSocial Committee and the Committee of Regions on the practical implementation of the provisions of the Health \nand Safety at Work Directives 89/391 (Framework), 89/654 (Workplaces), 89/655 (Work Equipment), 89/656 \n(Personal Protective Equipment), 90/269 (Manual Handling of Loads) and 90/270 (Display Screen Equipment), \nhere (p. 15). \n165 European Commission, 2009: Causes and circumstances of accidents at work in the EU (p. 101 and Table \nA1.6. p. 130).", + "page_start": 146, + "page_end": 146, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Table 16: Non-fatal accidents estimated via coefficient of fatal accidents, 4 benchmark countries149**\n\n\n\nThe**application of the average coefficient of four benchmark countries to all**the EU27 leads to an \nestimated number of non-fatal accidents with more than three days absence of approximately 4.98 \nmillion. This is 1.84 million more work accidents than reported in ESAW; the**reporting rate of ESAW**\n**for non-fatal work accidents with four or more days of absence would be at around 63%**. Country- \nspecific reports about underreporting determine similar figures and support these findings. 150 \n\nThere seems to be a**difference in the reporting level**between countries with a universal health system \nwhere the reasons for an accident play a minor role and do not impact compensation and treatment. In \nmore fragmented health systems with distinguished work accident insurances, the ‘sphere’ (work or \nprivate life) — where the accident took place — is more relevant and influences the granted treatment \nand compensation. Some researchers perform this calculation only based on the coefficient of two \ncountries, Finland and Germany.151 Both have separated insurance-based systems and are regarded \nas countries with a high reporting level. The coefficient would be 1,734 (average of both countries \nwithout weighing of population size); this would result in an estimated number of non-fatal work \naccidents of 5.91 million. \n\n**Self-reports**are another option to identify the number of work accidents. In the Eurostat**LFS Ad hoc**\n**modules of 2007, 2013 and 2020**,152 ‘Employed persons’ were asked whether they had a work accident \nin the past 12 months.", + "page_start": 66, + "page_end": 66, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**Still, not only preventive measures but also other non-OSH-related developments worked in the**\n**same direction.**The shrinkage of the workforce in certain sectors, for example, mining, textile, \nagriculture, and specific high-risk subsectors of manufacturing, that is, shipyards or foundries, has led \nto a reduction of the workforce in particularly dangerous working conditions. The production of these \nsectors was — partly or fully — relocated to other regions of the world, and EU enterprises import the \nneeded products as part of global supply chains. \n\n**Major economic changes of sectors with over average work accident rates**\n\nThe decrease of production in the mining and textile sectors was replaced by the import of mining or \ntextile products. Nowadays the share of workforce in these sectors is much smaller in the EU than 30 \nyears ago. In the EU28 in 2019, mining and quarrying employed 392,000 people, or 0.2% of all \nemployed persons,128 and the textile industry129 employed 1.5 million people, or 0.7% of all employed \npersons.130 \n\nThe share of employees in agriculture, also a sector with high accident rates, dropped mainly due to \nautomation from 6.5% in 2005 to 4.5% in 2019131 (worldwide still at 27% 132). In construction, another \nsector with work accident rates over average, the employment is quite stable in the past 25 years and \nfell only from 6.9% to 6.5%. Some specific works with high accident risk have been outsourced to \nother regions, well-known examples are the dangerous shipwrecking but also recycling of plastics and \nelectric and electronic devices.133 \n\nThe decline of these sectors and the growth of workforce in other sectors like wholesale, transport, \neducation, health and care shifted the safety risks of working conditions. Several EU Member States \nalso observe a growth of road transport-related accidents during work.134 \n\n***4.1.1 Non-fatal work accidents***\n\n**DEFINITIONS**\nEurostat has developed the European Statistics on Accidents at Work, or ESAW, methodology to harmonise the \nmonitoring of work accidents. This methodology describes how accidents at work have to be reported and defines \nseveral terms and conditions. \n\n**What is an accident?**\n\n‘Accident at work’ is defined in the ESAW methodology135 as a**‘discrete occurrence in the course of work which**\n**leads to physical or mental harm.’**\n\n**When is a non-fatal work accident counted?**\n\nESAW counts a work accident*‘if the resumption of work occurred 5 days after the work accident’*; Chapter 4.2 of \nthe ESAW Methodology 2012 explains:*‘Accidents at work with more than three calendar days’ absence from work:*\n*Only full calendar days of absence from work have to be considered, excluding the day of the accident.*\n*Consequently, more than three calendar days’ means “at least four calendar days”, which implies that only if the*\n*victim resumes work on the fifth (or subsequent) working day after the date on which the accident occurred should*\n*the incident be included.’*\n\nThe total number of reported non-fatal accidents for the EU27 was 3,140,950 in 2019.136 As mentioned \nin the introduction to this chapter, the incident rates of non-fatal accidents fell in about 25 years from \n4,089 (year 1998137) to 1,713 (2019), that is,**it decreased about 58%**.138 The**greatest part of this**\n**decrease**took place between**1998 and 2010**,139 the incidence rate halved to 2,021,**a drop of 51%**. \nStill, between 2010 and 2019 the incidence rate for the EU27 fell from 2,021 incidents per 100,000 \nworkers to 1,713, a drop of a further 15% (taking 2010 as the reference year).140", + "page_start": 63, + "page_end": 63, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "80 EU-OSHA’s maintenance campaign revealed that maintenance and repair work has an accident risks far over \naverage. EU-OSHA, 2010: Safe maintenance in practice (p. 10):*‘Occupational accidents during maintenance*\n*work are numerous. Based on the data from several European countries, it is estimated that 10-15% of fatal*\n*accidents at work, and 15-20% of all accidents, are connected with maintenance*.’ \n81 No statistical data available for EU. \n82 Persons in employment by main place of work, frequency of working at other locations and working from home, \nLFS Ad hoc module: Work at home, percentage of Employed persons \n83 Eurostat: Working from home in the EU \n84 LFS Ad hoc module Work at home, percentage of Employed persons and LFS regular data collection Employed \npersons working from home as a percentage of the total employment \n85 EU-OSHA, 2021: Home-based teleworking and preventive occupational safety and health measures in \nEuropean workplaces: evidence from ESENER-3 \n86 Employed persons working from home as a percentage of the total employment, by sex, age and professional \nstatus (%), here \n87 There are more workers who spend most of their working time in private homes, e.g. technicians for \nmaintenance and repair of technical systems like heating water supply or electricity, or gardeners. According to \nthe ILO definition of domestic work they are not regarded as such. Care at home can be borderline if the care is \nmainly done for a few persons in a few homes. \n88 C189 European Alliance, 2021: Step up efforts towards decent work for domestic workers in the EU: 10th \nAnniversary of ILO Domestic Workers Convention, 2011 (No. 189) \nSee there in the introductory chapter the difficulties to achieve reliable figures. For more info: ILO, 2021: Making \ndecent work a reality for domestic workers: Progress and prospects ten years after the adoption of the Domestic \nWorkers Convention, 2011 (No. 189) \n89 EU-OSHA, 2020: Well-being at work in the service voucher sector in Belgium", + "page_start": 143, + "page_end": 143, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "particularly dangerous work environments like road maintenance, combined with better organisational \nmeasures; quality systems that promote continuous repair and maintenance of tools; regular instructions \nby safety representatives and safety coordinators, and guarantee of minimum safety standards of \nmachines and products by European standards like CE and CEE. \n\n\n\nk \nc \no \nt \nS \ne \nb \no \nd \nA \n\n/ \nt \na \nw \na \nn \na \nT \n© \n\nIf an accident takes place, the technical and organisational measures were either not perfect for all \nconceivable situations or not fully implemented. Based on ESAW, Eurostat analysed the**physical**\n**activities per sector**that trigger non-fatal and fatal accidents at work in the EU27 (in 2019).127 \n\n**Table 14: Accidents at work by physical activity 2019 – Eurostat**", + "page_start": 62, + "page_end": 62, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "ESAW provides more detailed data about the**severity of non-fatal accidents**. 164 According to \nEurostat’s evaluation of ‘Causes and circumstances’ of work accidents (**data from 2005, EU-15 and**\n**Norway**), in 2005, 3.9% of the non-fatal work accidents or 157,494 non-fatal accidents led to**permanent**\n**incapacity**(full or partly), and 138,568 (3,4% of all accidents) to absences from three to six months. 165 \n**In 2019**, the**outcome**‘Permanent incapacity or 183 days*(of time-off)*or over’**made up 4.4% of all**\n**non-fatal work accidents or a little more than 100,000 cases**.**As serious outcomes**we regard at \nleast the cases in the ESAW category: non-fatal accidents involving these consequences are more than \n**34 times more frequent than fatalities**. These detailed time-off and outcome data are only available \nfor the sectors A and C-N, not for the other sectors with lower accident rates. If we include in the \ndefinition of a serious accident also the**ESAW category ‘Time off between 3 and 6 months’, another**\n**5.4% or 129,150 non-fatal accidents**would be added to the category ‘Serious accident’. \n\n**Table 20: Severity of accidents in the EU27 in 2019 (sectors A and C-N)166**\n\n\n\n**National data**showed similar coefficients; a calculation for two EU Member States showed a coefficient \nof 27 for Germany (only permanent handicap) and 66 for France. 167 EU-OSHA used the severity data \nof Eurostat in its study on ‘The value of occupational safety and health and the societal costs of work- \nrelated injuries and diseases’ (2019). 168 \n\nAccording to the publication ‘Causes and circumstances of accidents at work in the EU’ (DG EMPL and \nEurostat), the types of work accidents**causing the longest average days of absence**are: ‘Slipping, \nstumbling and falling’ (46 absence days), followed by three more categories at the same level: ‘Loss of \ncontrol of machines or handheld tools’, by ‘Shock, fright, violence, aggression, threat, presence’,169 and \nby ‘Electrical problems, explosion and fire’ (all three types of accidents with an average of 38 days of \nabsence).170 \n\nTo conclude, for an estimate of the burden of accidents at work, the distinction between fatal and non- \nfatal is too rough.**ESAW data allow a finer analysis, at least for the sectors with higher accident**\n**risks.**The high number of serious and permanent health outcomes cause human suffering and \nsignificant societal costs; but they play an undervalued role in discussions on work accidents as OSH \nindicators. It has to be mentioned that these data play a large role as**indicators in non-European OSH**\n**systems**; Canada uses the Disabling Injury Frequency Rate (DIFR).171 Australia applies incidence and", + "page_start": 71, + "page_end": 71, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic5.pdf", + "query": "Was knowledge domain agnosticism a goal in the development of OLAF?", + "target_page": 1, + "target_passage": "Though an ideal ontology should model a domain in an application-independent manner, in practice, concepts and relations represented largely depend on one or more business use cases. As we designed our framework with industry application in mind, we need to consider it within its real-world usage context.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**OLAF : Ontology Learning Applied Framework**\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) \nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK \n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically**extracting and structuring knowledge**\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a**modular ontology**\n**learning framework**considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning \nsystems as tools to help the domain expert, we developed the proposed framework with**full automation**in mind. An implementation as an**open-**\n**source and collaborative python library**is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning. \n\n**STATE OF THE ART**\n\nSystem Overview Pros and cons \n\nIt is the reference in the field as it defines a \nrepresentation-agnostic structure with modular \nsteps and takes into account uncertainty. The \nsystem is implemented as a GATE module. Ontologies can be exported in \nvarious formats. GATE system \nadds great visualisations. But it is \nnot maintained since 2011. \n\nText2Onto, \n2005, [1] \n\nIt focuses on multiword terms to construct a \n\"lexicalised ontology\" by adapting an agglomerative \nclustering and an FCA method. It implements 4 \nsteps: text preprocessing, concept extraction (C/NC- \nvalue), taxonomy construction, and non-taxonomic \nrelation acquisition (rule-based and probabilistic). It considers only multiword \nterms and relies on WordNet \nand POS tags. It does not \ndistinguish between terms and \nconcepts and implements \ndifferent adaptable approaches. \n\nOntoGain, \n2010, [2] \n\nIt focuses on \"lexicalised ontologies\" and uses seed \nknowledge. It implements 5 steps: terminology \nextraction, hypernym graph construction, domain \nfiltering of hypernyms, hypernym graph pruning and \nedge recovery. It relies on WordNet and POS \ntags and does not distinguish \nbetween terms and concepts. \nIt implements different \nadaptable approaches. \n\nOntoLearn \n(Reloaded), \n2013, [3] \n\n\n\n\n\nMost ontology learning systems do not consider the targeted ontology- \nbased system. Though an ideal ontology should model a domain in an \napplication-independent manner, in practice,**concepts and relations**\n**represented largely depend on one or more business use cases**. As \nwe designed our framework with industry application in mind, we need \nto consider it within its**real-world usage context**. \n\n***C-value-based filtering***\n***Linguistic-based filtering***\n***TF-IDF value-based filtering***\n\nOur implementation is largely based on the**Python NLP**\n**library spaCy**. The text processing on spaCy helps us \nwork with data in**many different languages**while \nstaying flexible on the methods used. The only constraint \nis to end up with a list of**spaCy Doc objects**. \n\nTerm Extraction \n\n***Embedding-based similar term extraction***\n***ConceptNet synonym extraction***\n***WordNet synonym extraction***\n\nTerm Enrichment \n\n***ConceptNet-based extraction***\n***Grouping terms based on synonyms***\n***Term cooccurrences-based extraction***\n***Similarity-based extraction***\n*Formal concept Analysis*\n\n**OLAF**\n\nConcept/Relation \nExtraction \n\n***Term subsumption algorithm***\n*Hierarchical clustering* Different**serialization techniques**can be used to export and \nleverage the learned ontology in an application system. \nHierarchisation", + "page_start": 0, + "page_end": 0, + "source_file": "infographic5.pdf" + }, + { + "text": "**Reasoning and problem-solving**\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they \nsolve puzzles or make logical deductions.[13] By the late 1980s and 1990s, methods were developed for \ninformation, employing concepts from probability and \ndealing with uncertain or \neconomics.[14] \n\nincomplete \n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a \n\"combinatorial explosion\": They become exponentially slower as the problems grow.[15] Even humans \nrarely use the step-by-step deduction that early AI research could model. They solve most of their \nproblems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem. \n\n**Knowledge representation**\nKnowledge representation and knowledge engineering[17] \nallow AI programs to answer questions intelligently and \nmake deductions about real-world facts. Formal knowledge \nrepresentations are used in content-based indexing and \nretrieval,[18] scene \ninterpretation,[19] clinical decision \nsupport,[20] knowledge discovery (mining \"interesting\" and \nactionable inferences from large databases),[21] and other \nareas.[22] \n\nA knowledge base is a body of knowledge represented in a \nform that can be used by a program. An ontology is the set \nof objects, relations, concepts, and properties used by a \nparticular domain of knowledge.[23] Knowledge bases need \nto represent things such as objects, properties, categories, \nand relations between objects;[24] situations, events, states, \nand time;[25] causes and effects;[26] knowledge about \nknowledge (what we know about what other people \nknow);[27] default reasoning (things that humans assume are true until they are told differently and will \nremain true even when other facts are changing);[28] and many other aspects and domains of knowledge. \n\nAn ontology represents knowledge as a set \nof concepts within a domain and the \nrelationships between those concepts. \n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense \nknowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic \nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or \n\"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition, \nthe problem of obtaining knowledge for AI applications.[c]", + "page_start": 1, + "page_end": 1, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Narrow vs. general AI**\n\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and \nsuperintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these \nsolutions will lead indirectly to the field's long-term goals.[378][379] General intelligence is difficult to \ndefine and difficult to measure, and modern AI has had more verifiable successes by focusing on specific \nproblems with specific solutions. The sub-field of artificial general intelligence studies this area \nexclusively. \n\n**Machine consciousness, sentience, and mind**\n\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental \nstates, in the same sense that human beings do. This issue considers the internal experiences of the \nmachine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because \nit does not affect the goals of the field: to build machines that can solve problems using intelligence. \nRussell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way \nhumans are is not one that we are equipped to take on.\"[380] However, the question has become central to \nthe philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction. \n\n**Consciousness**\n\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and \n\"easy\" problems of consciousness.[381] The easy problem is understanding how the brain processes \nsignals, makes plans and controls behavior. The hard problem is explaining how this*feels*or why it \nshould feel like anything at all, assuming we are right in thinking that it truly does feel like something \n(Dennett's consciousness illusionism says this is an illusion). While human information processing is easy \nto explain, human subjective experience is difficult to explain. For example, it is easy to imagine a color- \nblind person who has learned to identify which objects in their field of view are red, but it is not clear \nwhat would be required for the person to*know what red looks like*.[382] \n\n**Computationalism and functionalism**\n\nComputationalism is the position in the philosophy of mind that the human mind is an information \nprocessing system and that thinking is a form of computing. Computationalism argues that the \nrelationship between mind and body is similar or identical to the relationship between software and \nhardware and thus may be a solution to the mind–body problem. This philosophical position was inspired \nby the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by \nphilosophers Jerry Fodor and Hilary Putnam.[383] \n\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed \ncomputer with the right inputs and outputs would thereby have a mind in exactly the same sense human \nbeings have minds.\"[ac] Searle challenges this claim with his Chinese room argument, which attempts to", + "page_start": 25, + "page_end": 25, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Castaño, Arnaldo Pérez (23 May 2018).*Practical Artificial Intelligence: Machine Learning,*\n*Bots, and Agent Solutions Using C#*. Apress. p. 2. ISBN 978-1-4842-3357-3. \nChakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and \nNavya-Nyaya Logic\".*Philosophy and Phenomenological Research*.**36**(4): 554–563. \ndoi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j \nstor.org/stable/2106873). \nChatfield, Tom (2017).*Critical Thinking: Your Guide to Effective Argument, Successful*\n*Analysis and Independent Study*. Sage. p. 194. ISBN 978-1-5264-1877-7. \nChua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers. \norg/rec/CHUAER).*Logic, Rationality, and Interaction*. Lecture Notes in Computer Science. \nVol. 10455. pp. 631–636. doi:10.1007/978-3-662-55665-8_43 (https://doi.org/10.1007%2F9 \n78-3-662-55665-8_43). ISBN 978-3-662-55664-1. \nClocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http \ns://link.springer.com/chapter/10.1007/978-3-642-55481-0_10).*Programming in Prolog:*\n*Using the ISO Standard*. Springer. pp. 237–257. doi:10.1007/978-3-642-55481-0_10 (http \ns://doi.org/10.1007%2F978-3-642-55481-0_10). ISBN 978-3-642-55481-0. \nCook, Roy T. (2009).*Dictionary of Philosophical Logic*. Edinburgh University Press. p. 124. \nISBN 978-0-7486-3197-1. \nCopi, Irving M.; Cohen, Carl; Rodych, Victor (2019).*Introduction to Logic*. Routledge. \nISBN 978-1-351-38697-5. \nCorkum, Philip (2015). \"Generality and Logical Constancy\".*Revista Portuguesa de*\n*Filosofia*.**71**(4): 753–767. doi:10.17990/rpf/2015_71_4_0753 (https://doi.org/10.17990%2Fr \npf%2F2015_71_4_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283). \nJSTOR 43744657 (https://www.jstor.org/stable/43744657). \nCraig, Edward (1996).*Routledge Encyclopedia of Philosophy*(https://philpapers.org/rec/BE \nAREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101 \n16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021. \nRetrieved 29 December 2021. \nCummings, Louise (2010). \"Abduction\".*The Routledge Pragmatics Encyclopedia*. \nRoutledge. p. 1. ISBN 978-1-135-21457-9. \nCunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/).*Internet Encyclopedia of*\n*Philosophy*. Retrieved 23 September 2022. \nD'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is \nPropositional Logic Really Uninformative?\".*Synthese*.**167**(2): 271–315. \ndoi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4). \nhdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world \ncat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192). \nS2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882). \nDaintith, John; Wright, Edmund (2008).*A Dictionary of Computing*. OUP. ISBN 978-0-19- \n923400-4. \nvan Dalen, Dirk (1994).*Logic and Structure*. Springer. Chapter 1.5. ISBN 978-0-387-57839- \n2. \nDasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/).*Internet Encyclopedia of*\n*Philosophy*. Retrieved 12 March 2023. \nDick, Anthony S.; Müller, Ulrich (2017).*Advancing Developmental Science: Philosophy,*\n*Theory, and Method*. Taylor & Francis. p. 157. ISBN 978-1-351-70456-4. \nDouven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/).*The*\n*Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. \nArchived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab \nduction/) from the original on 7 September 2021. Retrieved 24 August 2021.", + "page_start": 26, + "page_end": 26, + "source_file": "wikipedia1.pdf" + }, + { + "text": "Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/).*Internet Encyclopedia of*\n*Philosophy*. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla \ncy/) from the original on 29 April 2010. Retrieved 19 March 2021. \nvan Eemeren, Frans H.; Garssen, Bart (2009).*Pondering on Problems of Argumentation:*\n*Twenty Essays on Theoretical Issues*. Springer Science & Business Media. p. 191. \nISBN 978-1-4020-9165-0. \nvan Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. \nFrancisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe \nr.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1).*Handbook of*\n*Argumentation Theory*. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7- \n1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived \n(https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ \n10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved \n2 January 2022. \nvan Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, \nCharles A. (2013).*Fundamentals of Argumentation Theory: A Handbook of Historical*\n*Backgrounds and Contemporary Developments*. Routledge. p. 169. ISBN 978-1-136-68804- \n1. \nEmmanuel, Steven M. (2015).*A Companion to Buddhist Philosophy*. John Wiley & Sons. \npp. 320–2. ISBN 978-1-119-14466-3. \nEnderton, Herbert (2001).*A Mathematical Introduction to Logic*. Elsevier. ISBN 978-0-12- \n238452-3. \nEngel, S. Morris (1982).*With Good Reason an Introduction to Informal Fallacies*(https://phil \npapers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w \neb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original \non 1 March 2022. Retrieved 2 January 2022. \nEvans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.).*The*\n*Cambridge Handbook of Thinking and Reasoning*. Cambridge University Press. p. 169. \nISBN 978-0-521-82417-0. \nEwald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri \nes/logic-firstorder-emergence/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Retrieved 12 March 2023. \nFalguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http \ns://plato.stanford.edu/entries/abstract-objects/).*The Stanford Encyclopedia of Philosophy*. \nMetaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 \n0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 \nJanuary 2021. Retrieved 7 January 2022. \nFalikowski, Anthony; Mills, Susan (2022).*Experiencing Philosophy*(2nd ed.). Broadview \nPress. p. 98. ISBN 978-1-77048-841-0. \nFisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005).*Handbook of Temporal*\n*Reasoning in Artificial Intelligence*. Elsevier. p. 119. ISBN 978-0-08-053336-0. \nFitch, G. W. (18 December 2014).*Saul Kripke*. Routledge. p. 17. ISBN 978-1-317-48917-7. \nFlotyński, Jakub (7 December 2020).*Knowledge-Based Explorable Extended Reality*\n*Environments*. Springer Nature. p. 39. ISBN 978-3-030-59965-2. \nFont, Josep Maria; Jansana, Ramon (2017).*A General Algebraic Semantics for Sentential*\n*Logics*. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1. \nFrede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). \n*Michigan Technological University*. Retrieved 1 November 2022. \nFriend, Michele (2014).*Introducing Philosophy of Mathematics*. Routledge. p. 101. \nISBN 978-1-317-49379-2.", + "page_start": 27, + "page_end": 27, + "source_file": "wikipedia1.pdf" + }, + { + "text": "3.3 World knowledge \n\nThe bulk of evidence about commonsense knowl- \nedge captured in BERT comes from practitioners \nusing it to extract such knowledge. One direct prob- \ning study of BERT reports that BERT struggles \nwith pragmatic inference and role-based event \nknowledge (Ettinger, 2019). BERT also struggles \nwith abstract attributes of objects, as well as visual \nand perceptual properties that are likely to be as- \nsumed rather than mentioned (Da and Kasai, 2019). \nThe MLM component of BERT is easy to \nadapt for knowledge induction by filling in the Furthermore, different probing methods may \nlead to complementary or even contradictory con- \nclusions, which makes a single test (as in most stud-", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Some authors have suggested in practice, that the definition of AI is vague and difficult to define, with \ncontention as to whether classical algorithms should be categorised as AI,[367] with many companies \nduring the early 2020s AI boom using the term as a marketing buzzword, often even if they did \"not \nactually use AI in a material way\".[368] \n\n**Evaluating approaches to AI**\nNo established unifying theory or paradigm has guided AI research for most of its history.[aa] The \nunprecedented success of statistical machine learning in the 2010s eclipsed all other approaches (so much \nso that some sources, especially in the business world, use the term \"artificial intelligence\" to mean \n\"machine learning with neural networks\"). This approach is mostly sub-symbolic, soft and narrow. Critics \nargue that these questions may have to be revisited by future generations of AI researchers. \n\n**Symbolic AI and its limits**\nSymbolic AI (or \"GOFAI\")[370] simulated the high-level conscious reasoning that people use when they \nsolve puzzles, express legal reasoning and do mathematics. They were highly successful at \"intelligent\" \ntasks such as algebra or IQ tests. In the 1960s, Newell and Simon proposed the physical symbol systems \nhypothesis: \"A physical symbol system has the necessary and sufficient means of general intelligent \naction.\"[371] \n\nHowever, the symbolic approach failed on many tasks that humans solve easily, such as learning, \nrecognizing an object or commonsense reasoning. Moravec's paradox is the discovery that high-level \n\"intelligent\" tasks were easy for AI, but low level \"instinctive\" tasks were extremely difficult.[372] \nPhilosopher Hubert Dreyfus had argued since the 1960s that human expertise depends on unconscious \ninstinct rather than conscious symbol manipulation, and on having a \"feel\" for the situation, rather than \nexplicit symbolic knowledge.[373] Although his arguments had been ridiculed and ignored when they \nwere first presented, eventually, AI research came to agree with him.[ab][16] \n\nThe issue is not resolved: sub-symbolic reasoning can make many of the same inscrutable mistakes that \nhuman intuition does, such as algorithmic bias. Critics such as Noam Chomsky argue continuing research \ninto symbolic AI will still be necessary to attain general intelligence,[375][376] in part because sub- \nsymbolic AI is a move away from explainable AI: it can be difficult or impossible to understand why a \nmodern statistical AI program made a particular decision. The emerging field of neuro-symbolic artificial \nintelligence attempts to bridge the two approaches. \n\n**Neat vs. scruffy**\n\n\"Neats\" hope that intelligent behavior is described using simple, elegant principles (such as logic, \noptimization, or neural networks). \"Scruffies\" expect that it necessarily requires solving a large number of \nunrelated problems. Neats defend their programs with theoretical rigor, scruffies rely mainly on \nincremental testing to see if they work. This issue was actively discussed in the 1970s and 1980s,[377] but \neventually was seen as irrelevant. Modern AI has elements of both.", + "page_start": 24, + "page_end": 24, + "source_file": "wikipedia3.pdf" + }, + { + "text": "This tutorial is just the entry point to a technology that is entering the*Slope of Enlightenment*in the \nGartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the \nSemantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US \ncorporations the excitement around Machine Learning seemed for a while to eclipse serious interest in \nOWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology \ncompanies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started \nto embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is \nfinally realizing that machine learning and knowledge graphs are complimentary not competitive \ntechnologies. \n\nThe term knowledge graph itself can be used in different ways. The best definition I’ve heard is that an \nontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology \ncombined with data (A-Box). Although in the corporate world I often hear people simply talk about \nknowledge graphs without much interest in the distinction between the vocabulary and the data. \n\nThere are a number of vendors emerging who are using the technology in very productive ways and are \nproviding the foundation for federated knowledge graphs that can scale to hundreds of millions of triples \nor more and provide a framework for all corporate data. I’ve listed several in the bibliography but those \nare only the ones I’ve had some experience with. I’m sure there are many others. One of the products I’ve \nhad the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz \nInc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the \ncommercial version. I’ve found the Allegro triplestore easy to use on a Windows PC with the Docker tool \nto emulate a Linux server. \n\nI first started working with classification-based languages when I worked at the Information Sciences \nInstitute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US \nDepartment of Defense and their contractors. Since then, I’ve followed the progress of the technology, \nespecially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great \npromise in the technology. When I first discovered Protégé it was a great experience. It is one of the best \nsupported and most usable free tools I’ve ever seen, and it always surprised me that there weren’t more \ncorporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope \nthis tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.", + "page_start": 88, + "page_end": 88, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Vidyabhusana, Satis Chandra (1988).*A History of Indian Logic: Ancient, Mediaeval and*\n*Modern Schools*. Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1. \nVleet, Van Jacob E. (2010). \"Introduction\".*Informal Logical Fallacies: A Brief Guide*(https://p \nhilpapers.org/rec/VLEILF). Upa. pp. ix–x. ISBN 978-0-7618-5432-6. Archived (https://web.ar \nchive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28 \nFebruary 2022. Retrieved 2 January 2022. \nVäänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ \nentries/logic-higher-order/).*The Stanford Encyclopedia of Philosophy*. Metaphysics \nResearch Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ \nhttps://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. \nRetrieved 23 November 2021. \nWalton, Douglas N. (1987).*Informal Fallacies: Towards a Theory of Argument Criticisms*(htt \nps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http \ns://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the \noriginal on 2 March 2022. Retrieved 2 January 2022. \nWarren, Jared (2020).*Shadows of Syntax: Revitalizing Logical and Mathematical*\n*Conventionalism*(https://global.oup.com/academic/product/shadows-of-syntax-9780190086 \n152). Oxford University Press. ISBN 978-0-19-008615-2. \nWashell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r \nec/WASLLA-3).*Journal of the History of Ideas*.**34**(3): 445–50. doi:10.2307/2708963 (http \ns://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963). \nWasilewska, Anita (2018).*Logics for Computer Science: Classical and Non-Classical*. \nSpringer. pp. 145–6. ISBN 978-3-319-92591-2. \nWeber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/).*Internet Encyclopedia*\n*of Philosophy*. Retrieved 12 December 2021. \nWeddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". \n*Across the Lines of Disciplines*(https://www.degruyter.com/document/doi/10.1515/97831108 \n67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http \ns://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w \neb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 \n3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022. \nWesterståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp \napers.org/rec/WESASA).*Studia Logica*.**48**(4): 577–585. doi:10.1007/BF00370209 (https:// \ndoi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu \nsID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o \nrg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022. \nWilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp \nringer.com/article/10.1007/s10503-009-9131-5).*Argumentation*.**24**(1): 107–124. \ndoi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). \nISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap \ni.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 \n08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on \n8 January 2022. Retrieved 8 January 2022. \nWilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum \nLogic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi).*The Stanford*\n*Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved \n11 March 2023. \nWile, Bruce; Goss, John; Roesner, Wolfgang (2005).*Comprehensive Functional*\n*Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3.", + "page_start": 36, + "page_end": 36, + "source_file": "wikipedia1.pdf" + }, + { + "text": "The original BERT paper [39] showed the effectiveness of the \narchitecture and the pretraining technique by evaluating on the \nGeneral Language Understanding Evaluation (GLUE) benchmark \n[138], the Stanford Question Answering Datasets (SQuAD 1.1 and \n2.0) [108], and the Situations With Adversarial Generations bench- \nmark (SWAG) [155], all datasets designed to test language under- \nstanding and/or commonsense reasoning. BERT posted state of \nthe art results on all of these tasks, and the authors conclude by \nsaying that “unsupervised pre-training is an integral part of many \nlanguage understanding systems.” [39, p.4179]. Even before [39] \nwas published, BERT was picked up by the NLP community and \napplied with great success to a wide variety of tasks [e.g. 2, 149]. \nHowever, no actual language understanding is taking place in \nLM-driven approaches to these tasks, as can be shown by careful \nmanipulation of the test data to remove spurious cues the systems \nare leveraging [21, 93]. Furthermore, as Bender and Koller [14] \nargue from a theoretical perspective, languages are systems of \nsigns [37], i.e. pairings of form and meaning. But the training data \nfor LMs is only form; they do not have access to meaning. Therefore, \nclaims about model abilities must be carefully characterized. \n\nAs the late Karen Spärck Jones pointed out: the use of LMs \nties us to certain (usually unstated) epistemological and method- \nological commitments [124]. Either i) we commit ourselves to a \nnoisy-channel interpretation of the task (which rarely makes sense \noutside of ASR), ii) we abandon any goals of theoretical insight into \ntasks and treat LMs as “just some convenient technology” [p.7], or \niii) we implicitly assume a certain statistical relationship — known \nto be invalid — between inputs, outputs and meanings.20 Although \n\n4.4 Curation, Documentation & Accountability \nIn summary, LMs trained on large, uncurated, static datasets from \nthe Web encode hegemonic views that are harmful to marginalized \npopulations. We thus emphasize the need to invest significant re- \nsources into curating and documenting LM training data. In this, \nwe follow Jo et al. [62], who cite archival history data collection \nmethods as an example of the amount of resources that should be \ndedicated to this process, and Birhane and Prabhu [18], who call for \na more justice-oriented data collection methodology. Birhane and \nPrabhu note, echoing Ruha Benjamin [15], “Feeding AI systems on \nthe world’s beauty, ugliness, and cruelty, but expecting it to reflect \nonly the beauty is a fantasy.” [p.1541] \n\nWhen we rely on ever larger datasets we risk incurring doc- \numentation debt,18 i.e. putting ourselves in a situation where the \ndatasets are both undocumented and too large to document post hoc. \nWhile documentation allows for potential accountability [13, 52, 86], \nundocumented training data perpetuates harm without recourse. \nWithout documentation, one cannot try to understand training data \ncharacteristics in order to mitigate some of these attested issues \nor even unknown ones. The solution, we propose, is to budget for \n\n19~26% of papers sampled from ACL, NAACL and EMNLP since 2018 cite [39]. \n20Specifically, that the mutual information between the input and the meaning given \nthe output is zero — what Spärck Jones calls “the model of ignorance”.", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv5_ccby4license.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic5.pdf", + "query": "Is OLAF a specific strategy for ontological learning or is it a toolbox of different strategies?", + "target_page": 1, + "target_passage": "Our vision is to implement a toolbox of methods we can gather to build pipelines. ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**OLAF : Ontology Learning Applied Framework**\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) \nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK \n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically**extracting and structuring knowledge**\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a**modular ontology**\n**learning framework**considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning \nsystems as tools to help the domain expert, we developed the proposed framework with**full automation**in mind. An implementation as an**open-**\n**source and collaborative python library**is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning. \n\n**STATE OF THE ART**\n\nSystem Overview Pros and cons \n\nIt is the reference in the field as it defines a \nrepresentation-agnostic structure with modular \nsteps and takes into account uncertainty. The \nsystem is implemented as a GATE module. Ontologies can be exported in \nvarious formats. GATE system \nadds great visualisations. But it is \nnot maintained since 2011. \n\nText2Onto, \n2005, [1] \n\nIt focuses on multiword terms to construct a \n\"lexicalised ontology\" by adapting an agglomerative \nclustering and an FCA method. It implements 4 \nsteps: text preprocessing, concept extraction (C/NC- \nvalue), taxonomy construction, and non-taxonomic \nrelation acquisition (rule-based and probabilistic). It considers only multiword \nterms and relies on WordNet \nand POS tags. It does not \ndistinguish between terms and \nconcepts and implements \ndifferent adaptable approaches. \n\nOntoGain, \n2010, [2] \n\nIt focuses on \"lexicalised ontologies\" and uses seed \nknowledge. It implements 5 steps: terminology \nextraction, hypernym graph construction, domain \nfiltering of hypernyms, hypernym graph pruning and \nedge recovery. It relies on WordNet and POS \ntags and does not distinguish \nbetween terms and concepts. \nIt implements different \nadaptable approaches. \n\nOntoLearn \n(Reloaded), \n2013, [3] \n\n\n\n\n\nMost ontology learning systems do not consider the targeted ontology- \nbased system. Though an ideal ontology should model a domain in an \napplication-independent manner, in practice,**concepts and relations**\n**represented largely depend on one or more business use cases**. As \nwe designed our framework with industry application in mind, we need \nto consider it within its**real-world usage context**. \n\n***C-value-based filtering***\n***Linguistic-based filtering***\n***TF-IDF value-based filtering***\n\nOur implementation is largely based on the**Python NLP**\n**library spaCy**. The text processing on spaCy helps us \nwork with data in**many different languages**while \nstaying flexible on the methods used. The only constraint \nis to end up with a list of**spaCy Doc objects**. \n\nTerm Extraction \n\n***Embedding-based similar term extraction***\n***ConceptNet synonym extraction***\n***WordNet synonym extraction***\n\nTerm Enrichment \n\n***ConceptNet-based extraction***\n***Grouping terms based on synonyms***\n***Term cooccurrences-based extraction***\n***Similarity-based extraction***\n*Formal concept Analysis*\n\n**OLAF**\n\nConcept/Relation \nExtraction \n\n***Term subsumption algorithm***\n*Hierarchical clustering* Different**serialization techniques**can be used to export and \nleverage the learned ontology in an application system. \nHierarchisation", + "page_start": 0, + "page_end": 0, + "source_file": "infographic5.pdf" + }, + { + "text": "***Term subsumption algorithm***\n*Hierarchical clustering* Different**serialization techniques**can be used to export and \nleverage the learned ontology in an application system. \nHierarchisation \n\nWe designed the proposed framework focusing on**automation**with very little, if any, human involvement in mind. Unlike most existing approaches, \nparticular attention is brought to the**learned ontology final production use case**. We implement the framework as an open-source and open- \naccess python library. We aim to**gather feedback and grow a community**to develop and test multiple algorithms. Various satellite tools could be \ndeveloped to enhance the framework implementation. However, we should focus on developing**axiom extraction**and**automatic ontology**\n**evaluation**. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter \nfield is known as \"SemOps\". \n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 \nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: \nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 \nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI: \n10.1162/COLI_a_00146 \nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, \nDatabase, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101", + "page_start": 0, + "page_end": 0, + "source_file": "infographic5.pdf" + }, + { + "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551 \n\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins \n\n**Preprint**· April 2021 \n\nCITATIONS \n0 READS \n36,030 \n\n**1 author:**", + "page_start": 0, + "page_end": 0, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". \n*Image and Vision Computing*.**26**(1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi. \norg/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co \nrpusID:10767011). \n\nNilsson, Nils (1995), \"Eyes on the Prize\",*AI Magazine*, vol. 16, pp. 9–17", + "page_start": 60, + "page_end": 60, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Tiago Pimentel, Josef Valvoda, Rowan Hall Maud- \nslay, Ran Zmigrod, Adina Williams, and Ryan \nCotterell. 2020. Information-Theoretic Probing \nfor Linguistic Structure. arXiv:2004.03061 [cs]. \n\nNina Poerner, Ulli Waltinger, and Hinrich Schütze. \n2019. \nBERT is not a knowledge base \n(yet): Factual knowledge vs. name-based rea- \narXiv preprint \nsoning in unsupervised qa. \narXiv:1911.03681. Jiaqi Mu and Pramod Viswanath. 2018. All-but- \nthe-top: Simple and effective postprocessing for \nword representations. In International Confer- \nence on Learning Representations.", + "page_start": 17, + "page_end": 17, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "The original BERT paper [39] showed the effectiveness of the \narchitecture and the pretraining technique by evaluating on the \nGeneral Language Understanding Evaluation (GLUE) benchmark \n[138], the Stanford Question Answering Datasets (SQuAD 1.1 and \n2.0) [108], and the Situations With Adversarial Generations bench- \nmark (SWAG) [155], all datasets designed to test language under- \nstanding and/or commonsense reasoning. BERT posted state of \nthe art results on all of these tasks, and the authors conclude by \nsaying that “unsupervised pre-training is an integral part of many \nlanguage understanding systems.” [39, p.4179]. Even before [39] \nwas published, BERT was picked up by the NLP community and \napplied with great success to a wide variety of tasks [e.g. 2, 149]. \nHowever, no actual language understanding is taking place in \nLM-driven approaches to these tasks, as can be shown by careful \nmanipulation of the test data to remove spurious cues the systems \nare leveraging [21, 93]. Furthermore, as Bender and Koller [14] \nargue from a theoretical perspective, languages are systems of \nsigns [37], i.e. pairings of form and meaning. But the training data \nfor LMs is only form; they do not have access to meaning. Therefore, \nclaims about model abilities must be carefully characterized. \n\nAs the late Karen Spärck Jones pointed out: the use of LMs \nties us to certain (usually unstated) epistemological and method- \nological commitments [124]. Either i) we commit ourselves to a \nnoisy-channel interpretation of the task (which rarely makes sense \noutside of ASR), ii) we abandon any goals of theoretical insight into \ntasks and treat LMs as “just some convenient technology” [p.7], or \niii) we implicitly assume a certain statistical relationship — known \nto be invalid — between inputs, outputs and meanings.20 Although \n\n4.4 Curation, Documentation & Accountability \nIn summary, LMs trained on large, uncurated, static datasets from \nthe Web encode hegemonic views that are harmful to marginalized \npopulations. We thus emphasize the need to invest significant re- \nsources into curating and documenting LM training data. In this, \nwe follow Jo et al. [62], who cite archival history data collection \nmethods as an example of the amount of resources that should be \ndedicated to this process, and Birhane and Prabhu [18], who call for \na more justice-oriented data collection methodology. Birhane and \nPrabhu note, echoing Ruha Benjamin [15], “Feeding AI systems on \nthe world’s beauty, ugliness, and cruelty, but expecting it to reflect \nonly the beauty is a fantasy.” [p.1541] \n\nWhen we rely on ever larger datasets we risk incurring doc- \numentation debt,18 i.e. putting ourselves in a situation where the \ndatasets are both undocumented and too large to document post hoc. \nWhile documentation allows for potential accountability [13, 52, 86], \nundocumented training data perpetuates harm without recourse. \nWithout documentation, one cannot try to understand training data \ncharacteristics in order to mitigate some of these attested issues \nor even unknown ones. The solution, we propose, is to budget for \n\n19~26% of papers sampled from ACL, NAACL and EMNLP since 2018 cite [39]. \n20Specifically, that the mutual information between the input and the meaning given \nthe output is zero — what Spärck Jones calls “the model of ignorance”.", + "page_start": 5, + "page_end": 5, + "source_file": "arxiv5_ccby4license.pdf" + }, + { + "text": "3.2 Semantic knowledge \n\nTo date, more studies have been devoted to BERT’s \nknowledge of syntactic rather than semantic phe- \nnomena. However, we do have evidence from an \nMLM probing study that BERT has some knowl- \nedge of semantic roles (Ettinger, 2019). BERT \neven displays some preference for the incorrect \nfillers for semantic roles that are semantically re- \nlated to the correct ones, as opposed to those that \nare unrelated (e.g. \"to tip a chef\" is better than \"to \ntip a robin\", but worse than \"to tip a waiter\"). \n\nFigure 2: BERT world knowledge (Petroni et al., 2019) \n\nblanks (e.g. \"Cats like to chase [___]\"). Petroni \net al. (2019) showed that, for some relation types, \nvanilla BERT is competitive with methods rely- \ning on knowledge bases (Figure 2), and Roberts \net al. (2020) show the same for open-domain QA \nusing T5 model (Raffel et al., 2019). Davison et al. \n(2019) suggest that it generalizes better to unseen \ndata. In order to retrieve BERT’s knowledge, we \nneed good template sentences, and there is work \non their automatic extraction and augmentation \n(Bouraoui et al., 2019; Jiang et al., 2019b). \nTenney et al. (2019b) showed that BERT en- \ncodes information about entity types, relations, \nsemantic roles, and proto-roles, since this infor- \nmation can be detected with probing classifiers. \n\nBERT struggles with representations of num- \nbers. Addition and number decoding tasks showed \nthat BERT does not form good representations for \nfloating point numbers and fails to generalize away \nfrom the training data (Wallace et al., 2019b). A \npart of the problem is BERT’s wordpiece tokeniza- \ntion, since numbers of similar values can be divided \nup into substantially different word chunks. \n\nHowever, BERT cannot reason based on its \nworld knowledge. Forbes et al. (2019) show that \nBERT can \"guess\" the affordances and properties of \nmany objects, but can not reason about the relation- \nship between properties and affordances. For ex- \nample, it “knows\" that people can walk into houses, \nand that houses are big, but it cannot infer that \nhouses are bigger than people. Zhou et al. (2020) \nand Richardson and Sabharwal (2019) also show \nthat the performance drops with the number of nec- \nessary inference steps. Some of BERT’s world \nknowledge success comes from learning stereotypi- \ncal associations (Poerner et al., 2019), e.g., a person \nwith an Italian-sounding name is predicted to be \nItalian, even when it is incorrect. \n\nOut-of-the-box BERT is surprisingly brittle to \nnamed entity replacements: e.g. replacing names \nin the coreference task changes 85% of predictions \n(Balasubramanian et al., 2020). This suggests that \nthe model does not actually form a generic idea of \nnamed entities, although its F1 scores on NER prob- \ning tasks are high (Tenney et al., 2019a). Broscheit \n(2019) find that fine-tuning BERT on Wikipedia \nentity linking \"teaches\" it additional entity knowl- \nedge, which would suggest that it did not absorb all \nthe relevant entity information during pre-training \non Wikipedia. \n\n3.4 Limitations \n\nMultiple probing studies in section 3 and section 4 \nreport that BERT possesses a surprising amount of \nsyntactic, semantic, and world knowledge. How- \never, Tenney et al. (2019a) remarks, “the fact that \na linguistic pattern is not observed by our probing \nclassifier does not guarantee that it is not there, and \nthe observation of a pattern does not tell us how it \nis used.\" There is also the issue of how complex a \nprobe should be allowed to be (Liu et al., 2019a). If \na more complex probe recovers more information, \nto what extent are we still relying on the original \nmodel? \n\n3.3 World knowledge", + "page_start": 2, + "page_end": 2, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "This tutorial is just the entry point to a technology that is entering the*Slope of Enlightenment*in the \nGartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the \nSemantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US \ncorporations the excitement around Machine Learning seemed for a while to eclipse serious interest in \nOWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology \ncompanies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started \nto embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is \nfinally realizing that machine learning and knowledge graphs are complimentary not competitive \ntechnologies. \n\nThe term knowledge graph itself can be used in different ways. The best definition I’ve heard is that an \nontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology \ncombined with data (A-Box). Although in the corporate world I often hear people simply talk about \nknowledge graphs without much interest in the distinction between the vocabulary and the data. \n\nThere are a number of vendors emerging who are using the technology in very productive ways and are \nproviding the foundation for federated knowledge graphs that can scale to hundreds of millions of triples \nor more and provide a framework for all corporate data. I’ve listed several in the bibliography but those \nare only the ones I’ve had some experience with. I’m sure there are many others. One of the products I’ve \nhad the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz \nInc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the \ncommercial version. I’ve found the Allegro triplestore easy to use on a Windows PC with the Docker tool \nto emulate a Linux server. \n\nI first started working with classification-based languages when I worked at the Information Sciences \nInstitute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US \nDepartment of Defense and their contractors. Since then, I’ve followed the progress of the technology, \nespecially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great \npromise in the technology. When I first discovered Protégé it was a great experience. It is one of the best \nsupported and most usable free tools I’ve ever seen, and it always surprised me that there weren’t more \ncorporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope \nthis tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.", + "page_start": 88, + "page_end": 88, + "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" + }, + { + "text": "David Vilares, Michalina Strzyz, Anders Søgaard, \nand Carlos Gómez-Rodríguez. 2020. Parsing as \npretraining. In Thirty-Fourth AAAI Conference \non Artificial Intelligence (AAAI-20). Wei Wang, Bin Bi, Ming Yan, Chen Wu, Zuyi \nBao, Liwei Peng, and Luo Si. 2019a. Struct- \nBERT: Incorporating Language Structures into", + "page_start": 20, + "page_end": 20, + "source_file": "arxiv2_taclccby4_license.pdf" + }, + { + "text": "Castaño, Arnaldo Pérez (23 May 2018).*Practical Artificial Intelligence: Machine Learning,*\n*Bots, and Agent Solutions Using C#*. Apress. p. 2. ISBN 978-1-4842-3357-3. \nChakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and \nNavya-Nyaya Logic\".*Philosophy and Phenomenological Research*.**36**(4): 554–563. \ndoi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j \nstor.org/stable/2106873). \nChatfield, Tom (2017).*Critical Thinking: Your Guide to Effective Argument, Successful*\n*Analysis and Independent Study*. Sage. p. 194. ISBN 978-1-5264-1877-7. \nChua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers. \norg/rec/CHUAER).*Logic, Rationality, and Interaction*. Lecture Notes in Computer Science. \nVol. 10455. pp. 631–636. doi:10.1007/978-3-662-55665-8_43 (https://doi.org/10.1007%2F9 \n78-3-662-55665-8_43). ISBN 978-3-662-55664-1. \nClocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http \ns://link.springer.com/chapter/10.1007/978-3-642-55481-0_10).*Programming in Prolog:*\n*Using the ISO Standard*. Springer. pp. 237–257. doi:10.1007/978-3-642-55481-0_10 (http \ns://doi.org/10.1007%2F978-3-642-55481-0_10). ISBN 978-3-642-55481-0. \nCook, Roy T. (2009).*Dictionary of Philosophical Logic*. Edinburgh University Press. p. 124. \nISBN 978-0-7486-3197-1. \nCopi, Irving M.; Cohen, Carl; Rodych, Victor (2019).*Introduction to Logic*. Routledge. \nISBN 978-1-351-38697-5. \nCorkum, Philip (2015). \"Generality and Logical Constancy\".*Revista Portuguesa de*\n*Filosofia*.**71**(4): 753–767. doi:10.17990/rpf/2015_71_4_0753 (https://doi.org/10.17990%2Fr \npf%2F2015_71_4_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283). \nJSTOR 43744657 (https://www.jstor.org/stable/43744657). \nCraig, Edward (1996).*Routledge Encyclopedia of Philosophy*(https://philpapers.org/rec/BE \nAREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101 \n16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021. \nRetrieved 29 December 2021. \nCummings, Louise (2010). \"Abduction\".*The Routledge Pragmatics Encyclopedia*. \nRoutledge. p. 1. ISBN 978-1-135-21457-9. \nCunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/).*Internet Encyclopedia of*\n*Philosophy*. Retrieved 23 September 2022. \nD'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is \nPropositional Logic Really Uninformative?\".*Synthese*.**167**(2): 271–315. \ndoi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4). \nhdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world \ncat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192). \nS2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882). \nDaintith, John; Wright, Edmund (2008).*A Dictionary of Computing*. OUP. ISBN 978-0-19- \n923400-4. \nvan Dalen, Dirk (1994).*Logic and Structure*. Springer. Chapter 1.5. ISBN 978-0-387-57839- \n2. \nDasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/).*Internet Encyclopedia of*\n*Philosophy*. Retrieved 12 March 2023. \nDick, Anthony S.; Müller, Ulrich (2017).*Advancing Developmental Science: Philosophy,*\n*Theory, and Method*. Taylor & Francis. p. 157. ISBN 978-1-351-70456-4. \nDouven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/).*The*\n*Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. \nArchived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab \nduction/) from the original on 7 September 2021. Retrieved 24 August 2021.", + "page_start": 26, + "page_end": 26, + "source_file": "wikipedia1.pdf" + } + ] + }, + { + "references": { + "source_file": "infographic5.pdf", + "query": "Is Text2Onto still updated nowadays?", + "target_page": 1, + "target_passage": "But it is not maintained since 2011.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**Availability**\n\nThe information in this article is applicable to the following versions of Word. \n\nWord for Windows Version 2408 and later. \n\nWord for Mac Version 16.89 and later. \n\nWord for iOS Version 2.89 and later. \n\nWord for Android Build 16.0.18025.XXXXX or later. \n\nWord for the web Build 16.0.18025.XXXXX or later. \n\nIt is available to customers with Office 2024 or Office LTSC 2024 and to customers with a \n\nMicrosoft 365 subscription on Current Channel or Monthly Enterprise Channel. For \n\ncustomers with a Microsoft 365 subscription on Semi-Annual Enterprise Channel it will \n\nbe available on January 14, 2025.", + "page_start": 60, + "page_end": 60, + "source_file": "office-pdf.pdf" + }, + { + "text": "**13.4 Software update**\n\nThis section describes the operations to update your Storwize V7000 software to V8.1. \n\nThe format for the software update package name ends in four positive integers that are \nseparated by dots. For example, a software update package might have the following name: \n\nIBM_2145_INSTALL_8.2.1.0 \n\n**13.4.1 Precautions before the update**\n\nThis section describes the precautions that you should take before you attempt an update. \n\n**Important:**Before you attempt any IBM Storwize V7000 code update, read and \nunderstand the Storwize V7000 concurrent compatibility and code cross-reference matrix. \nFor more information, see this website and click**Latest Storwize V7000 code**. \n\nDuring the update, each node in your Storwize V7000 clustered system is automatically shut \ndown and restarted by the update process. Because each node in an I/O Group provides an \nalternative path to volumes, use the Subsystem Device Driver (SDD) to make sure that all I/O \npaths between all hosts and storage area networks (SANs) work. \n\nIf you do not perform this check, certain hosts might lose connectivity to their volumes and \nexperience I/O errors when the Storwize V7000 node that provides that access is shut down \nduring the update process. You can check the I/O paths by using**datapath query**SDD \ncommands. \n\n**13.4.2 IBM Storwize V7000 update test utility**\n\nThe software update test utility is a Storwize V7000 software utility that checks for known \nissues that can cause problems during a Storwize V7000 software update. For more \ninformation about the utility, see this website. \n\nDownload the software update utility from this page where you can also download the \nfirmware. This procedure ensures that you receive the current version of this utility. You can \nuse the**svcupgradetest**utility to check for known issues that might cause problems during a \nsoftware update. \n\nThe software update test utility can be downloaded in advance of the update process. \nAlternately, it can be downloaded and run directly during the software update, as guided by \nthe update wizard. \n\nYou can run the utility multiple times on the same IBM Storwize V7000 system to perform a \nreadiness check-in preparation for a software update. Run this utility for a final time \nimmediately before you apply the software update to ensure that there were no new releases \nof the utility since it was originally downloaded.", + "page_start": 708, + "page_end": 708, + "source_file": "sg247938.pdf" + }, + { + "text": "Marmouyet, Françoise (15 December 2023). \"Google's Gemini: is the new AI model really better \nthan ChatGPT?\" (https://theconversation.com/googles-gemini-is-the-new-ai-model-really-bet \nter-than-chatgpt-219526).*The Conversation*. Archived (https://web.archive.org/web/202403 \n04215625/https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-tha \nn-chatgpt-219526) from the original on 4 March 2024. Retrieved 25 December 2023. \n\nMinsky, Marvin (1986),*The Society of Mind*, Simon and Schuster", + "page_start": 59, + "page_end": 59, + "source_file": "wikipedia3.pdf" + }, + { + "text": "The operation is successful. If you do not specify task=\"update\" in the input XML file, you \nsee a message that indicates that the object exists, as shown in bold in Example 3-5. In this \nscenario, user User1 is not updated with the new query restriction. \n\n*Example 3-5 Output of updating the user without using task=“update”*\n\nARS6822I Attempting login for userid 'User1' on server 'odserver'Updating \napplicationGroup, CreditCardAG \nUpdate of applicationGroup, CreditCardAG was successful. \n**An applicationGroup-permission object named 'CreditCardAG-User1' already exists.**\nFinished processing file updateag.xml.", + "page_start": 99, + "page_end": 99, + "source_file": "sg246915.pdf" + }, + { + "text": "The installation and use of this utility is nondisruptive, and does not require restart of any IBM \nStorwize V7000 nodes. Therefore, there is no interruption to host I/O. The utility is only \ninstalled on the current configuration node. \n\nSystem administrators must continue to check whether the version of code that they plan to \ninstall is the latest version. For the most current information, see this website. \n\nThis utility is intended to supplement rather than duplicate the tests that are performed by the \nIBM Spectrum Virtualize update procedure (for example, checking for unfixed errors in the \nerror log). \n\nConcurrent software update of all components is supported through the standard Ethernet \nmanagement interfaces. However, most of the configuration tasks are restricted during the \nupdate process. \n\n**13.4.3 Updating your Storwize V7000 to V8.2.1**\n\nTo update the IBM Spectrum Virtualize software to V8.2.1, complete the following steps: \n\n1. Open a supported web browser and navigate to your cluster IP address. A login window \nopens (see Figure 13-11).", + "page_start": 709, + "page_end": 709, + "source_file": "sg247938.pdf" + }, + { + "text": "**3**\n\n**Activity**\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \n\n**1** **6**\n\n**4**\n\n**Chat**\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \n\n**2** **7**\n\n**5**\n\n**Teams**\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \n\n**3**\n\n**Help**\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \n\n**8**\n\n**6**\n\n**Calendar**\nBring up your calendar to view, create, and respond \nto meetings. \n\n**4**\n\n**Search**\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \n\n**9**\n\n**Calls**\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \n\n**5**\n\n**Profile**\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you. \n\n**10**\n\n**7**\n\n\n\n**1**\n\n**8**", + "page_start": 1, + "page_end": 1, + "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" + }, + { + "text": "**Summary of changes**\n\nThis section describes the technical changes made in this edition of the book and in previous \neditions. This edition might also include minor corrections and editorial changes that are not \nidentified. \n\nSummary of Changes \nfor SG24-7938-07 \nfor Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1 \nas created or updated on November 7, 2019. \n\n**June 2019, Eighth Edition**\n\nThis revision includes the following new and changed information. \n\n**New information**\n(cid:2) Add new look GUI \n(cid:2) Hot Spare node \n(cid:2) RAS line items \n\n**Changed information**\n(cid:2) Added new GUI windows throughout", + "page_start": 20, + "page_end": 20, + "source_file": "sg247938.pdf" + }, + { + "text": "You can navigate directly to the events menu by clicking**View All Events**option or see each \nevent message separately by clicking the**Details**icon of the specific message, analyze the \ncontent, and eventually run the suggested fix procedure (see Figure 5-13). \n\nFigure 5-13 External storage connectivity loss \n\n**Running jobs and suggested tasks**\nThe middle icon in the notification area provides an overview of currently running tasks that \nare triggered by administrator. It also includes the suggested tasks that recommend that \nusers perform specific configuration actions. \n\nIn the example that is shown in Figure 5-14 on page 141, we did not yet define any hosts \nattached to the systems. Therefore, the system suggests that we do so and offers us direct \naccess to the associated host menu. Click**Run Task**to define the host according to the \nprocedure that is explained in Chapter 8, “Hosts” on page 317. If you do not want to define \nany host now, click**Not Now**and the suggestion message disappears.", + "page_start": 161, + "page_end": 161, + "source_file": "sg247938.pdf" + }, + { + "text": "IBM_Storwize:ITSO-V7000:superuser>**lstargetportfc**\nid WWPN WWNN port_id owning_node_id current_node_id nportid host_io_permitted virtualized protocol \n1 500507680140A288 500507680100A288 1 1 1 010A00 yes no scsi \n**2 500507680142A288 500507680100A288 1 1 000000 no yes scsi**\n**3 500507680144A288 500507680100A288 1 1 000000 no yes nvme**\n4 500507680130A288 500507680100A288 2 1 1 010400 yes no scsi \n**5 500507680132A288 500507680100A288 2 1 000000 no yes scsi**\n**6 500507680134A288 500507680100A288 2 1 000000 no yes nvme**\n7 500507680110A288 500507680100A288 3 1 1 010500 yes no scsi \n**8 500507680112A288 500507680100A288 3 1 000000 no yes scsi**\n**9 500507680114A288 500507680100A288 3 1 000000 no yes nvme**\n10 500507680120A288 500507680100A288 4 1 1 010A00 yes no scsi \n**11 500507680122A288 500507680100A288 4 1 000000 no yes scsi**\n**12 500507680124A288 500507680100A288 4 1 000000 no yes nvme**\n49 500507680C110009 500507680C000009 1 2 2 010500 yes no scsi \n**50 500507680C150009 500507680C000009 1 2 000000 no yes scsi**\n**51 500507680C190009 500507680C000009 1 2 000000 no yes nvme**\n52 500507680C120009 500507680C000009 2 2 2 010400 yes no scsi \n**53 500507680C160009 500507680C000009 2 2 000000 no yes scsi**\n**54 500507680C1A0009 500507680C000009 2 2 000000 no yes nvme**\n55 500507680C130009 500507680C000009 3 2 2 010900 yes no scsi \n**56 500507680C170009 500507680C000009 3 2 000000 no yes scsi**\n**57 500507680C1B0009 500507680C000009 3 2 000000 no yes nvme**\n58 500507680C140009 500507680C000009 4 2 2 010900 yes no scsi \n**59 500507680C180009 500507680C000009 4 2 000000 no yes scsi**\n**60 500507680C1C0009 500507680C000009 4 2 000000 no yes nvme**\n\n4. Enable transitional mode for NPIV on the Storwize V7000 system (see Example 8-6). \n\nExample 8-6 NPIV in transitional mode \n\nIBM_Storwize:ITSO-V7000:superuser>**chiogrp -fctargetportmode transitional 0**\nIBM_Storwize:ITSO-V7000:superuser>**lsiogrp 0 |grep fctargetportmode**\nfctargetportmode**transitional**", + "page_start": 345, + "page_end": 345, + "source_file": "sg247938.pdf" + }, + { + "text": "Figure 13-15 The update type selection \n\nWhen updating from a V8.1 or later level, another window is displayed at this point in \nwhich you can choose a fully automated update, one that pauses when half the nodes \ncomplete the update, or one that pauses after each node update, as shown in \nFigure 13-16. The pause option requires that you click**Resume**to continue the update \nafter each pause. Click**Finish**. \n\nFigure 13-16 New V8.1 update pause options \n\n7. After the update packages upload, the update test utility looks for any known issues that \nmight affect a concurrent update of your system. Click**Read more**(see Figure 13-17 on \npage 692).", + "page_start": 712, + "page_end": 712, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RCI_2013.pdf", + "query": "What was the proportion of revenue generated by wireless telecommunications operations in 2009?", + "target_page": 91, + "target_passage": "6,685", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "Within wireless revenues, the PCS operation contributed $69.8 million, an increase of $11.6 million, or 20.8%. PCS \nservice revenues were $44.4 million, an increase of $10.9 million or 32.4%. Service revenue growth was driven by the \nincrease in subscribers, totaling 85,139 at December 31, 2003, an increase of 17,297 or 25.5%, compared to 67,842 \nsubscribers at year-end 2002. The company had churn of 2.1% in 2003 compared to 2.8% in 2002. The decline in the \nchurn rate is the result of tightening the credit screening for new subscribers as well as continued efforts to improve the \nafter sales support. Competition in the wireless industry continues to have a significant impact on the results of the \nCompany’s PCS operation. \n\nPCS travel revenue, including reseller revenue, which is compensation between Sprint and its PCS Affiliates for use of \nthe other party’s network, was $16.8 million, an increase of $0.3 million or 1.8%. Travel revenue is impacted by the \ngeographic size of the Company’s network service area, the overall number of Sprint wireless customers, their travel \npatterns and the travel exchange rate. The rate received on travel was $0.058 per minute in 2003, compared to $0.10 \nper minute in 2002. As a part of the amended management agreement signed on January 30, 2004, Sprint and the \nCompany agreed to maintain the travel rate at $0.058 per minute through December 31, 2006. \n\n45 ■ 2003 ANNUAL REPORT", + "page_start": 46, + "page_end": 46, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "The percentage of subscribers with smartphones increased to 75% of \nour overall postpaid subscriber base, compared to 69% at the end of \n2012. Smartphone subscribers typically generate significantly higher \nARPU and are less likely to churn. \nOther operating expenses (excluding retention spending), were down \nslightly from 2012, due to a continued focus on cost productivity \ninitiatives we are implementing across various functions. \n\n**Higher Adjusted Operating Profit**\nAdjusted operating profit was 3% higher this year compared to last \nyear because of continued growth of wireless data, our improvements \nin cost management and efficiency and lower volumes of hardware \nsales and upgrades. Adjusted operating profit margin as a percentage \nof network revenue increased this year to 46.8% from 45.6% in 2012. \n\n**SMARTPHONES AS A PERCENTAGE OF POSTPAID SUBSCRIBERS**\n(%) \n\n**2013** **75%**\n\n2012 69% \n\n2011 56% \n\n**WIRELESS ADJUSTED OPERATING PROFIT**\n(IN MILLIONS OF DOLLARS) \n\nThe decrease in prepaid subscriber net additions was mainly because of \nincreasing competition at the lower end of the wireless market where \nprepaid products are mainly sold. \n\n**2013** **$3,157**\n\n2012 $3,063 \n\n2011 $3,036", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Wireless revenues from the Company’s paging operation were $0.3 million, a decrease of $0.1 million as the local \ncustomer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in \n2002 from 3,190 subscribers to 2,940 subscribers. \n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. \nTelephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues \nwas driven by a 38.4% increase in access minutes of use on the Company’s network and an increased percentage of \nminutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the \nFederal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC \n\n49 ■ 2003 ANNUAL REPORT", + "page_start": 50, + "page_end": 50, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "Network revenue was higher this year compared to last year. This was \nthe net effect of: \n(cid:129) higher data revenue related to an increase in subscriber levels and \n\n**WIRELESS DATA REVENUE**\n(IN MILLIONS OF DOLLARS) \n\n**2013** **$3,175**\nhigher usage of wireless data services \n\n(cid:129) partially offset by our introduction of new lower priced US and \ninternational roaming plans and rates which offer consumers more \nvalue, and \n\n2012 $2,722 \n\n2011 $2,325 \n\n(cid:129) the continued adoption of customer friendly simplified plans, which \noften bundle in certain features like voicemail, caller ID and long \ndistance that we have charged for separately in the past. \n\nExcluding the decline in US and international roaming revenue this year, \nnetwork revenue would have increased 1%. \n**47%**\n\n2012 41% \n\n2011 35% \n\nData revenue was 17% higher \nthe \ncontinued penetration and growing use of smartphones, tablet devices \nand wireless laptops, which increased the use of e-mail, wireless, \nInternet access, text messaging and other wireless data services. Data \nrevenue represented approximately 47% of total network revenue this \nyear, compared to approximately 41% last year. \n\nthis year mainly because of \n\n*Lower Equipment Sales*\nEquipment sales (net of subsidies) include revenue from sales to: \n(cid:129) independent dealers, agents and retailers \n(cid:129) directly to subscribers through fulfillment by Wireless’ customer \nPostpaid churn was 1.24% this year, compared to 1.29% in 2012. The \nlower churn rate is partly attributable to the new simplified plans and \nthe roaming plans we introduced. \nservice groups, websites, telesales and corporate stores. \n\nRevenue from equipment sales was lower this year, mainly because \nfewer existing subscribers upgraded their devices and there were fewer \ngross activations. \n\nGross postpaid subscriber additions were 1.4 million this year, or 3% \nlower than last year, which reduced net postpaid subscriber additions to \n228,000, despite a lower postpaid churn. We believe the industry \ntransition from three year to two year plans resulting from the recent \nadoption of the Canadian Radio-television and Telecommunications \nCommission (CRTC) Wireless Code may have slowed our overall \nwireless subscriber growth from the second half of the year. See \n“Regulation in Our Industry” for more information on the Wireless \nCode. \n\n**Lower Operating Expenses**\nWe assess operating expenses in two categories: \n(cid:129) the cost of wireless handsets and equipment \n(cid:129) all other expenses involved in day-to-day operations, to service \nexisting subscriber relationships and attract new subscribers. \n\nThe cost of equipment was $50 million lower than last year, or 3%, \nmainly because fewer existing subscribers upgraded hardware and \nfewer new customers were added during the year as discussed above. \nWe activated and upgraded fewer devices compared to 2012. \n\nWe activated and upgraded approximately 2.7 million smartphones this \nyear, compared to approximately 2.9 million in 2012. Approximately \n34% of these were for new subscribers. The decrease was mainly \nbecause there was a 10% reduction in hardware upgrades by existing \nsubscribers during the year, which we also believe is at least partly due \nto the move from three to two year contracts and the associated pricing \nchanges. \n\nTotal customer retention spending (including subsidies on handset \nupgrades) was $939 million, 0.3% lower than last year. The reduction \nwas mainly because fewer existing subscribers upgraded their hardware \nas discussed above, which we partially attribute to the recent shift to \ntwo year contracts.", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "KEY CHANGES IN FINANCIAL RESULTS THIS YEAR COMPARED TO 2012 \n\n**Operating Revenue**\nWireless network revenue was higher than last year because of higher \nadoption and usage of wireless data services, partially offset by the \nintroduction of lower priced roaming plans and pricing changes made \nover this year. \n\n(In millions of dollars) **Change** **see page**\n\n*Operating revenue changes – higher (lower):*\nNetwork revenue – Wireless \nEquipment sales – Wireless \nCable \nBusiness Solutions \nMedia \nCorporate items and intercompany eliminations $ 29 \n(39) \n117 \n23 \n84 \n6 \n39 \n39 \n42 \n45 \n48 \n\nCable operating revenue was higher than last year mainly because of \ngrowth in Internet and phone revenues and the acquisition of Mountain \nCable, partially offset by a decline in television revenue related \nprincipally from competitive TV subscriber losses. \n**Higher operating revenue compared to 2012** 220 \n\n*Adjusted operating profit changes – higher (lower):*\nWireless \nCable \nBusiness Solutions \nMedia \nCorporate items and intercompany eliminations 94 \n113 \n17 \n(29) \n(36) \n39 \n42 \n45 \n48 \n\nBusiness Solutions operating revenue was higher than last year mainly \nbecause we completed the acquisitions of Blackiron Data and Pivot \nData Centres earlier this year combined with the continued growth in \non-net and next generation services, partially offset by planned decline \nin legacy voice and data services. \n\n**Higher adjusted operating profit 1 compared to**\n**2012**\n\nHigher stock-based compensation expense \nLower restructuring, acquisition and other expenses \nHigher depreciation and amortization \nImpairment recognized in 2012 \n\n**Higher operating income 2 compared to 2012**\nHigher finance costs \nGain on sale of interest in TVtropolis \nGain on Inukshuk spectrum distribution in 2012 \nOther \nLower income taxes \n\n**Decrease in net income from continuing**\n**operations compared to 2012**\nLoss from discontinued operations in 2012 \n\n**Decrease in net income compared to 2012**\n\n159 \n\n(7) \n7 \n(79) \n80 \n\n160 \n(71) \n47 \n(233) \n17 \n24 \n\n(56) \n32 \n\n(24) \n\n1 Adjusted operating profit is a Non-GAAP measure and should not be considered as \na substitute or alternative for GAAP measure. It is not a defined term under IFRS, \nand does not have a standard meaning, so may not be a reliable way to compare \nus to other companies. See “Non-GAAP Measures” for information about these \nmeasures, including how we calculate them. \n2 As defined. See “Additional GAAP Measures”. \n\nMedia operating revenue was higher than last year mainly because of \nrevenue growth at Sportsnet, higher attendance at Toronto Blue Jays \ngames and higher sales at The Shopping Channel. \n\n51 \n51 \n51 \n51 \n\n**Adjusted Operating Profit**\nWireless adjusted operating profit was higher this year because of \nhigher network revenue, our continued cost management and \nproductivity initiatives implemented across various areas and lower cost \nof equipment. \n52 \n52 \n52 \n53 \n52 \n\nCable adjusted operating profit was higher than last year because of \nthe continued growth in revenue combined with a shift in our product \nmix towards higher margin Internet and phone products. \n52 \n\nMedia’s adjusted operating profit was lower compared to last year. The \nincrease in operating revenue this year was more than offset by the \ncombined impact of higher player salaries at the Toronto Blue Jays, the \nNHL player lockout in 2012 and the costs associated with broadcasting \nmore NHL hockey games in 2013 because of the condensed 2012-2013 \nseason which started in January 2013 and the compressed 2013-2014 \nseason schedule associated with the upcoming winter Olympics. \n\nAdjusted operating profit relating to Corporate items and intercompany \neliminations was lower compared to last year because of continued \ninvestment in growth initiatives such as Rogers’ credit card, Outrank, \nRogers Alerts and other digital opportunities.", + "page_start": 39, + "page_end": 39, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "2012 $6,719 \n\n2011 $6,601 \n\n**Operating Revenue**\nOur operating revenue depends on the size of our subscriber base, the \naverage revenue per user and revenue from equipment sales. \n\n*Higher Network Revenue*\nNetwork revenue includes revenue derived from voice and data services \nfrom postpaid monthly fees, airtime, data usage, long distance charges, \noptional service charges, inbound and outbound roaming charges and \ncertain fees, as well as prepaid usage for airtime, data and other \nancillary charges such as long distance.", + "page_start": 42, + "page_end": 42, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "QUARTERLY TRENDS \nOur operating results generally vary from quarter to quarter because of \nchanges in general economic conditions and seasonal fluctuations, in \neach of our business segments, which have a material impact. As such, \none quarter’s operating results are not necessarily indicative of our \nresults in a subsequent quarter. Wireless, Cable and Media each have \nunique seasonal aspects to their businesses. \n**Operating Revenue**\nWireless network revenue was lower this quarter compared to the same \nperiod last year, mainly because of the recent introduction of lower \npriced roaming plans and pricing changes made over the past year \nprimarily associated with our new simplified plans. \n\nCable operating revenue was higher this quarter compared to the same \nperiod last year, mainly because of Internet growth and the acquisition \nof Mountain Cable, partially offset by a decline in television revenue \nwith competitive TV subscriber losses. \n\nFluctuations in net \nto quarter can also be \nattributed to losses on the repayment of debt, foreign exchange gains \nor losses, changes in the fair value of derivative instruments, other \nincome and expenses, impairment of assets and changes in income tax \nexpense. \n\nincome from quarter \n\nBusiness Solutions operating revenue was higher this quarter compared \nto the same period last year, mainly because we completed the \nacquisitions of Blackiron Data and Pivot Data Centres earlier this year, \ncombined with the continuing growth in on-net and next-generation \nservices. \n\n**Wireless**\nThe trends in Wireless revenue and adjusted operating profit reflect: \n(cid:129) the growing number of wireless voice and data subscribers \n(cid:129) decreased churn \n(cid:129) higher usage of wireless data \n(cid:129) higher handset subsidies as more consumers shift to smartphones \n(cid:129) a slight decrease in blended ARPU due to changes in wireless price \nMedia operating revenue was higher this quarter compared to the same \nperiod last year, mainly because of revenue growth at Sportsnet and \nhigher sales at The Shopping Channel. \n\nplans. \n\n**Adjusted Operating Profit**\nWireless adjusted operating profit was higher this quarter compared to \nthe same period last year, mainly because of cost management and \nproductivity initiatives implemented across various areas, including cost \nof equipment, offset by reduced network revenue described above. \n\nWe continue to target higher value postpaid subscribers, which has \ncontributed to the significantly heavier mix of postpaid versus prepaid \nsubscribers. Growth in our customer base and overall market \npenetration have resulted in higher costs over time for customer service, \nretention, credit and collection; however, most of the cost increases \nhave been offset by gains in operating efficiencies. \n\nCable adjusted operating profit was higher this quarter compared to \nthe same period last year because of the continued shift in our product \nmix towards higher margin Internet and phone products. \n\nWireless’ operating results are influenced by the timing of our \nmarketing and promotional expenditures and higher levels of subscriber \nadditions and related subsidies, resulting in higher subscriber acquisition \nand activation-related expenses in certain periods. This increased activity \ngenerally occurs in the third and fourth quarters, and can also occur or \nbe accentuated by the launch of popular new wireless handset models.", + "page_start": 58, + "page_end": 58, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "| Within wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks. | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| Originating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company’s increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003. | | | | | | | | | | | |\n| The shift in originating traffic is the result of implementing software capable of identifying actual interstate and intrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate and intrastate traffic types by the interexchange carriers. | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| The following table shows the access traffic minutes of use for the two years of 2003 and 2002. | | | | | | | | | | | |\n| Minutes of use (in thousands) 20200303 (net of intercompany usage) OriOgirnigaitninagting TerTmeirnmaitninagting Orig Interstate 29,373 87,539 Intrastate 37,190 49,103 Total 66,563 136,642 Access revenue (in thousands) 20200303 (net of intercompany usage) AsA resp roerptoedrted ProP froor mfoarma As r Traffic sensitive (1) $ 4,274 $ 4,974 Special access revenues 1,606 1,606 Carrier common line settlement 5,750 5,750 Total $ 11,630 $ 12,330 $ | | | | 20200303 | | | | | 200 | 220200202 | |\n| | | | | | | | | | | | |\n| | | | | | | | Orig | | | | |\n| | | OriOgirnigaitninagting TerTmeirnmaitninagting | | | | | | O | inOartOiignrigingaitniantgTinegrmTineaTrtmienrigmnaitniantging | | |\n| | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| | | | AsA resp roerptoedrted ProP froor mfoarma | | | | As r | | eAposr Atreesdp roerpteodrtPedro foPrrmoP afroor mfoarm | | |\n| | | | | | | | | | | | |\n| | | | | | | | $ | | | | |\n\n\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing \ndispute adjustment and the impact of the NECA settlement adjustments. \n\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 46", + "page_start": 47, + "page_end": 47, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "2013 HIGHLIGHTS \n\n**Key Financial Information**\n\n(In millions of dollars, except per share amounts) \n\n**Consolidated**\nOperating revenue \nAs adjusted 1: \n\nOperating profit \nOperating profit margin \nNet income \nDiluted earnings per share \n\nOperating income 2 \nNet income \nBasic earnings per share from continuing operations \nDiluted earnings per share from continuing operations \nCash provided by operating activities \nPre-tax free cash flow 1 \nAfter-tax free cash flow 1 \n\n**Wireless**\nOperating revenue \nAdjusted operating profit \nAdjusted operating profit margin as % of network revenue \n\n**Cable**\nOperating revenue \nAdjusted operating profit \nAdjusted operating profit margin \n\n**Business Solutions**\nOperating revenue \nAdjusted operating profit \n\n**Media**\nOperating revenue \nAdjusted operating profit \n\nYears ended December 31 \n**2013** 2012 % Chg \n\n**$ 12,706** $ 12,486 2 \n\n**$ 4,993**\n**39.3%**\n**$ 1,769**\n**3.42**\n**2,926**\n**1,669**\n**3.24**\n**3.22**\n**3,990**\n**2,044**\n**1,548** $ 4,834 \n38.7% \n$ 1,781 \n3.41 \n2,766 \n1,725 \n3.32 \n3.30 \n3,421 \n2,029 \n1,649 \n\n3 \n\n(1) \n– \n6 \n(3) \n(2) \n(2) \n17 \n1 \n(6) \n\n**$ 7,270**\n**3,157**\n**46.8%** $ 7,280 \n3,063 \n45.6% \n– \n3 \n\n**$ 3,475**\n**1,718**\n**49.4%** $ 3,358 \n1,605 \n47.8% \n3 \n7 \n\n**$**\n**374**\n**106**\n$ \n351 \n89 7 \n19 \n\n5 \n(15) \n\n**Subscriber counts results (000s) 3**\nWireless subscribers \nTelevision subscribers \nInternet subscribers \nPhone subscribers \n\n**Additional Wireless metrics 3**\nWireless blended ARPU \nWireless churn \n\n**Ratios**\nDividend payout ratio 3 \nDividends as a percentage of pre-tax free cash flow 1 \nReturn on assets 3 \nAdjusted net debt/adjusted operating profit 1,3 \n\n**Employee-related information**\nTotal active employees \n\nYears ended December 31 \n\n**2013** 2012 % Chg \n\n**9,503**\n**2,127**\n**1,961**\n**1,153** 9,437 \n2,214 \n1,864 \n1,074 1 \n(4) \n5 \n7 \n\n**$ 59.58**\n**1.24%** $ 59.79 \n1.29% \n– \n\n**54%**\n**44%**\n**7.1%**\n**2.4** 48% \n40% \n8.6% \n2.3 \n\n**28,026** 26,801 5 \n\n1 As adjusted amounts, pre-tax free cash flow, after-tax cash flow and adjusted net debt are Non-GAAP measures and should not be considered as a substitute or alternative for \nGAAP measures. They are not defined terms under IFRS, and do not have standard meanings, so may not be a reliable way to compare us to other companies. See “Non-GAAP \nMeasures” for information about these measures, including how we calculate them. \n\n2 As defined. See “Additional GAAP Measures”. \n3 As defined. See “Key Performance Indicators*”.*", + "page_start": 30, + "page_end": 30, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income \nfrom discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the \ntwo months of its operations in 2003. \n\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a \nresult recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes. \n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating \nresults in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations. \n\n**DISCONTINUED OPERATIONS**\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990’s. The partnership’s \nlocal customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December \n31, 2002. The decline was the result of competition with digital technologies and increased competition from national \ncarriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to \ntransform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the \npartnership to one of the minority partners. The agreement was signed in November 2002, and closing was February \n28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, \n$7.4 million and $6.7 million, respectively. \n\n**CONTINUING OPERATIONS**\n\n**2002 compared to 2001**\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million \nof wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 \nmillion or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%. \n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS \nservice revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which \ntotaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end. \n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party’s network, \nwas $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the \nCompany’s network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The \nrate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 \nthrough April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from \nOctober 1, 2001 through December 31, 2001. \n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 \nmillion of rebates and discounts given at the time of sale, which became more pronounced during the year to meet \nindustry competition for subscriber additions and subscriber retention. \n\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) service in August 2002. \nThe impact of 3G 1X-network enhancements on revenues was not significant in 2002. \n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the \nresult of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the \n82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.", + "page_start": 50, + "page_end": 50, + "source_file": "NASDAQ_SHEN_2003.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RCI_2013.pdf", + "query": "What has Rogers Communications done to improve its television platform?", + "target_page": 2, + "target_passage": "Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "OUR STRATEGY \nTo achieve our vision and drive our future growth, we have six strategic objectives. We made significant progress this year \nagainst each of these, across all business segments. See “Key Highlights” for more detail about individual highlights. \n\n1. DELIVER DIFFERENTIATED END-TO-END \nCUSTOMER EXPERIENCES \nFocus on evolving our cross-device, multi-screen integration to enable \nseamless, \nreliable and easy-to-use product experiences anytime, \nanyplace and anywhere; on delivering a differentiated range of devices \nand device-related services; and on enabling greater integration of our \nmedia assets across screens. We launched new products, including Rogers Smart Home Monitoring, \nto customers in Ontario’s Golden Horseshoe area and Atlantic Canada. \nWe completed several strategic acquisitions this year that strengthened \nour offering of cable television, Internet and telephony services in the \nHamilton, Ontario area, established Business Solutions as a leader in \nCanadian data centre and hosting services and increased the reach of \nour television broadcast network to over 80% of Canadian households. \n\nCable unveiled the next generation of TV experience with NextBox 3.0, \nand Media made significant progress this year, announcing a landmark \nexclusive 12-year \nto broadcast national NHL \ngames, launching a subscription digital magazine service, upgrading \nThe Shopping Channel, and including adding a mobile app and social \nIt also launched Sportsnet 360, and announced a 10-year \nmedia. \npartnership extension with the Vancouver Canucks. \n\nlicensing agreement \n\n4. STRENGTHEN THE CUSTOMER EXPERIENCE \nConstantly improve the experience that customers have using our \nproducts and services by making it easier for them, providing the tools \nand resources customers need to use our products with confidence, \nbeing attuned to our customers’ evolving needs and continuing to \nsimplify our product offerings. OUR PROGRESS IN 2013 \nWe continued to evolve our wireless offering this year, redesigning and \nsimplifying wireless offerings and pricing tiers, and introducing \nCanada’s first wireless Share Everything plan. We also launched a hybrid \nwireless home and small business phone solution that operates on our \nnational wireless network. \n\nOUR PROGRESS IN 2013 \nWe launched several new programs this year to improve the customer \nexperience, \nfor \nindividuals, families and small businesses, our “worry free” $7.99 per \nday US wireless data roaming plan, a new suite of simplified travel value \npacks of voice, text and data roaming, and the Rogers First Rewards \nloyalty program, and we received regulatory approval for the Rogers \ncredit card. Connected for Success, our new broadband Internet pilot \nproject \nis designed to provide affordable broadband Internet, \ncomputers and software to residents of Toronto Community Housing as \npart of the Rogers Youth Fund program. \n\nincluding Canada’s first Share Everything plans \n\n2. MAINTAIN INDUSTRY-LEADING NETWORKS \nReinforce our network’s reliability and speed to capture and monetize \nthe growth in data consumption by expanding our LTE network to a \nwider proportion of the Canadian population, continuing to increase \nbroadband Internet speeds, and further enhancing our TV platforms \nwith next generation features and functionality. \n\n5. IMPROVE PRODUCTIVITY AND COST STRUCTURE \nContinue to focus on cost-optimization initiatives and organizational \nefficiency by improving service delivery, reducing complexity, focusing \non fewer projects with more impact, managing expenses and working \nmore closely with key suppliers. \n\nOUR PROGRESS IN 2013 \nWe continued to expand our high speed wireless LTE 4G broadband \nnetwork this year, and offered the largest selection of LTE devices of \nany carrier in Canada. Our LTE 4G network was the first in Canada, \nwhich covered approximately 73% of the Canadian population at \nDecember 31, 2013.", + "page_start": 35, + "page_end": 35, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Executive Summary \n\nABOUT ROGERS COMMUNICATIONS INC. \n\nRogers Communications is one of Canada’s leading diversified communications and media companies. \n\nWe provide a broad range of services: wireless and wired voice and data \ncommunications, cable television, high-speed Internet, cable telephony, \nwired telecom and data networking services \nto consumers and \nbusinesses. We also compete in television and radio broadcasting, \nmulti-platform shopping, sports media and entertainment, digital media \nand consumer, trade and professional publications. \n\n**2013 CONSOLIDATED REVENUE BY SEGMENT**\n(%) \n\nWIRELESS**57%**\n\nCABLE**27%**\n\n$12.7 \n\nAlmost all of our operations and sales are in Canada. We have a highly \nskilled and diversified workforce of approximately 28,000 employees. \nOur head-office is in Toronto, Ontario and we have numerous offices \nacross Canada. \n\nBILLION \nMEDIA**13%**\n\nBUSINESS SOLUTIONS**3%**\n\n**2013 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT**\n(%) \n\nWIRELESS**61%**\n\nCABLE**33%**\n\n$5.0 \nBILLION \n\nMEDIA**4%**\nBUSINESS SOLUTIONS**2%**\n\n| FOUR BUSINESS SEGMENTS We report our results of operations in four segments. | |\n|---|---|\n| Wireless Wireless telecommunications operations for consumers and businesses | |\n| Cable | Cable telecommunications operations, including cable television, Internet and cable telephony for Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre network assets to support a range of voice, data, networking, data centre and cloud-based services for medium and large Canadian businesses, governments, and other telecommunications providers |\n| Media | A diversified portfolio of media properties, including television and radio broadcasting, digital media, multi- platform shopping, publishing and sports media and entertainment |", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "DELIVERING WHAT’S NEXT \n\n\n\n\n\n\nLEADING \nNEXT GENERATION \nNETWORKS MACHINE-TO- \nMACHINE \nCOMMUNICATIONS \n\n\n\nMOBILE \nCOMMERCE \n\n\n\n\nMOBILE \nSTREAMING \nTELEVISION \n\n\n\nHOME \nAUTOMATION \n\n\n\nDIGITAL MEDIA \n\n\n\n\n\n\n\nINNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE \nMOST ADVANCED INFORMATION, COMMUNICATIONS, \nENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS \nAND DEVICES ARE AT THE VERY CORE OF ROGERS. \n\nAs one of the first carriers in the world to offer the telecommunications \n“quadruple play” of wireless, television, Internet and telephony services \nover its own networks, few have more capabilities or success in enabling \nsubscribers to enjoy their experiences across multiple screens. \n\nRogers has a long history of firsts, including the first cellular call in Canada, \nthe world’s first high-speed cable modem service, the first digital cellular \nnetwork in North America, Canada’s first video-on-demand and mobile \nTV services, the first HSPA and LTE networks and the first to offer iPhone, \nAndroid, BlackBerry and Windows 8 in Canada. With the combination of \nour advanced next-generation national wireless network, our powerful \nbroadband cable infrastructure and our category-leading media assets, \nwe are in a unique position to help Canadians to live like never before.", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**ROGERS COMMUNICATIONS**\n\n**Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian**\n**telecommunications and media company. As discussed in the following**\n**pages, Rogers Communications is engaged in the telecom and media**\n**businesses through its primary operating segments Rogers Wireless,**\n**Rogers Cable, Rogers Business Solutions and Rogers Media.**\n\n\n\n**ROGERS COMMUNICATIONS**\n\n**MEDIA**\n\nWIRELESS SEGMENT \n\nRogers Wireless provides wireless voice and data communications services across \nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido \nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the \nonly national carrier operating on the combined global standard GSM/HSPA+/LTE \ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless \nservices, and provides customers with the best and latest wireless devices and \napplications and the fastest network speeds. Rogers Wireless also provides \nseamless wireless roaming across the U.S. and more than 200 other countries, \nand is the Canadian leader in the deployment of mobile commerce and machine- \nto-machine communications. \n\n\n\nCABLE AND BUSINESS SOLUTIONS SEGMENTS \n\nRogers Cable is a leading Canadian cable services provider, whose service \nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and \nNewfoundland representing approximately 30% of the Canadian cable market. \nOur advanced digital hybrid fibre-coax network provides market leading high- \nspeed broadband Internet access speeds, the most innovative selection of digital \ntelevision and online viewing and telephony services to millions of residential \nand small business customers. Together with Rogers Business Solutions, it also \nprovides scalable carrier-grade business telecom, networking, hosting and \nmanaged data services, and IP connectivity and solutions to medium and large \nenterprise, government and carrier customers. \n\n\n\nMEDIA SEGMENT \n\nRogers Media is Canada’s premier destination for category-leading television and \nradio broadcasting, sports entertainment, publishing, and digital media properties. \nTelevision assets include national City network which reaches more than 80% of \nCanadians, five OMNI Television multilingual channels, seven regional and national \nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography \nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only \nnationally televised and online shopping service. It operates more than 50 Canadian \nradio stations, publishes 50+ well known consumer and business magazines, and \nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball \nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers \nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL \nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Understanding Our Business \n\nRogers Communications is one of Canada’s leading diversified communications and media companies. \n\n**Our vision**is to be known for leading the enablement and delivery of seamless, customer-driven communications, \nentertainment, information and transactional experiences across any device, place or time. \n\nNewfoundland. We also operate a North American transcontinental \nfibre-optic network that extends over 41,000 route kilometres that is \nused to serve enterprise customers, including government and other \ntelecommunications service providers. In Canada, the network extends \ncoast to coast and includes local and regional fibre, transmission \nelectronics and systems, hubs, POPs and IP Routing and switching \ninfrastructure. The network also extends to the US, from Vancouver \nsouth to Seattle, \nthrough \nMinneapolis, Milwaukee and Chicago, and from Toronto, through \nBuffalo, and Montreal, through Albany, to New York City, allowing us \nto connect Canada’s largest markets, while also reaching key US \nmarkets for the exchange of data and voice traffic. \n\ntelevision and high-speed Internet services \n\nfrom the Manitoba-Minnesota border \n\n**Wireless**provides wireless voice and data communication services, \nincluding machine to machine to both consumer and enterprise \nbusinesses, governments \nservice \nproviders.**Cable**provides voice and data communications, home \nmonitoring, \nto both \nconsumers and businesses.**Business Solutions**provides voice and data \ncommunications and advanced services including data centre based \nsolutions and cloud computing services to a wide range of medium to \nlarge businesses, \nincluding other service providers, and government \neither wirelessly or over our terrestrial network. Revenue generated \nfrom these segments is generally based on monthly subscription and \nnetwork usage rates. Costs include attracting, setting-up and retaining \ncustomers, content, and the costs of upgrading and maintaining the \nunderlying network. \n\nand other telecommunications \n\n**Media**provides television and radio broadcasting services to end \ncustomers over both traditional broadcast networks and new digital \nnetworks as well as multi-platform shopping, consumer and trade \npublications and sports media and entertainment experiences, primarily \nthrough its ownership of the Toronto Blue Jays. Revenue is largely \ndriven by advertising and, in the case of TV broadcasting and publishing \nby additional revenues from monthly subscriptions. Revenue is also \ngenerated by the sale of merchandise and event tickets. Costs include \nsports programming, broadcast content (including TV studios, writers \nand on air and on field talent), the cost of merchandise and the \nproduction costs associated with each medium. \n\nOur wireless network is currently one of the most extensive and \nadvanced independent high-speed wireless data networks in Canada, \ncapable of supporting wireless services on smartphones, \ntablets, \ncomputers and a broad variety of machine-to-machine and specialized \ndevices. We built the first Long Term Evolution (LTE) high speed \nnetwork in Canada, reaching nearly 73% of the Canadian population \nat December 31, 2013. We also have roaming agreements with \ninternational carriers in more than 200 other countries, including 5 LTE \nroaming operators and have network sharing arrangements with several \ncarriers in Canada. \n\nWe report our results of operations in four segments, which reflect how \nwe manage our operations and measure our performance. \nOur expansive fibre and hybrid fibre coaxial \ninfrastructure delivers \nservices to consumers and businesses in Ontario, New Brunswick and", + "page_start": 32, + "page_end": 32, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Rogers continues to be Canada’s innovation leader in rapidly growing \nareas such as wireless machine-to-machine communications, remote \nhome monitoring and automation, mobile payments, in-car \ninfotainment and telematics, and digital media. As well, Rogers has \ndeployed a suite of unique local digital services that create virtual \nmarketplaces for bringing consumers and businesses together and \nprovide location-based targeted offers. \n\nThese are just a few examples of the ways Rogers continues to \ninnovate and lead the way, introducing wireless, broadband and digital \ntechnologies and services that fundamentally change the way \ncustomers stay connected, informed and entertained anywhere they \nare. Canadians know there’s one thing to be certain of – if they’re with \nRogers, they’ll never miss a thing. \n\nOur new wireless Share Everything plans were Canada’s first to let \nindividuals, families and small businesses share wireless data and \nunlimited nationwide talk and text, with up to 10 wireless devices. \nRogers recently further enhanced its exciting One Number service by \nintroducing smartphone apps which enable customers to use mobile \ndata or Wi-Fi to talk, text and video chat using their existing Rogers \nwireless number from any device. \n\nWe also keep customers informed and entertained with Rogers next- \ngeneration NextBox 3.0 TV experience which allows customers to view \nand record up to eight HD programs simultaneously, store hundreds of \nhours of content and enjoy whole-home PVR capability. And with \nRogers Anyplace TV, it’s also a wireless experience where viewers can \nnavigate their cable guide, use a virtual remote, set PVR recordings and \nstream live or on-demand content from a tablet, smartphone, laptop \nor gaming console.", + "page_start": 18, + "page_end": 18, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "CONNECTED HOME \n\n\n\n\n\n\n\nHOME \nTELEPHONY \n\n\n\nWHOLE HOME \nPVR \n\n\n\nBROADBAND \nINTERNET \n\n\n\nANY SCREEN \nSTREAMING TV \n\n\nCATEGORY- \nLEADING MEDIA \nCONTENT \n\n\n\nE-MAIL \n& MESSAGING \n\n\n\n\n\n\n\nROGERS CONTINUES TO DEFINE HOW FAMILIES COME \nTOGETHER AND CONNECT WITH THEIR WORLD. MILLIONS OF \nCANADIANS DEPEND ON ROGERS TO KEEP THEM INFORMED, \nCONNECTED AND ENTERTAINED WITH A COMBINATION OF \nTHE FASTEST INTERNET SPEEDS AND THE MOST INNOVATIVE \nTELEVISION, TELEPHONY AND HOME MONITORING \nSOLUTIONS AVAILABLE. \n\nThe core of Rogers connected home strategy is to provide customers \nwith the fastest broadband connections, together with the ability to \nseamlessly shift – to shift time, to shift screens and to shift places so they \naccess what they want, when they want, on the screen of their choice. \n\nRogers offers the best in on-demand, sports, movies, specialty, episodic \nand multicultural programming. Customers can schedule, pause, rewind", + "page_start": 11, + "page_end": 11, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "ROGERS COMMUNICATIONS INC. \n2013 ANNUAL REPORT", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "“ \n\nWHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN \nEVOLVE THE BUSINESS IN A WWAAY THAT WILL BE \nEVEN MORE REWARDING FORR OOUR CUSTOMERS, \nOUR SHAREHOLDERS AND EMMPPLLOYEES.” \n\n\n\n**GUY LAURENCE**\n\n\n\n\nA MESSAGE FROM THE PRESIDENT & CEO \n\n\n\n\n\nAs CEO, I will work to re-establish our \nleadership position and accelerate our \ngrowth. This will take time. It is a long- \nterm effort that will require a clear \nstrategy, rigorous prioritization and \ndisciplined execution. It will not be easy, \nbut it is the job I have signed up for, and it \nis a challenge I intend to meet head-on. \n\nI look forward to continuing Ted’s legacy, \nand to leading Rogers through the next \nphase of growth and to serving you, our \nshareholders. \n\nThank you for your continued business, \ninvestment and support. \n\n\n\n**As I write these words after recently joining the company, I can say with genuine**\n**enthusiasm that it’s great to be here at Rogers. I took this post because Rogers**\n**is a remarkable company with a rich history and an unrivalled mix of wireless,**\n**cable and media assets. It is a good match with my background and my experience.**\n\nDuring the recruiting and onboarding \nprocess, I spent considerable time with the \nRogers family, the Board of Directors and \nthe leadership team. I am struck by their \nenergy, passion and drive to win, which I \nthink we can harness to do even greater \nthings. I also value the support and longer- \nterm focus of the founding Rogers family \nwho own significant equity in the company. \n\nWhile it is early days, I believe we can \nevolve the business in a way that will be \neven more rewarding for our customers, \nour shareholders and employees. Our goal \nis clear – winning on a consistent basis. \nAnd while our industry faces the challenge \nof moderating growth and regulatory \nuncertainty, few industries are more \ndynamic and better at leveraging new \ntechnologies. \n\nSince joining, I have criss-crossed Canada \nmeeting my team, external stakeholders \nand customers. I have also conducted \nnumerous business reviews, overseen the \n700 MHz spectrum auction and reviewed \nthe regulatory agenda. All this with the \nview to developing a detailed set of \npriorities and plans for the company going \nforward. After I complete this review in \nthe Spring I will outline a detailed strategy \nand business plan working with my \nmanagement team. \n\nTo win, we must put our customers’ needs \nfront and centre in everything we do. This \nmeans delivering a better and more \nconsistent customer experience. It means \nstrengthening our value proposition to \nmake sure our customers can answer the \nquestion “why Rogers?” As a company, we \nneed to bring our collection of assets \ntogether in a way that strengthens and \ndifferentiates Rogers with our customers \nand our shareholders. We also need to \nalign and focus our investments in key areas \nto accelerate our growth. Internally we \nneed to execute with operational \nexcellence. And we need to focus on \nclarifying accountabilities and strengthening \nour teams at all levels of the company. \n\nRogers has many strengths and I intend to \ncapitalize on them. This is a financially \nstrong company with a solid balance sheet \nand investment grade credit ratings. We \nhave highly advanced cable and wireless \nnetworks and a robust portfolio of media \nassets. We also have a strong pipeline of \nnew products and services to offer to our \ncustomers and some of the most \npassionate, committed employees I have \never worked with.", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**ALAN HORN, CPA, CA**\n\n\n\n\nA MESSAGE FROM THE CHAIRMAN \n\n\n\n\n\n**2013 was another solid year in which Rogers made clear progress on a number of**\n**strategic fronts, while continuing to deliver strong returns to shareholders and**\n**building upon the company’s deep-rooted foundations for the future benefit of all**\n**our stakeholders. Our management team delivered on their financial guidance**\n**targets in what continue to be highly competitive and regulatorily intense markets.**\n\ncompetitive markets. Guy is an excellent \nfit for this role on many levels and the entire \nBoard look forward to his leadership for \nmany years to come. \n\nI would encourage you to review the \ndiscussions around our corporate governance, \ncommunity investments and sustainability \ninitiatives later in this annual report. First class \ncorporate governance practices have always \nbeen a strong tenet at Rogers, and as an \nentrepreneur founded and family controlled \ncompany, our Board takes pride in what is a \nproactive and disciplined approach to \nensuring that our governance practices \ncontinue to justify the confidence of the \npublic capital markets. Giving back to the \ncommunities we serve is also an important \npart of our culture at Rogers and the Board is \nvery proud of the significant initiatives and \ninvestments which the company undertook \nover the past year on the corporate social \nresponsibility front. \n\nI would like to take the opportunity to thank \nour recently retired President and Chief \nExecutive Officer Nadir Mohamed for his \nleadership and substantial contributions at \nRogers over the past 13 years. Succeeding \na founder with professional management \nis always a delicate and important transition \nin the life cycle of a company, and Nadir \nprovided important continuity and solid \nleadership as CEO over the course of the \npast five years for which the Board and \nmanagement team are thankful. \n\nRogers continued to deliver on the evolution \nand expansion of its core services. It quickly \nexpanded the reach of Canada’s first and \nfastest LTE wireless network to 73% of the \nCanadian population, introduced significant \nenhancements to its broadband data speeds \nand cable TV platform, and further added \nto its leading sports content and digital \nmedia assets. by 10% and return approximately $900 \nmillion to our shareholders in the form of \ndividends and share buybacks. And we \nfurther increased the dividend by 5% in \nFebruary 2014, continuing a multi-year trend \nof dividend growth. As you read on in this \nreport, you will find many more examples and \nmuch detail of the company’s operational and \nfinancial accomplishments over the past year. \n\nThe company executed several strategic \ntransactions that support Rogers core growth \nstrategies, including in the areas of wireless \nspectrum and network sharing, cable footprint \nexpansion, and significantly expanding its data \ncentre, colocation and managed services \ncapabilities for businesses. In addition, it struck \na landmark 12 year agreement with the NHL \nfor the exclusive national hockey broadcast \nrights across Canada. \n\nI would like to thank Rogers’ 28,000 \nemployees for their ongoing dedication to \nour customers and striving to make Rogers \nbetter every day, my fellow Board members \nfor their counsel and drive towards delivering \ncontinued value to our shareholders, and \nyou our shareholders for your continued \ninvestment in this great company. \n\n\n\nFollowing an extensive international search \nprocess, in September, 2013 the Board \nannounced that Guy Laurence would become \nPresident and Chief Executive Officer of \nRogers effective in December 2013. \nGuy brings 30 years of global experience \nin telecom, pay television and media, and \nis a proven, hands-on executive who has \nconsistently delivered strong financial and \noperating results in highly complex and **ALAN HORN, CPA, CA**\n**ALAN HORN**\nCHAIRMAN OF THE BOARD \nROGERS COMMUNICATIONS INC.", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_RCI_2013.pdf", + "query": "Until what NHL season will the Vancouver's ice hockey team be a Rogers Communications partner?", + "target_page": 39, + "target_passage": "Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons", + "chunk_present": { + "presence": true, + "index": 8 + } + }, + "top_chunk": [ + { + "text": "Understanding Our Business \n\nRogers Communications is one of Canada’s leading diversified communications and media companies. \n\n**Our vision**is to be known for leading the enablement and delivery of seamless, customer-driven communications, \nentertainment, information and transactional experiences across any device, place or time. \n\nNewfoundland. We also operate a North American transcontinental \nfibre-optic network that extends over 41,000 route kilometres that is \nused to serve enterprise customers, including government and other \ntelecommunications service providers. In Canada, the network extends \ncoast to coast and includes local and regional fibre, transmission \nelectronics and systems, hubs, POPs and IP Routing and switching \ninfrastructure. The network also extends to the US, from Vancouver \nsouth to Seattle, \nthrough \nMinneapolis, Milwaukee and Chicago, and from Toronto, through \nBuffalo, and Montreal, through Albany, to New York City, allowing us \nto connect Canada’s largest markets, while also reaching key US \nmarkets for the exchange of data and voice traffic. \n\ntelevision and high-speed Internet services \n\nfrom the Manitoba-Minnesota border \n\n**Wireless**provides wireless voice and data communication services, \nincluding machine to machine to both consumer and enterprise \nbusinesses, governments \nservice \nproviders.**Cable**provides voice and data communications, home \nmonitoring, \nto both \nconsumers and businesses.**Business Solutions**provides voice and data \ncommunications and advanced services including data centre based \nsolutions and cloud computing services to a wide range of medium to \nlarge businesses, \nincluding other service providers, and government \neither wirelessly or over our terrestrial network. Revenue generated \nfrom these segments is generally based on monthly subscription and \nnetwork usage rates. Costs include attracting, setting-up and retaining \ncustomers, content, and the costs of upgrading and maintaining the \nunderlying network. \n\nand other telecommunications \n\n**Media**provides television and radio broadcasting services to end \ncustomers over both traditional broadcast networks and new digital \nnetworks as well as multi-platform shopping, consumer and trade \npublications and sports media and entertainment experiences, primarily \nthrough its ownership of the Toronto Blue Jays. Revenue is largely \ndriven by advertising and, in the case of TV broadcasting and publishing \nby additional revenues from monthly subscriptions. Revenue is also \ngenerated by the sale of merchandise and event tickets. Costs include \nsports programming, broadcast content (including TV studios, writers \nand on air and on field talent), the cost of merchandise and the \nproduction costs associated with each medium. \n\nOur wireless network is currently one of the most extensive and \nadvanced independent high-speed wireless data networks in Canada, \ncapable of supporting wireless services on smartphones, \ntablets, \ncomputers and a broad variety of machine-to-machine and specialized \ndevices. We built the first Long Term Evolution (LTE) high speed \nnetwork in Canada, reaching nearly 73% of the Canadian population \nat December 31, 2013. We also have roaming agreements with \ninternational carriers in more than 200 other countries, including 5 LTE \nroaming operators and have network sharing arrangements with several \ncarriers in Canada. \n\nWe report our results of operations in four segments, which reflect how \nwe manage our operations and measure our performance. \nOur expansive fibre and hybrid fibre coaxial \ninfrastructure delivers \nservices to consumers and businesses in Ontario, New Brunswick and", + "page_start": 32, + "page_end": 32, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**ROGERS COMMUNICATIONS**\n\n**Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian**\n**telecommunications and media company. As discussed in the following**\n**pages, Rogers Communications is engaged in the telecom and media**\n**businesses through its primary operating segments Rogers Wireless,**\n**Rogers Cable, Rogers Business Solutions and Rogers Media.**\n\n\n\n**ROGERS COMMUNICATIONS**\n\n**MEDIA**\n\nWIRELESS SEGMENT \n\nRogers Wireless provides wireless voice and data communications services across \nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido \nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the \nonly national carrier operating on the combined global standard GSM/HSPA+/LTE \ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless \nservices, and provides customers with the best and latest wireless devices and \napplications and the fastest network speeds. Rogers Wireless also provides \nseamless wireless roaming across the U.S. and more than 200 other countries, \nand is the Canadian leader in the deployment of mobile commerce and machine- \nto-machine communications. \n\n\n\nCABLE AND BUSINESS SOLUTIONS SEGMENTS \n\nRogers Cable is a leading Canadian cable services provider, whose service \nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and \nNewfoundland representing approximately 30% of the Canadian cable market. \nOur advanced digital hybrid fibre-coax network provides market leading high- \nspeed broadband Internet access speeds, the most innovative selection of digital \ntelevision and online viewing and telephony services to millions of residential \nand small business customers. Together with Rogers Business Solutions, it also \nprovides scalable carrier-grade business telecom, networking, hosting and \nmanaged data services, and IP connectivity and solutions to medium and large \nenterprise, government and carrier customers. \n\n\n\nMEDIA SEGMENT \n\nRogers Media is Canada’s premier destination for category-leading television and \nradio broadcasting, sports entertainment, publishing, and digital media properties. \nTelevision assets include national City network which reaches more than 80% of \nCanadians, five OMNI Television multilingual channels, seven regional and national \nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography \nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only \nnationally televised and online shopping service. It operates more than 50 Canadian \nradio stations, publishes 50+ well known consumer and business magazines, and \nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball \nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers \nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL \nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "WHAT’S NEXT? \nIF YOU’RE WITH ROGERS, \nYOU’LL BE THE FIRST TO KNOW.", + "page_start": 130, + "page_end": 130, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "LEADING CONTENT \n\n\n\n\n\n\nNATIONAL \nRADIO \nPORTFOLIO \n\n\nCITY NATIONAL \nTELEVISION \nNETWORK \n\n\n\nLEADING \nSPORTSNET TV \nFRANCHISE \n\n\nTELEVISED \nSHOPPING \nNETWORK \n\n\nTORONTO \nBLUE JAYS \nBASEBALL TEAM \n\n\n\nOMNI \nMULTICULTURAL \nNETWORK \n\n\n\n\n\n\n\nROGERS IS COMMITTED TO DELIVERING WORLD-CLASS \nCONTENT AND EXPERIENCES TO CONSUMERS AND \nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY \nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA \nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH \nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE. \n\nToday, businesses across Canada connect with customers through Rogers \ncategory-leading television and radio assets, sports entertainment, \ntelevised and online shopping, publishing, and digital media properties as \nthe one-stop solution for all their local and national advertising needs. \n\nRogers Media is Canada’s premier combination of diversified broadcast, \nspecialty, sports, print and online media assets which together touch \nnearly 90% of Canadians every week. This includes over 50 popular AM \nand FM radio stations across Canada. In television, it includes the seven \nstation City network which broadcasts intensely local, urban-oriented", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "programming across the country’s largest markets, as well \nas five OMNI Television stations which deliver multilingual news, \ninformation and entertainment to Canada’s multiple language \ncommunities. \n\nRogers also publishes many well-known consumer magazines, such as \nMaclean’s, Chatelaine, FLARE, L’actualité, and Canadian Business, and is \nthe leading publisher of a number of industry, medical and financial \npublications. Rogers also controls a suite of fast-growing digital media \nassets, including 90+ owned and 300+ premium partnership online \nsites, as well as the recently launched Next Issue Canada digital \nmagazine platform which provides 100+ of North America’s most \ncelebrated titles on an unlimited anytime, anywhere basis. \n\nThe Sportsnet specialty network provides sports programming across \nCanada through its four regional television channels and its nationally- \ndistributed Sportsnet ONE, Sportsnet World, and Sportsnet 360 \nstations. Rogers also owns other Canadian specialty television channels, \nincluding FX Canada, OLN, The Biography Channel and G4. \n\nIn sports entertainment, Rogers owns the Toronto Blue Jays baseball \nteam and Rogers Centre stadium, Canada’s largest sports and \nentertainment facility and home field of the Blue Jays. Rogers also holds \na 37.5% investment in Maple Leaf Sports & Entertainment which owns \nthe NHL Maple Leafs, NBA Raptors, MLS Toronto FC and a number of \nother sports related assets. \n\nThe Shopping Channel – Canada’s only nationally televised and \nInternet shopping service – is a leading interactive multi-channel \nretailer, offering a vast assortment of exclusive products and top brand \nnames. As one of Canada’s most innovative and diversified retailers, \nit provides customers with exceptional selections in health/beauty, \njewelry, home/lifestyle, fashion/accessories, and electronics.", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "Executive Summary \n\nABOUT ROGERS COMMUNICATIONS INC. \n\nRogers Communications is one of Canada’s leading diversified communications and media companies. \n\nWe provide a broad range of services: wireless and wired voice and data \ncommunications, cable television, high-speed Internet, cable telephony, \nwired telecom and data networking services \nto consumers and \nbusinesses. We also compete in television and radio broadcasting, \nmulti-platform shopping, sports media and entertainment, digital media \nand consumer, trade and professional publications. \n\n**2013 CONSOLIDATED REVENUE BY SEGMENT**\n(%) \n\nWIRELESS**57%**\n\nCABLE**27%**\n\n$12.7 \n\nAlmost all of our operations and sales are in Canada. We have a highly \nskilled and diversified workforce of approximately 28,000 employees. \nOur head-office is in Toronto, Ontario and we have numerous offices \nacross Canada. \n\nBILLION \nMEDIA**13%**\n\nBUSINESS SOLUTIONS**3%**\n\n**2013 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT**\n(%) \n\nWIRELESS**61%**\n\nCABLE**33%**\n\n$5.0 \nBILLION \n\nMEDIA**4%**\nBUSINESS SOLUTIONS**2%**\n\n| FOUR BUSINESS SEGMENTS We report our results of operations in four segments. | |\n|---|---|\n| Wireless Wireless telecommunications operations for consumers and businesses | |\n| Cable | Cable telecommunications operations, including cable television, Internet and cable telephony for Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre network assets to support a range of voice, data, networking, data centre and cloud-based services for medium and large Canadian businesses, governments, and other telecommunications providers |\n| Media | A diversified portfolio of media properties, including television and radio broadcasting, digital media, multi- platform shopping, publishing and sports media and entertainment |", + "page_start": 29, + "page_end": 29, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "“ \n\nWHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN \nEVOLVE THE BUSINESS IN A WWAAY THAT WILL BE \nEVEN MORE REWARDING FORR OOUR CUSTOMERS, \nOUR SHAREHOLDERS AND EMMPPLLOYEES.” \n\n\n\n**GUY LAURENCE**\n\n\n\n\nA MESSAGE FROM THE PRESIDENT & CEO \n\n\n\n\n\nAs CEO, I will work to re-establish our \nleadership position and accelerate our \ngrowth. This will take time. It is a long- \nterm effort that will require a clear \nstrategy, rigorous prioritization and \ndisciplined execution. It will not be easy, \nbut it is the job I have signed up for, and it \nis a challenge I intend to meet head-on. \n\nI look forward to continuing Ted’s legacy, \nand to leading Rogers through the next \nphase of growth and to serving you, our \nshareholders. \n\nThank you for your continued business, \ninvestment and support. \n\n\n\n**As I write these words after recently joining the company, I can say with genuine**\n**enthusiasm that it’s great to be here at Rogers. I took this post because Rogers**\n**is a remarkable company with a rich history and an unrivalled mix of wireless,**\n**cable and media assets. It is a good match with my background and my experience.**\n\nDuring the recruiting and onboarding \nprocess, I spent considerable time with the \nRogers family, the Board of Directors and \nthe leadership team. I am struck by their \nenergy, passion and drive to win, which I \nthink we can harness to do even greater \nthings. I also value the support and longer- \nterm focus of the founding Rogers family \nwho own significant equity in the company. \n\nWhile it is early days, I believe we can \nevolve the business in a way that will be \neven more rewarding for our customers, \nour shareholders and employees. Our goal \nis clear – winning on a consistent basis. \nAnd while our industry faces the challenge \nof moderating growth and regulatory \nuncertainty, few industries are more \ndynamic and better at leveraging new \ntechnologies. \n\nSince joining, I have criss-crossed Canada \nmeeting my team, external stakeholders \nand customers. I have also conducted \nnumerous business reviews, overseen the \n700 MHz spectrum auction and reviewed \nthe regulatory agenda. All this with the \nview to developing a detailed set of \npriorities and plans for the company going \nforward. After I complete this review in \nthe Spring I will outline a detailed strategy \nand business plan working with my \nmanagement team. \n\nTo win, we must put our customers’ needs \nfront and centre in everything we do. This \nmeans delivering a better and more \nconsistent customer experience. It means \nstrengthening our value proposition to \nmake sure our customers can answer the \nquestion “why Rogers?” As a company, we \nneed to bring our collection of assets \ntogether in a way that strengthens and \ndifferentiates Rogers with our customers \nand our shareholders. We also need to \nalign and focus our investments in key areas \nto accelerate our growth. Internally we \nneed to execute with operational \nexcellence. And we need to focus on \nclarifying accountabilities and strengthening \nour teams at all levels of the company. \n\nRogers has many strengths and I intend to \ncapitalize on them. This is a financially \nstrong company with a solid balance sheet \nand investment grade credit ratings. We \nhave highly advanced cable and wireless \nnetworks and a robust portfolio of media \nassets. We also have a strong pipeline of \nnew products and services to offer to our \ncustomers and some of the most \npassionate, committed employees I have \never worked with.", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "OUR STRATEGY \nTo achieve our vision and drive our future growth, we have six strategic objectives. We made significant progress this year \nagainst each of these, across all business segments. See “Key Highlights” for more detail about individual highlights. \n\n1. DELIVER DIFFERENTIATED END-TO-END \nCUSTOMER EXPERIENCES \nFocus on evolving our cross-device, multi-screen integration to enable \nseamless, \nreliable and easy-to-use product experiences anytime, \nanyplace and anywhere; on delivering a differentiated range of devices \nand device-related services; and on enabling greater integration of our \nmedia assets across screens. We launched new products, including Rogers Smart Home Monitoring, \nto customers in Ontario’s Golden Horseshoe area and Atlantic Canada. \nWe completed several strategic acquisitions this year that strengthened \nour offering of cable television, Internet and telephony services in the \nHamilton, Ontario area, established Business Solutions as a leader in \nCanadian data centre and hosting services and increased the reach of \nour television broadcast network to over 80% of Canadian households. \n\nCable unveiled the next generation of TV experience with NextBox 3.0, \nand Media made significant progress this year, announcing a landmark \nexclusive 12-year \nto broadcast national NHL \ngames, launching a subscription digital magazine service, upgrading \nThe Shopping Channel, and including adding a mobile app and social \nIt also launched Sportsnet 360, and announced a 10-year \nmedia. \npartnership extension with the Vancouver Canucks. \n\nlicensing agreement \n\n4. STRENGTHEN THE CUSTOMER EXPERIENCE \nConstantly improve the experience that customers have using our \nproducts and services by making it easier for them, providing the tools \nand resources customers need to use our products with confidence, \nbeing attuned to our customers’ evolving needs and continuing to \nsimplify our product offerings. OUR PROGRESS IN 2013 \nWe continued to evolve our wireless offering this year, redesigning and \nsimplifying wireless offerings and pricing tiers, and introducing \nCanada’s first wireless Share Everything plan. We also launched a hybrid \nwireless home and small business phone solution that operates on our \nnational wireless network. \n\nOUR PROGRESS IN 2013 \nWe launched several new programs this year to improve the customer \nexperience, \nfor \nindividuals, families and small businesses, our “worry free” $7.99 per \nday US wireless data roaming plan, a new suite of simplified travel value \npacks of voice, text and data roaming, and the Rogers First Rewards \nloyalty program, and we received regulatory approval for the Rogers \ncredit card. Connected for Success, our new broadband Internet pilot \nproject \nis designed to provide affordable broadband Internet, \ncomputers and software to residents of Toronto Community Housing as \npart of the Rogers Youth Fund program. \n\nincluding Canada’s first Share Everything plans \n\n2. MAINTAIN INDUSTRY-LEADING NETWORKS \nReinforce our network’s reliability and speed to capture and monetize \nthe growth in data consumption by expanding our LTE network to a \nwider proportion of the Canadian population, continuing to increase \nbroadband Internet speeds, and further enhancing our TV platforms \nwith next generation features and functionality. \n\n5. IMPROVE PRODUCTIVITY AND COST STRUCTURE \nContinue to focus on cost-optimization initiatives and organizational \nefficiency by improving service delivery, reducing complexity, focusing \non fewer projects with more impact, managing expenses and working \nmore closely with key suppliers. \n\nOUR PROGRESS IN 2013 \nWe continued to expand our high speed wireless LTE 4G broadband \nnetwork this year, and offered the largest selection of LTE devices of \nany carrier in Canada. Our LTE 4G network was the first in Canada, \nwhich covered approximately 73% of the Canadian population at \nDecember 31, 2013.", + "page_start": 35, + "page_end": 35, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "programs based on what customers are viewing, helping Canadians \nto explore and uncover more programming that appeals to their \nindividual tastes. \n\nWIRELESS \n(cid:129) Canada’s first and fastest wireless LTE 4G broadband network \ncontinued its expansion. Our network covered approximately 73% of \nthe Canadian population at December 31, 2013, while continuing to \noffer the largest selection of LTE devices of any carrier in Canada. We \nwere also the first carrier in North America and one of the first in the \nworld to offer international LTE roaming to wireless customers. \n\nBUSINESS SOLUTIONS \n(cid:129) Following the acquisition of Blackiron and Pivot Data Centres this \nyear, Business Solutions announced it is expanding its hosting and \ncolocation business in Western Canada through a newly expanded \ndata centre in Edmonton and a new Western Canada flagship data \ncentre in Calgary. \n\n(cid:129) Our wireless offerings and pricing tiers were simplified, reducing \ncomplexity and service times for our sales and support teams and \nadding customer value. These innovations include Canada’s first \ncomplete wireless Share Everything plan which allows individuals, \nfamilies and small businesses to share wireless data, unlimited \nnationwide talk and text and calling features across 1 to 10 wireless \ndevices. \n\n(cid:129) SIP Trunking, a new IP-based voice solution, was announced for \nenterprises designed to complement our fibre-based Internet and \nWAN connectivity services. Merging voice services with a business \ndata network, SIP Trunking solutions dynamically allocate bandwidth \nas needed to support voice and/or data needs depending upon \ncapacity requirements during peak hours and also provide a platform \nfor next generation IP-based video, mobile and productivity \napplications and services. \n\n(cid:129) Our “worry free” $7.99 per day US wireless data roaming plan was \nlaunched, with twice the daily data capacity (50 MB) typically used \ndaily by consumers for wireless Internet, as well as enhanced voice, \ntext and data roaming value packages. \n\n(cid:129) A hybrid wireless home and small business phone solution was \nlaunched, that operates on our national wireless network. The service \nis available in regions outside Rogers’ cable territories and offers a \ntraditional home or office phone service and features without the \nneed for a landline or Internet connection. \n\nMEDIA \n(cid:129) Exclusive NHL 12-year licensing agreement to broadcast national NHL \ngames beginning with the 2014-2015 season was signed. The \nagreement grants Rogers the exclusive distribution of all national live \nand in-progress regular season and playoff games within Canada, in \nmultiple languages, across all platforms. We executed separate \nagreements to sublicense certain of these broadcasting rights to TVA \nSports and CBC. \n(cid:129) The M2M World Alliance, an organization comprised of eight leading \ninternational mobile operators including Rogers, demonstrated a \nsingle global SIM card which makes it easier to deploy connected \ndevices in multiple countries and expected to drive further growth for \nour machine-to-machine business. \n\n(cid:129) Sportsnet 360 was launched, which is comprised of the rebranded \ntheScore assets. The acquisition of theScore received final regulatory \napproval in the first half of this year. \nCABLE \n(cid:129) Acquisition of Mountain Cable, Shaw Communications’ (Shaw) cable \n\n(cid:129) Sportsnet announced a 10-year partnership extension with the \nVancouver Canucks through the 2022-2023 NHL seasons, continuing \na 14-year network tradition as the regional television broadcaster of \nCanucks hockey. The new agreement features a comprehensive suite \nof multimedia rights \nincluding television, online and mobile, \ndelivering up to 60 regular season Vancouver Canucks games each \nseason. Sportsnet is also the official regional television broadcast \nrights holder for the Toronto Maple Leafs, Calgary Flames and \nEdmonton Oilers.", + "page_start": 38, + "page_end": 38, + "source_file": "NYSE_RCI_2013.pdf" + }, + { + "text": "**ALAN HORN, CPA, CA**\n\n\n\n\nA MESSAGE FROM THE CHAIRMAN \n\n\n\n\n\n**2013 was another solid year in which Rogers made clear progress on a number of**\n**strategic fronts, while continuing to deliver strong returns to shareholders and**\n**building upon the company’s deep-rooted foundations for the future benefit of all**\n**our stakeholders. Our management team delivered on their financial guidance**\n**targets in what continue to be highly competitive and regulatorily intense markets.**\n\ncompetitive markets. Guy is an excellent \nfit for this role on many levels and the entire \nBoard look forward to his leadership for \nmany years to come. \n\nI would encourage you to review the \ndiscussions around our corporate governance, \ncommunity investments and sustainability \ninitiatives later in this annual report. First class \ncorporate governance practices have always \nbeen a strong tenet at Rogers, and as an \nentrepreneur founded and family controlled \ncompany, our Board takes pride in what is a \nproactive and disciplined approach to \nensuring that our governance practices \ncontinue to justify the confidence of the \npublic capital markets. Giving back to the \ncommunities we serve is also an important \npart of our culture at Rogers and the Board is \nvery proud of the significant initiatives and \ninvestments which the company undertook \nover the past year on the corporate social \nresponsibility front. \n\nI would like to take the opportunity to thank \nour recently retired President and Chief \nExecutive Officer Nadir Mohamed for his \nleadership and substantial contributions at \nRogers over the past 13 years. Succeeding \na founder with professional management \nis always a delicate and important transition \nin the life cycle of a company, and Nadir \nprovided important continuity and solid \nleadership as CEO over the course of the \npast five years for which the Board and \nmanagement team are thankful. \n\nRogers continued to deliver on the evolution \nand expansion of its core services. It quickly \nexpanded the reach of Canada’s first and \nfastest LTE wireless network to 73% of the \nCanadian population, introduced significant \nenhancements to its broadband data speeds \nand cable TV platform, and further added \nto its leading sports content and digital \nmedia assets. by 10% and return approximately $900 \nmillion to our shareholders in the form of \ndividends and share buybacks. And we \nfurther increased the dividend by 5% in \nFebruary 2014, continuing a multi-year trend \nof dividend growth. As you read on in this \nreport, you will find many more examples and \nmuch detail of the company’s operational and \nfinancial accomplishments over the past year. \n\nThe company executed several strategic \ntransactions that support Rogers core growth \nstrategies, including in the areas of wireless \nspectrum and network sharing, cable footprint \nexpansion, and significantly expanding its data \ncentre, colocation and managed services \ncapabilities for businesses. In addition, it struck \na landmark 12 year agreement with the NHL \nfor the exclusive national hockey broadcast \nrights across Canada. \n\nI would like to thank Rogers’ 28,000 \nemployees for their ongoing dedication to \nour customers and striving to make Rogers \nbetter every day, my fellow Board members \nfor their counsel and drive towards delivering \ncontinued value to our shareholders, and \nyou our shareholders for your continued \ninvestment in this great company. \n\n\n\nFollowing an extensive international search \nprocess, in September, 2013 the Board \nannounced that Guy Laurence would become \nPresident and Chief Executive Officer of \nRogers effective in December 2013. \nGuy brings 30 years of global experience \nin telecom, pay television and media, and \nis a proven, hands-on executive who has \nconsistently delivered strong financial and \noperating results in highly complex and **ALAN HORN, CPA, CA**\n**ALAN HORN**\nCHAIRMAN OF THE BOARD \nROGERS COMMUNICATIONS INC.", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EMMS_2004.pdf", + "query": "I am a shareholder of Emmis Communication, but I will be available from the 20th of June to the 4th of July, will the Annual Meeting take place during this period?", + "target_page": 6, + "target_passage": "The Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis’ Corporate office.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "Dear Shareholders, \n\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow. \n\nOn our year-end conference call, I said that last year was the \nbest in Emmis Communications’ history. And while that might \nhave sounded like the usual Wall Street hyperbole – like any \nother CEO bragging about his company’s performance – the \ndifference is, I believed it. And I still do. \n\nOur publishing and international divisions also posted strong \nresults. In a tough publishing market, our magazines boosted \ntheir division’s revenues by 4.6 percent over last year and \nincreased cash flow by 3.3 percent. Our international division \nturned in a revenue increase of 27 percent and a cash flow \nincrease of 31 percent. \n\nBut I’ve been in this business long enough to know two \nthings for sure: What I believe is not as important as what I \ncan prove, and what we did last year is only meaningful if it \nreflects on how we will do in the coming year. The good \nnews is, Emmis does have the results to back up my high \npraise, and what we did to perform last year does directly \nrelate to how we’ll perform in the year ahead. \n\nIn addition to boosting performance in our divisions, we \nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in \nAmerican media. With this team in place, we’ve brought \nour leverage and cost of capital down to more manageable \nlevels, found ways to combat the continually increasing \ncosts of health insurance and, in a truly top-notch effort, \nsmoothly integrated our new Austin radio properties – in just \nunder a year as a part of Emmis, the Austin properties are \nenjoying significant ratings and revenue increases. **The best year**\nThe bottom line is this: Emmis Communications turned in a \nremarkable performance last year. Again and again, and by a \nnumber of measures, we outperformed our peers, our mar- \nkets and our own solid track record. \n\nAnd we did this in a year that was challenging in just about \nevery way. The economy was unstable, public companies \ncame under continuing scrutiny, indecency issues hounded \nbroadcasters, competition for tight ad dollars increased and \ntechnology continued to reshape the media world. Of course, for you, the real bottom line on our performance is \nits impact on your investment. I’m proud to say that we saw \na 27 percent increase in our share price over the course of \nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed \nthe book on fiscal ’04 at 25.17. \n\n**How we did it**\nOperationally, we were on top of our game last year. However, \nas I said, I know that the past year’s performance really only \nmatters if it reflects on what we’ll do in the coming year. The \ngood news is, it does. We performed at these high levels not \nby doing something unusual, but by operating the way Emmis \nhas always operated, and the way we always will. \n\nBut our people refused to be slowed by those challenges. \nInstead, they worked through them. They innovated, hustled \nand focused. And they produced. \n\nOur radio division’s revenue growth led our markets and the \nindustry – in our fiscal year, our group was up 4.5 percent \nwhile our markets were up 2.7 percent and the industry only \n1 percent. Based on this kind of performance, we have con- \nsistently ranked among the nation’s leaders in per-station \nrevenue, and we continue to produce top-rated programming \nin markets across the nation.", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "at the Company’s annual general meeting in November 2000, it was proposed to invite each \n\nholder of the above options to subscribe for one new 30 November 2001, 0.75 cent option for \n\neach of the above options held on its expiry at a proposed issue price of 1 cent per new option. \n\nThere is no inherent right arising from these options to participate in any new issue of shares in \n\nthe Company which may be offered to shareholders from time to time prior to the exercise of \n\nthe options. The Company will ensure however, that during the exercise period, for the purpose \n\nof determining entitlement to any new issue, the relevant record date will be at least 12 business \n\ndays after the new issue is exercised, so as to give the holder of options an opportunity to exercise \n\ntheir options prior to the relevant record date of any new issue. \n\nIn accordance with the provisions of the E M P L O Y E E S H A R E O P T I O N I N C E N T I V E P L A N \n\nMermaid Marine Australia Limited Employee Share Option Incentive Plan (the “Employee \n\nOption Plan”), as at the date of this report a total of 42 employees have under option an aggregate \n\nof 615,000 ordinary shares in the Company. Of the 615,000 ordinary shares under option pursuant \n\nto the Employee Option Plan, half (307,500) may be purchased within 12 months of 18 June 2000 \n\nat an issue price of 60 cents per share and half (307,500) may be purchased within 12 months of \n\n18 June 2000 at an issue price of 70 cents per share. \n\nI N D E M N I T I E S A N D I N S U R A N C E P R E M I U M S F O R O F F I C E R S A N D A U D I T O R S \n\nDuring the Financial Year, Mermaid paid a premium for a contract insuring all of the directors \n\nof the Company, the company secretaries and all executive officers of Mermaid against any \n\nliability incurred by such director, secretary or executive officer during the course of their duties \n\nas such director, secretary or executive officer to the extent permitted by the Corporations Law.", + "page_start": 34, + "page_end": 34, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "A N N U A L M E E T I N G \nThe annual meeting of shareholders will be held on \nThursday, April 24, 2003, in Corning, NY. A formal notice \nof the meeting together with a proxy statement will be mailed \nto shareholders on or about March 12, 2003. The proxy state- \nment can also be accessed electronically through the Investor \nRelations category of the Corning home page on the Internet \nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon \nwritten request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. \n\n“ S a f e H a r b o r ” S t a t e m e n t u n d e r t h e P r i v a t e \nS e c u r i t i e s L i t i g a t i o n R e f o r m A c t o f 1 9 9 5 \nThe statements in this annual report that are not historical \nfacts or information are forward-looking statements. These \nforward-looking statements involve risks and uncertainties \nthat may cause the outcome to be materially different. Such \nrisks and uncertainties include, but are not limited to: \n\n— global economic and political conditions, \n— currency fluctuations, \n— product demand and industry capacity, \n— competitive products and pricing, \n— sufficiency of manufacturing capacity and efficiencies, \n— cost reductions, \n— availability and costs of critical materials, \n— new product development and commercialization, \n— attracting and retaining key personnel, \n— order activity and demand from major customers, \n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments, \nA D D I T I O N A L I N F O R M AT I O N \nA copy of Corning’s 2002 Annual Report on Form 10-K filed \nwith the Securities and Exchange Commission is available \nupon written request to Ms. Denise A. Hauselt, Secretary and \nAssistant General Counsel, Corning Incorporated, HQ-E2-10, \nCorning, NY 14831. The Annual Report on Form 10-K can \nalso be accessed electronically through the Investor Relations \ncategory of the home page on the Internet at: \nwww.corning.com \n\n— financial condition of customers, \n— changes in the mix of sales between premium \nand non-premium products, \n\n— facility expansions and new plant start-up costs, \n— adverse litigation or regulatory developments, including \n\nC O M M O N S T O C K \nCorning Incorporated common stock is listed on the \nNew York Stock Exchange and the SWX Swiss Exchange. \nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The \nabbreviated ticker symbol for Corning Incorporated is “GLW.” \n\nI N V E S T O R I N F O R M AT I O N \nInvestment analysts who need additional information may \ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations, \nCorning Incorporated, HQ-E2-25, Corning, NY 14831; \nTelephone 607.974.9000 \n\nfuture or pending tax legislation, \n— adequacy and availability of insurance, \n— capital resource and cash flow activities, \n— capital spending, \n— equity company activities, \n— interest costs, \n— acquisition and divestiture activity, \n— the rate of technology change, \n— the ability to enforce patents, \n— product performance issues, \n— stock price fluctuations, and \n— other risks detailed in Corning’s SEC filings. \n\nTRANSFER AGENT AND REGISTRAR \nComputershare Investor Services LLC \nP.O. Box A-3504 \nChicago, IL 60690-3504 \nTelephone: 800.255.0461 \nWebsite: www.computershare.com \nNeither this report nor any statement contained herein is \nfurnished in connection with any offering of securities or for \nthe purpose of promoting or influencing the sale of securities. \n\nCHANGE OF ADDRESS \nReport change of address to Computershare \nInvestor Services at the above address. \nCorning is an equal opportunity employer. \nPrinted in USA \n\n© Corning Incorporated 2003 \n\nI N D E P E N D E N T A C C O U N T A N T S \nPricewaterhouseCoopers LLP \n1301 Avenue of the Americas \nNew York, NY 10019", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "Business \nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award- \nwinning radio broadcasting, television broadcasting and magazine publishing \noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest \nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, \nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in \nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; \nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; \nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes \n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles*and Country \nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio \nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of \nthe population in the Flanders region of Belgium; and has ancillary businesses in \nbroadcast sales, publishing and interactive products. \n\nTransfer Agent Register \nWachovia Bank N.A., Shareholder Services Group, \n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153. \n\nAnnual Meeting \nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on \nWednesday, June 30, 2004, at Emmis’ Corporate office. \n\nForm 10-K \nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, \n2004, which was filed with the Securities and Exchange Commission, will be sent \nto shareholders without charge upon written request to Kate Healey, Emmis \nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, \nIndianapolis, Indiana 46204, or ir@emmis.com. \n\nMarket and Dividend Information \nThe Company’s Class A Common Stock is traded in the over-the-counter market \nand is quoted on the National Association of Securities Dealers Automated \nQuotation (NASDAQ) National Market System under the symbol EMMS. \n\nThe following table sets forth the high and low bid prices of the Class A Common \nStock for the periods indicated. No dividends were paid during any such periods. \n\nQuarter Ended \nMay 2002 \nAugust 2002 \nNovember 2002 \nFebruary 2003 \nMay 2003 \nAugust 2003 \nNovember 2003 \nFebruary 2004 High \n31.85 \n30.15 \n24.05 \n24.86 \n21.24 \n23.87 \n24.06 \n28.65 \n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A \nCommon Stock and one record holder of the Class B Common Stock. \n\nEmmis intends to retain future earnings for use in its business and does not anticipate \npaying any dividends on shares of its common stock in the foreseeable future. \n\nExecutive Officers \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nRandall Bongarten \nTelevision Division President \n\nRichard F. Cummings \nRadio Division President \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nPaul W. Fiddick \nInternational Division President \n\nMichael Levitan \nSenior Vice President, \nHuman Resources \n\nGary Thoe \nPublishing Division President \n\nBoard of Directors \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nSusan B. Bayh \nFormer Commissioner of the International Joint \nCommission of the United States and Canada \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nRichard A. Leventhal \nPresident and Majority Owner, \nLMCS, LLC \n\nPeter A. Lund \nMedia consultant and former \nPresident of CBS Inc. \n\nGreg A. Nathanson \nMedia consultant and former \nPresident of Fox Television Stations and \nEmmis Television \n\nFrank V. Sica \nSenior Advisor \nSoros Fund Management LLC", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Financial year \nthat rights \nmay vest \n\n| Share Rights | | | | | |\n|---|---|---|---|---|---|\n| Share Rights | | | | | |\n| Financial year granted | Number granted | Vested % | Vested number | Forfeited % | Financial year that rights may vest |\n\n\n2013 \n\n2014 \n\n2015 222,955 1.92 428,074 352,447 – – \n\nName \n\nG Thomas \nDeferred \n\nDeferred \n\nPerformance \n\nD Woodbury \nDeferred 2013 \n\nDeferred 2014 \n\nDeferred 2015 \n\nPerformance 2015 \n\nT Benfield \nDeferred \n\nPerformance \n\nR James \nDeferred \n\nDeferred \n\nDeferred \n\nPerformance \n\nR Coyle \nDeferred \n\nDeferred \n\nDeferred \n\nPerformance \n\nJ Forwood \nDeferred \n\nDeferred \n\nPerformance \n\n1 The minimum value of the rights yet to vest is nil, as the rights will be forfeited if the Key Management Personnel fails to meet a vesting condition. \n2 The maximum value of the share rights yet to vest has been determined as the fair value of the rights at the grant date that is yet to be expensed. \n3 \n\n The value at vesting date (30 June 2013) is the number of rights vesting multiplied by the Company’s share price on the vesting date. As rights convert to ordinary \nshares on the vesting date, this date is also the exercise date. No payment by the holder of the right is required on vesting of the right. \n The value at lapse date is the number of rights lapsing multiplied by the Company’s share price at the close of business on that day. No rights lapsed on the 2013 financial year. \n The fair value of the performance rights was estimated using Monte Carlo simulation, taking into account the terms and conditions upon which the awards were \ngranted (refer to Note 24 of the Financial Statements). \n\nShare options issued under the previous LTI Plan \nNo shares were issued during the year on the exercise of options. All options held by Key Management Personnel at the beginning of the year issued under \nthis plan expired during the year and no further options have been issued. These options vested in a prior period hence there was no impact on Key \nManagement Personnel remuneration for the year. \n\nEnd of Remuneration Report", + "page_start": 60, + "page_end": 60, + "source_file": "ASX_KCN_2013.pdf" + }, + { + "text": "**LETTER TO THE SHAREHOLDERS**\n\n\n\nWe believe our commitment to good customer service, and our expanding PCS coverage area, will provide an advantage \nas we strive to profitably add customers. \n\nThe telecommunications industry remains in a period of rapid change, both from technological and regulatory \n\nperspectives. While these changes present challenges to our existing operations, they present opportunities as well. As an \norganization we need to address the continuing shift of minutes and customers away from our traditional networks to \nnewer wireless and Internet Protocol (IP)-based networks. Finding a way to profitably offer Voice Over IP services will \nbe one of our immediate goals. We have rapidly deployed broadband data capabilities, now making DSL access available \nto over 80 percent of our telephone customers. While DSL is currently provided over our wireline network, we need to \nlook to wireless technologies to deliver broadband services to more customers in a larger footprint. Our video service \nofferings are increasingly in competition with satellite based services, and thus need enhancements in order to be the \npreferred choice of our customers. As we work to identify new services to offer, a major objective will also be to find \nways to do so profitably. \n\nBeing able to deliver good financial results over the long term requires the efforts of many talented and dedicated \n\nemployees. In the pages of this annual report, you will get a glimpse of how many of our employees also make a \ncontribution to their communities. Our Company strives to be a good corporate citizen, a goal which is enhanced by our \nemployees' own effort to make a positive impact with their volunteer activities. \n\nWe have had a history of investing heavily in the capabilities of our networks, expanding and enhancing them in \norder to offer the best service possible. As our business has continued to grow and become more complex, we also need \nto invest in additional management resources. One of the recent steps in this direction was to hire Earle MacKenzie, who \njoined our organization as Executive Vice President in June. Earle brings 30 years of telecommunications experience to \nour Company, having worked for a range of organizations, including Contel, Arthur Andersen, startup ventures, and \nconsulting firms. In his position, he will serve as Chief Financial Officer of the organization, freeing up Larry Paxton to \nfocus on our information technology needs. In addition to the new management positions, we have underway a \nreorganization of our management structure to more closely align it with our functional areas. \n\nIn addition to the normal challenges of managing a growing business, our Board of Directors and members of \n\nmanagement have spent considerable time and effort to ensure compliance with the numerous new rules and requirements \nresulting from the various corporate scandals over the past few years. While a valid argument can be made as to whether \nall the new requirements are necessary, or even if they would have avoided the scandals that were uncovered, we have \napproached these efforts as an additional opportunity to further improve what we hope is already a well governed \norganization. The cost of complying with the new rules will be significant, but the cost of not doing what is right would \nbe worse, and certainly not acceptable to you as owners of the Company. \n\nAs announced last October, the Board of Directors declared a two-for-one stock split to shareholders of record as of", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "details of which are described in Note 18 to the financial statements. \n\nShares granted to the Specified Executives during the year are as follows, and were valued at $6.95 each, being their market value (as \ndefined in the Income Tax Assessment Act). \n\n**Granted to:** **Shares:**\n\nGouadain, Jacques Elie 6,216 \n\nMoore, Paul Derek 5,827 \n\nWasow, Peter Christopher 7,770 \n\nWilkinson, Richard John 5,827 \n\nWood, Bruce James 5,439 \n\nYoung, Jonathon Terence 8,547 \n\n(b) Includes the notional value of shares and options granted by the Company during previous financial years (and which had not vested as at \n\n1 January 2004) which have been amortized over the relevant vesting period. All options have been valued by independent valuers using \nthe modified Black-Scholes or Binomial option pricing model. \n\n(c) No options were granted by the Company during the year to the Directors or to the Specified Executives. \n\n(d) No options or shares have been granted by the Company since the end of the financial year. \n\n(6) This amount reflects the value during the current reporting period of the 1,000,000 Restricted Shares granted to Mr J C Ellice-Flint in 2000, \nfurther details of which are described in note 18(h) to the financial statements.", + "page_start": 41, + "page_end": 41, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "A D D I T I O N A L S T O C K E X C H A N G E I N F O R M A T I O N \nA S A T 8 S E P T E M B E R 2 0 0 0 \n\n**TWENTY LARGEST OPTION HOLDERS**\n\n**Number of shares**\n1,250,000 \n331,000 \n250,000 \n200,000 \n200,000 \n189,080 \n180,000 \n150,000 \n133,000 \n103,000 \n100,000 \n100,000 \n100,000 \n100,000 \n100,000 \n96,000 \n70,320 \n66,700 \n61,000 \n55,000 \n**3,835,100** National Nominees Limited \nMr J.P. Birchmore \nMr. R.E.T. Towner \nMr. G. C. Wood \nBeth Nominees Pty Ltd \nLen Evans Holdings Pty Ltd \nGoffacan Pty Ltd \nMr H. Somic & Mrs A. Somic \nMr A.W. Gleeson \nMrs M.E. Grattan \nMr B.W. Victor \nMiss L.C. Borg \nCanistra Pty Ltd \nMr. M. Nicholls \nHergard Investments Pty Ltd \nKava Holdings Pty Ltd \nInvesco Nominees Pty Ltd \nMr. A.B.-Douglass \nMrs M. Nix \nMs L. Wilshaw \n**Total**\n\n**% of Issued Capital**\n19.23 \n5.09 \n3.85 \n3.08 \n3.08 \n2.91 \n2.77 \n2.31 \n2.05 \n1.58 \n1.54 \n1.54 \n1.54 \n1.54 \n1.54 \n1.48 \n1.08 \n1.03 \n0.94 \n0.85 \n**59.03**\n\n**COMPANY SECRETARIES**\nBrendan Gore \nNeil Roberts \n\n**PRINCIPAL REGISTERED OFFICE**\nEagle Jetty, 20 Mews Road \nFREMANTLE WA 6160 \nTel: (08) 9431 7431 \n\n**SHARE REGISTRY**\nShareholders can obtain information about their shareholding by contacting the Company’s \nshare registry: \nNational Registry Services (WA) Pty Ltd \nLevel 1, CML Building \n55 St Georges Terrace \nPerth, Western Australia 6000 \nTelephone: (08) 9220 4750 \n(08) 9220 4755 \nFacsimile: \n\n**CHANGE OF ADDRESS**\nShareholders should notify the share registry in writing immediately there is a change to their \nregistered address. \n\n**STOCK EXCHANGE LISTING**\nMermaid Marine Australia Limited’s ordinary shares are quoted by the Australian Stock \nExchange Limited. \n\n**PUBLICATIONS**\nThe Annual Report is the main source of information for shareholders.", + "page_start": 67, + "page_end": 67, + "source_file": "ASX_MRM_2000.pdf" + }, + { + "text": "| | Jeffrey H. Smulyan chairman & ceo emmis communications | |\n| | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Dear Shareholder \n\nI am pleased to present our Remuneration Report for 2013. \n\nAs you would be aware, at last year’s Annual General Meeting (“AGM”) 30% of the votes cast in respect of the resolution to adopt \nthe 2012 Remuneration Report voted ‘against’ the resolution. As this was greater than the 25% threshold under the executive \nremuneration legislation, we received what is referred to as a ‘first strike.’ Our formal response to issues raised by shareholders at \nthe AGM with respect to the 2012 Remuneration Report is set out on page 50 of this Report. \n\nVoting at AGMs is not compulsory and results of the 2012 AGM reflected this with only 59% of issued shares that were eligible to \nvote on the resolution to adopt the Remuneration Report doing so, meaning the ‘against’ vote represented 18% of eligible issued \nshares. \n\nWhile we believe our remuneration practices are sound and demonstrate a clear link between executive and shareholder returns, \nwe have taken the first strike seriously and have undertaken an extensive review of the remuneration principles for Key \nManagement Personnel. \n\nThe changes that the Board have implemented as a result of this review include: \n〉〉 A structural review of the Company resulting in the appointment in December 2012 of a senior human resources specialist as \n\na direct report to the Managing Director and Executive Committee member; \n\n〉〉 Fees / base salary packages for Directors and Key Management Personnel were frozen from 1 July 2012; \n\n〉〉 Directors and Key Management Personnel have agreed to a 10% reduction in fees and remuneration; \n〉〉 \nThe Managing Director and Key Management Personnel agreed to not accept any of their entitled Short Term Incentive (“STI”) \nequivalent to a minimum of 10% of their base salary for the 2013 financial year; \n\n〉〉 A revised Performance Management System, including ‘at risk’ remuneration, has been introduced at all levels in corporate and \nsite based operations including at risk remuneration for Key Management Personnel in the form of short term and long term \nincentive programs described in detail in this report; and \n\n〉〉 A broadening of the remuneration benchmarking processes for Directors and Key Management Personnel. \n\nFurther details on each of the changes outlined above are provided in specific sections of this Remuneration Report. We believe \nthat these changes will be welcomed by our shareholders. \n\nWe will continue to review our remuneration polices and framework in consideration of a changing industry environment and \nyour feedback. \n\nThank you for your interest in this report.", + "page_start": 49, + "page_end": 49, + "source_file": "ASX_KCN_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EMMS_2004.pdf", + "query": "Who is the President of the TV Department of Emmis Communications?", + "target_page": 6, + "target_passage": "Randall Bongarten Television Division President", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "| | Jeffrey H. Smulyan chairman & ceo emmis communications | |\n| | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "about emmis \n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM \ndomestic radio stations serving the nation’s largest markets of New \nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, \nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television \nstations, award-winning regional and specialty magazines, a radio net- \nwork, international radio interests, and ancillary businesses in broadcast \nsales and publishing. \n\nEmmis was founded in 1980, and the company launched its first radio \nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for \n“truth”) acquired more radio stations across the nation, it established a \nreputation for sound operations and emerged as a radio industry leader \nand innovator. Emmis was the first broadcast company to own top- \nrated radio stations in both L.A. and New York, and it pioneered such \nconcepts as the all-sports format. \n\nThe company launched its magazine division in 1988 with the purchase \nof*Indianapolis Monthly*, and moved into the world of international radio \nin 1997, when it was awarded a license to operate a national radio \nnetwork in Hungary. In 1998, Emmis expanded into television by buying \nsix television stations in markets throughout the United States. In the last \nsix years, the company has added properties in each of its divisions. \n\nWith its emphasis on solid operations, integrity, community involvement \nand fun, the company’s culture has been repeatedly lauded by both its \nemployees and its peers. Trade publications have regularly cited the \ncompany’s leaders as being among the best in the business. \n\nEmmis became a public company in 1994. It maintains its worldwide \nheadquarters in Indianapolis, where the company was founded. \n\n*This annual report contains certain non-GAAP measures. For a presen-*\n*tation of the directly comparable GAAP measure and a reconciliation of*\n*the non-GAAP measures to the GAAP measures, see the attachment to*\n*the back of our Form 10-K in this Annual Report.*", + "page_start": 1, + "page_end": 1, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Business \nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award- \nwinning radio broadcasting, television broadcasting and magazine publishing \noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest \nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, \nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in \nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; \nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; \nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes \n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles*and Country \nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio \nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of \nthe population in the Flanders region of Belgium; and has ancillary businesses in \nbroadcast sales, publishing and interactive products. \n\nTransfer Agent Register \nWachovia Bank N.A., Shareholder Services Group, \n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153. \n\nAnnual Meeting \nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on \nWednesday, June 30, 2004, at Emmis’ Corporate office. \n\nForm 10-K \nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, \n2004, which was filed with the Securities and Exchange Commission, will be sent \nto shareholders without charge upon written request to Kate Healey, Emmis \nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, \nIndianapolis, Indiana 46204, or ir@emmis.com. \n\nMarket and Dividend Information \nThe Company’s Class A Common Stock is traded in the over-the-counter market \nand is quoted on the National Association of Securities Dealers Automated \nQuotation (NASDAQ) National Market System under the symbol EMMS. \n\nThe following table sets forth the high and low bid prices of the Class A Common \nStock for the periods indicated. No dividends were paid during any such periods. \n\nQuarter Ended \nMay 2002 \nAugust 2002 \nNovember 2002 \nFebruary 2003 \nMay 2003 \nAugust 2003 \nNovember 2003 \nFebruary 2004 High \n31.85 \n30.15 \n24.05 \n24.86 \n21.24 \n23.87 \n24.06 \n28.65 \n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A \nCommon Stock and one record holder of the Class B Common Stock. \n\nEmmis intends to retain future earnings for use in its business and does not anticipate \npaying any dividends on shares of its common stock in the foreseeable future. \n\nExecutive Officers \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nRandall Bongarten \nTelevision Division President \n\nRichard F. Cummings \nRadio Division President \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nPaul W. Fiddick \nInternational Division President \n\nMichael Levitan \nSenior Vice President, \nHuman Resources \n\nGary Thoe \nPublishing Division President \n\nBoard of Directors \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nSusan B. Bayh \nFormer Commissioner of the International Joint \nCommission of the United States and Canada \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nRichard A. Leventhal \nPresident and Majority Owner, \nLMCS, LLC \n\nPeter A. Lund \nMedia consultant and former \nPresident of CBS Inc. \n\nGreg A. Nathanson \nMedia consultant and former \nPresident of Fox Television Stations and \nEmmis Television \n\nFrank V. Sica \nSenior Advisor \nSoros Fund Management LLC", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "|---|---|---|\n| In addition, we commit ourselves to creating the best content that could change the face of American TV and once again in our markets. Our magazines routinely dominate their demonstrate that Emmis is a company that leads the way. industry awards ceremonies – last year, Texas Monthly won a coveted National Magazine Award, and Emmis publications Forty years ago, Americans began taking down their TV claimed more than half of the awards at the City and antennas and severing broadcasters’ direct link to television Regional Magazine competition. Our radio stations feature audiences. Since then, the cable companies—the middlemen some of the industry’s most popular personalities – in 2003, who replaced us—have created more than $300 billion of Emmis people and stations were awarded three Marconi value for themselves. However, changes in technology have Radio Awards. And our television operations are regularly given broadcasters the ability to provide the American public honored by journalism organizations for their news gathering with the most popular TV channels, without the middlemen and community service. In short, we provide our markets and at a more reasonable price. with reliable, high-quality content – content that helps us assemble the audiences our advertisers want to reach. We are developing an innovative model that will leverage that technology to get broadcast companies back into the We then generate revenue by overallocating to sales. We game. I believe it has the potential to revolutionize the give our teams well-developed strategies, clearly defined television industry. I also believe it will add substantial value brands and solid products. We build bigger, better sales to your investment. forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious We unveiled this concept at the National Association of goals and then watch our people work harder and smarter Broadcasters meeting in April. I am proud to say that 11 than anyone else. other television companies joined us at that meeting to express their support for what we’re calling the Broadcasters’ We also seize the right opportunities and make the most Initiative, and more are signing on each week. Once again, of them. As the cost of buying radio properties has gone Emmis has leveraged innovation to take a leading role in our through the roof, we have been careful about buying. industries. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a We’ll continue to use innovation to push us forward. tremendous heritage and a great culture, all with an opportu- Meanwhile, we’ll also build and maintain the best teams, pro- nity for growth. And we’ve already built on that group’s track duce the best media content, outhustle and outsell our com- record – since we bought them, we’ve reformatted one sta- petitors, seize the best opportunities and operate this com- tion and quickly sent it to No. 1 in the market, and we’ve pany better than any other. pushed revenues up 9 percent for the entire group. In other words, you can count on Emmis to continue to do Finally, we innovate. Why has Emmis, traditionally a radio what it has always done: Outperform. company, become the company to emulate in TV? Because we approached TV in a way it’s never been approached Thank you for your belief and investment in Emmis. before. Why do we operate leading hip-hop stations in mar- kets across the nation? Because we pioneered the concept. Why have we created a new “Music with Class” format in St. Louis’ Red 104.1? Because we believe we see a new oppor- tunity. We know that successful companies don’t follow the pack. They lead it, and that’s what we’ll always do. The year ahead That last point – innovation – is an important one, especially Jeffrey H. Smulyan for the future of Emmis, because we are planning something chairman & ceo emmis communications | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "| In addition, we commit ourselves to creating the best content that could change the face of American TV and once again\nin our markets. Our magazines routinely dominate their demonstrate that Emmis is a company that leads the way.\nindustry awards ceremonies – last year, Texas Monthly won a\ncoveted National Magazine Award, and Emmis publications Forty years ago, Americans began taking down their TV\nclaimed more than half of the awards at the City and antennas and severing broadcasters’ direct link to television\nRegional Magazine competition. Our radio stations feature audiences. Since then, the cable companies—the middlemen\nsome of the industry’s most popular personalities – in 2003, who replaced us—have created more than $300 billion of\nEmmis people and stations were awarded three Marconi value for themselves. However, changes in technology have\nRadio Awards. And our television operations are regularly given broadcasters the ability to provide the American public\nhonored by journalism organizations for their news gathering with the most popular TV channels, without the middlemen\nand community service. In short, we provide our markets and at a more reasonable price.\nwith reliable, high-quality content – content that helps us\nassemble the audiences our advertisers want to reach. We are developing an innovative model that will leverage\nthat technology to get broadcast companies back into the\nWe then generate revenue by overallocating to sales. We game. I believe it has the potential to revolutionize the\ngive our teams well-developed strategies, clearly defined television industry. I also believe it will add substantial value\nbrands and solid products. We build bigger, better sales to your investment.\nforces and put a greater emphasis on local dollars than our\ncompetitors. We hire aggressive managers, set ambitious We unveiled this concept at the National Association of\ngoals and then watch our people work harder and smarter Broadcasters meeting in April. I am proud to say that 11\nthan anyone else. other television companies joined us at that meeting to\nexpress their support for what we’re calling the Broadcasters’\nWe also seize the right opportunities and make the most Initiative, and more are signing on each week. Once again,\nof them. As the cost of buying radio properties has gone Emmis has leveraged innovation to take a leading role in our\nthrough the roof, we have been careful about buying. industries.\nHowever, when we had a chance to acquire the LBJ stations\nin Austin, we knew it was the right fit: good stations, a We’ll continue to use innovation to push us forward.\ntremendous heritage and a great culture, all with an opportu- Meanwhile, we’ll also build and maintain the best teams, pro-\nnity for growth. And we’ve already built on that group’s track duce the best media content, outhustle and outsell our com-\nrecord – since we bought them, we’ve reformatted one sta- petitors, seize the best opportunities and operate this com-\ntion and quickly sent it to No. 1 in the market, and we’ve pany better than any other.\npushed revenues up 9 percent for the entire group.\nIn other words, you can count on Emmis to continue to do\nFinally, we innovate. Why has Emmis, traditionally a radio what it has always done: Outperform.\ncompany, become the company to emulate in TV? Because\nwe approached TV in a way it’s never been approached Thank you for your belief and investment in Emmis.\nbefore. Why do we operate leading hip-hop stations in mar-\nkets across the nation? Because we pioneered the concept.\nWhy have we created a new “Music with Class” format in St.\nLouis’ Red 104.1? Because we believe we see a new oppor-\ntunity. We know that successful companies don’t follow the\npack. They lead it, and that’s what we’ll always do.\nThe year ahead\nThat last point – innovation – is an important one, especially Jeffrey H. Smulyan\nfor the future of Emmis, because we are planning something chairman & ceo emmis communications | | |\n|---|---|---|", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "First of all, we focus on assembling and maintaining the best \nteams in our markets. We have traditionally had the top \nsalespeople, creative and technical professionals, news \nstaffs, managers and support staff in every city where we \noperate. Their peers turn to them for industry leadership, \nhonor them with awards and copy them at every opportunity. \nWe invest in these people, giving them industry-leading ben- \nefits packages, great opportunities and the tools they need to \nsucceed. This has always been a hallmark of Emmis, and it \nwon’t change. \n\nOur TV performance was even more impressive. The Emmis \ntelevision group’s revenues were up 0.5 percent in calendar \n2003, a year when our markets saw a 2.3 percent decrease \nin revenues, and the industry experienced a 4.7 percent \nrevenue decline. This industry-leading result made us one of \nthe few groups in the nation to post positive growth. In addi-", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Dear Shareholders, \n\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow. \n\nOn our year-end conference call, I said that last year was the \nbest in Emmis Communications’ history. And while that might \nhave sounded like the usual Wall Street hyperbole – like any \nother CEO bragging about his company’s performance – the \ndifference is, I believed it. And I still do. \n\nOur publishing and international divisions also posted strong \nresults. In a tough publishing market, our magazines boosted \ntheir division’s revenues by 4.6 percent over last year and \nincreased cash flow by 3.3 percent. Our international division \nturned in a revenue increase of 27 percent and a cash flow \nincrease of 31 percent. \n\nBut I’ve been in this business long enough to know two \nthings for sure: What I believe is not as important as what I \ncan prove, and what we did last year is only meaningful if it \nreflects on how we will do in the coming year. The good \nnews is, Emmis does have the results to back up my high \npraise, and what we did to perform last year does directly \nrelate to how we’ll perform in the year ahead. \n\nIn addition to boosting performance in our divisions, we \nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in \nAmerican media. With this team in place, we’ve brought \nour leverage and cost of capital down to more manageable \nlevels, found ways to combat the continually increasing \ncosts of health insurance and, in a truly top-notch effort, \nsmoothly integrated our new Austin radio properties – in just \nunder a year as a part of Emmis, the Austin properties are \nenjoying significant ratings and revenue increases. **The best year**\nThe bottom line is this: Emmis Communications turned in a \nremarkable performance last year. Again and again, and by a \nnumber of measures, we outperformed our peers, our mar- \nkets and our own solid track record. \n\nAnd we did this in a year that was challenging in just about \nevery way. The economy was unstable, public companies \ncame under continuing scrutiny, indecency issues hounded \nbroadcasters, competition for tight ad dollars increased and \ntechnology continued to reshape the media world. Of course, for you, the real bottom line on our performance is \nits impact on your investment. I’m proud to say that we saw \na 27 percent increase in our share price over the course of \nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed \nthe book on fiscal ’04 at 25.17. \n\n**How we did it**\nOperationally, we were on top of our game last year. However, \nas I said, I know that the past year’s performance really only \nmatters if it reflects on what we’ll do in the coming year. The \ngood news is, it does. We performed at these high levels not \nby doing something unusual, but by operating the way Emmis \nhas always operated, and the way we always will. \n\nBut our people refused to be slowed by those challenges. \nInstead, they worked through them. They innovated, hustled \nand focused. And they produced. \n\nOur radio division’s revenue growth led our markets and the \nindustry – in our fiscal year, our group was up 4.5 percent \nwhile our markets were up 2.7 percent and the industry only \n1 percent. Based on this kind of performance, we have con- \nsistently ranked among the nation’s leaders in per-station \nrevenue, and we continue to produce top-rated programming \nin markets across the nation.", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "**ruth Buckle**\nVice president \nproperty management", + "page_start": 6, + "page_end": 6, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "emmis communications 2004 abbreviated financial highlights \n*in thousands except where noted*\n\n’00 \n325,265 \n125,477 \n38.6% \n2.5x ’01 \n473,345 \n174,213 \n36.8% \n6.8x ’02 \n539,822 \n185,665 \n34.4% \n9.3x ’03 \n562,363 \n213,112 \n37.9% \n6.5x ’04 \n591,868 \n220,445 \n37.2% \n6.7x *year ended Feb. 28 (29)*\nnet revenues \nstation operating income*\nstation op income margin \nleverage \n\n**excluding noncash compensation*\n\n| | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | |\n| 539,822 $600,000 473,345 $500,000 325,265 $400,000 $300,000 $200,000 $100,000 | | | | | | | 62,363 | | 591,868 | $300,000 220,445 213,112 $250,000 185,665 174,213 $200,000 125,447 $150,000 $100,000 $50,000 |\n| | | | | | 822 | | | | | |\n| | | | 5 | | | | | | | |\n| | | | 473,34 | | 539, | | 5 | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | 5 | | | | | | | | | |\n| | 325,26 | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n\n\n| | | | | | | 112 | | 0,445 |\n|---|---|---|---|---|---|---|---|---|\n| | | | | | | 112 | | 0,445 |\n| | | | | 5,665 | | 213, | | 22 |\n| | | | | | | | | |\n| | | 174 | | 18 | | | | |\n| ,447 | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| 125 | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n\n\nS \nM \nM \nE \n\nI \n\n5 \n\n| | | | | | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| 4 | | | RKETS | | | |\n| 3 | | | MA | | | |\n| RY | | | | | | |\n| | | | | | | |\n| 2 INDUST | | | | | | |\n| 1 | | | | | | |\n\n\n0 1% 2.7% 4.5% \n\nradio division revenue growth fiscal 2004 \n\n4 \n\n| | RY | | TS | | S | |\n|---|---|---|---|---|---|---|\n| | RY | | TS | | S | |\n| 2 | INDUST | | MARKE | | EMMI | |\n| 0 | | | | | | |\n| -2 | | | | | | |\n| -4 | | | | | | |\n\n\n-6 -4.7% -2.3% 0.5% \n\ntv division revenue growth calendar 2003", + "page_start": 2, + "page_end": 2, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "**42**| EMPLOYEES \n\nKenneth Gentry \nChris George \nJerry George II \nBrian Gibbs \nJohn Gibbs III \nLane Gibbs \nChris Gibson \nHayley Gibson \nJ.D. Giddens \nTricia Giffin \nMatt Gilbert \nLarry Gillespie Jr. \nMatthew Gilliam \nCharles Gillis \nTracy Givens \nDavid Gladwin \nJames Glass \nChristina Glaviano \nDavis Gleason \nRonnie Glenewinkel \nHenry Glenn \nJeff S. Glenn \nSally Glenn \nScott Glenn \nWilbert Glover III \nSpencer Goad \nAllison Gocke \nRyan Goddard \nJon Godsy \nDana Goe \nJosh Goforth \nKandy Golden \nDerrick Goldston \nDustin Goldston \nMario Gomez \nGeorge Gonzales \nSam Gonzales \nDavid Gonzalez \nFabian Gonzalez \nJose Gonzalez \nRay Good II \nPat Goodman \nDaniel Goodwin \nAndrew Gooshaw \nBryan Gordon \nDaniel Gordon \nDavid Gore \nRonnie Gore \nNick Goree \nThomas Goslin \nTravis Gosnell \nAdam Gospodarek \nSteven Gosvener \nBrandy Gottschall \nRichard Gowan Jr. \nJC Goza \nEvelyn Grace \nCarlos Gracian \nAlicia Graham \nDana Grant \nDusy Grant \nDavid Grapusa Jr. \nDusty Graves \nJon Graves \nJoseph Graves \nGavin Gray \nJim Gray \nJon Gray \nEric Greathouse \nJohn Greathouse \nGeoff Green \nJeff Green \nJohn Green \nJustin Green \nLucas Green \nMichael Green \nRandy Green \nRonald Green II \nSilas Green \nJane Greene \nMike Greenough \nJennifer \n\nJustin Lewis \nKasey Lewis \nLawrence Lewis Jr. \nMicheal Lewis \nPaul LeBlond \nJoshua LeGrande \nGabriel Lichtenberger \nMitch Lied \nKasey Lilley \nChad Limberg \nTravis Lindenfelser \nJason Lindsey \nJeremy Lindsey \nKyle Lindsey \nMike Linse \nLinwood Lirette Jr. \nRandy Little \nJacob Littlefield \nMelinda Littlefield \nWhitney Lively \nThomas Lloyd \nJohn Loesel VI \nShana Lofaso \nSara Loftin \nKeenan Lohrding \nWesley Long Jr. \nJames Loomis \nAlex Lopez \nAlfredo Lopez Jr. \nGerardo Lopez \nJosh Lopez \nRudy Lopez Jr. \nMargaret Lorden \nJoshua Losinger \nNicholas Lott \nSteven Love \nMelissa Loveland \nClinton Lovell \nLance Lovell \nTimothy Lovell \nDoc Lovett \nDavid Lowther \nGerardo Lozano \nAndres Lucas \nKyle Lucas \nMichael D. Lucas \nMichael D. Lucas \nHector Lucio Varela \nJohn Ludwig \nNickolas Luedecke \nSteve Luera \nGreg Lukeman \nJared Luman \nMichael Lumley \nMichelle Lunceford \nMichael Lunde \nStewart Lundquist \nRockey Lynch \nJacob Lynn \nReggie Lyons \nKha Mach \nJaime Machuca Jr. \nGreg Mack \nJessica Mack \nAlison Mackie \nKevin MacDonald \nThomas Madden \nTrent Magers \nJon Mahan \nJustin Mahan \nJeffery Majors \nStephanie Mak \nJose Maldonado Jr. \nLindsay Malinoski \nMark Malone \nStacey Maloney \nDavid Manchas \nStephen Manning \nTimothy Manning \nJohn Mantooth Jr. \nJon Mantooth \nShannon Mantooth \nMary Katherine \n\nMike Griffith \nAnthony Grillett \nJeff Grim \nJeff Grindstaff \nChad Grinnell \nClay Grissom \nTara Gross \nVertis Grummert \nJohn Gryder \nJose Guajardo Jr. \nG G Guerra \nHomero Guerra Jr. \nMatt Guerrero \nMiguel Guerrero \nRoy Guerrero \nArnaud Guillemard \nAgustin Guillen \nDaniel Guinane \nMichael Gulikers \nBrenda Gumm \nBarbara Guskin \nCarly Gustafson \nGalen Gustavus \nJimmy Gustavus \nSteven Gustavus \nJoseph Guthrie \nThomas Guthrie \nJoe Gutierrez \nJose L. Gutierrez \nLeopoldo Gutierrez \nJamey Guzak \nJohn Haag \nMatthew Habuda \nTim Hackenberg \nJosh Hack \nRichard Hackney \nJohn Hadlock \nJessica Haer \nJoshua Haile \nRobert Hajdas \nKyle Hakes \nTodd Hakes \nAlicia Haley \nAlex Hall \nBilly Hall \nBrock Hall \nDerek Hall \nGabriel Hall \nGerad Hall \nRichard B. Hall \nRyan Hall \nCalwin Halpin \nRicky Hamilton \nRussell Hamilton \nWilliam Hamilton \nBrian Hamiter \nBilly Hamm \nStuart Hamman \nTodd Hammer \nAugusta Hammergren \nBrian Hammerschmidt \nMelissa Hammontree \nDavid Hancock \nJohn Haner Jr. \nJeremy Hanes \nRegan Hankins Jr. \nJoel Hanks \nAngie Hardey \nRichard Harding \nKeith Hardman \nGraigery Harer \nDayne Hargrove \nBradley Harkness \nRick Harless \nColby Harlow \nJessica Harmon \nLane Harmon \nLewis Harper \nMike Harper \nJames Harris III \nRobert R. Harris \nSara Harris \nTim Harris \nTimothy Harris Jr. \nRodney Harrist \nGary Harshey \nDenise C. Hart \nJames Hart \nMargaret Hart \nPat Hartley", + "page_start": 43, + "page_end": 43, + "source_file": "NYSE_CHK_2010.pdf" + } + ] + }, + { + "references": { + "source_file": "NASDAQ_EMMS_2004.pdf", + "query": "Does the radio station 93.7 in Austin belong to Emmis Communication?", + "target_page": 7, + "target_passage": "KLBJ-FM (93.7), Album Oriented Rock", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "about emmis \n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM \ndomestic radio stations serving the nation’s largest markets of New \nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, \nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television \nstations, award-winning regional and specialty magazines, a radio net- \nwork, international radio interests, and ancillary businesses in broadcast \nsales and publishing. \n\nEmmis was founded in 1980, and the company launched its first radio \nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for \n“truth”) acquired more radio stations across the nation, it established a \nreputation for sound operations and emerged as a radio industry leader \nand innovator. Emmis was the first broadcast company to own top- \nrated radio stations in both L.A. and New York, and it pioneered such \nconcepts as the all-sports format. \n\nThe company launched its magazine division in 1988 with the purchase \nof*Indianapolis Monthly*, and moved into the world of international radio \nin 1997, when it was awarded a license to operate a national radio \nnetwork in Hungary. In 1998, Emmis expanded into television by buying \nsix television stations in markets throughout the United States. In the last \nsix years, the company has added properties in each of its divisions. \n\nWith its emphasis on solid operations, integrity, community involvement \nand fun, the company’s culture has been repeatedly lauded by both its \nemployees and its peers. Trade publications have regularly cited the \ncompany’s leaders as being among the best in the business. \n\nEmmis became a public company in 1994. It maintains its worldwide \nheadquarters in Indianapolis, where the company was founded. \n\n*This annual report contains certain non-GAAP measures. For a presen-*\n*tation of the directly comparable GAAP measure and a reconciliation of*\n*the non-GAAP measures to the GAAP measures, see the attachment to*\n*the back of our Form 10-K in this Annual Report.*", + "page_start": 1, + "page_end": 1, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Business \nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award- \nwinning radio broadcasting, television broadcasting and magazine publishing \noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest \nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, \nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in \nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; \nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; \nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes \n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles*and Country \nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio \nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of \nthe population in the Flanders region of Belgium; and has ancillary businesses in \nbroadcast sales, publishing and interactive products. \n\nTransfer Agent Register \nWachovia Bank N.A., Shareholder Services Group, \n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153. \n\nAnnual Meeting \nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on \nWednesday, June 30, 2004, at Emmis’ Corporate office. \n\nForm 10-K \nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, \n2004, which was filed with the Securities and Exchange Commission, will be sent \nto shareholders without charge upon written request to Kate Healey, Emmis \nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, \nIndianapolis, Indiana 46204, or ir@emmis.com. \n\nMarket and Dividend Information \nThe Company’s Class A Common Stock is traded in the over-the-counter market \nand is quoted on the National Association of Securities Dealers Automated \nQuotation (NASDAQ) National Market System under the symbol EMMS. \n\nThe following table sets forth the high and low bid prices of the Class A Common \nStock for the periods indicated. No dividends were paid during any such periods. \n\nQuarter Ended \nMay 2002 \nAugust 2002 \nNovember 2002 \nFebruary 2003 \nMay 2003 \nAugust 2003 \nNovember 2003 \nFebruary 2004 High \n31.85 \n30.15 \n24.05 \n24.86 \n21.24 \n23.87 \n24.06 \n28.65 \n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A \nCommon Stock and one record holder of the Class B Common Stock. \n\nEmmis intends to retain future earnings for use in its business and does not anticipate \npaying any dividends on shares of its common stock in the foreseeable future. \n\nExecutive Officers \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nRandall Bongarten \nTelevision Division President \n\nRichard F. Cummings \nRadio Division President \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nPaul W. Fiddick \nInternational Division President \n\nMichael Levitan \nSenior Vice President, \nHuman Resources \n\nGary Thoe \nPublishing Division President \n\nBoard of Directors \nJeffrey H. Smulyan \nChairman of the Board, \nPresident and Chief Executive Officer \n\nSusan B. Bayh \nFormer Commissioner of the International Joint \nCommission of the United States and Canada \n\nWalter Z. Berger \nExecutive Vice President, \nChief Financial Officer and Treasurer \n\nGary L. Kaseff \nExecutive Vice President, \nGeneral Counsel \n\nRichard A. Leventhal \nPresident and Majority Owner, \nLMCS, LLC \n\nPeter A. Lund \nMedia consultant and former \nPresident of CBS Inc. \n\nGreg A. Nathanson \nMedia consultant and former \nPresident of Fox Television Stations and \nEmmis Television \n\nFrank V. Sica \nSenior Advisor \nSoros Fund Management LLC", + "page_start": 5, + "page_end": 5, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "|---|---|---|\n| In addition, we commit ourselves to creating the best content that could change the face of American TV and once again in our markets. Our magazines routinely dominate their demonstrate that Emmis is a company that leads the way. industry awards ceremonies – last year, Texas Monthly won a coveted National Magazine Award, and Emmis publications Forty years ago, Americans began taking down their TV claimed more than half of the awards at the City and antennas and severing broadcasters’ direct link to television Regional Magazine competition. Our radio stations feature audiences. Since then, the cable companies—the middlemen some of the industry’s most popular personalities – in 2003, who replaced us—have created more than $300 billion of Emmis people and stations were awarded three Marconi value for themselves. However, changes in technology have Radio Awards. And our television operations are regularly given broadcasters the ability to provide the American public honored by journalism organizations for their news gathering with the most popular TV channels, without the middlemen and community service. In short, we provide our markets and at a more reasonable price. with reliable, high-quality content – content that helps us assemble the audiences our advertisers want to reach. We are developing an innovative model that will leverage that technology to get broadcast companies back into the We then generate revenue by overallocating to sales. We game. I believe it has the potential to revolutionize the give our teams well-developed strategies, clearly defined television industry. I also believe it will add substantial value brands and solid products. We build bigger, better sales to your investment. forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious We unveiled this concept at the National Association of goals and then watch our people work harder and smarter Broadcasters meeting in April. I am proud to say that 11 than anyone else. other television companies joined us at that meeting to express their support for what we’re calling the Broadcasters’ We also seize the right opportunities and make the most Initiative, and more are signing on each week. Once again, of them. As the cost of buying radio properties has gone Emmis has leveraged innovation to take a leading role in our through the roof, we have been careful about buying. industries. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a We’ll continue to use innovation to push us forward. tremendous heritage and a great culture, all with an opportu- Meanwhile, we’ll also build and maintain the best teams, pro- nity for growth. And we’ve already built on that group’s track duce the best media content, outhustle and outsell our com- record – since we bought them, we’ve reformatted one sta- petitors, seize the best opportunities and operate this com- tion and quickly sent it to No. 1 in the market, and we’ve pany better than any other. pushed revenues up 9 percent for the entire group. In other words, you can count on Emmis to continue to do Finally, we innovate. Why has Emmis, traditionally a radio what it has always done: Outperform. company, become the company to emulate in TV? Because we approached TV in a way it’s never been approached Thank you for your belief and investment in Emmis. before. Why do we operate leading hip-hop stations in mar- kets across the nation? Because we pioneered the concept. Why have we created a new “Music with Class” format in St. Louis’ Red 104.1? Because we believe we see a new oppor- tunity. We know that successful companies don’t follow the pack. They lead it, and that’s what we’ll always do. The year ahead That last point – innovation – is an important one, especially Jeffrey H. Smulyan for the future of Emmis, because we are planning something chairman & ceo emmis communications | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "| In addition, we commit ourselves to creating the best content that could change the face of American TV and once again\nin our markets. Our magazines routinely dominate their demonstrate that Emmis is a company that leads the way.\nindustry awards ceremonies – last year, Texas Monthly won a\ncoveted National Magazine Award, and Emmis publications Forty years ago, Americans began taking down their TV\nclaimed more than half of the awards at the City and antennas and severing broadcasters’ direct link to television\nRegional Magazine competition. Our radio stations feature audiences. Since then, the cable companies—the middlemen\nsome of the industry’s most popular personalities – in 2003, who replaced us—have created more than $300 billion of\nEmmis people and stations were awarded three Marconi value for themselves. However, changes in technology have\nRadio Awards. And our television operations are regularly given broadcasters the ability to provide the American public\nhonored by journalism organizations for their news gathering with the most popular TV channels, without the middlemen\nand community service. In short, we provide our markets and at a more reasonable price.\nwith reliable, high-quality content – content that helps us\nassemble the audiences our advertisers want to reach. We are developing an innovative model that will leverage\nthat technology to get broadcast companies back into the\nWe then generate revenue by overallocating to sales. We game. I believe it has the potential to revolutionize the\ngive our teams well-developed strategies, clearly defined television industry. I also believe it will add substantial value\nbrands and solid products. We build bigger, better sales to your investment.\nforces and put a greater emphasis on local dollars than our\ncompetitors. We hire aggressive managers, set ambitious We unveiled this concept at the National Association of\ngoals and then watch our people work harder and smarter Broadcasters meeting in April. I am proud to say that 11\nthan anyone else. other television companies joined us at that meeting to\nexpress their support for what we’re calling the Broadcasters’\nWe also seize the right opportunities and make the most Initiative, and more are signing on each week. Once again,\nof them. As the cost of buying radio properties has gone Emmis has leveraged innovation to take a leading role in our\nthrough the roof, we have been careful about buying. industries.\nHowever, when we had a chance to acquire the LBJ stations\nin Austin, we knew it was the right fit: good stations, a We’ll continue to use innovation to push us forward.\ntremendous heritage and a great culture, all with an opportu- Meanwhile, we’ll also build and maintain the best teams, pro-\nnity for growth. And we’ve already built on that group’s track duce the best media content, outhustle and outsell our com-\nrecord – since we bought them, we’ve reformatted one sta- petitors, seize the best opportunities and operate this com-\ntion and quickly sent it to No. 1 in the market, and we’ve pany better than any other.\npushed revenues up 9 percent for the entire group.\nIn other words, you can count on Emmis to continue to do\nFinally, we innovate. Why has Emmis, traditionally a radio what it has always done: Outperform.\ncompany, become the company to emulate in TV? Because\nwe approached TV in a way it’s never been approached Thank you for your belief and investment in Emmis.\nbefore. Why do we operate leading hip-hop stations in mar-\nkets across the nation? Because we pioneered the concept.\nWhy have we created a new “Music with Class” format in St.\nLouis’ Red 104.1? Because we believe we see a new oppor-\ntunity. We know that successful companies don’t follow the\npack. They lead it, and that’s what we’ll always do.\nThe year ahead\nThat last point – innovation – is an important one, especially Jeffrey H. Smulyan\nfor the future of Emmis, because we are planning something chairman & ceo emmis communications | | |\n|---|---|---|", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "Dear Shareholders, \n\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow. \n\nOn our year-end conference call, I said that last year was the \nbest in Emmis Communications’ history. And while that might \nhave sounded like the usual Wall Street hyperbole – like any \nother CEO bragging about his company’s performance – the \ndifference is, I believed it. And I still do. \n\nOur publishing and international divisions also posted strong \nresults. In a tough publishing market, our magazines boosted \ntheir division’s revenues by 4.6 percent over last year and \nincreased cash flow by 3.3 percent. Our international division \nturned in a revenue increase of 27 percent and a cash flow \nincrease of 31 percent. \n\nBut I’ve been in this business long enough to know two \nthings for sure: What I believe is not as important as what I \ncan prove, and what we did last year is only meaningful if it \nreflects on how we will do in the coming year. The good \nnews is, Emmis does have the results to back up my high \npraise, and what we did to perform last year does directly \nrelate to how we’ll perform in the year ahead. \n\nIn addition to boosting performance in our divisions, we \nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in \nAmerican media. With this team in place, we’ve brought \nour leverage and cost of capital down to more manageable \nlevels, found ways to combat the continually increasing \ncosts of health insurance and, in a truly top-notch effort, \nsmoothly integrated our new Austin radio properties – in just \nunder a year as a part of Emmis, the Austin properties are \nenjoying significant ratings and revenue increases. **The best year**\nThe bottom line is this: Emmis Communications turned in a \nremarkable performance last year. Again and again, and by a \nnumber of measures, we outperformed our peers, our mar- \nkets and our own solid track record. \n\nAnd we did this in a year that was challenging in just about \nevery way. The economy was unstable, public companies \ncame under continuing scrutiny, indecency issues hounded \nbroadcasters, competition for tight ad dollars increased and \ntechnology continued to reshape the media world. Of course, for you, the real bottom line on our performance is \nits impact on your investment. I’m proud to say that we saw \na 27 percent increase in our share price over the course of \nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed \nthe book on fiscal ’04 at 25.17. \n\n**How we did it**\nOperationally, we were on top of our game last year. However, \nas I said, I know that the past year’s performance really only \nmatters if it reflects on what we’ll do in the coming year. The \ngood news is, it does. We performed at these high levels not \nby doing something unusual, but by operating the way Emmis \nhas always operated, and the way we always will. \n\nBut our people refused to be slowed by those challenges. \nInstead, they worked through them. They innovated, hustled \nand focused. And they produced. \n\nOur radio division’s revenue growth led our markets and the \nindustry – in our fiscal year, our group was up 4.5 percent \nwhile our markets were up 2.7 percent and the industry only \n1 percent. Based on this kind of performance, we have con- \nsistently ranked among the nation’s leaders in per-station \nrevenue, and we continue to produce top-rated programming \nin markets across the nation.", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "| | Jeffrey H. Smulyan chairman & ceo emmis communications | |\n| | | |", + "page_start": 4, + "page_end": 4, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "emmis communications 2004 abbreviated financial highlights \n*in thousands except where noted*\n\n’00 \n325,265 \n125,477 \n38.6% \n2.5x ’01 \n473,345 \n174,213 \n36.8% \n6.8x ’02 \n539,822 \n185,665 \n34.4% \n9.3x ’03 \n562,363 \n213,112 \n37.9% \n6.5x ’04 \n591,868 \n220,445 \n37.2% \n6.7x *year ended Feb. 28 (29)*\nnet revenues \nstation operating income*\nstation op income margin \nleverage \n\n**excluding noncash compensation*\n\n| | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | |\n| 539,822 $600,000 473,345 $500,000 325,265 $400,000 $300,000 $200,000 $100,000 | | | | | | | 62,363 | | 591,868 | $300,000 220,445 213,112 $250,000 185,665 174,213 $200,000 125,447 $150,000 $100,000 $50,000 |\n| | | | | | 822 | | | | | |\n| | | | 5 | | | | | | | |\n| | | | 473,34 | | 539, | | 5 | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | 5 | | | | | | | | | |\n| | 325,26 | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n\n\n| | | | | | | 112 | | 0,445 |\n|---|---|---|---|---|---|---|---|---|\n| | | | | | | 112 | | 0,445 |\n| | | | | 5,665 | | 213, | | 22 |\n| | | | | | | | | |\n| | | 174 | | 18 | | | | |\n| ,447 | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| 125 | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n\n\nS \nM \nM \nE \n\nI \n\n5 \n\n| | | | | | | |\n|---|---|---|---|---|---|---|\n| | | | | | | |\n| 4 | | | RKETS | | | |\n| 3 | | | MA | | | |\n| RY | | | | | | |\n| | | | | | | |\n| 2 INDUST | | | | | | |\n| 1 | | | | | | |\n\n\n0 1% 2.7% 4.5% \n\nradio division revenue growth fiscal 2004 \n\n4 \n\n| | RY | | TS | | S | |\n|---|---|---|---|---|---|---|\n| | RY | | TS | | S | |\n| 2 | INDUST | | MARKE | | EMMI | |\n| 0 | | | | | | |\n| -2 | | | | | | |\n| -4 | | | | | | |\n\n\n-6 -4.7% -2.3% 0.5% \n\ntv division revenue growth calendar 2003", + "page_start": 2, + "page_end": 2, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n| | | | | | | | | | EN | | |\n| | | | | | | | | | | | |\n| + R el ated P o sts + Ter m s o f Use EDITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | + R el ated P o sts + Ter m s o f Use DITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | | | | | | | | | | |\n| | | + R el ated P o sts | | | | | | | | | |\n| | | + Ter m s o f Use | | | | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | | | | | | |", + "page_start": 1, + "page_end": 1, + "source_file": "news4.pdf" + }, + { + "text": "First of all, we focus on assembling and maintaining the best \nteams in our markets. We have traditionally had the top \nsalespeople, creative and technical professionals, news \nstaffs, managers and support staff in every city where we \noperate. Their peers turn to them for industry leadership, \nhonor them with awards and copy them at every opportunity. \nWe invest in these people, giving them industry-leading ben- \nefits packages, great opportunities and the tools they need to \nsucceed. This has always been a hallmark of Emmis, and it \nwon’t change. \n\nOur TV performance was even more impressive. The Emmis \ntelevision group’s revenues were up 0.5 percent in calendar \n2003, a year when our markets saw a 2.3 percent decrease \nin revenues, and the industry experienced a 4.7 percent \nrevenue decline. This industry-leading result made us one of \nthe few groups in the nation to post positive growth. In addi-", + "page_start": 3, + "page_end": 3, + "source_file": "NASDAQ_EMMS_2004.pdf" + }, + { + "text": "**Thank You!**\n\nAmateur Radio Digital \nCommunications \nAndrew Gass \nBen Adida \nBrewster & Mary Kahle \nBruno Hannud \nColin Sullivan \nDouglas Jaffe \nDouglas Van Houweling \nEsther Wojcicki \nGarrett Camp \nGabriel Levin \nJames Grimmelmann \n\nJohn Seely Brown \nLawrence Lessig \nMarta Belcher \nMary Shaw & Roy Weil \nMolly Van Houweling \nMustafa Üstündağ \nPaul and Iris Brest \nReid Borsuk \nTassanee Ponlakarn \nTed and Michele Wang \nZahavah Levine and Jeff Meyer", + "page_start": 10, + "page_end": 10, + "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed1.pdf", + "query": "What are the two components considered in the expected free energy?", + "target_page": 4, + "target_passage": "The former (utilitarian) objective is to realize one’s preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensa- tions (encoded as “priors over observations” in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one’s estimated state", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How- \n\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains \n\nthe free energy functional for a continuous system \n\n(cid:90) \n(cid:104) \ndr \n(cid:105) \n\nεll \n2 εnn \n2 \n(∇ρl)2 + (∇ρn)2 + εnl(∇ρn) · (∇ρl) − µρl F [ρl, ρn] = f (ρl, ρn) + \n, (4) \n\nwhere \n\nf (ρl, ρn) = kT [ρl ln ρl + (1 − ρl) ln(1 − ρl)] \n\n+ kT [ρn ln ρn + (1 − ρn) ln(1 − ρn)] \n\n− 2εllρ2 \nl − 2εnnρ2 n − 4εnlρnρl. \n(5) \n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) \n\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from \n\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a \n\ngradient expansion of the free energy functional of a continuous system [84]. However, here we \n\nhave made the mapping from the free energy of the lattice KMC system. \n\nThe chemical potential for the nanoparticles may be determined from the functional derivative \n\nµn = δF [ρn, ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary \n\nspatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the \n\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current \n\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of \n\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the \n\nfollowing evolution equation for the nanoparticle density profile \n\n(cid:20) \nMnρn∇ \n\n(cid:21) \n\n∂ρn \n∂t \nδF [ρn, ρl] \nδρn \n= ∇ · . (6) \n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have \n\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − \n\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value \n\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that \n\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a \n\nmobility coefficient α when ρl is high (wet substrate). \n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate \n\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may \n\n15", + "page_start": 14, + "page_end": 14, + "source_file": "1001.2669.pdf" + }, + { + "text": "-0.5 \n) \n1 \n- \nPair Fraction \nL \n\n. \nl \no \nm \n-1 \n( \n0.2 \nx \ne \nv \nf \nβ \n0.1 \n\n-1.5 \n0 1 0.5 \n\n| (a)\nβV~SR(r)\n12\nβVSR(r)\n12 | (d)\nβV~SR(r)\n33 |\n|---|---|\n| (a) βV~SR(r) 12 βVSR(r) 12 | (d) βV~SR(r) 33 |\n| (b) βV~SR(r) 13 | (c) βV~SR(r) 23 |\n\n\n3 \n\n2 \n\n1 \n\n0 \n\n3 \n\n2 \n\n1 \n\n0 \n\n4 8 4 8 6 10 6 10 \nr (Å) \n\nFIG. 3: Effective pair potentials derived for MSA3 and \nBIMSA3. (a) Cation anion (dashed line: without taking the \npair into account), (b) pair cation, (c) pair anion, and (d) pair \npair. The internal potential of the pair β eVint(r) is set equal \nto βV eff ij (r) for distances less than 4 ˚A. \n\n0 0.5 \n1/2 \nc \n\n(Color online) Excess free-energy density βf ex \nv \n\nFIG. 4: \nas \na function of the square root of the concentration √c. (dia- \nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, \n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The \ninset gives the fraction of pairs (MSA3, BIMSA3) as a func- \ntion of √c. \n\ntrapolating the original potential at the barrier separat- \ning pairs from free ions (as shown in Fig. 3). We assume \nthat the interaction potential is averaged over the rota- \ntional degrees of freedom of the CIP and thus pairwise \nadditive. Hereafter, the quantities referring to such a \nthree-component model are written with a tilda symbol. \nThe short-range potentials involving the pair can be de- \nrived, in the infinite dilution limit, from an average of \nthe contributing ion interactions. In Fourier space, \n\n3i (k) = \nV SR \n33 (k) = \nV SR \ne \ne \nwhere \n\n(k), \nw(k/2) \n1i + V SR \nV SR \n2i \n(cid:3) \n(cid:2) \nw(k/2)2 \n22 + 2V SR \n11 + V SR \nV SR \ne \n12 \n(cid:2) \ni = 1, 2 \n(k) \n\n(2a) \n\n(2b) \n(cid:3) \ne \nw(r) is the pair probability distribution \n\ne \nw(r) = K − \nβ eVint(r) \n1 \n0 e− \n(2c) \n\ne \n\nVint(r) is the internal part of the pair potential (see \nFig. 3), and K0 is the association constant, defined as: \ne \n\nwe have no additional information, we consider only sym- \nmetric dumbbells. Furthermore, since analytic expres- \nsions for the RDF within BIMSA are not known, we ap- \nproximate the dumbbell as a hard sphere when comput- \ning the perturbation term (this is not necessary for the \nreference term, since an expression for the free energy \nis available). Let \nσc be the diameter of the cation (an- \nion) within the dumbbell, the diameter of the hard sphere \ne \nσc[21]. \nrepresenting this dumbbell is taken to be \nthree- \ne \ncomponent MSA3 and BIMSA3, we obtain results in \nmuch better agreement with the MC simulations, as \nshown in Fig. 4. The diameters obtained for species 1, \n2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, \n4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are \nsimilar for MSA2, MSA3, and BIMSA3. The pair diam- \neter is smaller when modeled as a hard sphere (MSA3) \nthan when modeled as a dumbbell (BIMSA3). At high \n1), the MSA3 overestimates \nconcentration (about 1 mol l− \nthe free energy, because the excluded volume repulsion \nbecomes too important for the pairs to be represented as \nhard spheres. The BIMSA3 model is the closest to the \nMC simulation results. It is worth noting that even at \nthe lowest concentration considered, the fraction of pairs \n(shown in the insert of Fig. 4), although less then 5%, \nhas a non-negligible effect on the thermodynamics of the \nsystem. \n\nσ3 = 4√2 \nπ \nthe Using these two reference \nsystems, \ne \n\nw(k) (1 − δij ) + \nρ3 \nw(k/2) \ng3j \nρj \ng3i + \nρi \nρ3 \ne \ne \ne \ne \n(cid:2) \nw(k/2)]2 \ng33(k) \nρ 2 \n3 [ \ne \ne \ne \ne \ne \ngij(k) \n(k) \ne \n(cid:3) \n\nρi ρj \n\ne \n\nβ eVint(r) = 0.43 L.mol− \n∞ \n1 \ndr 4πr2e− K0 = (3) \nZ \n0 \n\nThe excess free-energy density of the original system \nf ex \nv plus a \nβf ex \nv \ncorrection term \nis that of the three component mixture β \n\ne \n\nThis procedure also provides an accurate description of \nthe structure over the whole range of concentrations. A \ndevelopment similar to the one that leads to Eq. (2) de- \nrives the average unpaired RDF from the corresponding \npaired quantities: \n\nβf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "For a system of charged particles in solution, the nat- \nural reference is the PM, defined in terms of the charge \nand diameter (σi) of each species. In this case, the per- \nturbing potentials are just the short-range effective po- \ntentials computed above (∆Vij = V SR \nij ). We use the \nMSA [3] solution to the PM, since it provides analyti- \ncal expressions for both the free energy and the RDF. \nThe perturbation term is evaluated using an exponential \napproximation to the RDF obtained within the MSA, \ng(r) = exp [gMSA(r) − 1], which removes any unphysical \nnegative regions and improves the comparison with HNC \ncalculations. \n\nTo overcome this difficulty, we have explicitly intro- \nduced the CIP in our model (species 3). Straightforward \ncalculations, based on a characteristic-function formal- \nism, allow us to define an equivalent model in which \nthe free ions and the CIP are explicitly taken into ac- \ncount [19, 20]. We apply this formalism by defining a \npair as an anion and a cation at a distance less than \n4 ˚A, which corresponds to the position of the effective \npotential maximum. The interaction between free, like \ncharges in this new system remains unchanged, and the \ncation-anion interactions are easily approximated by ex-", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "1.3 8 \n\n| (a) MC\nMSA2\nDHLL\nExp | |\n|---|---|\n| (a) MC MSA2 DHLL Exp | |\n| (b) σ(MSA-fit) 1 σ(MSA-fit) | |\n| | σ(MSA-fit) 1 σ(MSA-fit) |\n| | 2 σ(MSA2) 1 σ(MSA2) 2 |\n| | |\n\n\n1.2 \n6 MC \ng12 \n(r) \n1.1 \n4 \nΦ MD \ng12 \n(r) \n1 \n2 \n0.9 \n\n5 \n) \nÅ \n4 \n( \nσ \n3 \n\n0 1 0.5 1.5 \n1/2 -1 \n1/2 \n) c (mol.L \n\nFIG. 1: Effective McMillan-Mayer short-range pair potentials \nextracted from explicit solvent simulations using the HNC \nclosure. (a) Cation anion, (b) cation cation, (c) anion anion, \n(d) cation anion RDF obtained from explicit solvent MD and \nimplicit solvent MC simulations. \nFIG. 2: \n(Color online) (a) Osmotic coefficient Φ in the \nMcMillan-Mayer frame of reference. (diamond) MC simula- \ntions, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law \n(DHLL), (cross) experiments (Ref. [18] with the McMillan- \nMayer to Lewis Randall conversion). (b) Minimization diam- \neters. (dot dashed) MSA2 and (diamond) MSA-fit. \n\npute all ion thermodynamic properties through implicit \nsolvent MC simulations. \n\nThe second stage of our coarse-graining procedure con- \nsists in applying LPT, in order to deduce the best ana- \nlytical model of electrolyte solutions which reproduces \nthis molecular description. The principle of LPT is to \ndescribe the properties of a given system in terms of \nthose of a well known reference system, with the differ- \nence between them treated as a perturbation in the ref- \nerence potential. Assuming pairwise additive potentials, \nVij = V (0) \nij + ∆Vij , a first-order truncated expression for \nthe free energy density of the system βfv is obtained, \n\n1 \n2 \ndr g(0) \nij (r)∆Vij (r) \n(1) \nXi,j \n\nWe first used LPT for a two-component system (Na+ \nand Cl− free ions) within the MSA (model MSA2), for \n1. The mini- \nconcentrations ranging from 0.1 to 2.0 mol l− \nmization leads to almost constant diameters on the whole \nrange of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. \nAs shown in Fig. 2, these parameters yield osmotic co- \nefficients close to MC calculations only at very low con- \n1 (experimental values are \ncentration, i.e., c ≤ 0.1 mol l− \ngiven for indicative purposes only, since a perfect model \nwill exactly match the MC results). For molar solutions, \nthe LPT results differ considerably from MC calculations. \nThis discrepancy can easily be understood by comparing \nthe diameters found within the MSA2 calculation with \nthe effective potentials given in Fig. 1. The anion/cation \ncontact distance obtained within the MSA2 calculation \nis 4.2 ˚A, which is in the region of the second minimum of \nthe effective potential and corresponds to the situation \nwhere there is a single layer of water molecules between \nthe ions. The first minimum of the potential, which cor- \nresponds to the contact ion pair (CIP) is thus completely \nignored by the MSA2 calculation. If the MSA diameters \nare directly fitted to reproduce the MC osmotic pres- \nsure, much smaller values are obtained. These MSA-fit \nhydrated diameters, which are compared to the MSA2 \ndiameters in the bottom part of Fig. 2, are averages of \nthe CIP and the solvent-separated ion pair. \n\nwhich depends only on the free-energy density f (0) \nand \nv \nRDF g(0) of the reference fluid, with β = (kBT )− \n1 and \nρi the concentration of species i. The Gibbs-Bogoliubov \ninequality [15] ensures that the right-hand side of Eq. (1) \nis actually a strict upper bound. Once a reference system \nhas been chosen, the expression on the right-hand side of \nEq. (1) must be minimized with respect to the parameters \ndefining the reference. This procedure yields the best \nfirst-order approximation to the free energy of the system \nunder consideration.", + "page_start": 1, + "page_end": 1, + "source_file": "1001.2648.pdf" + }, + { + "text": "Models of electrolyte solutions from molecular descriptions: The example of NaCl \nsolutions \n\nJohn Jairo Molina1,2,3,∗ Jean-Fran¸cois Dufrˆeche1,2,3,† Mathieu \nSalanne1,2, Olivier Bernard1,2, Marie Jardat1,2, and Pierre Turq1,2 \n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France \n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France \n3 Institut de Chimie S´eparative de Marcoule (ICSM), \nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule, \nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France \n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom \ndescriptions; providing analytical expressions of the thermodynamic and structural properties of \nthe ions consistent with the underlying explicit solvent representation. Effective potentials between \nions in solution are calculated to perform perturbation theory calculations, in order to derive the \nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions \nyields excellent agreement with the all-atom model, provided ion association is taken into account. \n\n0 \n1 \n0 \n2 \n\nn \na \nJ \n\n5 \n1 \n\nSince the pioneering works of Debye, H¨uckel, and \nOnsager, electrolyte solutions have been commonly \ndescribed by continuous solvent models, \nfor which \nthe McMillan-Mayer theory [1] provides a rigorous \nstatistical-mechanical foundation. Within that level of \ndescription, simple phenomenological models such as the \nprimitive model (PM), for which the ions are assimi- \nlated to charged hard spheres [2], can lead to explicit \nformulas for the thermodynamic and structural proper- \nties (e.g., with the help of the mean spherical approxima- \ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These \nmodels are the most practical to use [5], since they allow \nfor a direct link between the experimental measurements \nand the microscopic parameters of the system. Never- \ntheless, they ignore the molecular structure of the sol- \nvent. Consequently, they cannot properly account for \nthe complex specific effects of the ions, which appear in \nnumerous biological, chemical, and physical interfacial \nphenomena [6, 7], without further developments. \n\nmolecular dynamics (MD) results. Different approxima- \ntions of the PM are employed for the case of NaCl elec- \ntrolyte solutions: a two component model (MSA2), that \nonly takes free ions into account, and two different three \ncomponent models (MSA3 and BIMSA3), which include \na third species (the contact ion pair). As we proceed \nto show, LPT allows us to select the best simple model \nwhich accurately accounts for the thermodynamics and \nthe physical-chemistry of the system. \n\nThe first stage consists in calculating the McMillan- \nMayer effective ion-ion interaction potentials V eff \nij (r), by \ninverting the radial distribution functions (RDF) gij(r) \nobtained by MD. The simulations were carried out on \na box of 2000 water molecules and 48 NaCl pairs us- \ning the same interaction potentials as in reference [16]. \n1. \nThis setup corresponds to a concentration of 0.64 mol l− \nNPT ensemble sampling at standard pressure and tem- \nperature was enforced, with a time step of 1 fs and a \npressure bath coupling constant of 1 ps. An equilibration \nrun of 0.25 ns was followed by a production run of 0.6 ns \nfor five different initial configurations. The averages of \nthe resulting RDF were then used for the potential inver- \nsion via the HNC closure [15]. These effective potentials \nare assumed to be concentration independent and will be \nused for simulations at all concentrations. \n\n] \nh \np \n- \nm \ne \nh \nc \n. \ns \nc \ni \ns \ny \nh \np \n[ \n\n1 \nv \n8 \n4 \n6 \n2 \n. \n1 \n0 \n0 \n1 \n: \nv \ni \nX \nr \na", + "page_start": 0, + "page_end": 0, + "source_file": "1001.2648.pdf" + }, + { + "text": "βf ex \n\nf ex \nv − \ne \n\nv = β ρ3 ln K0, (4) \n\ne \n\nwhich is due to the change in standard chemical potential \nbetween the two component and three component mod- \nels. It should be noted that the fraction of pairs is now an \nadditional parameter in the minimization scheme, which \nserves to ensure chemical equilibrium. Within this rep- \nresentation, the pair can be modeled as a hard sphere \n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since \n\ne e e", + "page_start": 2, + "page_end": 2, + "source_file": "1001.2648.pdf" + }, + { + "text": "quantities as its target: the variational free energy (VFE) in the case of perception and the \nexpected free energy (EFE) in the case of action. The VFE is the free energy associated with \na given sensory observation and is resolved perceptually by updating beliefs about the \nenvironment. The EFE is the free energy that is expected in the future, contingent on a \ngiven policy or course of action. Choosing action policies associated with a low EFE lead \nto reducing uncertainty about the environment, as well as making preferred observations \nmore likely. \n\n2.1. POMDPs in Active Inference \n\nIn AIF, the POMDP is one of the most common families of generative models used \nto make inferences about the environment. It is a Markovian discrete state-space model, \nwhere employing it means representing the environment and observations as inhabiting \none among a set of possible (possibly multidimensional) states, and that the changes \nin these states can only depend on the system’s previous state and the agent’s actions. \nEnvironmental states are not directly observable, so they have to be inferred based on \nincoming sensory observations. In AIF for POMDPs and other generative models in general, \nboth perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well \nas the learning of parameters of the generative model (see Section 2.4). Crucially, an agent’s \ngenerative model does not a priori have to be isomorphic to the true environment (i.e., \nthe data-generating process), although this will generally lead to a successful inference, \nand that the generative model will therefore often come to resemble the environment \nthrough learning. \n\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of \nparameters:**A**,**B**,**C**,**D**and**E**[1,33], see Figure 1. Together, these parametrise the agent’s \nprior beliefs about the prior probability of different states in the environment, how states \nof the environment change and how they generate observations. Typically, they will be \nvectors, matrices or tensors; however, henceforth we denote them by their corresponding \nletter in bold. These make up the components needed for the agent to perform AIF.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "4 \n\nof the BIMSA3 appears to be negligible compared to the \n1. The \nreference term for concentrations less than 1 mol l− \nperturbation can then be omitted to obtain a fully ana- \nlytical theory, determined by the hard sphere diameters \nand the pair fraction given by LPT; with the free energy \nand the RDF given in terms of the BIMSA and MSA so- \nlutions, as described above. While the procedure we have \nfollowed uses two different approximations for the refer- \nence and perturbation terms (MSA vs BIMSA), these are \nknown to be accurate for the systems under consideration \nand do not appear to be inconsistent with each other. \n\nTo conclude, we have combined MD simulations with \nLPT to construct simple models of electrolyte solutions \nwhich account for the molecular nature of the solvent. \nThe final result is fully analytical and it yields the ther- \nmodynamic and structural properties of the solution, in \nagreement with the original molecular description. The \nmethodology can in principle be adapted to any molecu- \nlar description of the system (MD simulations involving \ninteraction potentials accounting for polarization effects \nor Car-Parrinello MD simulations for example) as long \nas the ion-ion RDF are known. It can also be generalized \nto study interfaces. The method appears to be a promis- \ning approach toward the description of the specific effects \nof ions, especially for complex systems whose modeling \nrequires an analytic solution. \n\n8 \n\nFIG. 5: (Color online) RDF obtained from MC simulations \n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) \nat two concentrations. \n\nThe RDF obtained within BIMSA3 are compared with \nthe MC and MSA-fit results in Fig. 5. Our BIMSA3 \nmodel accounts for the strong molecular peak of the CIP \nand provides the correct distances of minimal approach; \nwhereas the naive MSA-fit procedure ignores the former \nand gives poor estimates for the latter. At larger sep- \narations, the BIMSA3 results do not reproduce the os- \ncillations observed in the MC simulations, but the cor- \nresponding energy oscillations in the effective potentials \nIn addition, the perturbation term \nare less than kBT . \n\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 \n276 (1945). (2007). \n\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical \nChemistry of Electrolyte Solutions (Springer, 1998). \n[3] L. Blum, in Theoretical Chemistry: Advances and Per- \nspectives, edited by H. Eyring and D. Henderson (Aca- \ndemic Press, 1980), vol. 5, pp. 1–66. \n\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. \nLett. 100, 258105 (2008). \n\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009). \n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq- \n\nuids (Academic Press, 1986). \n\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995). \n[5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005). \n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 \n\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. \nSoc. London, Ser. A 359, 1545 (2001). \n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, \n(2006). 041202 (2002). \n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. \nColloid Interface Sci. 9, 1 (2004). \n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. \n96, 147801 (2006). \n\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo- \ndynamic and Transport Properties, vol. I-II (Coimbra Ed- \nitora, Lisbon, Portugal, 1984). \n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, \n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 333 (1984). \n(2009). [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. \n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, Phys. 101, 1741 (2003). \n10878 (2006) [21] The average contact distance between a symmetric \n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, dumbbell and an infinite plane at β = 0. \n3730 (1995).", + "page_start": 3, + "page_end": 3, + "source_file": "1001.2648.pdf" + }, + { + "text": "4 \n\nan energy of interband transitions, which is roughly 2eV . \nThis would be consistent with Refs. 8,9. \njust list the formulas that we used in our computations. \nThe conductivity σ(Ω) and the optical integral W (ωc) \nare given by (see for example Ref. 35). \n\nWe begin with formulating our calculational basis in \nthe next section. Then we take up the four cases and \nconsider in each case the extent to which the Kubo sum is \nsatisfied up to the order of bandwidth and the functional \nform and the sign of ∆W (ωc). The last section presents \nour conclusions. \n\nΠ′′(Ω) \nΩ \n= − \n\nωc ωc \n\nΠ′′(Ω) \nΩ π \n2 \nW (ωc) = σ′(Ω) dΩ = − dΩ + Π′(0) \n\n0 \nZ \n0+ \nZ \nII. OPTICAL INTEGRAL IN NORMAL AND \nSUPERCONDUCTING STATES \n(7b) \n\nThe generic formalism of the computation of the op- \ntical conductivity and the optical integral has been dis- \ncussed several times in the literature21–23,26,29 and we where ‘X ′’ and ‘X ′′’ stand for real and imaginary parts \nof X. We will restrict with T = 0. The polarization \noperator Π(Ω) is (see Ref. 36) \n\nG(iω, ~k)G(iω + iΩ, ~k) + F (iω, ~k)F (iω + iΩ, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ(iΩ) = T \n\nω \nX \n1 \nπ \n\nX~k \n(cid:16) \n0 \n\nG′′(ω, ~k)G′′(ω + Ω, ~k) + F ′′(ω, ~k)F ′′(ω + Ω, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′′(Ω) = − dω \nΩ \nZ \nX~k \n(cid:16) \n− \n\n1 \nπ2 nF (y) − nF (x) \ny − x \n\n′ ′ \n\nG′′(x, ~k)G′′(y, ~k) + F ′′(x, ~k)F ′′(y, ~k) \n(cid:17) \n\n(∇~kε~k)2 \nΠ′(Ω) = dx dy \n\nZ Z \nX~k \n(cid:16) \n\n′ denotes the principal value of the integral, \n~k,(N is the number of lat- \ntice sites), nF (x) is the Fermi function which is a step \nP \nP \nfunction at zero temperature, G and F are the normal \nand anomalous Greens functions. given by37 \n\nwhere \n~k is understood to be 1 \nThe 2 is due to the trace over spin indices. We show the \ndistribution functions in the NS and SCS under different \ncircumstances in Fig 2. \nN \nR \n\nThe ~k-summation is done over first Brillouin zone for a \n2-D lattice with a 62x62 grid. The frequency integrals are \ndone analytically wherever possible, otherwise performed \nusing Simpson’s rule for all regular parts. Contributions \nfrom the poles are computed separately using Cauchy’s \ntheorem. For comparison, in all four cases we also calcu- \nd2k = dΩkdǫkνǫk,Ωk \nlated FGT sum rule by replacing \nand keeping ν constant. We remind that the FGT is \nthe result when one assumes that the integral in W (ωc) \npredominantly comes from a narrow region around the \nFermi surface. \n\n1 \nω − Σ(k, ω) − ε~k + iδ \nZk,ωω + ε~k \nk,ω) − ε2 \n~k \n+ iδsgn(ω) \n(9b) \n\nZk,ω∆k,ω \nk,ω) − ε2 \n~k \n\nF (ω, ~k) = \nZ 2 \nk,ω(ω2 − ∆2 \n\n+ iδsgn(ω) \n(9c) \n\nWe will first use Eq 3 and compute WK in NS and SCS. \nThis will tell us about the magnitude of ∆W (ωc = ∞). \nWe next compute the conductivity σ(ω) using the equa- \ntions listed above, find W (ωc) and ∆W (ωc) and compare \n∆f (ωc) and ∆WK. \n\nwhere Zk,ω = 1 − Σ(k,ω) \n, and ∆k,ω, is the SC gap. Fol- \nlowing earlier works31,33, we assume that the fermionic \nself-energy Σ(k, ω) predominantly depends on frequency \nand approximate Σ(k, ω) ≈ Σ(ω) and also neglect the \nfrequency dependence of the gap, i.e., approximate ∆k,ω \nby a d−wave ∆k. The lattice dispersion ε~k is taken from \nRef. 38. To calculate WK , one has to evaluate the Kubo \nterm in Eq.3 wherein the distribution function n~k, is cal- \nculated from \n\nFor simplicity and also for comparisons with earlier \nstudies, for BCSI, EB, and MFLI models we assumed \nthat the gap is just a constant along the FS. For CB \nmodel, we used a d−wave gap and included into consid- \neration the fact that, if a CB is a spin fluctuation, its \npropagator develops a resonance when the pairing gap is \nd−wave. \n(10)", + "page_start": 3, + "page_end": 3, + "source_file": "1001.0764.pdf" + }, + { + "text": "A + 2b \n2b(cid:12) \nA \n(cid:12) \n(cid:12) \n(cid:12) \niλhhh + \nh + iMhΓh \n\nI22 + J22 ln , \n\n(cid:12) \n(cid:12) \n(cid:12) \ni \n(cid:12) \n\n(cid:19) − \n− \n\ns \n− \n\n, \n\n4 \n\n∂Ψ \n∂h (cid:19) \n8 \n(cid:18)− \n2 \n\n(B8) \n\n∂Ψ \n∂h (cid:19) \n4m2 \n2b \n\n∂Ψ \n∂h \n(cid:18) \nN + A \n\n∂Ψ \n∂H \n\ni \n∗2 = 4mN λ3 \n2 M1M \n\nN (cid:18) \ns \n\nM 2 \nA + 2b \n2b(cid:12) \nA \n(cid:19) \n(cid:12) \n(cid:12) \n(cid:12) \n\nM 2 s \nH + iMHΓH \n− \n\n4 + ln (B9) − \n\n(cid:12) \n(cid:12) \n(cid:12) \n(cid:12) \nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear \n\n(cid:18)− \n− \n\nabove are defined as \n\ns(A + m2 3m2 4m2 \nN (s N ) N ) \nI22(s) , (B10) − − \n\n4a2 2m2 \nN )(m2 m2 \nh) \n2A(A + 2a) (s \nN − − − \n\n(B11) \n\n(B12) \n\nm2 b(s, mN , mh) (B13) \nhr ≡ r \n\n(A + 2a)2 2(s + 4m2 \n\nN )A \n− \nA2 \nA(s + 4m2 \n\n4 − \n\n4b2 \n− \nN ) + A2 \n\n≡ \n\n1 \nAb \n(cid:0) \n+3m2 \ns \n2 \ns \n4 − \n\nJ22(s, mh) \n≡ \n\n− \nN ) \n\n− \n\n4m2 \nN (s \n, \n\n− \n+ m2 \nh, \n(cid:1) \nA(s, mh) \n≡ − \n\ns \n4 − \nm2 \nN . \n\nIn partial wave expansion, the thermal averaged cross section is given by \n\ndw \nds (cid:19) \n\nT \nmN (cid:21)(cid:12) \ns=4m2 \n(cid:12) \nN \n(cid:12) \n(cid:12) \n\n1 \nm2 \nN (cid:20) \ndw \nds (cid:12) \ns=4m2 \n(cid:12) \nN \n(cid:12) \n(cid:12) \n\n3 \n2 (cid:18) \n4m2 \nN \nσv w(s) 2w(s) = \nh i − − \n\nT \nmN \n, = 6 \n\nwith \n\n4m2 \ns \n\ns d cos θ \n\n1 \n8π r \n2 = 2, \nfinal \n4w(s) dLIPS − \n\n2 X |M| \n≡ Z \nX |M| \nZ \n\nwhere mfinal is the mass of final state particle. \n\n[1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in \n\nthe Universe, Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), \n\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity, Proceedings of Workshop,", + "page_start": 11, + "page_end": 11, + "source_file": "1002.2525.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed1.pdf", + "query": "How could the heart rate be estimated by means of an active inference paradigm?", + "target_page": 6, + "target_passage": "The second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The for- mer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor- mal” heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likeli- hood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals.", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "The second panel of Fig. 2 shows the Shannon surprise of \nan inference model that estimates the current heart rate using \nthe two standard components of a generative model. The for- \nmer component is the prior, which encodes the person’s a priori \nprobabilistic belief (i.e. probability distribution) about her “nor- \nmal” heart rate range; here, the prior is a Gaussian centered on \n67 and has a precision of 0.11. The latter component is the likeli- \nhood, which encodes the probabilistic mapping between sensory \n(heartbeat) observations and the hidden state (heart rate); here, \nthe likelihood is a Gaussian centered on the current heart rate \nwith an additional bias of 15 pulses, and the panel shows the \nresults for 10 values for precision obtained by subdividing the \nrange [0.1,10] into equal intervals. The results shown in the second \npanel of Fig. 2 show that Shannon surprise increases dramatically \nduring episodes of tachycardia and bradycardia, which are far \nfrom the normal range. The pattern of results is the same across \nall levels of likelihood precision. However, the inference with a \nvery high precision (a precision of 10) tracks more closely the noise \nsensory signals and can therefore lead to more extreme results. \n\nIn general, the accuracy of the inference of hidden bodily \nstates, the “embodied self,” or other aspects of the model depends \non the signal-to-noise ratio of the sensations and on the quality of \nthe model. For example, it is difficult to self-localize in a city if it \nis dark (low signal-to-noise ratio) or if one does not know the city \nwell (poor model). The inference of hidden bodily and emotional \nstates might function in an analogous manner. If the quality of \nthe afferent interoceptive (e.g. cardiac) signals is low, or if one has \na poor model of how one’s body functions, then it would estimate \none’s bodily states such as fatigue incorrectly (which in turn would \nalso impair its adaptive regulation of the same bodily states). Inte- \nroceptive signals could be “too noisy” for various reasons, which \nmight be related to physiology, inflammation, or stress. The body \nmodel can be poor in various ways, too. For example, it could \npoorly characterize the statistical relations between interoceptive \nsensations and hidden bodily states (e.g. systematically mischar- \nacterize high heart rate as caused by hunger but not fatigue \nor joy). \n\nThe third panel shows the Bayesian surprise (or the Kullback- \nLeibler divergence between posterior and prior probability distri- \nbutions) over time. This is a measure of how much dissimilar the \nposterior and the prior are, and it always decreases as a result of \ninference, but note that it decreases much more rapidly when the \nprecision of the likelihood is 10, which is another indication that \nthe posterior is “overfitting,” meaning that the inference result is \nexcessively biased by the likelihood distribution. \n\nFinally, the two bottom series of panels are organized in two \n(left and right) columns, which show the first five time steps of \ninference for the two cases with high precision (of 10) and low pre- \ncision (of 0.1) of the likelihood, respectively. In these plots, the prior \ndistributions are in blue, the posterior distributions are in green, \nand the likelihoods are in red. It is possible to note that in the left \n(high precision) panels, the posterior inference closely follows the \nlikelihood (it “overfits”) after five time steps and the inferred heart \nrate is slightly biased (i.e. it is 79). Differently, in the right (low \nprecision) panels, the inference converges much slower to a high \nprecision posterior, but without overfitting.", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed1.pdf" + }, + { + "text": "Figure 2. A simplified example of (Bayesian) inference of one’s heart rate. First panel: simulated time series of heartbeat observations. Second panel: \nShannon surprise of a generative model composed of a fixed prior about heart rate (a Gaussian with a mean of 67 and a precision of 0.11) and a \nlikelihood (a Gaussian centered on the current heart rate with an additional bias of 15 pulses, with various precisions that vary between 0.47 and 10, \nsee the legend). Third panel: Bayesian surprise, which measures the discrepancy between posterior and prior probabilities over time. Bottom panels: \nthe two series of panels are organized in two (left and right) columns, which show the first five time steps of inference for the two cases with high \nprecision (of 10) and low precision (of 0.1) of the likelihood, respectively. See the main text for an explanation and online article for colored version of \nthis figure. \n\nthe current model generate significant surprise, and sometimes, \nthe surprise can remain relatively high for long periods before the \nmodel adapts (or the world changes), especially with some param- \neterizations of the generative model. This is particularly relevant \nin this context since active inference agents strive to minimize \ntheir surprise (and the long-term average of surprise, entropy, \nwhich is a measure of uncertainty) by changing their model, or \nchanging the world, or both. Second, these examples illustrate the importance of precision \ncontrol and the appropriate setting of precision parameters in \nguiding inference. Remarkably, the inference can be more or less \naccurate or fast using the same data, depending on the precision \nparameters. Note that in Fig. 2, we manipulated only the precision \nof the likelihood. However, it would also be possible to manipulate \nthe precision of the prior, together or in alternative to the precision \nof the likelihood. Generally speaking, when the precision of the", + "page_start": 6, + "page_end": 6, + "source_file": "pubmed1.pdf" + }, + { + "text": "Article \n**Introducing ActiveInference.jl: A Julia Library for Simulation**\n**and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,†**\n**Christoph Mathys 5**\n\n**, Jonathan Ehrenreich Laursen 1,†** **, Conor Heins 2,3,*** **, Karl Friston 3,4** **,**\n\n**and Peter Thestrup Waade 5**\n\n1 \n\nSchool of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; \n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.) \n\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany \n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk \n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK \n5 \n\nInteracting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); \nptw@cas.au.dk (P.T.W.) \n\n** ***Correspondence: cheins@ab.mpg.de \n† \nThese authors contributed equally to this work. \n\n**Abstract:**We introduce a new software package for the Julia programming language, \nthe library ActiveInference.jl. To make active inference agents with Partially Ob- \nservable Markov Decision Process (POMDP) generative models available to the grow- \ning research community using Julia, we re-implemented the pymdp library for Python. \nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive \nand behavioural modelling, as it is used in computational psychiatry, cognitive science \nand neuroscience. This means that POMDP active inference models can now be easily \nfit to empirically observed behaviour using sampling, as well as variational methods. In \nthis article, we show how ActiveInference.jl makes building POMDP active inference \nmodels straightforward, and how it enables researchers to use them for simulation, as well \nas fitting them to data or performing a model comparison. \n\n**Keywords:**active inference; free energy principle; predictive processing; Markov decision \nprocess; cognitive modelling; Julia \nAcademic Editor: Astero Provata \n\n**PACS:**87.15.Aa Received: 25 October 2024 \nRevised: 2 January 2025 \n\n**MSC:**91-08 \nAccepted: 7 January 2025 \nPublished: 12 January 2025 \n\n**JEL Classification:**C63 \n\n**Citation:**Nehrer, S.W.; Ehrenreich \nLaursen, J.; Heins, C.; Friston, K.; \n\nMathys, C.; Thestrup Waade, P. \nIntroducing ActiveInference.jl: A \nJulia Library for Simulation and \n**1. Introduction**\nParameter Estimation with Active \n\nWe introduce a novel software library for Julia, ActiveInference, which lets users \nproduce the simulated behaviour of agents and their internal belief states with active \ninference (AIF) models, as well as fit such models to empirically observed behaviour. \nAIF [1–3] is a generally applicable formal framework for understanding and simulating \nintelligent behaviour that is based in neurobiology and first principles from statistical \nphysics [4–8]. AIF treats action and perception as unified under a joint imperative: to \nminimise the variational free energy (VFE), which quantifies how well the agent’s internal \ngenerative model explains incoming sensory observations. It is an upper bound on the \nthe surprise from sensory observations, making AIF formally related to prediction error \n\nInference Models. Entropy**2025**, 27, 62. \nhttps://doi.org/10.3390/e27010062 \n\n**Copyright:**© 2025 by the authors. \nLicensee MDPI, Basel, Switzerland. \nThis article is an open access article \ndistributed under the terms and \nconditions of the Creative Commons \nAttribution (CC BY) license \n(https://creativecommons.org/ \nlicenses/by/4.0/).", + "page_start": 0, + "page_end": 0, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "Active inference, interoceptive processing, \nand uncertainty reduction \n\nActive inference is based on the idea that in order to engage in \nadaptive allostatic regulation and goal-directed behavior, living \norganisms continuously strive to minimize the surprise of their \nsensations or, more formally, an upper bound to surprise: varia- \ntional free energy (Parr et al. 2022). Notably, the (expected) free \nenergy minimization processes that drive active inference jointly \nconsider two complementary objectives. The former (utilitarian) \nobjective is to realize one’s preferences, such as being satiated \nor safe, by minimizing the discrepancy between preferred sensa- \ntions (encoded as “priors over observations” in active inference) \nand current sensations in different modalities (e.g. interoceptive \nor exteroceptive). The latter (epistemic) objective is to reduce", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed1.pdf" + }, + { + "text": "inference that tracks the noise rather than the correct state of \nthe estimated variable system (i.e. overfitting), whereas assigning \nexcessively low weight to sensations (or excessively high weight to \nprior knowledge) makes the system poorly responsive to incom- \ning observations that might signal a change in the state of the \nsystem—and both are examples of aberrant inference (Friston \net al. 2014). \n\nFigure 2 provides a formal illustration of the above by plot- \nting some examples of Bayesian inference using generative models \nunder various levels of precision of the model components. For \nsimplicity, we focus on a simplified example of inference of an \ninteroceptive variable: one’s heart rate. Heart rate is a “hidden \nvariable” in Bayesian parlance since it is not directly observable \nbut needs to be inferred through two sources of information: \nprior knowledge about the most likely heart rate and sensory \n(heartbeat) observations. The top panel of Fig. 2 shows a series \nof (noisy) heartbeat observations. In the beginning, they are \nin the normal range for an adult (time steps 1–10), then they \nincrease significantly, simulating tachycardia (time steps 11–20), \nthen they go back to the normal range (time steps 21–30), then \nthey decrease significantly, simulating bradycardia (time steps \n31–40), and finally, they go back to the normal range (time steps \n41–50). \n\nparticipants processed faces expressing fear (but not neutral \nfaces or faces expressing other emotions) when their heart rate \nwas high—hence congruent with the fearful expression (Pez- \nzulo et al. 2018, Yu et al. 2021). The generative model shown \nin Fig. 1 could support this kind of inference by using interocep- \ntive information from the heart (i.e. high heart rate) as evidence \nthat “there might be something fearful out there” (Pezzulo 2013). \nAnother more complex example regards emotional awareness \nand self-awareness—which significantly engage the brain regions \ninvolved in interoception and the representation of physiologi- \ncal processes (Garfinkel et al. 2013). The generative model shown \nin Fig. 1 might support processes of emotional awareness in a \nway that is neither purely bottom-up (i.e. as if interoceptive sig- \nnals cause emotional awareness) nor top-down (i.e. as if emotional \nawareness causes interoceptive signals), but rather through a \ncircular causality between central predictions about bodily state— \nthat engage autonomic reflexes—and interoceptive streams—that \nupdate the predictions (Seth and Friston 2016). In this perspec- \ntive, any representation that induces interoceptive predictions \ncould be associated with emotional or affective content; cru- \ncially, this is also the case with some aspects of self-awareness \n(e.g. recognizing one’s own face) that require integrating intero- \nceptive streams with concurrent exteroceptive (e.g. visual) and \nproprioceptive cues. These examples illustrate that the genera- \ntive model of Fig. 1 natively implements both the multisensory \nintegration required to unite (for example) interoceptive and exte- \nroceptive streams and the active aspects that are supposed to \nsupport emotional and self-processing—and the construction of \nan “embodied self” (i.e. the circular causality between engag- \ning autonomic reflexes and capturing the ensuing interoceptive \nsignals).", + "page_start": 5, + "page_end": 5, + "source_file": "pubmed1.pdf" + }, + { + "text": "Equipped with a generative model like the one shown in Fig. 1, \nan active inference agent can continuously infer (and act upon) \nthe state of the world and of the body, including the internal \nmilieu, at multiple time scales. Of particular interest, here are \nmultimodal inferences that unite exteroceptive and interocep- \ntive sources of evidence. One example of this is the percep- \ntion of faces expressing emotions. Two studies reported that", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed1.pdf" + }, + { + "text": "*Modeling and controlling the body in maladaptive ways* 9 \n\nWe next turned to active inference and discussed how reduc- \ning uncertainty (not just maximizing utility) is a key imperative \nin this framework. This implies that an active inference agent \ncan sometimes privilege uncertainty minimization over utility \nmaximization. In extreme conditions, such as when interocep- \ntive uncertainty is excessive or difficult to reduce, a person could \ndevelop maladaptive strategies to deal with it, such as acting on \nthe body to produce interoceptive sensations of pain or starvation \nthat reduce interoceptive uncertainty. \n\nDiscussion \n\nCurrent theories of predictive processing and active inference \nassume that, to steer adaptive perception and action, the brain \nforms internal generative models of the environment and of the \nbody within it. Various studies reveal that the brain has rich \nmodels of the body; for example, it integrates somatosensory \nand proprioceptive information into a coherent representation \nof things like body size and limb position—i.e. a “body schema.” \nMore recently, this model-based perspective has been extended to \ninteroception—and the rich sensations we constantly receive from \nthe internal body. Theories of interoceptive processing propose \nthat the brain continuously estimates key bodily and homeo- \nstatic variables, such as thirst or fatigue levels, perhaps forming \nsomething like an “interoceptive schema.” \n\nThe centrality of physiological processes and bodily informa- \ntion for the sense of self has been widely discussed by intero- \nceptive research (Seth et al. 2012, Quigley et al. 2021). Here, in \ncontinuity with previous works (Barca and Pezzulo 2020), we sug- \ngest that (i) some pathological behaviors—that “act on the body” \nin maladaptive ways—might be considered as strategies for mod- \nifying internal models and the sense of self when it is deficient, \nthrough bodily sensations and (ii) the sense of self can be defi- \ncient when bodily information is uncertain, and this can happen \nnot only in clinical conditions but also during pivotal periods of \ndevelopmental transition, e.g. in adolescence. \n\nA key reason for forming bodily or interoceptive models is \nthat they permit us to exert accurate control over the variety of \nsignals (e.g. somatosensory and interoceptive) that the body pro- \nduces. Forming an accurate body schema is prominent for motor \ncontrol, whereas modeling interoceptive variables (e.g. thirst) \nis key to keeping them under control by engaging autonomic \nreflexes (e.g. vasodilation) and allostatic or goal-directed actions \n(e.g. drinking) when they have incorrect values. The generative \nmodeling perspective can also be extended hierarchically to con- \nsider richer models of multimodal experiences and “embodied \nself” that persists in time and anchors our experiences, permit- \nting us to select adaptive courses of action to achieve our favorite \ngoals.", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed1.pdf" + }, + { + "text": "Schwartenbeck, P.; Friston, K. Computational Phenotyping in Psychiatry: A Worked Example. eNeuro**2016**, 3, ENEURO.0049- \n16.2016. [CrossRef] \n\n14. \n\n15. Albarracin, M.; Demekas, D.; Ramstead, M.J.D.; Heins, C. Epistemic Communities under Active Inference. Entropy**2022**, 24, 476. \n\n[CrossRef] [PubMed] \n\n16. Lanillos, P.; Meo, C.; Pezzato, C.; Meera, A.A.; Baioumy, M.; Ohata, W.; Tschantz, A.; Millidge, B.; Wisse, M.; Buckley, C.L.; et al. \n\nActive Inference in Robotics and Artificial Agents: Survey and Challenges. arXiv**2021**, arXiv:2112.01871. [CrossRef] \nFriston, K.; Stephan, K.; Li, B.; Daunizeau, J. Generalised Filtering. Math. Probl. Eng.**2010**, 2010, 621670. [CrossRef] \n\n17. \n18. Waade, P.T.; Mikus, N.; Mathys, C. Inferring in Circles: Active Inference in Continuous State Space Using Hierarchical Gaussian \nFiltering of Sufficient Statistics. In Machine Learning and Principles and Practice of Knowledge Discovery in Databases; Kamp, M., \nKoprinska, I., Bibal, A.; Bouadi, T., Frénay, B., Galárraga, L., Oramas, J., Adilova, L., Krishnamurthy, Y., Kang, B., et al., Eds.; \nCommunications in Computer and Information Science; Springer: Cham, Switzerland, 2021; pp. 810–818. [CrossRef] \n\n19. Weber, L.A.; Waade, P.T.; Legrand, N.; Møller, A.H.; Stephan, K.E.; Mathys, C. The generalized Hierarchical Gaussian Filter. arXiv \n\n**2023**, arXiv:2305.10937. [CrossRef] \nFriston, K.J.; Trujillo-Barreto, N.; Daunizeau, J. DEM: A variational treatment of dynamic systems. NeuroImage**2008**, 41, 849–885. \n[CrossRef] \n\n20. \n\n21. MATLAB, Inc. MATLAB, version: 9.13.0 (R2022b); MATLAB, Inc.: Natick, MA, USA, 2022. \n22. Penny, W.D.; Friston, K.J.; Ashburner, J.T.; Kiebel, S.J.; Nichols, T.E. Statistical Parametric Mapping: The Analysis of Functional Brain \n\nImages; Elsevier: Amsterdam, The Netherlands, 2011; Google-Books-ID: G_qdEsDlkp0C. \n\n23. Heins, C.; Millidge, B.; Demekas, D.; Klein, B.; Friston, K.; Couzin, I.D.; Tschantz, A. pymdp: A Python library for active inference \n\nin discrete state spaces. J. Open Source Softw.**2022**, 7, 4098. [CrossRef] \n\n24. Rossum, G.v.; Drake, F.L. The Python Language Reference, Release 3.0.1 [repr.] ed.; Number Pt. 2 in Python Documentation Manual; \n\nvan Rossum, G., Drake, F.L., Eds.; Python Software Foundation: Hampton, NH, USA, 2010. \n\n25. Gregoretti, F.; Pezzulo, G.; Maisto, D. cpp-AIF: A multi-core C++ implementation of Active Inference for Partially Observable \n\nMarkov Decision Processes. Neurocomputing**2024**, 568, 127065. [CrossRef] \nJosuttis, N.M. The C++ Standard Library: A Tutorial and Reference; Addison-Wesley: Boston, MA, USA, 2012; Google-Books-ID: \n9DEJKhasp7gC. \n\n26. \n\n27. Bagaev, D.; Podusenko, A.; Vries, B.d. RxInfer: A Julia package for reactive real-time Bayesian inference. J. Open Source Softw. \n\n**2023**, 8, 5161. [CrossRef] \n\n28. Bezanson, J.; Karpinski, S.; Shah, V.; Edelman, A. Julia Language Documentation. 2016. Available online: https://readthedocs. \n\norg/projects/julia-wf/downloads/pdf/stable/ (accessed on 26 May 2024). \nvan de Laar, T.W.; de Vries, B. 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[CrossRef]", + "page_start": 30, + "page_end": 30, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "generative models, or even (deep learning-based) amortised inference models. These vari- \nous extensions could provide valuable tools for using AIF models in both theoretical and \napplied research. \n\n**Author Contributions:**Conceptualisation, S.W.N., J.E.L. and P.T.W.; methodology, S.W.N., J.E.L. and \nP.T.W.; software, S.W.N., J.E.L. and P.T.W.; formal analysis, S.W.N. and J.E.L.; writing—original draft \npreparation, S.W.N. and J.E.L.; writing—review and editing, C.H., K.F., C.M. and P.T.W.; visualisation, \nS.W.N. and J.E.L.; supervision, C.M. and P.T.W.; project administration, P.T.W. All authors read and \nagreed to the published version of this manuscript. \n\n**Funding:**C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFF- \nE-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439). \n\n**Institutional Review Board Statement:**Not applicable. \n\n**Informed Consent Statement:**Not applicable. \n\n**Data Availability Statement:**The original data presented in this study are openly available in \nActiveInferenceJuliaPaper at URL: https://osf.io/j3k5q/. \n\n**Conflicts of Interest:**The authors declare no conflicts of interest. The funders had no role in the design \nof this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or \nin the decision to publish the results. \n\n**Abbreviations**\n\nThe following abbreviations are used in this manuscript: \n\nAIF \nFEP \nVFE \nEFE \nMCMC Markov Chain Monte Carlo \nPOMDP \n\nActive inference \nFree energy principle \nVariational free energy \nExpected free energy \n\nPartially Observed Markov Decision Process \n\nParr, T.; Pezzulo, G.; Friston, K.J. Active Inference: The Free Energy Principle in Mind, Brain, and Behavior; The MIT Press: Cambridge, \nMA, USA, 2022. 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Rep.**2023**, 1024, 1–29. [CrossRef] \nFriston, K.; Kiebel, S. Predictive coding under the free-energy principle. Philos. Trans. R. Soc. B Biol. Sci.**2009**, 364, 1211–1221. \n[CrossRef] [PubMed] \n\n**References**\n\n1. \n\n2. \n\n3. \n\n4. \n5. \n6. \n7. \n8. \n\n9. \n\n10. Karl, F. A Free Energy Principle for Biological Systems. Entropy**2012**, 14, 2100–2121. [CrossRef] \n11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation, \n\nand the origins of cognition. Biol. Philos.**2020**, 35, 32. [CrossRef] \n\n12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. Proc. \n\nNatl. Acad. Sci. USA**2024**, 121, e2320239121. [CrossRef] [PubMed] \n\n13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in \n\nPersonality, Development, and Mental Illness. Personal. Neurosci.**2018**, 1, e18. [CrossRef] [PubMed]", + "page_start": 29, + "page_end": 29, + "source_file": "pubmed7_cc4.pdf" + }, + { + "text": "In this article, we started with formal accounts of brain pro- \ncessing based on active inference to discuss the mechanisms and \nfunctional purpose of the (apparently) maladaptive ways to “con- \ntrol the body” that arise in these and other psychopathological \nbehaviors. We first discussed how we build models of the world, \nof our bodily and interoceptive processes, of our emotions, and \nof the embodied self, which provides a sense of understanding of \nreality and affords adaptive control at many levels, from the allo- \nstatic regulation of our physiological states to the achievement of \nour individual and social goals. Then, we discussed under which \nconditions we can become highly uncertain about our current \nstate and the future course of action. These conditions include \nboth contextual factors (e.g. periods of noteworthy changes or \nstress) and factors related to the person’s internal models (e.g. \npoor models in which precision parameters are incorrectly set). \nSecond, in this paper, we have mainly focused on uncertainty \nreduction, but as we reviewed earlier, there are other alterna- \ntive (or complementary) perspectives on the genesis of NSSI that \nconsiders elements such as affective regulation. In addition to \nthe studies discussed earlier, other insights into the pathologi- \ncal mechanisms that might underlie NSSI come from the anal- \nysis of clinical populations. For example, dysregulations of the", + "page_start": 8, + "page_end": 8, + "source_file": "pubmed1.pdf" + } + ] + }, + { + "references": { + "source_file": "pubmed1.pdf", + "query": "At what stage of childhood does the construction of narrative identity take place?", + "target_page": 3, + "target_passage": "Among the challenges that adolescents have to face are the structuring of a “narrative identity” or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time ", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "NSSI in adolescence \n\nAdolescence is the period of developmental transition from child- \nhood to adulthood, which might be stretched up to the early \n20s due to current sociocultural changes (e.g. delays in complet- \ning education, occupational attainment, and parenthood) (Patton \net al. 2018). Among the challenges that adolescents have to face \nare the structuring of a “narrative identity” or self-story, featuring \nthe development of a sense of personal identity that integrates \npast experiences with current, and future goals and meanings in \na coherent whole over time (McAdams and McLean 2013, McLean \nand Lilgendahl 2019). The definition of the new boundaries of \nadolescents’ personal identity involves significant changes in the", + "page_start": 2, + "page_end": 2, + "source_file": "pubmed1.pdf" + }, + { + "text": "uncertainty about one’s estimated state. This means that active \ninference agents tend to avoid ambiguous states, encompass- \ning the avoidance of ambiguous places where self-localization is \nchallenging, ambiguous social situations where safety is uncer- \ntain, and ambiguous bodily states, such as unsure feelings of \nfatigue. However, one apparent exception to this aversion to ambi- \nguity arises when exploring novel states implies the opportunity \nto learn new things and enhance one’s model; see Friston et al. \n(2017) for a discussion. Furthermore, and importantly, active infer- \nence agents will actively operate in the environment to reduce \ntheir ambiguity; for example, by actively seeking informative sen- \nsations that disambiguate in which location they are (e.g. by \nlooking for traffic signs), whether their social context is safe \nor unsafe (e.g. by trying to understand other’s intentions from \ntheir facial expressions and actions), or whether they are cur- \nrently fatigued (e.g. by putting attention to one’s heart), happy, \nor sad. \n\nreciprocity with caregivers and peers. Thus, in parallel to the \nnegotiation of identity with caregivers (through a relative detach- \nment from them, a renegotiation of intimacy, and the questioning \nof their confirmatory authority), the modifications of friendship \nstructures—from childhood to adolescence—lay the ground for \nthe progressive recognition of social contexts and peer relation- \nships as the elite territories for the modulation and exploration \nof personal identity. The redefinition that the adolescent has to \nface in these territories of exploration (of the self as an individ- \nual separated from the other and of the self with the other) might \npass through a phase of reduced coherence in the narration of \nthe self and hence an increased level of uncertainty. Coherence \nin the self’s narrative is considered a measure of well-being and \nhas been associated with psychopathology in adulthood (Klim- \nstra and Denissen 2017) and adolescence (Lind et al. 2020, Shiner \net al. 2021). For example, narrative incoherence has been found \nto be associated with personality disorders in adolescents (Lind \net al. 2019), where “identity diffusion” (e.g. feelings of emptiness \nand being fragmented and lack of a sense of continuity over time) \nmight be considered an expression of high levels of uncertainty of \nthe self. \n\nThe last examples—disambiguating one’s fatigue and emo- \ntional states—may seem strange if one assumes that we do have \ndirect access to the body- and allostasis-related states (e.g. states \nof satiation, thirst, and fatigue) and to our emotions (e.g. we \nautomatically know whether we are happy or sad). However, one \nassumption of active inference is that one’s bodily and emotional \nstates are not necessarily observable but, instead, “hidden states” \nthat need to be inferred on the basis of sensations (especially, \nbut not exclusively, of interoceptive sensations from the inside \nof the body) and of an implicit, unconscious model of how the \nbody functions (Barrett and Simmons 2015, Pezzulo et al. 2015, \nSeth and Friston 2016). In other words, the same inferential pro- \ncess that allows active inference agents to estimate the hidden \nstate of the external environment (e.g. the presence or absence of \nan object in the environment) is also used to estimate other hid- \nden states, such as fatigue, happiness, or sadness. This implies \nthat one can also be wrong, or be fooled, about these states; for \nexample, we could experience the “interoceptive illusion” of feel- \ning more fatigued than our physiological parameters would afford \n(Iodice et al. 2019).", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed1.pdf" + }, + { + "text": "and rephrased and asked follow-up questions to clarify and confirm \nthe correct understanding of participants’ answers. \n\nAs similar themes arose repeatedly and no new themes \nemerged in the final interviews, data saturation was achieved (23). \n\nidentified meaning units \nand \ncoded them into groups. Condensates of the subgroups were \nwritten by SSHD and discussed by all researchers. SSHD then \nrecontextualized \ncategories \ndescribed as analytical texts supplemented by quotes, a process \nthat was discussed and revised several times by all authors. \nAll \nthe manuscript. \nEnactive theory was used to interpret the results, aiming at \ninformants \nextracting new knowledge beyond what \nhad provided (28). \n\nadhering to these themes \n\nthe material by forming \n\nThe transcribed material was analyzed using systematic text \ncondensation (STC) (30) and was organized utilizing NVivo \n(version 1.7.1). STC is a method for cross-case analysis inspired \nidentification \nby phenomenology. \noverall \nthemes from the empirical material, (2) extraction of \nmeaning units from the text which were then coded into groups, \n(3) condensation of all meaning units within the subgroups into \nrepresents \nan \nparticipants’ voices, (4) recontextualization of the material into \ncategories, presented as analytical texts. The process is iterative, \nresulting in continuous movement between the transcripts and \nwithin different steps of the analysis. An example of the STC \nprocess is illustrated in Figure 1. \n\nIt involves four-steps: (1) \n\n3 Results \n\nParticipants were interviewed one-on-one by the first author \n(SSHD) in November and December 2021 (mean = 14 days post- \noutdoor group). The time and place of \nthe interviews were \nagreed upon according to participants’ preferences (undisturbed \noffice (n = 14), participant’s home (n = 1)). None dropped out. \nThe interviews lasted between 40 and 70 min (mean = 54, total = \n822) and were audio-recorded. \n\nThe first author (SSHD) transcribed the interviews and read \nall material several times, while BN and ECA read most of the \ninterviews before preliminary themes were agreed on. SSHD The results are presented as four categories summarized in \nFigure 2 and described below as analytic texts and illustrative \nquotes referenced with the participant ID and EDSS score.", + "page_start": 4, + "page_end": 4, + "source_file": "pubmed13.pdf" + }, + { + "text": "Emotion-wise, a developmental trend toward an increased \nspecificity of emotion-related maps of bodily sensations (Barca \net al. 2023)—a proxy of \ninteroceptive representations of \nemotions—has been reported from children aged 6 years to adult- \nhood (Hietanen et al. 2016). Pubertal changes encompass dramatic \nbodily and neuroendocrine system changes, comprising—but not \nreduced to—changes in the reproductive, adrenal, and growth \naxes (Cameron 2004). Thus, adolescents might face at least four \nsources of uncertainty: (i) the uncertainty due to physiological \nalterations related to bodily changes and to modification in hor- \nmonal levels leading to sexual maturity; (ii) the uncertainty in self- \nidentity (i.e. the structure of self-awareness) and personal identity \n(i.e, the narrative diachronic self) (Drummond 2021), which might \nbe coupled with changes in body image and the development of \ngender identity; (iii) the uncertainty in affect regulation, with the \nemergence of new forms of affectivity as feelings of love and sex- \nual attraction toward a partner; and (iv) uncertainty in the social \ncontext, with respect to their social status and role expectations \nin the adult society. Such high levels of uncertainty might lead \nto a poorly defined sense of self, with unclear boundaries and a \nsense of emptiness. In this context, pain becomes a possible way \nto recover a bodily sense of self, and self-injurious behavior might \nbe instantiated as an attempt to reduce the rise in the levels of \nuncertainty in these (and potentially other) domains, toward the \ntransition to adulthood (see Miller et al. 2020 for a closely related \napproach on addiction). \n\nExtending this idea even further, one can assume that cer- \ntain emotional states, as well as self-awareness and the (embod- \nied) sense of self—and the feeling of continually being the same \nperson—could be constructed similarly: it would be the result of \nan inferential process that integrates bodily sensations and other \nexperiences over time (Gu et al. 2013, Seth 2013, Stephan et al. \n2016, Barrett 2017). Figure 1 illustrates graphically this perspective \nby showing a (schematic) hierarchical generative model that links \n(exteroceptive, interoceptive, and proprioceptive) sensations at \nlower levels with multimodal models of hidden bodily states, such \nas fatigue and hunger at intermediate layers, and, finally, with \ntemporally extended, integrative models of the emotional and \nembodied self at the higher hierarchical level. The hierarchical \ngenerative model recapitulates a simple predictive coding archi- \ntecture, which includes various putative brain areas or networks \n(gray ovals) arranged hierarchically. In the schematic, networks for \nunimodal (exteroceptive, proprioceptive, and interoceptive) pro- \ncessing are situated at the lowest hierarchical level, multimodal \nnetworks are at an intermediate level, and networks for process- \ning a persistent model of the self are at the highest level. Note \nthat this simple schematic is not supposed to recapitulate brain \nanatomy but to illustrate the basic principles of hierarchical gen- \nerative models and predictive coding; (for a discussion of the \nmapping between predictive coding networks and brain anatomy, \nsee Parr et al. 2022). Each network includes cells encoding predic- \ntions (black nodes) and prediction errors (red nodes). These units \n\nActive inference, interoceptive processing, \nand uncertainty reduction", + "page_start": 3, + "page_end": 3, + "source_file": "pubmed1.pdf" + }, + { + "text": "We focused on adolescence as a potentially critical period for \nNSSI, given that it is associated with high levels of uncertainty \nabout several central domains in human life. However, there \nare other (gender-related) developmental periods in which bod- \nily changes might be coupled with increased levels of uncertainty \n(e.g. in physiology, in the sense of self, in the social role) and vulner- \nability. Pregnancy and transition to menopause, e.g. are periods of \nendocrine and hormonal upheavals that might impact a woman’s \naffective life and well-being. These physiological changes are cou- \npled with a fundamental developmental transition that requires a \nredefinition of personal identity and narrative integration (McLean \nand Lilgendahl 2019), with increased uncertainty of one’s inter- \nnal states and role in the social context. Taking into account \nthe perimenopausal and menopausal transition, the physiologi- \ncal, psychological, and affective experiences associated with it are \nvery heterogeneous. Some women might experience it as a new \nbeginning, whereas for others, it may be more critical (Deeks 2003). \nIn some cases, e.g. the menopause transition might perturb the \ncontinuity of one’s sense of self, inducing discrepancies in inter- \nnal self-coherence (e.g. the end of childbearing years, the aging \nprocess), which might increase the level of distress (Barca and De \nMarchis 2018). \n\nReferences \nAbraham E, Hendler T, Zagoory-Sharon O*et al.*Interoception sensi- \ntivity in the parental brain during the first months of parenting \nmodulates children’s somatic symptoms six years later: the role \nof oxytocin.*Int J Psychophysiol*2019;**136**:39–48. \nAdams RA, Stephan KE, Brown HR*et al.*The computational anatomy \nof psychosis.*Front Psychiatry*2013;**4**:1–26. \n\nArciero G, Bondolfi G.*Selfhood, Identity and Personality Styles*. 1st edn \nHoboken, New Jersey, United States: John Wiley & Sons Inc, 2009. \nBarca L, Candidi M, Lancia GL*et al.*Mapping the mental space \nof emotional concepts through kinematic measures of decision \nuncertainty.*Philos Trans R Soc Lond B Biol Sci*2023;**378**:20210367. \nBarca L, De Marchis MD. The case of Sofia: an example of the dynamic \nproperties of the therapeutic relationship. 2018. \n\nBarca L, Pezzulo G. Keep your interoceptive streams under control: \nan active inference perspective on anorexia nervosa.*Cogn Affect*\n*Behav Neurosci*2020;**20**:427–40. \n\nThe dramatic changes that a women’s physiology undergoes \nduring life have been suggested to concur with the atypical \ninteroception often reported (e.g. heightened interoceptive atten- \ntion but poor interoceptive accuracy), which might contribute \nto their greater vulnerability to mental illness (Murphy et al. \n2019). Although this is still a speculative hypothesis that needs \nto be tested empirically, the effect of these transition periods on \nwomen’s well-being is currently overlooked and deserves more \nattention. \nBarrett LF.*How Emotions Are Made: The Secret Life of the Brain*. Boston, \nMassachusetts, United States: Houghton Mifflin Harcourt, 2017. \nBarrett LF, Quigley KS, Hamilton P. 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An embodied predictive \ncoding model of perceptual inference.*Cogn Affect Behav Neurosci*\n2013;**14**:902–11. \nand research.*J Trauma Dissocn*2006;**7**:55–73. \n\nMagerl W, Burkart D, Fernandez A, Schmidt LG, Treede R. Persis- \ntent antinociception through repeated self-injury in patients with \nborderline personality disorder.*Pain*2012;**153**:575–84. \n\nPezzulo G, Barca L, Friston KJ. Active inference and cognitive- \nemotional interactions in the brain.*Behav Brain Sci*2015;**38**:e85. \nPezzulo G, Iodice P, Barca L*et al.*Increased heart rate after exercise \nfacilitates the processing of fearful but not disgusted faces.*Sci Rep*\n2018;**8**:398. \n\nMaisto D, Barca L, Van den Bergh O*et al.*Perception and misperception \nof bodily symptoms from an active inference perspective: mod- \nelling the case of panic disorder..*Psychol Rev*2021;**128**:690–710. \nMalter Cohen M, Jing D, Yang RR*et al.*Early-life stress has \npersistent effects on amygdala function and development \nin mice and humans.*Proc Natl Acad Sci U S A*2013;**110**: \n18274–8. \nPezzulo G, Maisto D, Barca L*et al.*Symptom perception from a \npredictive processing perspective.*Clin Psychol Eur*2019;**1**:1–14. \nQuigley KS, Kanoski S, Grill WM*et al.*Functions of interoception: \nfrom energy regulation to experience of the self.*Trends Neurosci*\n2021;**44**:29–38. McAdams DP, McLean KC. Narrative identity.*Curr Dir Psychol Sci*\n\nRao RP, Ballard DH. Predictive coding in the visual cortex: a functional \ninterpretation of some extra-classical receptive-field effects.*Nat*\n*Neurosci*1999;**2**:79–87. \n\n2013;**22**:233–8. \n\nMcEvoy PM, Mahoney AE. To be sure, to be sure: intolerance \nof uncertainty mediates symptoms of various anxiety disorders \nand depression.*Behav Ther*2012;**43**:533–45. Reichl C, Kaess M. Self-harm in the context of borderline personality \n\nMcLean KC, Lilgendahl JP. Narrative identity in adolescence and \nadulthood: pathways of development. In:*Handbook of Personality*\n*Development*. New York, United States: The Guilford Press, 2019, \n418–32. \n\ndisorder.*Curr Opin Psychol*2021;**37**:139–44. \n\nSagiv E, Gvion Y. A multi factorial model of self-harm behav- \niors in anorexia-nervosa and bulimia-nervosa.*Compr Psychiatry*\n2020;**96**:152142. \n\nSchmitz M, Back SN, Seitz KI*et al.*The impact of traumatic child- \nhood experiences on interoception: disregarding one’s own body. \n*Borderline Pers Disord Emot Dysregulation*2023;**10**:5. \n\nMiller M, Kiverstein J, Rietveld E. Embodying addiction: a predictive \nprocessing account.*Brain Cogn*2020;**138**:105495. \n\nMoeller FG, Barratt ES, Dougherty DM*et al.*Psychiatric aspects \nof impulsivity.*Am J Psychiatry*2001;**158**:1783–93. Selby EA, Kranzler A, Lindqvist J*et al.*The dynamics of pain during \n\nMurphy J, Viding E, Bird G. Does atypical interoception following phys- \nical change contribute to sex differences in mental illness?*Psychol*\n*Rev*2019;**126**:787–9. \n\nnonsuicidal self-injury.*Clin Psychol Sci*2019;**7**:302–20. \n\nSerino S, Scarpina F, Dakanalis A*et al.*The role of age on multisensory \nbodily experience: an experimental study with a virtual reality \nfull-body illusion.*Cyberpsychol Behav Soc Netw*2018;**21**:304–10. \nSeth AK. Interoceptive inference, emotion, and the embodied self. \n\nNock MK. Self-injury.*Annu Rev Clin Psychol*2010;**6**:339–63. \nNock MK, Joiner TE, Gordon KH*et al.*Non-suicidal self-injury \namong adolescents: diagnostic correlates and relation to suicide \nattempts.*Psychiatry Res*2006;**144**:65–72. \n*Trends Cogn Sci*2013;**17**:565–73.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed1.pdf" + }, + { + "text": "Seth AK, Friston KJ. Active interoceptive inference and the emotional \n\nNock MK, Mendes WB. Physiological arousal, distress tolerance, \nand social problem-solving deficits among adolescent self- \ninjurers..*J Consult Clin Psychol*2008a;**76**:28–38. \n\nbrain.*Philos Trans R Soc Lond B Biol Sci*2016;**371**:20160007. \nSeth AK, Suzuki K, Critchley HD. An interoceptive predictive coding \n\nmodel of conscious presence.*Front Psychol*2012;**2**:395. \n\nSforza A, Bufalari I, Haggard P*et al.*My face in yours: visuo- \ntactile facial stimulation influences sense of identity.*Soc Neurosci*\n2010;**5**:148–62. Nock MK, Mendes WB. Physiological arousal, distress tolerance, \nand social problem-solving deficits among adolescent self- \ninjurers.*J Consult Clin Psychol*2008b;**76**:28–38. \n\nNock MK, Prinstein MJ. A functional approach to the assessment \nof self-mutilative behavior.*J Consult Clin Psychol*2004;**72**:885–90. \nNock MK, Prinstein MJ, Sterba SK. Revealing the form and function \nof self-injurious thoughts and behaviors: a real-time ecological \nassessment study among adolescents and young adults.*J Abnorm*\n*Psychol*2009;**118**:816–27. \n\nShiner RL, Klimstra TA, Denissen JJ*et al.*The development of narrative \nidentity and the emergence of personality disorders in adoles- \ncence.*Curr Opin Psychol*2021;**37**:49–53. \nSkegg K. Self-harm.*Lancet*2005;**366**:1471–83. \nSmith R, Feinstein JS, Kuplicki R*et al.*Perceptual insensitivity to \nthe modulation of interoceptive signals in depression, anxiety, \nand substance use disorders.*Sci Rep*2021;**11**:2108. \n\nOgawa JR, Sroufe LA, Weinfield NS*et al.*Development and the \nlongitudinal study of dissociative symp- \nfragmented self: \ntomatology in a nonclinical sample.*Dev Psychopathol*1997;**9**: \n855–79. Smith R, Killgore WD, Lane RD. The structure of emotional experi- \nence and its relation to trait emotional awareness: A theoretical \nreview..*Emotion*2018;**18**:670–92. \n\nOsmana ̆gao ̆glu N, Creswell C, Dodd HF. Intolerance of uncertainty, \nanxiety, and worry in children and adolescents: a meta-analysis. \n*J Affect Disord*2018;**225**:80–90. \n\nSmith R, Kuplicki R, Feinstein J*et al.*A Bayesian computational model \nreveals a failure to adapt interoceptive precision estimates across \ndepression, anxiety, eating, and substance use disorders.*PLoS*\n*Comput Biol*2020;**16**:e1008484. \nPaluska SA, Schwenk TL. Physical activity and mental health: current \n\nSmith R, Lane RD. The neural basis of one’s own conscious \nand unconscious emotional states.*Neurosci Biobehav Rev*\n2015;**57**:1–29. \n\nconcepts.*Sports Med*2000;**29**:167–80. \n\nParr T, Pezzulo G, Friston KJ.*Active Inference. The Free Energy Principle*\n*in Mind, Body, and Behaviour*. Cambridge, Massachusetts, United \nStates: The MIT Press, 2022. \n\nSmith R, Parr T, Friston KJ. Simulating emotions: an active infer- \nence model of emotional state inference and emotion concept \nlearning.*Front Psychol*2019;**10**:2844. \nPatton GC, Olsson CA, Skirbekk V*et al.*Adolescence and the next \ngeneration.*Nature*2018;**554**:458–466.", + "page_start": 11, + "page_end": 11, + "source_file": "pubmed1.pdf" + }, + { + "text": "Abraham et al. (2019) evaluated a number of features of the \nneurobiological interoceptive circuit (e.g. the functionality of the \namygdala, insula, and oxytocinergic system) in parents and chil- \ndren over the first 6 years of parenthood. Results revealed a critical \nassociation between parental interoceptive sensitivity—indexed, \ne.g. by increased bilateral activation of the anterior insula in \nresponse to a video of his/her interacting with his/her infant— \nthe consolidation of the child’s interoceptive circuit and mental \nhealth. Taken together, thus, consistent evidence indicates that \nparental ability to respond appropriately to the children’s needs \nand bodily signals supports the child’s ability to adequately repre- \nsent his/her internal bodily states, concurring in the development \nof self-processes (Fotopoulou and Tsakiris 2017, Ciaunica et al. \n2021a, 2021b). The degree of predictability of caregivers’ response \nappears to be critical for the development of affect regulation \nand a cohesive sense of the self (Ilyka et al. 2021). When care- \ngivers’ behavior is less reliable, children have more difficulties in \ndistinguishing their own internal states, making self-other dis- \ntinctions (Ogawa et al. 1997, Dutra et al. 2009), and—in the most \nsevere cases—developing an integrated sense of the self (Liotti \n2004, 2006). \n\nA central theme of inferential models of cognition, like active \ninference, is that actions are motivated by both “utilitarian” imper- \natives, such as reward achievement, and the “epistemic” impera- \ntive to reduce uncertainty about one’s state (intended in a broad \nsense, from bodily state to one’s identity and self-models). Var- \nious researchers proposed that paradoxical behaviors could be \nmotivated by reward achievement since they have (paradoxically) \npositive effects, such as relief from emotional distress and nega- \ntive affect (Nock and Prinstein 2004, Chapman et al. 2006, Bresin \nand Gordon 2013, Selby et al. 2019). Here, we advance a com- \nplementary perspective by suggesting that these behaviors might \nappear less paradoxical when considering that they could serve \nuncertainty minimization imperatives. For example, we recently \nsuggested that the starvation observed in restrictive anorexia \nnervosa could serve the imperative of minimizing “interoceptive \nuncertainty” or the uncertainty about one’s interoceptive state— \nstretched up to the uncertainty of the self—which might be partic- \nularly severe when people receive ambiguous interoceptive signals \nfrom the body, when they have poor models of their bodily or emo- \ntional state, or when they are particularly intolerant to high levels \nof uncertainty (Barca and Pezzulo 2020).", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed1.pdf" + }, + { + "text": "Barca*et al.*\n2 \n\nsituations—from reduced affective reciprocity during parental \ninteractions (Conradt and Ablow 2010). Development theories \nunderscore the role of parental care in shaping the experience of \nself and others and integrative processes of consciousness (Bowlby \n1997, Liotti 2004, 2006, Fonagy et al. 2023). \n\n**Highlights**\n\n• Predictive processing theories assume that the brain \nforms internal body and self-models at multiple levels \nof detail and strives to reduce their uncertainty. \n\n• High levels of uncertainty in internal models of the body \nand the self are common across several clinical condi- \ntions. \n\n• Excessive levels of uncertainty might also be experienced \nin the typical population during development transitions. \n• This excessive uncertainty might hinder the mainte- \nnance of a coherent model of the embodied self and \nconfidently engage in adaptive courses of actions. \n\n• Maladaptive behaviors, such as non-suicidal self-injury, \nmight emerge as paradoxical but effective strategies to \n“act on the body” to reduce uncertainty \n\nDuring infancy, a child starts making sense of her internal \nexperiences through the information she gets from the external \nworld, most notably from caregivers whose behavior has a fun- \ndamental regulatory function shaping emotional development, \nstress physiology, and refinement of limbic circuitry (Gee 2016). \nIn addition to the quality of caregivers’ response to the infant’s \nneed for proximity, its “predictability” supports the development \nof emotions’ regulatory capacity (Gee and Cohodes 2021; Wu and \nFeng 2020) and a cohesive sense of self (Arciero and Bondolfi \n2009), increases prosociality (Deneault et al. 2023), and influ- \nences the development of social brain structure (see Ilyka et al. \n2021 for a review). Self-report assessment of exposure to unpre- \ndictability during early life appears to predict symptoms of anx- \niety, depression, and anhedonia in adulthood (Glynn et al. 2019). \nEvidence from cross-species studies indicates that the predictabil- \nity of caregivers’ behavior in rodents may specifically influence \nthe offspring’s development of corticolimbic circuitry involved in \nemotion-related functioning (Glynn and Baram 2019). Rodents \nexposed to unpredictable maternal care exhibit atypical amygdala \nfunctioning (Malter Cohen et al. 2013) and weaker connectivity \nwith the medial prefrontal cortex (Guadagno et al. 2018). \n\nsimilar because they explicitly target the body, with self-induced \nhunger or painful sensations, to modify bodily and interocep- \ntive experiences. This perspective helps contextualize harmful \nbehaviors within an “interoceptive inference” framework, which \nassumes that (interoceptive) bodily sensations and their regula- \ntion are key for affectivity, mental health, conscious processes, \nand the self (Craig 2002, Seth et al. 2012, Barrett and Simmons \n2015, Pezzulo et al. 2015, Paulus et al. 2019, Quigley et al. 2021), \nwhich could provide novel insights on why people do things to \nharm themselves intentionally.", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed1.pdf" + }, + { + "text": "As a consequence of these or other deficits in developing \nappropriate models of emotional and self-models, a person might \nexperience significant interoceptive uncertainty and perceive her \nown internal states in confused and uncomfortable ways later \nin life. Suppose that the interoceptive channels are unreliable \nand the internal models rooted in bodily experiences are poor. \nIn that case, a person might construe a sense of personal stabil- \nity through external, non-interoceptive signals, such as feedback \nfrom others and from the world, rather than via interoceptive \nsignals. Engaging in social interactions, in which we experience \naffective states relevant to our self-confirmation (e.g. a sense \nof acceptance and kindness), might be particularly challenging \nfor this person (Guidano 1987, Arciero and Bondolfi 2009). While \ninteracting with others, she might experience ambiguous bodily \nand emotional states. She might be unable to reduce this uncer- \ntainty using the other as an external point of reference since What are the possible causes of interoceptive uncertainty? \nConsider, e.g. a person with physiological deficits in interocep- \ntive pathways that do not allow her to clearly sense interoceptive \nstreams and identify her emotional states and embodied self. \nThese deficits might prevent the person from developing an appro- \npriate model of her emotions (e.g. a model that clearly specifies \nwhat emotion she feels and in which conditions) and a good \nunderstanding of the emotions and the affective states of others \nand hence be constantly uncertain about them (see also Smith \nand Lane 2015, Smith et al. 2018, 2019). Such detachment from \none’s body and bodily information might result from adverse \nexperiences during infancy and childhood, such as emotional \nand physical neglect (Schmitz et al. 2023), or—in less dramatic", + "page_start": 1, + "page_end": 1, + "source_file": "pubmed1.pdf" + } + ] + }, + { + "references": { + "source_file": "OTC_NSANY_2004.pdf", + "query": "What was the indicator related to increasing Nissan's research and development activities in terms of publication of scientific articles in 2004?", + "target_page": 46, + "target_passage": "And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. ", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "NISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS \n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO \n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005. \n\n• Product enrichment and the cost of regulations had \n\na negative impact of ¥92 billion. \n\n• An additional ¥44 billion was allocated to R&D to \n\nreinforce product and technology development. \n\n• Cost reductions from manufacturing efficiencies were \n\noffset by costs associated with expanding the Canton \n\nplant’s capacity, which resulted in a ¥15 billion \n\nincrease in manufacturing and logistics expenses. \n\n• Warranty costs increased by ¥41 billion, partly due to \n\ngreater volume. \n\n• General, administrative and other expenses increased \n\nby ¥25.7 billion. \n\nBy region, operating profits in Japan came to ¥341.1 \n\nbillion, a decrease of 3.2 percent compared to last year. \n\nThis was mainly due to unfavorable exchange rate \n\nfluctuations and an increase in R&D expenses, which \n\nreached a record level. \n\nDue to higher volumes, profitability in the U.S. and \n\nCanada increased 7.9 percent from last year and totaled \n\n¥379.7 billion. \n\nOperating profit in Europe was ¥56 billion, an increase \n\nof 13.8 percent compared to last year, owing to a better \n\nmix and higher contributions from Russia. \n\nIn General Overseas Markets, including Mexico, \n\noperating profits came to ¥84.8 billion, an increase of 28.5 \n\npercent compared to last year. This was primarily due to the \n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor. \n\nInter-regional eliminations were negative ¥0.4 billion. \n\n**Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 \n\npercent from last year. A higher volume and mix had a \n\npositive impact of ¥707.0 billion. Movements in foreign \n\nexchange rates produced a negative impact of ¥173.0 \n\nbillion. Changes in the scope of consolidation, including \n\nDongfeng Motor and Yulon Nissan Motor, raised revenues \n\nby ¥432.0 billion. \n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from \n\nlast year to a record ¥861.2 billion. This resulted in an \n\noperating profit margin of 10.0 percent. Operating profit \n\nwas affected by the following factors: \n\n• The effect of foreign exchange rates produced a ¥78 \n\nbillion negative impact for the full year. The \n\ndepreciation of the U.S. dollar against the yen resulted \n\nin a negative impact of ¥74 billion, with an additional \n\n¥13 billion from other currencies. The appreciation of \n\nthe euro resulted in a positive impact of ¥9 billion. \n\n• The change in the scope of consolidation produced \n\na positive impact of ¥31 billion. This was primarily \n\nfrom the consolidation of Dongfeng Motor and Yulon \n\nNissan Motor. \n\n• The impact of the higher volume and mix contributed \n\n¥284 billion. This was mainly driven by an increase in \n\nU.S. sales volume. \n\n• Selling expenses increased by ¥114 billion, also \n\nmainly due to the increase of sales in the U.S. \n\n• The improvement in purchasing costs amounted to \n\n¥131 billion.", + "page_start": 13, + "page_end": 13, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "DESPITE NISSAN’S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS \n\nNEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED \n\nAT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR \n\nUNDERSTANDING OF NISSAN’S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH \n\nVIEW OF THE COMPANY’S OPERATIONS AND PERFORMANCE INDICATORS. \n\n**IR Activities**\n\nUnder NISSAN Value-Up, the IR team’s performance will \n\nbe evaluated based on the price-earnings ratio (PER) and \n\nvolatility relative to our major competitors. PER is used to \n\nmeasure how successfully the IR team manages market \n\nexpectations about Nissan in order to maintain the Nissan \n\nshare price close to an intrinsic value. The other measure, \n\nvolatility, is used to measure the risk investors perceive \n\nwhen considering Nissan stock. If Nissan can successfully \n\nreduce volatility, the minimum return required by investors \n\nshould decline. The IR team believes that a strengthening \n\nof disclosure activities is required to improve both \n\nmeasures. The team plans to disclose not only financial \n\nresults but also more forward-looking information about \n\nNissan fundamentals such as technology and product. \n\nSuch forward-looking information helps investors to \n\nforecast future performance more precisely and reduces \n\nuncertainty about the future. As a consequence, Nissan will \n\nincrease the number of investor conferences, events, and \n\nteleconferences during fiscal 2005. \n\n**Share Performance in Fiscal 2004**\n\nNissan’s share price began at ¥1,143 at the beginning \n\nof fiscal 2004 and ended the fiscal year at ¥1,099, \n\ngenerating a negative return of 3.85 percent. Total \n\nshareholder return (TSR) was -1.67 percent, while the \n\ndividend yield came to 2.18 percent (¥24 per share dividend, \n\ndivided by the ¥1,099 closing price). Adverse movements \n\nin foreign exchange rates and commodity price hikes \n\nadversely affected Nissan’s profitability, which was reflected \n\nin the share price. In addition, specific events relating \n\ndirectly to the company also had a negative impact. Later in \n\nthis report, corporate officers will explain what actions \n\nNissan has undertaken to ensure better performance. \n\n**Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend \n\npolicy, covering the period from fiscal 2005 to fiscal 2007, at \n\nthe annual general meeting of shareholders on June 23, \n\n2004. Nissan proposes a long-term dividend policy to \n\nprovide more visibility and improve transparency into the \n\nways in which Nissan rewards its shareholders. Nissan \n\nbelieves that a long-term dividend policy reduces uncertainty \n\nfor investors who already own or are considering acquiring \n\nNissan stock. \n\n**Five-Year Share Performance**\n(Index: April 3, 2000=100) \n400 \nNissan \n300 \n\n200 \nTOPIX Transportation Equipment Index \n100 \nTOPIX \n80 Apr. \nMay June July Aug. Sept Oct. Nov Dec. \nJan. \n**2005**\n**’01** **’02** **’03** **’04** **’05**\n0 \n**2004**", + "page_start": 16, + "page_end": 16, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "We have succeeded in shortening our production \n\npipeline, too, using a new vehicle development process \n\ncalled V3P that our engineers devised over the past three \n\nyears. V3P, which stands for Value-up innovation of \n\nProduct, Process, and Program, has helped us cut our \n\ndevelopment time almost in half, from 20 months to just \n\n10.5 months. I believe this makes Nissan the world \n\nbenchmark in development. That improvement is having a \n\nmajor effect on the flexibility and execution of R&D at \n\nNissan, and will ultimately boost the company’s profitability. \n\nThe number of new products we have brought to \n\nmarket over the past three years is equally significant— \n\nmore than thirty new vehicles. That’s an impressive \n\nengineering achievement, and the reason you are seeing \n\nso many new Nissan models on the road. \n\nOur R&D infrastructure, however, is still in need of \n\nexpansion. We’ve therefore begun building new facilities at \n\nthe Nissan Technical Center, NTC, and at the Nissan \n\nAdvanced Technical Center, NATC, both of which are in \n\nJapan. These additions represent a major investment, and \n\nshow Nissan’s dedication to maintaining and enhancing its \n\ntechnological skills. \n\nOur technology base is in Japan, where we have some \n\nten thousand people involved in R&D, but we also have two \n\nmajor centers in North America and Europe, and smaller \n\noperations in Taiwan, China, Thailand, South Africa and \n\nBrazil. In the past, these entities were mostly standalone \n\noperations, but today there are many more joint projects \n\n| O | | LOGY | | |\n|---|---|---|---|---|\n| O | | LOGY | | |\n| | | | | |\n\n\n**Pursuing Value Through**\n**Technological Excellence**\n\n“I have two prime objectives. The first is to realize our \n\ncorporate vision, ‘Enriching people’s lives,’ from an \n\nengineering standpoint. The second is to create a \n\nfuture vision for people working in R&D. Research and \n\ndevelopment is all about providing practical value to \n\nthe customer via technological excellence, which in \n\nturn creates value for our shareholders. Nissan has \n\nmade a major commitment to technological excellence \n\nso that we can accomplish these objectives. \n\n**Research and Development**\n\nNissan’s investment in R&D has been rising. In fiscal 2004 \n\nwe devoted approximately ¥400 billion to it, equivalent to \n\n4.6 percent of our turnover. We estimate that our financial \n\ncommitment to R&D will continue to range between 4.5 \n\nand 5 percent. R&D investments take a lot of time to pay \n\noff, of course, so it’s difficult to evaluate our evolution \n\nover the short term. Given our expanded output, however, \n\nI believe that we are headed in the right direction. \n\nFor example, the number of patents we have generated \n\nis growing quickly, exceeding 4,000 in fiscal 2003—more \n\nthan twice the fiscal 1999 figure. And the number of \n\nresearch papers we present at societies such as The Japan \n\nSociety of Mechanical Engineers rose dramatically in fiscal \n\n2004. These are direct results of our commitment to \n\nresearch. We are also generating more new technologies \n\nrelated to safety and the environment, such as the Around \n\nView Monitor and the lane-keeping system.", + "page_start": 45, + "page_end": 45, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Looking to the New Fiscal Year**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume \n\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent \n\nincrease over the prior year. \n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to \n\ntwenty regional product events. \n\n**Our sales objectives**\n\n• Japan: 933,000 units, a 10 percent increase over last year \n\n• U.S.: 1,047,000 units, an increase of 3.3 percent \n\n• Europe: 550,000 units, a 1.1 percent increase over last year \n\n• General Overseas Markets: 1,088,000 units, a 10.7 percent increase \n\n**Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of \n\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices, \n\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The \n\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively. \n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign \n\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro: \n\n• Net revenue is predicted to be ¥9 trillion, up 4.9 percent. \n\n• Operating profit is expected to be ¥870 billion, up 1 percent. \n\n• Ordinary profit is expected to reach ¥860 billion, up 0.5 percent. \n\n• Net income is predicted to be ¥517 billion, up 0.9 percent. \n\n• Capital expenditures are expected to reach ¥540 billion, up 13.1 percent. \n\n• R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent. \n\n• ROIC is expected to remain at or above 20 percent.", + "page_start": 9, + "page_end": 9, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "• An increase in global sales of 1 million units, \n\ncompared to the start of the plan. We are confident of \n\nmeeting this final commitment by the end of the \n\nmeasurement period in September 2005. \n\n• An 8 percent operating profit margin. For every year \n\nof the NISSAN 180 plan our operating margin has \n\nbeen at or above 10 percent topping the performance \n\nof all global automakers. \n\n• Zero net automotive debt. We now have more than \n\n¥200 billion in net cash under the new and more \n\ndemanding accounting standards. \n\nReview of 2004 \n\nNissan lived up to its challenges in fiscal 2004, despite a \n\nvery challenging year in the global industry, full of risks \n\nboth anticipated and unexpected. \n\nConsolidated net revenues reached ¥8 trillion 576.3 \n\nbillion, up 15.4 percent from last year. Consolidated \n\noperating profit improved by 4.4 percent to a record ¥861.2 \n\nbillion. As a percentage of net revenue, our operating profit \n\nmargin came to 10 percent, which remains at the top level \n\namong global automakers. And our net income reached \n\n¥512.3 billion, or ¥125.16 per share, compared to ¥122.02 \n\nper share for the previous fiscal year. \n\nNISSAN Value-Up \n\nThe Nissan revival story is now complete. Our next \n\nthree-year business plan, ‘NISSAN Value-Up,’ is focused, \n\nas its name suggests, on delivering sustainable long-term \n\nvalue to all our stakeholders. As such, it is evolutionary \n\nnot revolutionary. \n\nAs with our previous business plans, NISSAN Value-Up \n\nestablishes three core commitments. They are ambitious, \n\nand will require us to stretch our capabilities. But they \n\nare realistic. \n\nProfit: Nissan will maintain the top level of operating \n\nprofit margin among global automakers for each of the \n\nthree years of the plan. Operating profit remains at the \n\ncenter of our management system, as it is the most \n\naccurate measure of business performance. \n\nA public company has two key responsibilities to its \n\nshareholders: transparency and value creation. \n\nAt Nissan, transparency is essential to our business. \n\nEspecially in uncertain times, it builds trust between a \n\ncompany and its shareholders. And we believe \n\ntransparency is the best way to encourage long-term \n\ninvestment in our company. \n\nBut transparency is not yet universal. Nissan is still one \n\nof the few large corporations that publicly disclose future \n\nbusiness plans, performance indicators, commitments and \n\nfuture dividends. We trust that these measures give \n\nshareholders a clear view of our company’s future direction. \n\nFrom the start of the Nissan Revival Plan (NRP) in \n\n1999, we have created value by focusing on key value \n\ndrivers—particularly sales growth, operating profit margin, \n\nand return on invested capital. \n\nBy the end of fiscal 2001 we exceeded our NRP \n\ncommitments by returning Nissan to profit one year ahead \n\nof schedule, halving the company’s debt and over-delivering \n\non our commitment to achieve a 4.5 percent operating \n\nprofit margin. \n\nFollowing NRP, we launched a three-year business \n\nplan called NISSAN 180. By the end of the plan in fiscal \n\n2004, we committed to achieve the following:", + "page_start": 3, + "page_end": 3, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up \n\nto all the challenges. We had a record year in revenues, operating profit, net income, sales \n\nvolume and production. \n\n**Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This \n\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is \n\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine \n\nall-new models globally. \n\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing \n\nplants turned out 3,378,000 units, or 293,000 units more than the previous record. \n\n**Financial performance**\n\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year. \n\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a \n\npercentage of net revenue, our operating profit margin came to 10.0 percent. \n\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion. \n\n**Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot \n\nbe closed completely until the end of September 2005, but we know that we have already \n\ndelivered two of the plan’s three critical commitments. \n\n• We committed to an 8 percent operating profit margin, and our margin has been at or above \n\n10 percent for every year of NISSAN 180. \n\n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the \n\nnew and more demanding accounting standards. \n\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in \n\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, \n\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of \n\nSeptember 2005.", + "page_start": 7, + "page_end": 7, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "Share price performance \n\nWhat should investors expect from Nissan’s share price? \n\nOver the long-term, share prices reflect fundamentals. \n\nBut in the short-term share prices are driven by \n\nperformance against expectations. \n\nIn Nissan’s case, recent share price trends signal \n\nmarket expectations that greater uncertainty will result in \n\nlower growth. So our challenge is to both manage those \n\nexpectations and to exceed them. This supports our belief \n\nin a high level of disclosure and transparency. \n\nOur business plans and commitments, and our ability \n\nto communicate our strategy clearly, are the most effective \n\nmeans to convey transparency. But we recognize that \n\nfinancial announcements alone are no longer sufficient \n\ncommunication for the markets. We need to provide more \n\nforward-looking information and to avoid surprises that \n\ncreate uncertainty for shareholders and investors. \n\nWe intend to serve the professional investment \n\ncommunity better in fiscal 2005. We will also extend \n\nour welcome to individual investors—whose numbers \n\ngrew by 51,323 in fiscal 2004, increasing our list to \n\n193,000 shareholders. \n\nThat growing interest in Nissan was apparent in the \n\nturnout of more than 1,800 people at our June 21 \n\nshareholders’ meeting in Yokohama. Questions from the \n\nshareholders were many and varied, but it was encouraging \n\nto hear in each one a passionate commitment to Nissan. \n\nThis year, and in the future, I hope we merit such \n\nsupport from all our shareholders as we create lasting \n\nvalue in a transparent way. \n\nVolume: Nissan will achieve global sales of 4.2 million \n\nunits in fiscal 2008—an increase of 812,000 units over \n\nfiscal 2004. \nROIC: Nissan will achieve a 20 percent or higher \n\nreturn on invested capital on average over the course \n\nof the plan, excluding cash on hand. \n\nTo meet this commitment, over the NISSAN Value-Up \n\nperiod we will launch 28 new products, including 10 models \n\nthat are highly innovative in their concept and benefits. \n\nOur investment in advanced technology continues. \n\nFrom fiscal 2002 to 2005 we have increased spending \n\non research and development by 50 percent. Over the next \n\nthree years we will invest a further 5 percent of net sales \n\nannually, creating new and exciting technologies to benefit \n\nour customers. \n\nDuring NISSAN Value-Up we will pursue several key \n\nbusiness opportunities: \n\n• Our Infiniti luxury brand will extend its reach into new \n\nmarkets such as China and Russia and continue to \n\nestablish its credibility as a Tier-1 luxury player. \n\n• We will develop our Light Commercial Vehicle \n\nbusiness into a fully competitive global operation \n\nthrough new market and product entries. \n\n• We will take a more efficient global sourcing \n\napproach to maximize our opportunities and minimize \n\nour overall costs as we grow. Our engineering, \n\nproduction and purchasing functions will continue \n\ntheir acceleration towards being fully integrated \n\nglobal operations. \n\n• We will continue to invest in new and emerging \n\nmarkets, including China, India and Russia. \n\n\n\nNISSAN Value-Up also delivers increased value for our \n\nshareholders through a clear and well-defined dividend \n\nstrategy. By the end of the plan period, we will pay an \n\nannual dividend of no less than ¥40 per share, a 66 \n\npercent increase over fiscal 2004.", + "page_start": 4, + "page_end": 4, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Vision**\n**Nissan: Enriching people’s lives**\n1 \n\n**Mission**\n**Nissan provides unique and innovative automotive**\n\n**products and services that deliver superior measurable**\n\n**values to all stakeholders*in alliance with Renault.**\n\n*Our stakeholders include customers, shareholders, employees, dealers, \nsuppliers, as well as the communities where we work and operate. \n\nThis Annual Report presents financial results for the fiscal period \n\nending March 31, 2005. The report also provides shareholders \n\nwith insight to Nissan’s management team. Through one-on- \n\none interviews, various members of executive management, \n\nincluding Carlos Ghosn, President and Chief Executive Officer, \n\ndiscuss the philosophy and direction of Nissan. \n\nContents \n\nFinancial Highlights \n\nLetter from the President and CEO 2 \n\nLetter from the COO 4 \n\nExecutives 5 \n\nPerformance 6 \n\nWho We Are 16 \n\nOur Way 18 \n\nAutomobiles 22 \n\nSales Finance 28 \n\nIndustrial Machinery \n\nand Marine Business 30 \n\nRenault-Nissan Alliance \n31 \n32 Our Work \n\nPlanning 34 \n\nBrand 37 \n\nDesign 38 \n\nMarketing 40 \n\nCommunications 43 \n\nTechnology 44 \n\nPurchasing 48 \n\nQuality 49 \n\nManufacturing 50 \n\nControl 53 \n\nFinance 54 \n\nHuman resource \n56 \n58 Our World \n\nJapan 60 \n\nEurope 61 \n\nNorth America 62 \n\nChina 64 \n\nGeneral Overseas Markets \n66 \n68 Financial Section \n\nCorporate Data 106 \n\nSubsidiaries and Affiliates 106 \n\nCorporate Officers 109 \n\nOur Websites \n\nCorporate Information \nhttp://www.nissan-global.com/EN/COMPANY/ \n\nIR Information \nhttp: //www.nissan-global.com/EN/IR/ \n\nEnvironment, Design, Safety and Technology Information \nhttp: //www.nissan-global.com/EN/PLAN/ \n\nProduct Information (by Country) \nhttp: //www.nissan-global.com/EN/GLOBAL/ \n\nProduct Information (Japan) \nhttp: //www.nissan.co.jp/ \n\nCorporate Citizenship Information \nhttp: //www.nissan-global.com/EN/COMPANY/CITIZENSHIP/ \n\nThis Annual Report contains forward-looking \nstatements on Nissan’s future plans and targets, and \nrelated operating investment, product planning and \nproduction targets. Please note that there can be no \nassurance that these targets and plans will actually \nbe achieved. Achieving them will depend on many \nfactors, including not only Nissan’s activities and \ndevelopment, but on the dynamics of the automobile \nindustry worldwide and the global economy. \n\nN \nO \nI \n\nT \nC \nE \nS \nL \nA \nI \n\nC \nN \nA \nN \nI \nF \n\nA \nT \nA \nD \n\nE \nT \nA \nR \nO \nP \nR \nO \nC", + "page_start": 1, + "page_end": 1, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**R&D Investment**\n\n(Billion yen) (% of net revenue) \n4.8% \n4.4% \n4.6% \n500 5 \n4.2% \n3.8% 398 \n354 400 4 \n300 \n262 \n300 3 \n232 \n200 2 \n\n100 1 \n\n0 0 \n**’00** **’01** **’02** **’03** **’04**\n\nand much more collaboration. The core engineering is \n\ncommon to all—that’s why the different organizations can \n\nwork together so closely, and why we’re more efficient \n\ntoday. While each engineering center remains responsible \n\nfor meeting the specific tastes or specifications that its \n\nlocal market demands, we have global oversight to ensure \n\nconsistency, with NTC supervising overall resource \n\nmanagement and facility investment. \n\nWe are building on these strengths through greater \n\ncollaboration with our suppliers—our project partners—and \n\ndoing it much further upstream. For example, we are \n\ncreating a facility at the NATC where we can disclose our \n\nplans to suppliers during the very early planning stages. \n\nThis means we have to be much more open than before, \n\nbut in return we will gain a great deal from the ideas our \n\npartners bring. \n\nThe Alliance with Renault is another major strength for \n\nNissan R&D. We identify areas of mutual interest and \n\ndecide which party will develop specific projects. Our basic \n\noperating principle is to avoid duplicated efforts. We can \n\nwork separately, or together if there is mutual interest in \n\nthe development. For example, we have studied fuel-cell \n\nvehicles—FCVs—as well as, advanced materials, safety, \n\nand other areas together. Our shared goal is to maximize \n\n**Patent**\n\n(xxxxxxx) \n5,000 \n\n4,000 \n\n3,000 \n\n2,000 \n\n1,000 \n\n0 \n**’99** **’00**\n\nO \nU \nR \n\nW \nO \nR \nK \n**Research Paper**\n\n120 \n100 \n80 \n60 \n40 \n20 \n0 \n**’00** **’01** **’02** **’03** **’04**\n\nThe number of research papers presented at JSME (The Japan Society of \nMechanical Engineers), JSAE (The Society of Automotive Engineers of Japan), SAE \n(The Society of Automotive Engineers), FISITA (The International Federation of \nAutomotive Engineering Societies)", + "page_start": 46, + "page_end": 46, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "(% of net revenue) \n5.8% \n**478**\n6 \n427 \n**5.6%**\n**398**\n4.8% \n354 \n5 \n**4.6%**\n300 \n4 \n\n3 \n**’04**\n\n**Corporate Rating**\n**Investment in Our Future**\n(Billion Yen) \nAa3 AA– \n5.5% \n500 \nA1 A+ \n5.3% \nA2 A \nR&I 378 \n400 A3 A– \n4.4% \n4.2% 326 \n4.1% Baa1 BBB+ \n4.0% \n\n| S&P | | |\n|---|---|---|\n| S&P | | |\n| | | |\n\n\n3.8% \nBaa2 BBB \n262 \n300 \n239 244 \n3.4% 232 Baa3 BBB– \nMoody’s 206 \nBa1 BB+ \n200 \n**’99** **’00** **’01** **’02** **’03** **9/01 4/02 9/02 4/03 9/03 4/04 9/04 4/05 5/05**\nCanton plant investment included from fiscal year 2001 \n\n**Automotive Debt:**\n\nDespite higher levels incurred for capital expenditures and \n\nR&D, cash generated from operating activities in the \n\nautomotive division eliminated net automotive debt. Nissan \n\nheld a ¥205.8 billion yen net cash position at the close of \n\nfiscal 2004 in this division. \n\n**Rating**\n\nRegarding Nissan’s long-term credit rating, R&I upgraded \n\nNissan from A- to A on May 11, 2005. S&P upgraded their \n\nrating from BBB to BBB+ on July 20, 2004, and Moody’s \n\nupgraded from Baa3 to Baa1 on January 29, 2004. \n\n**Investment Policy**\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5 \n\nbillion, representing 5.6 percent of net revenue. This \n\nincrease included the Canton plant expansion. R&D \n\nexpenditures increased by ¥43.8 billion to ¥398.1 billion. \n\nThis increase went to fund new technologies and product \n\ndevelopment. Our R&D resources are focused on projects \n\nthat add value to our customers and that will deliver an \n\nexpected return, in both the short and long term. \n\n**Dividend**\n\nAt the annual general meeting of shareholders on June 21, \n\n2005, the company proposed increasing its dividend to \n\n¥24 per share in 2004, up from ¥19 in 2003. In the first \n\nyear of the NISSAN Value-up dividend policy, the \n\nCompany plans to increase the per-share dividend to ¥29 \n\nin 2005. By the end of NISSAN Value-up in March 2008, \n\nNissan plans to pay an annual dividend of no less than \n\n¥40 per share. \n\n**Return on Invested Capital (ROIC)**\n\nNissan’s investments are made within the strict guidelines \n\nof its automotive operating ROIC. Based on these \n\nguidelines, Nissan reached 20.1 percent of ROIC on a \n\nconsistent basis as of fiscal 2003. \n\n**Dividend Policy**\n(Dividend per share, in yen) \n\n40 \n34 40 \n29 \n24 30 \n19 \n14 20 \n8 \n7 \n10 \n0 \n0 \n**’99** **’00** **’01** **’02** **’03** **’04** **’05*** **’06*** **’07***\n*Forecast", + "page_start": 15, + "page_end": 15, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "OTC_NSANY_2004.pdf", + "query": "What was Nissan's vehicle production in Mexico in 2003?", + "target_page": 72, + "target_passage": "308,322", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "NISSAN HAS A GLOBAL PRESENCE. BORN IN JAPAN, WE ARE PERFECTLY \n\nAT HOME IN THE U.S., THE UK, SPAIN, THAILAND, CHINA, EGYPT, BRAZIL \n\nAND WELL OVER 150 OTHER NATIONS WHERE NISSAN CARS AND \n\nTHEIR COMPONENT PARTS ARE PRODUCED, SOLD AND DRIVEN. \n\nWITH NISSAN, DRIVING PLEASURE IS A SENSATION THAT KNOWS NO BORDERS. \n\nTHIS IS THE NISSAN SHIFT_\n\n\n\n\n\n\n\n\n\nO U R W O R L D", + "page_start": 59, + "page_end": 59, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "NISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS \n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO \n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005. \n\n• Product enrichment and the cost of regulations had \n\na negative impact of ¥92 billion. \n\n• An additional ¥44 billion was allocated to R&D to \n\nreinforce product and technology development. \n\n• Cost reductions from manufacturing efficiencies were \n\noffset by costs associated with expanding the Canton \n\nplant’s capacity, which resulted in a ¥15 billion \n\nincrease in manufacturing and logistics expenses. \n\n• Warranty costs increased by ¥41 billion, partly due to \n\ngreater volume. \n\n• General, administrative and other expenses increased \n\nby ¥25.7 billion. \n\nBy region, operating profits in Japan came to ¥341.1 \n\nbillion, a decrease of 3.2 percent compared to last year. \n\nThis was mainly due to unfavorable exchange rate \n\nfluctuations and an increase in R&D expenses, which \n\nreached a record level. \n\nDue to higher volumes, profitability in the U.S. and \n\nCanada increased 7.9 percent from last year and totaled \n\n¥379.7 billion. \n\nOperating profit in Europe was ¥56 billion, an increase \n\nof 13.8 percent compared to last year, owing to a better \n\nmix and higher contributions from Russia. \n\nIn General Overseas Markets, including Mexico, \n\noperating profits came to ¥84.8 billion, an increase of 28.5 \n\npercent compared to last year. This was primarily due to the \n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor. \n\nInter-regional eliminations were negative ¥0.4 billion. \n\n**Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 \n\npercent from last year. A higher volume and mix had a \n\npositive impact of ¥707.0 billion. Movements in foreign \n\nexchange rates produced a negative impact of ¥173.0 \n\nbillion. Changes in the scope of consolidation, including \n\nDongfeng Motor and Yulon Nissan Motor, raised revenues \n\nby ¥432.0 billion. \n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from \n\nlast year to a record ¥861.2 billion. This resulted in an \n\noperating profit margin of 10.0 percent. Operating profit \n\nwas affected by the following factors: \n\n• The effect of foreign exchange rates produced a ¥78 \n\nbillion negative impact for the full year. The \n\ndepreciation of the U.S. dollar against the yen resulted \n\nin a negative impact of ¥74 billion, with an additional \n\n¥13 billion from other currencies. The appreciation of \n\nthe euro resulted in a positive impact of ¥9 billion. \n\n• The change in the scope of consolidation produced \n\na positive impact of ¥31 billion. This was primarily \n\nfrom the consolidation of Dongfeng Motor and Yulon \n\nNissan Motor. \n\n• The impact of the higher volume and mix contributed \n\n¥284 billion. This was mainly driven by an increase in \n\nU.S. sales volume. \n\n• Selling expenses increased by ¥114 billion, also \n\nmainly due to the increase of sales in the U.S. \n\n• The improvement in purchasing costs amounted to \n\n¥131 billion.", + "page_start": 13, + "page_end": 13, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Middle East, Africa, Latin America and the Caribbean**\n\n**Growing with Profit, not at Its Expense**\n\n\n\n“Within the General \n\nOverseas Markets, or GOM, \n\nI’m responsible for Nissan \n\nbusiness in nearly 110 \n\ncountries, about 90 of which \n\nhave Nissan national sales \n\ncompanies. It’s a very \n\ndiverse composition of small \n\nand large nations, and many \n\nlanguages and cultures. \nS H O I C H I M I Y A T A N I \nVice President \nIn fiscal 2004 we met all \n\nour targets for sales and \n\nprofit. Out of Nissan’s total unit sales of \n\napproximately 3.4 million vehicles, for example, GOM \n\naccounted for 678,000 units. We contribute to \n\nNissan’s performance in both volume expansion and \n\nprofitability. And the operating profit margin for GOM \n\nis better than the corporate average. \n\nour policy is to stay flexible and adapt to the situation. For \n\nexample, we had initially planned to supply Pathfinder \n\nvehicles to the Middle East from Spain. However, the rise in \n\nthe euro raised costs, so we quickly shifted production to \n\nthe U.S. Because our job is so diversified, we felt we \n\nneeded more strategic thinking within GOM. For this \n\nreason we established the GOM Plan Department, which is \n\na cross-functional unit comprised of various departments, \n\nsuch as Manufacturing, Purchasing, and Engineering. This \n\ndepartment is responsible for functions formerly performed \n\nby Marketing and Sales. \n\nSince we did not roll out many new models in our \n\nregion, we had to upgrade our network structure to \n\nincrease sales. The next new core model for us is the Tiida, \n\nwhich enjoyed a successful launch in China. It’s a critical \n\nlaunch for us; through 2005 and 2006 we will complete \n\nthe introduction of the model in all markets. The new model \n\nintroductions will give us added strength in the markets \n\nduring the NISSAN Value-Up period. \n\nAnother important development this year was the start \n\nof production of the Nissan Pickup in Egypt. Many in the \n\nindustry doubted we would succeed, but we achieved our \n\ntargets for quality. Vehicles produced here will also be \n\nexported to other countries in the region. \n\nEurope is a tough market, as is Japan. If Nissan \n\nbecomes too dependent on its major markets like North \n\nAmerica, there is an inherent risk, and GOM helps minimize \n\nthat risk. The markets we represent will contribute \n\nsubstantially to Nissan’s total profit. Our focus now is on \n\ndeepening the foundations of our business. A few years \n\nago, for instance, we designed six activities that all the \n\nnational sales companies are required to carry out. In 2005, \n\nwe’ll establish even more advanced activities. We constantly \n\nreview their performance and, if necessary, take aggressive \n\nactions, including replacing companies whose performance \n\nis consistently unsatisfactory. That is why our activities will \n\nexpand with profit, not at its expense. The General Overseas \n\nMarkets are where Nissan will really be growing.” \n\nThe strongest regions in my territory were several African \n\nnations, such as South Africa, and Latin America. Our \n\nsuccess was due in part to general market strength, but the \n\ncontinuing appeal of the Nissan Pickup in South Africa and \n\nLatin America was also a key. Aside from the Middle East, \n\nwhere larger vehicles like the Armada are preferred, sales \n\nfor the Pickup and the X-TRAIL have been consistently \n\nstrong in all markets. We produce the Pickup in South \n\nAfrica and currently sell over 40,000 vehicles there every \n\nyear; our market share is around 9 percent. In addition to \n\nAfrica, the vehicles produced here will be sold in Europe, \n\nAustralia and New Zealand starting at the beginning of \n\n2006. In 2005, in the Middle East, we are already seeing \n\nsignificant increases in volume due to the launch of Infiniti \n\nand the introduction of new Nissan models in the latter \n\nhalf of 2004. \n\nThere are several risks associated with a diverse \n\nterritory like ours, including political issues, economic", + "page_start": 68, + "page_end": 68, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Exceeding expectations**\n**—the Nissan automobile**\n\n\nAt the center of everything we do stands the Nissan automobile. Our vehicles are the most \n\ntangible expression of our brand and the values of our company. We make cars that both inspire \n\npassion and exceed the expectations of our customers. Through bold and thoughtful designs, \n\ninnovative technologies, and a richer and more rewarding driving experience, we are defining \n\nour unique place in the auto industry. \n\nOur product development philosophy differs from that which many of our competitors follow. \n\nRather than focus on what the competition is providing, we concentrate on what they do not. \n\nWe listen to drivers to discover their unmet needs and desires, and follow the most promising \n\nthreads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little \n\npoint in building vehicles that please everyone but excite no one. \n\nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of \n\nits paint. We make some of the world’s most advanced high-performance engines and \n\ntransmissions. From our renowned VQ engine series to the latest in high technology, \n\ncontinuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency, \n\nand real-world environmental solutions. \n\nNissan has a long history of leadership and innovation in the automotive industry. We began \n\nour quest to create the best cars in the world in 1933, when the company was founded in \n\nYokohama. The first Datsun passenger car rolled off the assembly line two years later. In the \n\nyears since, we have fashioned a reputation for bold and innovative products. We were the first \n\ncompany to design, manufacture and export a small pickup truck from Japan to the United \n\nStates, and to build and export a sports sedan, the Datsun 510. And we were the first to \n\nproduce a true sports car that was also affordable, the Z. Today, we build equally exceptional \n\nvehicles in factories throughout the world that consistently rank in the top tier for efficiency, \n\nproductivity and quality. \n\nIn the future, we will take the Nissan brand into new segments and markets. We will \n\naccelerate the pace of automotive evolution. And our products will continue to define our brand \n\nwith clarity and consistency that brings lasting value to all our stakeholders.", + "page_start": 23, + "page_end": 23, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "Trappes, France \n\nAmsterdam, \nThe Netherlands \n\nTrappes, France \n\nRickmansworth, UK \n\nSunderland, UK \n\nRome, Italy \n\nSunderland, UK \n\nGranfield, UK \n\nAmsterdam, \nThe Netherlands \n\nBarcelona, Spain \n\nBarcelona, Spain \n\nNoain, Spain \n\nManagement of European manufacturing and sales \n\nFinancing for group companies \n\nSales of automobiles and parts \n\nSales of automobiles and parts \n\nHolding company for English subsidiaries \n\nSales of automobiles and parts \n\nManufacture and sales of automobiles and parts \n\nResearch and development, testing \n\nSales of forklifts and parts \n\nManufacture and sales of automobiles and parts \n\nSales of automobiles and parts \n\nManufacture and sales of forklifts and parts \n\n€1,626 100.00 \n\n€13 100.00 \n\n€4 94.77 \n\n£136 100.00 \n\n€870 100.00 \n\n€5 100.00 \n\n£250 100.00 \n\n£15 100.00 \n\n€6 100.00 \n\n€725 99.76 \n\n€12 100.00 \n\n€9 100.00 \n\nEurope \n\nNissan Europe S.A.S. \n\nNissan International Finance \n(Netherlands) B.V. \n\nNissan France S.A. \n\nNissan Motor (GB) Ltd. \n\nNissan Holding (UK) Ltd. \n\nNissan Italia S.p.A. \n\nNissan Motor Manufacturing \n(UK) Ltd. \n\nNissan Technical Center \nEurope Ltd. \n\nNissan Forklift Europe B.V. \n\nNissan Motor Iberica, S.A. \n\nNissan Motor Espana, S.A. \n\nNissan Forklift Espana, S.A. \n\nAustralia \n\nNissan Motor Co. (Australia) Pty. Ltd. Dandenong, Victoria \n\nNew Zealand \n\nNissan New Zealand Ltd. Auckland \n\nSouth Africa \n\nNissan Motor Company \nSouth Africa (Pty) Ltd. \n\nMiddle East \n\nNissan Middle East F.Z.E. \n\nChina \n\nNissan Motor (China) Ltd. \n\nDongfeng Motor Co., Ltd. \n\nTaiwan \n\nYulon Nissan Motor Co., Ltd. \n\nThailand \n\nSiam Nissan Automobile Co., Ltd.", + "page_start": 108, + "page_end": 108, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up \n\nto all the challenges. We had a record year in revenues, operating profit, net income, sales \n\nvolume and production. \n\n**Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This \n\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is \n\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine \n\nall-new models globally. \n\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing \n\nplants turned out 3,378,000 units, or 293,000 units more than the previous record. \n\n**Financial performance**\n\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year. \n\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a \n\npercentage of net revenue, our operating profit margin came to 10.0 percent. \n\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion. \n\n**Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot \n\nbe closed completely until the end of September 2005, but we know that we have already \n\ndelivered two of the plan’s three critical commitments. \n\n• We committed to an 8 percent operating profit margin, and our margin has been at or above \n\n10 percent for every year of NISSAN 180. \n\n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the \n\nnew and more demanding accounting standards. \n\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in \n\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, \n\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of \n\nSeptember 2005.", + "page_start": 7, + "page_end": 7, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Aftersales**\n\nJ U N I C H I E N D O \nSenior Vice President \n\n“Aftersales was established in 2002 because Nissan \n\nwanted to expand the scope of what was once the \n\nParts Division. Our primary objective is to extend the \n\nvalue chain. We are trying to engage new-car owners \n\nfor a longer time by offering an extensive range of \n\nattractive aftersales products. These products \n\ninclude parts, service contracts, conversion—both \n\naccessories and customization—and new service \n\nmethods such as quick inspection and quick body \n\nrepair. Global Aftersales covers the downstream \n\nbusiness in cooperation with other marketing and \n\nsales divisions. \n\nand management. To increase service productivity and \n\nefficiency, we send former factory foremen and engineers \n\nto various service workshops to analyze service staff \n\nperformance. This will help cut repair times and improve \n\ncustomer satisfaction. The Nissan Sales and Service Way is \n\nalso a tool used to increase the quality of service provided \n\nby all dealers. Its successful implementation has enhanced \n\ncustomer satisfaction worldwide. \n\nThe conversion business in Japan looks very promising. \n\nWe discovered that 50 percent of car owners want to \n\ncustomize their vehicles, and 28 percent already had. Such \n\na high penetration rate illustrates how much people want a \n\ncar that’s different from everyone else’s. The Rider series— \n\ncustomized versions of Nissan cars developed by our \n\nwholly owned subsidiary Autech—are very popular, \n\nespecially among younger Japanese. The series \n\nexemplifies the major potential of the conversion business. \n\nGlobal Aftersales is a young division, but we’ve \n\nperformed well from the start, meeting our global \n\ncommitments every year during NISSAN 180 and \n\ncontributing to the Company’s growth. We have expanded \n\nnearly 20 percent year-on-year between 2001 and 2004, \n\nand intend to continue this momentum during NISSAN \n\nThis has become an increasingly global function as we \n\ndeploy and monitor various programs throughout the world. \n\nFor example, Project SX, the new Nissan service standard, \n\nshould drastically improve dealer service operations. This \n\nprogram educates dealers on how to be more customer- \n\noriented by providing insights into productivity, marketing \n\n\n\nValue-Up. We will optimize our cost structure by sourcing \n\nparts from the leading competitive countries. We are \n\nstriving to develop an even tighter relationship with our \n\ncustomers and to provide them with new services \n\nthroughout the ownership cycle. I believe this broader \n\nrange of aftersales services will provide sustainable growth \n\nin Nissan’s revenues and profit.” \n\nMMoottoorrssppoorrttss \n\nM O T O R S P O R T S \n\nMotorsports is a dynamic form of marketing that \noffers a natural forum for presenting the Nissan \nbrand. On the track, Nissan’s technologies are \npushed to the limit—and sometimes beyond— \nunder grueling conditions. This is the most popular racing series in Japan, \nand is increasingly broadcast around the world. \nMotorsports will remain an important marketing \noutlet that enhances both Nissan’s brand \npresence and our engineering capabilities. \n\nNissan participates in a wide range of \nmotorsports, including the Super GT Series.", + "page_start": 43, + "page_end": 43, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "• An increase in global sales of 1 million units, \n\ncompared to the start of the plan. We are confident of \n\nmeeting this final commitment by the end of the \n\nmeasurement period in September 2005. \n\n• An 8 percent operating profit margin. For every year \n\nof the NISSAN 180 plan our operating margin has \n\nbeen at or above 10 percent topping the performance \n\nof all global automakers. \n\n• Zero net automotive debt. We now have more than \n\n¥200 billion in net cash under the new and more \n\ndemanding accounting standards. \n\nReview of 2004 \n\nNissan lived up to its challenges in fiscal 2004, despite a \n\nvery challenging year in the global industry, full of risks \n\nboth anticipated and unexpected. \n\nConsolidated net revenues reached ¥8 trillion 576.3 \n\nbillion, up 15.4 percent from last year. Consolidated \n\noperating profit improved by 4.4 percent to a record ¥861.2 \n\nbillion. As a percentage of net revenue, our operating profit \n\nmargin came to 10 percent, which remains at the top level \n\namong global automakers. And our net income reached \n\n¥512.3 billion, or ¥125.16 per share, compared to ¥122.02 \n\nper share for the previous fiscal year. \n\nNISSAN Value-Up \n\nThe Nissan revival story is now complete. Our next \n\nthree-year business plan, ‘NISSAN Value-Up,’ is focused, \n\nas its name suggests, on delivering sustainable long-term \n\nvalue to all our stakeholders. As such, it is evolutionary \n\nnot revolutionary. \n\nAs with our previous business plans, NISSAN Value-Up \n\nestablishes three core commitments. They are ambitious, \n\nand will require us to stretch our capabilities. But they \n\nare realistic. \n\nProfit: Nissan will maintain the top level of operating \n\nprofit margin among global automakers for each of the \n\nthree years of the plan. Operating profit remains at the \n\ncenter of our management system, as it is the most \n\naccurate measure of business performance. \n\nA public company has two key responsibilities to its \n\nshareholders: transparency and value creation. \n\nAt Nissan, transparency is essential to our business. \n\nEspecially in uncertain times, it builds trust between a \n\ncompany and its shareholders. And we believe \n\ntransparency is the best way to encourage long-term \n\ninvestment in our company. \n\nBut transparency is not yet universal. Nissan is still one \n\nof the few large corporations that publicly disclose future \n\nbusiness plans, performance indicators, commitments and \n\nfuture dividends. We trust that these measures give \n\nshareholders a clear view of our company’s future direction. \n\nFrom the start of the Nissan Revival Plan (NRP) in \n\n1999, we have created value by focusing on key value \n\ndrivers—particularly sales growth, operating profit margin, \n\nand return on invested capital. \n\nBy the end of fiscal 2001 we exceeded our NRP \n\ncommitments by returning Nissan to profit one year ahead \n\nof schedule, halving the company’s debt and over-delivering \n\non our commitment to achieve a 4.5 percent operating \n\nprofit margin. \n\nFollowing NRP, we launched a three-year business \n\nplan called NISSAN 180. By the end of the plan in fiscal \n\n2004, we committed to achieve the following:", + "page_start": 3, + "page_end": 3, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "**Succeeding Despite Growing Competition**\n\nof our products. We’re also planning to export these models \n\nto Africa, South America, and the Middle East. \n\nTwo or three years ago, the passenger vehicle market \n\nin China was a seller’s market. That reversed during the last \n\nhalf of the year, influenced by macroeconomic controls and \n\nmore products coming onto the market. As a result, most \n\nautomakers entered into a price war. We stayed out of that \n\n\n\n“To understand the depth of \n\nNissan’s commitment to \n\nChina, you need look no \n\nfurther than Dongfeng Motor \n\nCo., Ltd., our joint venture \n\nwith Dongfeng Motor \n\nCorporation. DFL, as we \n\nrefer to it, is the biggest JV in \nbecause we didn’t want to damage our brand image. \n\nChina’s automotive industry, \nInstead, we found alternative means to adapt to the market. \n\nrepresenting a 50-50 \nFor example, we did not discount the selling price of the \n\nKATSUMI NAKAMURA \nPresident & CEO, \nDongfeng Motor Co., Ltd. \ninvestment by Nissan and \nTeana during its high-profile launch. In December 2004, we \n\nDongfeng totaling RMB16.7 \nalso announced to customers that we would give them a \n\nbillion (US$2 billion). Dongfeng is the major \nrebate if prices went down after they bought a Nissan. We \n\ncommercial vehicle manufacturer in China, and the \nreleased a model change for the Sunny, and kept firm on \n\nDongfeng brand is famous throughout the country. \nthe Teana’s pricing. These actions have helped keep our \n\nbrand image high, while building customer loyalty, selling \n\ncars and reducing inventory. \n\nCalendar year 2005 looks very promising to us. The \n\nTeana has been a tremendous success, winning 12 \n\nawards—including Car of the Year for 2005 in China—and \n\nhelping solidify Nissan’s reputation for quality. The car \n\ncontinues to sell well, and opens the door for five models \n\nthat will be launched in fiscal 2005: the Tiida sedan in \n\nApril; Fuga in June; Quest in August, which is imported \n\nfrom the U.S.; the Tiida in the second half along; and the \n\n350Z in calendar year 2006. The Tiida has already won \n\ntwo awards at the Shanghai Motor Show for best new \n\nmodel and roominess, and answers the strong demand in \n\nChina for fuel efficiency. \n\nIn June 2005, the China State Administration for \n\nWith 70,000 employees and over fifty subsidiaries, \n\nDFL is a strategic alliance for both companies. \n\nIn China, most joint ventures with foreign makers are \n\nsmall and focus only on producing the foreign \n\npartner’s products. In contrast, DFL integrates \n\nNissan’s technology, products and the Nissan \n\nManagement Way in the production of vehicles under \n\nboth the Nissan and Dongfeng brands. \n\nGreater competition and a softer economy made \n\n2004 a difficult year in the passenger vehicle market. \n\nYet we sold approximately 92,000 passenger vehicles \n\nin China during the last calendar year. That number \n\nincluded 61,000 DFL-produced Nissan-branded \n\nvehicles, 21,000 Zhengzhou-produced Nissan pickups \n\nand SUVs, and 10,000 imported vehicles. We also sold \n\nnearly 88,000 light commercial vehicles under the \nIndustry and Commerce officially recognized the NISSAN \n\nDongfeng brand. \ntrademark as a “famous trademark.” Only trademarks with \n\nsuperior reputations receive this distinction. Not only does \n\nthis represent an important milestone in Nissan’s efforts to Increases in raw material costs and reductions in selling \n\nbuild its brand in China, it also represents the first time a price did affect the commercial vehicle business in fiscal", + "page_start": 65, + "page_end": 65, + "source_file": "OTC_NSANY_2004.pdf" + }, + { + "text": "NISSAN IS A WORLD-CLASS AUTOMOBILE MANUFACTURER. \n\nTO ENVISION, PLAN, BUILD AND DISTRIBUTE MILLIONS OF AUTOMOBILES \n\nTO THE WORLD REQUIRES A CLEAR DEFINITION OF ROLES AND PROCESSES. \n\nAT NISSAN, OUR BUSINESS DIVISIONS COMMUNICATE IDEAS ACROSS COUNTRIES, \n\nCULTURES AND FUNCTIONS TO DEVISE THE TRANSPARENT, \n\nEFFICIENT SOLUTIONS THAT CREATE SUCCESS. THIS IS THE NISSAN SHIFT_\n\n\n\n\n\n\n\n\n\nO U R W O R K", + "page_start": 33, + "page_end": 33, + "source_file": "OTC_NSANY_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_SEA_2014.pdf", + "query": "Why did Sundance Energy's oil sales improve in 2014?", + "target_page": 18, + "target_passage": "The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a decrease in product pricing ($15.7 million). ", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "A year of growing production, cash flow and reserves \nIn line with our strategy we continued to increase the level of company operated assets, \nand successfully maintained a very strong focus on optimising our operations and reducing \ncosts. This resulted in an impressive improvement in well performance combined with a \ntop tier cost structure. \n\nThrough our operated development program, we ended 2014 with record production \nof 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 \nBOEPD in December 2013 and an average annual production of 6,635 BOEPD compared \nto 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily \nin the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High \nvalue oil comprised approximately 69 percent of our total 2014 annual production \nand production from Sundance-operated projects accounted for 89 percent of total \nproduction for the year. \n\n*Dear Fellow Shareholders,*\n\n*I am pleased to present Sundance Energy Australia Limited’s*\n*Annual Report for the 12 months ended 31 December 2014. It*\n*has been another year of significant progress for Sundance*\n*across our portfolio of liquids rich oil and gas assets in the US.*\nCHAIRMAN’S LETTER \n\nThe Company’s strategic focus on growing production, cash flows and reserves from \nlarge, repeatable resource plays in North America continues to deliver positive results \nwith growth in production, cash flows, and reserves. \n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston \nBasin in North Dakota for $51 million which realised an internal rate of return of 45 percent; \nand also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado \nfor $114 million which realised an internal rate of return of 104 percent. These divestitures \nof smaller, less scalable positions enabled us to focus on developing and growing our \nassets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma. \n\nDespite the reduction in crude oil and liquids prices towards the end of the year \nand continuing into 2015, the operational performance and focused, value-adding \ntransactions during the past year have positioned the Company very favourably for \nfuture growth in net asset value and shareholder returns. \n\n*Despite the reduction in*\n*crude oil and liquids*\n*prices towards the end of*\n*the year and continuing*\n*into 2015, the opertional*\n*performance and focused,*\n*value-adding transactions*\n*during the past year have*\n*positioned the Company*\n*very favourably for future*\n*growth in net asset value*\n*and shareholder returns.*\nCorresponding with the growth in annual production, the Company’s full year revenues \nincreased to $159.8 million and Adjusted EBITDAX increased to $126.4 million. \n\nThe Company’s development program also generated significant growth in Constant Case \nreserves during the year. More details are contained elsewhere in this Annual Report, \nbut in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 \nMBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 \nMBOE, and 92.8 MBOE, respectively, at the end of 2013. \n\nIn the current price environment, we have elected to scale back our drilling program to \nmainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will \nenable us to maintain our low leverage profile, which was approximately 1.03x debt to \nAdjusted EBITDAX at year end, and focus on growing our drilling inventory in an environ- \nment with less competition for leases and small acquisitions. Liquidity was $84 million at \nyear end, with a borrowing base redetermination in 2015 expected to materially increase \ndebt availability if the use of such funds is justified in line with our strategy.", + "page_start": 3, + "page_end": 3, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Dear Fellow Shareholders,*\n\n*2014 Review — 2014 was a year of stark economic contrasts*\n*in our industry. During the first half as in the past several years,*\n*historically volatile West Texas Intermediate oil prices seemed*\n*range bound between $80 and $110 with geopolitical events*\n*driving prices towards the ceiling and demand risks pushing*\n*prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap \nand plentiful debt, on horizontal drilling and completions to drive production growth \nwhile making material strategic acquisitions in order to increase their long-term \nexposure to oil prices. \n\nThe easy credit environment caused asset prices to increase significantly to the point \nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical \nlows. In line with our strategy, Sundance had monetized several mature assets realizing \n\n~$50 million in current period gains while freeing up \n~$165 million in invested capital. \nSundance’s Performance versus the ASX 200 \n\nWe primarily reinvested this capital in production growth \nand cash flow with only about $75 million reinvested in \nacquiring oil and gas leases and producing properties. This \nresulted in our production increasing from 5,028 BOEPD \nto 9,434 BOEPD by December 2014 and full year EBITDAX \nincreasing $73.8 million to $126.4 million in 2014. Had \nprices stayed steady, we likely would have generated \nearnings before income taxes of over $85 million and a \nreturn on capital in excess of 20%. \n\nANNUAL PERCENTAGE CHANGE \n\nIN 2P PV10 \n(NET ASSET VALUE) \nPER DEBT ADJUSTED SHARE IN SUNDANCE \nPRICE PER SHARE **YEAR** IN ASX200 \n\n2014 21.6% -48.0% 1.1% \n2013 63.3% 29.9% 15.1% \n2012 -15.6% 87.8% 14.6% \n2011 59.7% -44.6% -14.5% \n\nOur second capital priority for the year was to conclude the appraisal of the Woodford \nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but \nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, \nwe met with mixed success in our appraisal activities proving that in today’s onshore \nUS oil and gas industry that the best absolute returns are generated by drilling in proved \nregions. There are plenty of solid opportunities to efficiently grow the business without \nexposure to undue geologic risk. \n\nLike many prior bubbles driven by new technologies, the second half of the year saw the \npricing environment come crashing down around us. The market became fundamentally \nunbalanced, driving prices down almost 50% and rendering material portions of global \noil and gas development uneconomic. \n\nOur peers went from talking about their growth prospects to fretting about cash costs \nand liquidity, a stark contrast from the go-go growth times which existed in the first half \nof the year. This shift in industry strategy has now come in line with our general business \nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive \nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% \ncost structure and balance sheet. \n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: \n1) investment in a leading technical team that is encouraged to take reasonable risks to \nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as \ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic \nobjectives or promise lower forward return profiles. \n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and \nthus generates good returns, even in a low price environment. Because of these character- \nistics, the majority of our forward capital is expected to be invested generating strong \ngrowth and shareholder returns in the Eagle Ford.", + "page_start": 5, + "page_end": 5, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Because of its relatively low operating costs, \nthe Eagle Ford to remains profitable during \ncurrent oil commodity pricing conditions. \nSundance has quickly transformed the Eagle \nFord position acquired in its merger with \nTexon Petroleum Ltd to its most valuable \nasset in its portfolio through development \nand growing its drilling inventory. \n\n**EAGLE FORD**\nAs at and for the Year Ended 31 December 2014 \n\n1,696,549 \nProduction (boe) \n4,648 \nProduction (BOEPD) \n91% \nLiquids % of sales \n8,177 \nExit Rate (BOEPD) \nD&P Capital Invested \n$ 244,134 \nE&E Capital Invested and Acquisitions $ 59,903 \n77 \nGross producing wells \n53.8 \nNet Producing wells \n19 \nGross Wells in Progress \n10.6 \nNet Wells in Progress \n26,160 \nNet Acres \n\nIn 2014, the Company \nbrought 35 gross (26.1 \nnet) Eagle Ford wells into \nproduction by D&P investments of $244 million. Through $26 \nmillion of direct mineral leases and $36 million of acquisitions \nin 2014, the Company increased its Eagle Ford acreage position \nto 20,742 net acres, which represents 153.7 net undrilled \n3P Reserves locations. \n\nNET EAGLE FORD DRILLING LOCATIONS \n(excluding contingent resources) \n200 5.0 \n\n150 \n\n100 \n\n50 \n\n1P Reserves (mboe) \n3P Reserves (mboe) \n1P Reserves (PV10 ($000s)) \n3P Reserves (PV10 ($000s)) \nNet 1P Reserves Drilling Locations \nNet 3P Reserves Drilling Locations 18,131.9 \n100,404.1 \n$ 449,287.5 \n$ 1,202,313.1 \n42.6 \n153.7 \n\nSince its entrance into the Eagle Ford in March 2013, the Company has: JAN-15 \n\n• increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 \npercent CAGR); \n• increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million \n(an 18x increase)); \n• increased its acreage to approximately 33,000 net acres, primarily in the volatile oil \nand condensate window of the Eagle Ford (includes 14,180 net acres acquired in January \n2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring \nMaverick County); \n• increased its producing well count to 77 \ngross (53.8 net), with an additional 19 gross \n(10.6 net) wells in progress at year-end; \n• increased its undrilled 3P Reserves drilling \nlocations to 153.7 net; which represents a \n4.3 year drilling inventory (assuming two rig \nprogram drilling 36 net wells per year and \n40-80 acre spacing) \n\n**EAGLE FORD CONSTANT CASE RESERVES**\nAs at and for the Year Ended 31 December 2014", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford \nacreage where we continue to pursue operational and drilling efficiencies, opportunities \nto further improve well economics by improving recoveries and reducing costs. In 2014 \nthis included a switch to pad drilling with zipper fracs and new completion techniques \nthat have provided significant upside in production. \n\n*The Company has a*\n*strong balance sheet to*\n*withstand the current low*\n*oil price environment,*\n*and our sound financial*\n*management strategy*\n*has seen the Company*\n*well supported by*\n*both new and existing*\n*investors in Australia*\n*and internationally.*\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance \nat 7,850 – 8,500 BOEPD, an increase from the previous year of some 13 – 17 percent, \nbut a target that we believe is achievable while maintaining acceptable levels of liquidity \ngiven our demonstrated abilities and growing footprint in the Eagle Ford. \n\nSafety and Environment \nSundance has a strong culture throughout the organisation of ensuring that high standards \nof safety are maintained and that our operations are conducted in an environmentally \nresponsible way. During 2014 our comprehensive safety program was enhanced and \nfurther improvements will be a strong focus throughout 2015. \n\nA strong financial position \nSundance is well placed for future growth in the Eagle Ford. The Company has a strong \nbalance sheet to withstand the current low oil price environment, and our sound financial \nmanagement strategy has seen the Company well supported by both new and existing \ninvestors in Australia and internationally. \n\nWe expect that Sundance will grow organically and also through further leasing or \nbolt-on acquisitions in our core Eagle Ford focus area within our current, conservative \nbalance sheet parameters. \n\nPositive outlook for 2015 \nDespite the current oil pricing scenario, Sundance’s medium-to-long term growth \ntrajectory looks very positive. \n\nWe can demonstrate this through: \n\n• A track record of capital efficient growth \n• A track record of value creation \n• Being a low cost/high margin operator \n• Having top tier Eagle Ford assets with an extensive drilling inventory \n• Having a clean balance sheet \n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, \nand with the increasing interest and support from institutional and retail investors. I believe \nthat Sundance will deliver significant long-term value from our assets for our shareholders. \n\nThank you for your support \nWe have had a busy year at Sundance and I would like to recognise the efforts and valued \ncontribution of the Board of Directors, management team and all staff and contractors of \nthe Company in helping us achieve our strategic goals. I am confident that we have the \nright team and excellent assets in place to execute our clear and focused strategy that we \nexpect to deliver significant value for our shareholders. \n\nOn behalf of the Board and Company, I would like to thank our shareholders for your \nstrong support of the Company throughout the year. We are committed to delivering \nlong-term value for our shareholders and I look forward to reporting over the rest of the \ncoming year on the continued value creation and growth of Sundance. \n\nYours sincerely,", + "page_start": 4, + "page_end": 4, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Through our emphasis on operating and G&A cost control*\n*initiatives, the Company’s record oil and natural gas sales*\n*translated to best-in-class Adjusted EBITDAX Margin (79*\n*percent) among peers our size and a full 10 absolute percentage*\n*points higher than the average of our entire peer group.*\n\nAs a result of its significant production increase, the Company’s 2014 oil, NGL and natural \ngas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase \ncompared to $85.3 million in 2013. \n\nREVENUE (US$000s) AND PRODUCTION (Boe/d) \n\n10,000 $50,000 \n\n8,000 $40,000 \n\n6,000 $30,000 \n\n4,000 $20,000 \n\n2,000 $10,000 \n\n Q1-13 Q2-13 Q3-13 \n\nQ1-14 \nn REVENUE —— Boe/d \n\nQ4-13 Q2-14 Q3-14 Q4-14 \n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 \nmillion (79 percent of revenue); a 140 percent increase compared to $52.6 million \n(62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth \ncompared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth. \n\nThis Adjusted EBITDAX (generally a good proxy for our \noperating cash flow) increase was primarily the result of \nincreased revenue and the following cost controlled \noperating expenses: \n\nADJUSTED EBITDAX AND MARGIN \n\n$40,000 100% \n\n$35,000 \n80% \n$30,000 \n\n•*Lease operating expenses*increased only slightly (12 percent), \ndespite significant production increases (108 percent). \nAs a result of several changes in its field operations and \neconomies of scale, the Company has realized improvement \nin its lease operating costs per barrel. \n\n$25,000 \n60% \n$20,000 \n40% \n$15,000 \n\n$10,000 \n\n20% \n$5,000 \n\n•*Production taxes*also only increased slightly (11 percent), \ndespite significant revenue increase (87 percent). Through a \nseries of strategic dispositions, the Company has shifted its \nstate production mix from primarily high severance tax rate \njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions \n(states of Texas and Oklahoma). \n\n Q1-13 Q2-13 Q3-13 Q4-13 Q1-14 Q2-14 Q3-14 Q4-14 \n\nn ADJUSTED EBITDAX (US$000s) \n—— ADJUSTED EBITDAX MARGIN (%) \n\n•*General and administrative expenses*remained relatively flat compared to prior year. \nThis is primarily due to the fact that the Company began ramping up staffing in 2013 as \nit expected development growth in late 2013 and 2014.", + "page_start": 7, + "page_end": 7, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Corporate Overview and Strategy \n\nSundance Energy Australia Limited (ASX: SEA) is an \nonshore oil and natural gas company focused on the \nexploration, development and production of large, \nrepeatable resource plays in North America. The Company’s \noil and natural gas properties are located in premier U.S. \noil and natural gas basins, and its current operational \nactivities are focused in south Texas targeting the Eagle \nFord formation (‘‘Eagle Ford’’) and north central Oklahoma \ntargeting the Mississippian and Woodford formations \n(‘‘Mississippian/Woodford’’). \n\nThe Company utilises its U.S.-based management and \ntechnical team to appraise, develop, produce and grow its \nportfolio of assets. The Company’s strategy focuses on \ngenerating cash flow from its existing production base, \ndeveloping assets where it is the operator and has high \nworking interests, exploring for additional resources \nwithin its existing basins and pursuing strategic merger \nand acquisition opportunities, which positions it to \ncontrol the pace of its development and the allocation \nof capital resources. \n\n1P Reserves — proved reserves which have at least a 90% \nprobability that the quantities actually recovered will equal or \nexceed the estimate \n2P Reserves — proved plus probable reserves which have at \nleast a 50% probability that the quantities actually recovered \nwill equal or exceed the estimate \n3P Reserves — proved plus probable plus possible reserves \nwhich have at least a 10% probability that the quantities \nactually recovered will equal or exceed the estimate \nEnterprise Value or EV — market capitalisation less cash \nplus debt \nPV10 — discounted cash flows of the Company’s reserves \nusing a 10% discount factor \nBbl — one barrel of oil \nBOE — a barrel of oil equivalent, using the ratio of six Mcf of \nnatural gas to one Bbl of crude oil \nBOEPD — barrels of oil equivalent per day \nConstant Case — the reserve report case using first of month \naverage pricing for the trailing 12 months held constant \nthroughout the life of the reserves as prescribed by the US \nSecurities and Exchange Commission (SEC) \nMBOE — a thousand barrels of oil equivalent \nMMBOE — a million barrels of oil equivalent \nMBbl — a thousand barrels of crude oil \nMcf — one thousand cubic feet of natural gas \nMMcf — one million cubic feet of natural gas \nM — when used with $ equals millions \nNet Acres — gross acres multiplied by the Company’s \nworking interest \nNet Wells — gross wells multiplied by the Company’s \nworking interest \nPDP — proved developed producing reserves \nPUD — proved undeveloped reserves \nPV/I — net change in the proved PV10 of the constant case \nreserve report divided by development capital expenditures \nduring the period under consideration less proceeds \nfrom divestitures \nROCE — return on capital employed defined as earnings \nbefore interest and taxes divided by assets minus \ncurrent liabilities \n\nContents \n\nPerformance Summary .......................................................1 \n\nChairman’s Letter................................................................2 \n\nManaging Director’s Letter..................................................4 \n\nFinancial Overview.............................................................6 \n\nOperations Overview ..........................................................8 \n\nEagle Ford.........................................................................10 \n\nGreater Anadarko .............................................................12 \n\nDirectors’ Report...............................................................15 \n\nRemuneration Report .......................................................28 \n\nOne barrel of oil is the energy equivalent of six Mcf of \nnatural gas. \nAuditor’s Independence Declaration.................................45 \n\nCorporate Governance......................................................46 \n\nAll oil and gas quantity and revenue amounts presented in \nthis report are net of royalties.", + "page_start": 1, + "page_end": 1, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*The Company and offset operators continue to have success in*\n*the Greater Anadarko Basin.*\n\nDuring 2014, the Company increased its production to 1,460 BOEPD; a 957 BOEPD \n(190 percent) increase compared to 503 BOEPD of production in 2013. \n\n\n\nIn 2014, the Company brought 40 gross \n(16.6 net) Greater Anadarko wells into \nproduction by D&P investments of $79.9 \nmillion. The Company maintained a strong \nacreage position of 40,937 net acres, with \n259.3 net 3P Reserves drilling locations (over \nsix years of drilling inventory assuming a \ntwo-rig program drilling 18 wells/year). \n\n**GREATER ANADARKO**\nAs at and for the Year Ended 31 December 2014 \n\nProduction (boe) \nProduction (BOEPD) \nLiquids % of sales \nExit Rate (BOEPD) \nD&P Capital Invested \nE&E Capital Invested \nGross producing wells \nNet Producing wells \nGross Wells in Progress \nNet Wells in Progress \nNet Acres 532,916 \n1,460 \n78% \n1,257 \n$ 79,851 \n$ 12,561 \n65 \n27.5 \n5 \n3.1 \n40,937 \n\nAs at 31 December \n2014, the Company’s \nGreater Anadarko 1P \nReserves increased to 7,849 MBOE (PV10 of $82.4 million); a 3,445 \nMBOE (78 percent) increase compared to 4,404 MBOE (PV10 of \n$66.7 million) at 31 December 2013. \n\n8.0 \n7.0 \n6.0 \n5.0 \n4.0 \n\nNET GREATER ANADARKO DRILLING LOCATIONS \n(excluding contingent resources) \n300 \n\n250 \n\n200 \n\n150 \n3.0 \n100 \n2.0 \n50 \n1.0 \n\n JAN-13 JAN-14 JAN-15 \n\nn PROVED \nn PROBABLE AND POSSIBLE \n—— DRILLING INVENTORY (YEARS) \n\n**GREATER ANADARKO CONSTANT**\n**CARE RESERVES**\nAs at and for the Year Ended 31 December 2014 \n\n1P Reserves (mboe) \n3P Reserves (mboe) \n1P Reserves (PV10 ($000s)) \n3P Reserves (PV10 ($000s)) \nNet 1P Reserves Drilling Locations \nNet 3P Reserves Drilling Locations 7,849.4 \n47,318.7 \n$ 82,447.5 \n$ 282,913.8 \n41.8 \n259.3", + "page_start": 13, + "page_end": 13, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Experience*\nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008. \nMr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in \nthe upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations, \nexploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom, \ncontinental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently \nfinished his term as the chairman of Rees Operations Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian \nautomotive components and transportation container manufacturer and supplier. He has also held a number of other board \nappointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry. \nMr. Hannell has also served on a number of not-for-profit boards, with appointments as president of the Adelaide-based \nChamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry), \nchairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a \nmember of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in \nEngineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia. \n\n*Interest in Shares*: \n1,059,000 ordinary shares in Sundance Energy Australia Limited \n\n*Special Responsibilities*: \n-Chairman of the Board of Directors \n-Chairman of the Remuneration and Nominations Committee \n-Member of the Audit and Risk Management Committee \n-Member of the Reserves Committee \n\n*Other Directorships*: \nNil \n\n**Eric P. McCrady**\n*Director, BS in Business*Administration \n\n*Experience*\nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November \n2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady \nhas served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was \nemployed by The Broe Group, a private investment firm, in various financial and executive management positions across a \nvariety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady \nwas employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business \nAdministration from the University of Colorado, Boulder. \n\n*Interest in Shares, Restricted Share Units and Options:*\n1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units \n\n*Special Responsibilities*: \nManaging Director and Chief Executive Officer of the Company \n\n*Other Directorships*: \nNil \n\n- 23 -", + "page_start": 24, + "page_end": 24, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "The Eagle Ford – driving value and production growth \nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the \nbasin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 \nwhich includes the acquisition of approximately 18,000 net acreage in 2014. By the end of \nthe first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence \nin this prolific oil and gas region has been driving significant value for the Company and \nour shareholders, and continues to form our priority focus for development and acreage \ngrowth in the coming years.", + "page_start": 3, + "page_end": 3, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "**Natural gas liquids sales (NGL)**. NGL sales increased by $5.4 million (169.5%) to $8.6 million for the year ended 31 December \n2014 from $3.2 million for the same period in prior year. The increase in NGL revenues was primarily the result of increased \nproduction volumes in the Eagle Ford and Anardarko Basins. NGL production volumes increased 172,131 Bbls (179.6%) to \n267,952 Bbls for the year ended 31 December 2014 compared to 95,821 Bbls for the prior year. The average price we realised \non the sale of our natural gas liquids decreased by 3.6% to $32.24 per Bbl for the year ended 31 December 2014 from $33.45 \nper Bbl for the prior year. \n\n**Year ended 31 December**\n\n**2014** **2013** **Selected per Boe metrics (US$)**\n\nTotal oil, natural gas and NGL revenue ................................... 71.22 79.10 \n\nLease operating expense ......................................................... (6.03) (11.23) \n\nProduction tax expense ........................................................... (3.10) (5.80) \n\nDepreciation and amortisation expense ................................. (38.15) (33.57) \n\nGeneral and administrative expense ....................................... (6.92) (14.18) \n\nTotal Profit Margin .................................................................. 17.02 14.32 \n\n**Change in**\n**$** **Change as**\n**%**\n\n(7.88) (10.0) \n\n(5.21) (46.4) \n\n(2.70) (46.5) \n\n4.58 13.6 \n\n(7.26) (51.2) \n\n2.70 18.9 \n\n**Lease operating expenses.**Our lease operating expenses (LOE) increased by $1.4 million (11.6%) to $13.5 million for the year \nended 31 December 2014 from $12.1 million for the same period in prior year but decreased $5.21 per Boe to $6.03 per Boe \nfrom $11.23 per Boe. The decrease in LOE per Boe is primarily due to the implementation of several cost saving initiatives in \nour field operations such as replacing contract lease operators with Company employees and reducing total field head count \nper well. \n\n**Production taxes.**Our production taxes increased by $0.7 million (11.2%) to $7.0 million for the year ended 31 December \n2014 from $6.3 million for the prior year but as a percent of revenue decreased 290 basis points to 4.4% from 7.3%. The \ndecrease in production taxes as a percent of revenue is the result of exiting North Dakota and Colorado, both higher production \ntax rate jurisdictions, and increasing our investment in Texas and Oklahoma, which are lower production tax rate jurisdictions, \nas well as an adjustment for lower than anticipated ad valorem taxes. \n\n**Depreciation and amortisation expense, including depletion.**Our depreciation and amortisation expense increased by \n$49.4 million (136.3%) to $85.6 million for the year ended 31 December 2014 from $36.2 million for the prior year and \nincreased $4.58 per Boe to $38.15 per Boe from $33.57 per Boe. The increase reflects our increase in production (107.9%), an \nincrease in our asset base subject to amortisation as a result of our acquisition and development activity, and increased \ncompletion costs caused by high-demand for completion services and a shortage of trucks able to transport frac sand and \nresultant higher trucking rates. \n\n**General and administrative expenses.**General and administrative expenses per Boe decreased by 51.2% to $6.92 for the year \nended 31 December 2014 as compared to $14.18 per Boe for the prior year. The decrease in general and administrative \nexpenses per Boe is driven by increased production levels diluting fixed general and administrative costs.", + "page_start": 18, + "page_end": 18, + "source_file": "ASX_SEA_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_SEA_2014.pdf", + "query": "I heard that Sundance Energy has acquired land in South Texas in July 2014, where is it?", + "target_page": 21, + "target_passage": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas", + "chunk_present": { + "presence": true, + "index": 2 + } + }, + "top_chunk": [ + { + "text": "Corporate Overview and Strategy \n\nSundance Energy Australia Limited (ASX: SEA) is an \nonshore oil and natural gas company focused on the \nexploration, development and production of large, \nrepeatable resource plays in North America. The Company’s \noil and natural gas properties are located in premier U.S. \noil and natural gas basins, and its current operational \nactivities are focused in south Texas targeting the Eagle \nFord formation (‘‘Eagle Ford’’) and north central Oklahoma \ntargeting the Mississippian and Woodford formations \n(‘‘Mississippian/Woodford’’). \n\nThe Company utilises its U.S.-based management and \ntechnical team to appraise, develop, produce and grow its \nportfolio of assets. The Company’s strategy focuses on \ngenerating cash flow from its existing production base, \ndeveloping assets where it is the operator and has high \nworking interests, exploring for additional resources \nwithin its existing basins and pursuing strategic merger \nand acquisition opportunities, which positions it to \ncontrol the pace of its development and the allocation \nof capital resources. \n\n1P Reserves — proved reserves which have at least a 90% \nprobability that the quantities actually recovered will equal or \nexceed the estimate \n2P Reserves — proved plus probable reserves which have at \nleast a 50% probability that the quantities actually recovered \nwill equal or exceed the estimate \n3P Reserves — proved plus probable plus possible reserves \nwhich have at least a 10% probability that the quantities \nactually recovered will equal or exceed the estimate \nEnterprise Value or EV — market capitalisation less cash \nplus debt \nPV10 — discounted cash flows of the Company’s reserves \nusing a 10% discount factor \nBbl — one barrel of oil \nBOE — a barrel of oil equivalent, using the ratio of six Mcf of \nnatural gas to one Bbl of crude oil \nBOEPD — barrels of oil equivalent per day \nConstant Case — the reserve report case using first of month \naverage pricing for the trailing 12 months held constant \nthroughout the life of the reserves as prescribed by the US \nSecurities and Exchange Commission (SEC) \nMBOE — a thousand barrels of oil equivalent \nMMBOE — a million barrels of oil equivalent \nMBbl — a thousand barrels of crude oil \nMcf — one thousand cubic feet of natural gas \nMMcf — one million cubic feet of natural gas \nM — when used with $ equals millions \nNet Acres — gross acres multiplied by the Company’s \nworking interest \nNet Wells — gross wells multiplied by the Company’s \nworking interest \nPDP — proved developed producing reserves \nPUD — proved undeveloped reserves \nPV/I — net change in the proved PV10 of the constant case \nreserve report divided by development capital expenditures \nduring the period under consideration less proceeds \nfrom divestitures \nROCE — return on capital employed defined as earnings \nbefore interest and taxes divided by assets minus \ncurrent liabilities \n\nContents \n\nPerformance Summary .......................................................1 \n\nChairman’s Letter................................................................2 \n\nManaging Director’s Letter..................................................4 \n\nFinancial Overview.............................................................6 \n\nOperations Overview ..........................................................8 \n\nEagle Ford.........................................................................10 \n\nGreater Anadarko .............................................................12 \n\nDirectors’ Report...............................................................15 \n\nRemuneration Report .......................................................28 \n\nOne barrel of oil is the energy equivalent of six Mcf of \nnatural gas. \nAuditor’s Independence Declaration.................................45 \n\nCorporate Governance......................................................46 \n\nAll oil and gas quantity and revenue amounts presented in \nthis report are net of royalties.", + "page_start": 1, + "page_end": 1, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Dear Fellow Shareholders,*\n\n*2014 Review — 2014 was a year of stark economic contrasts*\n*in our industry. During the first half as in the past several years,*\n*historically volatile West Texas Intermediate oil prices seemed*\n*range bound between $80 and $110 with geopolitical events*\n*driving prices towards the ceiling and demand risks pushing*\n*prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap \nand plentiful debt, on horizontal drilling and completions to drive production growth \nwhile making material strategic acquisitions in order to increase their long-term \nexposure to oil prices. \n\nThe easy credit environment caused asset prices to increase significantly to the point \nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical \nlows. In line with our strategy, Sundance had monetized several mature assets realizing \n\n~$50 million in current period gains while freeing up \n~$165 million in invested capital. \nSundance’s Performance versus the ASX 200 \n\nWe primarily reinvested this capital in production growth \nand cash flow with only about $75 million reinvested in \nacquiring oil and gas leases and producing properties. This \nresulted in our production increasing from 5,028 BOEPD \nto 9,434 BOEPD by December 2014 and full year EBITDAX \nincreasing $73.8 million to $126.4 million in 2014. Had \nprices stayed steady, we likely would have generated \nearnings before income taxes of over $85 million and a \nreturn on capital in excess of 20%. \n\nANNUAL PERCENTAGE CHANGE \n\nIN 2P PV10 \n(NET ASSET VALUE) \nPER DEBT ADJUSTED SHARE IN SUNDANCE \nPRICE PER SHARE **YEAR** IN ASX200 \n\n2014 21.6% -48.0% 1.1% \n2013 63.3% 29.9% 15.1% \n2012 -15.6% 87.8% 14.6% \n2011 59.7% -44.6% -14.5% \n\nOur second capital priority for the year was to conclude the appraisal of the Woodford \nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but \nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, \nwe met with mixed success in our appraisal activities proving that in today’s onshore \nUS oil and gas industry that the best absolute returns are generated by drilling in proved \nregions. There are plenty of solid opportunities to efficiently grow the business without \nexposure to undue geologic risk. \n\nLike many prior bubbles driven by new technologies, the second half of the year saw the \npricing environment come crashing down around us. The market became fundamentally \nunbalanced, driving prices down almost 50% and rendering material portions of global \noil and gas development uneconomic. \n\nOur peers went from talking about their growth prospects to fretting about cash costs \nand liquidity, a stark contrast from the go-go growth times which existed in the first half \nof the year. This shift in industry strategy has now come in line with our general business \nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive \nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% \ncost structure and balance sheet. \n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: \n1) investment in a leading technical team that is encouraged to take reasonable risks to \nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as \ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic \nobjectives or promise lower forward return profiles. \n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and \nthus generates good returns, even in a low price environment. Because of these character- \nistics, the majority of our forward capital is expected to be invested generating strong \ngrowth and shareholder returns in the Eagle Ford.", + "page_start": 5, + "page_end": 5, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South \nTexas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its \nsole discretion, to acquire the Seller’s remaining working interest for an additional $45 million for the earlier of one year from \nclosing the acquisition or six months from first production of hydrocarbons.", + "page_start": 20, + "page_end": 20, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Experience*\nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008. \nMr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in \nthe upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations, \nexploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom, \ncontinental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently \nfinished his term as the chairman of Rees Operations Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian \nautomotive components and transportation container manufacturer and supplier. He has also held a number of other board \nappointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry. \nMr. Hannell has also served on a number of not-for-profit boards, with appointments as president of the Adelaide-based \nChamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry), \nchairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a \nmember of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in \nEngineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia. \n\n*Interest in Shares*: \n1,059,000 ordinary shares in Sundance Energy Australia Limited \n\n*Special Responsibilities*: \n-Chairman of the Board of Directors \n-Chairman of the Remuneration and Nominations Committee \n-Member of the Audit and Risk Management Committee \n-Member of the Reserves Committee \n\n*Other Directorships*: \nNil \n\n**Eric P. McCrady**\n*Director, BS in Business*Administration \n\n*Experience*\nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November \n2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady \nhas served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was \nemployed by The Broe Group, a private investment firm, in various financial and executive management positions across a \nvariety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady \nwas employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business \nAdministration from the University of Colorado, Boulder. \n\n*Interest in Shares, Restricted Share Units and Options:*\n1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units \n\n*Special Responsibilities*: \nManaging Director and Chief Executive Officer of the Company \n\n*Other Directorships*: \nNil \n\n- 23 -", + "page_start": 24, + "page_end": 24, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Because of its relatively low operating costs, \nthe Eagle Ford to remains profitable during \ncurrent oil commodity pricing conditions. \nSundance has quickly transformed the Eagle \nFord position acquired in its merger with \nTexon Petroleum Ltd to its most valuable \nasset in its portfolio through development \nand growing its drilling inventory. \n\n**EAGLE FORD**\nAs at and for the Year Ended 31 December 2014 \n\n1,696,549 \nProduction (boe) \n4,648 \nProduction (BOEPD) \n91% \nLiquids % of sales \n8,177 \nExit Rate (BOEPD) \nD&P Capital Invested \n$ 244,134 \nE&E Capital Invested and Acquisitions $ 59,903 \n77 \nGross producing wells \n53.8 \nNet Producing wells \n19 \nGross Wells in Progress \n10.6 \nNet Wells in Progress \n26,160 \nNet Acres \n\nIn 2014, the Company \nbrought 35 gross (26.1 \nnet) Eagle Ford wells into \nproduction by D&P investments of $244 million. Through $26 \nmillion of direct mineral leases and $36 million of acquisitions \nin 2014, the Company increased its Eagle Ford acreage position \nto 20,742 net acres, which represents 153.7 net undrilled \n3P Reserves locations. \n\nNET EAGLE FORD DRILLING LOCATIONS \n(excluding contingent resources) \n200 5.0 \n\n150 \n\n100 \n\n50 \n\n1P Reserves (mboe) \n3P Reserves (mboe) \n1P Reserves (PV10 ($000s)) \n3P Reserves (PV10 ($000s)) \nNet 1P Reserves Drilling Locations \nNet 3P Reserves Drilling Locations 18,131.9 \n100,404.1 \n$ 449,287.5 \n$ 1,202,313.1 \n42.6 \n153.7 \n\nSince its entrance into the Eagle Ford in March 2013, the Company has: JAN-15 \n\n• increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 \npercent CAGR); \n• increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million \n(an 18x increase)); \n• increased its acreage to approximately 33,000 net acres, primarily in the volatile oil \nand condensate window of the Eagle Ford (includes 14,180 net acres acquired in January \n2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring \nMaverick County); \n• increased its producing well count to 77 \ngross (53.8 net), with an additional 19 gross \n(10.6 net) wells in progress at year-end; \n• increased its undrilled 3P Reserves drilling \nlocations to 153.7 net; which represents a \n4.3 year drilling inventory (assuming two rig \nprogram drilling 36 net wells per year and \n40-80 acre spacing) \n\n**EAGLE FORD CONSTANT CASE RESERVES**\nAs at and for the Year Ended 31 December 2014", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "**ACQUIRING NEW ACREAGE**\nFuture exploration success depends \non quality exploration acreage. \nSantos acquired five exploration \nblocks in three hydrocarbon \nprovinces during 2004. The most \nsignificant of these were in Egypt \nand Indonesia. \n\n• the addition of three new \n\n**2004 EXPLORATION**\n**EXPENDITURE BY CATEGORY** **2004 EXPLORATION**\n**EXPENDITURE BY REGION**\n\nventure areas in the shallow \nwaters of the Gulf of Mexico \nand onshore Montana and \nTexas, which significantly \nexpands and diversifies the \nUS exploration acreage and \nprospect inventory \n\nDrilling \n$63.6 million Offshore Australia \n$32.6 million \n\nGeoscience and other \n$37.5 million Onshore Australia \n$23.4 million \n\n• the farm-out of a 60% interest \nand operatorship of the NT/P61 \npermit in the Bonaparte Basin, \noffshore northern Australia to \nConocoPhillips \n\nSeismic \n$17.2 million South East Asia \n$41.4 million \n\nNew ventures \n$7.3 million United States \n$28.2 million \n\nEgypt and surrounding countries \nare a focus area for Santos. The \nCompany has farmed in to three \nexploration blocks in Egypt with \nUS petroleum group, Devon \nEnergy, committing approximately \n$70 million to an eight-well \nexploration joint venture over \nthe next three years in the Gulf \nof Suez. This is Santos’ first move \ninto the North Africa–Middle East \nregion, which is considered the \nworld’s premier hydrocarbon \nprovince. \n\n• the farm-out of a 16.67% \ninterest in the WA-264-P \npermit offshore Western \nAustralia to Beach Petroleum \n\n• the farm-out of a 70% interest \nin the deep water exploration \nblock, Nth Bali 1 PSC, offshore \nEast Java Basin to Total \nand Mitsui \n\nAn example of this is the strong \nposition Santos has created in \nthe Kutei Basin, with interests in \nthree neighbouring production \nsharing contracts: Popodi, \nDonggala and Papalang. 2004 also marked the year that \nSantos drilled its first operated \ndeep water wells – a significant \nachievement for a company that \nhad its beginnings in a desert \nenvironment. \n\nSantos continues to seek other \nexploration opportunities in this \narea, concentrating on the Gulf \nof Suez and the onshore Desert \nBasins. \n**KUTEI BASIN**\n\nSantos has acquired six \nexploration permits in Indonesia \nover the past three years, \nincluding an interest in the \nDonggala PSC in the Kutei Basin \nduring late 2004. This block lies \nbetween Santos’ other Kutei \nacreage: the Papalang and \nPopodi PSCs. \n\n• the farm-out of a 25% \n\ninterest in the VIC P/51 \nblock containing the Callister \nprospect to Mitsui & Co \nsubsidiary Mitwell Energy \nResources. \n\nThese farm-outs continued the \ntrend of risk-sharing with quality \npartners. \n\n**ADDING MATERIAL PROSPECTS**\nSantos is now in a position that \nexploration success in 2004 and \ngood acreage management has \ncreated future options that will \nultimately translate into greater \nvalue for the business in 2005 \nand beyond. \n\nThe addition of the Donggala PSC \ngives Santos a particularly strong \npresence in the Kutei Basin and \ncovers a highly prospective trend, \nwhile adding to the Company’s \ngrowing Indonesian operations. \n\nThis has been achieved by \nfocusing on ‘basin excellence’. \nThis means becoming a technical \nleader in basins, within our focus \nareas, entering early where \npossible to keep entry costs \ndown, balancing the commercial \nand the technical risks and \nselecting the right co-venturers. \n\nOther exploration acreage \nportfolio management and \nactivities during 2004 included: \n\n• the award of exploration permit \n\nT/36P in the Sorell Basin, \noffshore Tasmania \n\nAnnual Report 2004", + "page_start": 17, + "page_end": 17, + "source_file": "ASX_STO_2004.pdf" + }, + { + "text": "The Eagle Ford – driving value and production growth \nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the \nbasin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 \nwhich includes the acquisition of approximately 18,000 net acreage in 2014. By the end of \nthe first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence \nin this prolific oil and gas region has been driving significant value for the Company and \nour shareholders, and continues to form our priority focus for development and acreage \ngrowth in the coming years.", + "page_start": 3, + "page_end": 3, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Transfer and Disposal Services.*We own or operate 96 transfer stations. We deposit waste at these \nstations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport \nto disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had \napproximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of \napproximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based \non engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully. \nSome of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated \nsoils. See \"\"Ì Properties.'' \n\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently \npermitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and \nevaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices, \nmarket needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand, \nwe are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be \nmade that all future expansions will be permitted as designed. \n\n*Other Services.*We have 35 materials recovery facilities and other recycling operations, which are \ngenerally required to fulÑll our obligations under long-term municipal contracts for residential collection \nservices. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable \nmaterials are internally collected by our residential collection operations. In some areas, we receive \ncommercial and industrial solid waste that is sorted at our facilities into recyclable materials and non- \nrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the non- \nrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our \nexposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby \nminimizing our recycling investment. \n\nWe provide remediation and other heavy construction services primarily through our subsidiary located in \nMissouri. \n\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is \nprocessed, packaged and sold as various products. \n\n**Sales and Marketing**\n\nWe seek to provide quality services that will enable our company to maintain high levels of customer \nsatisfaction. We derive our business from a broad customer base which we believe will enable our company to \nexperience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing \ncustomers, as well as attracting new customers. \n\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to \nprovide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our \ncustomers at competitive prices. We target potential customers of all sizes, from small quantity generators to \nlarge \"\"Fortune 500'' companies and municipalities. \n\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts \nprogram in response to our customers' needs. \n\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not \noperate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the \nacquired companies' local tradenames as used in each geographic market in which we operate. \n\n**Customers**", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_RSG_2004.pdf" + }, + { + "text": "**14**| LETTER TO SHAREHOLDERS \n\n*Rig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a*\n*series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.*\n\nI am pleased to report that we have apparently finally convinced \nPresident Barack Obama and Congressional leadership to recognize that \nthe energy path America is on today is completely unsustainable. There \nappears to be growing recognition that it is spectacularly dangerous for \nAmerica to continue importing 9 million barrels of oil per day and exporting more than $1 billion per day in national wealth to oil exporting countries. \nAmerica’s undiminished appetite for foreign oil has created the larg- \nest wealth transfer in the history of the world. The political leadership \nin Washington, D.C., has not seemed overly concerned about this issue \nuntil recently. However, after President Obama’s recent speech calling \n\n(1) \n\n Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling \nand net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to \ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. \n A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated \nin accordance with generally accepted accounting principles. \n• Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage- \n\n(2) \n\nment believes affect the comparability of operating results. \n\n• Operating cash flow is cash provided by operating activities before changes in assets and liabilities. \n• Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management \nbelieves affect the comparability of operating results. \n(3) \n FORTUNE 100 Best Companies to Work For® listed in the magazine’s February 7, 2011 issue.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "| | | Houston, Texas | | 93,000 | | Owned | | |\n|---|---|---|---|---|---|---|---|---|\n| | | Houston, Texas | | 93,000 | | Owned | | |\n| | | Knoxville, Iowa | | 130,000 | | Owned | | |\n| | | Osceola, Iowa | | 334,000 | | Owned | | |\n| | | Quakertown, Pennsylvania | | 13,000 | | Owned | | |\n| | | Rochelle, Illinois | | 440,000 | | Owned | | |\n| | | Sparta, Wisconsin | | 185,000 | | Owned | | |\n| | | Stockton, California | | 139,000 | | Owned | | |\n| | | Tucker, Georgia | | 259,000 | | Owned | | |\n| | | Wichita, Kansas | | 80,000 | | Owned | | |\n| | Warehouse/Distribution Centers | | | | | | | |\n| | | Austin, Minnesota—Annex | | 83,000 | | Owned | | |\n| | | Dayton, Ohio | | 140,000 | | Owned | | |\n| | | Eldridge, Iowa | | 280,000 | | Leased | | October, 2005 |\n| | | Osceola, Iowa | | 233,000 | | Owned | | |\n| | | Stockton, California | | 232,000 | | Leased | | July, 2004 |\n| | | Tucker, Georgia | | 96,000 | | Leased | | October, 2004 |\n| | Research and Development Center | | | | | | | |\n| | | Austin, Minnesota | | 59,000 | | Owned | | |\n| | Corporate Offices | | | | | | | |\n| | | Austin, Minnesota | | 203,000 | | Owned | | |\n| Dan's Prize, Inc. | | | | | | | | |\n| | | Browerville, Minnesota—Plant | | 52,000 | | Owned | | |\n| | | Long Prairie, Minnesota—Plant | | 80,000 | | Owned | | |\n| Jennie-O Turkey Store, Inc. | | | | | | | | |\n| | Plants | | | | | | | |\n| | | Barron, Wisconsin | | 372,000 | | Owned | | |\n| | | Faribault, Minnesota | | 169,000 | | Owned | | |\n| | | Marshall, Minnesota | | 142,000 | | Owned | | |\n| | | Melrose, Minnesota | | 124,000 | | Owned | | |\n| | | Montevideo, Minnesota | | 85,000 | | Owned | | |\n| | | Pelican Rapids, Minnesota | | 242,000 | | Owned | | |\n| | | Willmar, Minnesota | | 419,000 | | Owned | | |\n\n\n*\nAcres \n\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the \nCompany. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los \nAnimas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production \nvolumes and all volumes anticipated in the foreseeable future. \n\n**PART II**\n\n**Item 5.*MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS***\n\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002, \nrespectively, are shown below:", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_HRL_2004.pdf" + } + ] + }, + { + "references": { + "source_file": "ASX_SEA_2014.pdf", + "query": "I am the CFO of Sundance Energy, will my base increase in 2015 as it did in 2014?", + "target_page": 31, + "target_passage": "No increases to Managing Director’s or KMP’s base salary", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "*Dear Fellow Shareholders,*\n\n*2014 Review — 2014 was a year of stark economic contrasts*\n*in our industry. During the first half as in the past several years,*\n*historically volatile West Texas Intermediate oil prices seemed*\n*range bound between $80 and $110 with geopolitical events*\n*driving prices towards the ceiling and demand risks pushing*\n*prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap \nand plentiful debt, on horizontal drilling and completions to drive production growth \nwhile making material strategic acquisitions in order to increase their long-term \nexposure to oil prices. \n\nThe easy credit environment caused asset prices to increase significantly to the point \nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical \nlows. In line with our strategy, Sundance had monetized several mature assets realizing \n\n~$50 million in current period gains while freeing up \n~$165 million in invested capital. \nSundance’s Performance versus the ASX 200 \n\nWe primarily reinvested this capital in production growth \nand cash flow with only about $75 million reinvested in \nacquiring oil and gas leases and producing properties. This \nresulted in our production increasing from 5,028 BOEPD \nto 9,434 BOEPD by December 2014 and full year EBITDAX \nincreasing $73.8 million to $126.4 million in 2014. Had \nprices stayed steady, we likely would have generated \nearnings before income taxes of over $85 million and a \nreturn on capital in excess of 20%. \n\nANNUAL PERCENTAGE CHANGE \n\nIN 2P PV10 \n(NET ASSET VALUE) \nPER DEBT ADJUSTED SHARE IN SUNDANCE \nPRICE PER SHARE **YEAR** IN ASX200 \n\n2014 21.6% -48.0% 1.1% \n2013 63.3% 29.9% 15.1% \n2012 -15.6% 87.8% 14.6% \n2011 59.7% -44.6% -14.5% \n\nOur second capital priority for the year was to conclude the appraisal of the Woodford \nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but \nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, \nwe met with mixed success in our appraisal activities proving that in today’s onshore \nUS oil and gas industry that the best absolute returns are generated by drilling in proved \nregions. There are plenty of solid opportunities to efficiently grow the business without \nexposure to undue geologic risk. \n\nLike many prior bubbles driven by new technologies, the second half of the year saw the \npricing environment come crashing down around us. The market became fundamentally \nunbalanced, driving prices down almost 50% and rendering material portions of global \noil and gas development uneconomic. \n\nOur peers went from talking about their growth prospects to fretting about cash costs \nand liquidity, a stark contrast from the go-go growth times which existed in the first half \nof the year. This shift in industry strategy has now come in line with our general business \nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive \nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% \ncost structure and balance sheet. \n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: \n1) investment in a leading technical team that is encouraged to take reasonable risks to \nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as \ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic \nobjectives or promise lower forward return profiles. \n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and \nthus generates good returns, even in a low price environment. Because of these character- \nistics, the majority of our forward capital is expected to be invested generating strong \ngrowth and shareholder returns in the Eagle Ford.", + "page_start": 5, + "page_end": 5, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "A year of growing production, cash flow and reserves \nIn line with our strategy we continued to increase the level of company operated assets, \nand successfully maintained a very strong focus on optimising our operations and reducing \ncosts. This resulted in an impressive improvement in well performance combined with a \ntop tier cost structure. \n\nThrough our operated development program, we ended 2014 with record production \nof 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 \nBOEPD in December 2013 and an average annual production of 6,635 BOEPD compared \nto 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily \nin the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High \nvalue oil comprised approximately 69 percent of our total 2014 annual production \nand production from Sundance-operated projects accounted for 89 percent of total \nproduction for the year. \n\n*Dear Fellow Shareholders,*\n\n*I am pleased to present Sundance Energy Australia Limited’s*\n*Annual Report for the 12 months ended 31 December 2014. It*\n*has been another year of significant progress for Sundance*\n*across our portfolio of liquids rich oil and gas assets in the US.*\nCHAIRMAN’S LETTER \n\nThe Company’s strategic focus on growing production, cash flows and reserves from \nlarge, repeatable resource plays in North America continues to deliver positive results \nwith growth in production, cash flows, and reserves. \n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston \nBasin in North Dakota for $51 million which realised an internal rate of return of 45 percent; \nand also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado \nfor $114 million which realised an internal rate of return of 104 percent. These divestitures \nof smaller, less scalable positions enabled us to focus on developing and growing our \nassets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma. \n\nDespite the reduction in crude oil and liquids prices towards the end of the year \nand continuing into 2015, the operational performance and focused, value-adding \ntransactions during the past year have positioned the Company very favourably for \nfuture growth in net asset value and shareholder returns. \n\n*Despite the reduction in*\n*crude oil and liquids*\n*prices towards the end of*\n*the year and continuing*\n*into 2015, the opertional*\n*performance and focused,*\n*value-adding transactions*\n*during the past year have*\n*positioned the Company*\n*very favourably for future*\n*growth in net asset value*\n*and shareholder returns.*\nCorresponding with the growth in annual production, the Company’s full year revenues \nincreased to $159.8 million and Adjusted EBITDAX increased to $126.4 million. \n\nThe Company’s development program also generated significant growth in Constant Case \nreserves during the year. More details are contained elsewhere in this Annual Report, \nbut in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 \nMBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 \nMBOE, and 92.8 MBOE, respectively, at the end of 2013. \n\nIn the current price environment, we have elected to scale back our drilling program to \nmainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will \nenable us to maintain our low leverage profile, which was approximately 1.03x debt to \nAdjusted EBITDAX at year end, and focus on growing our drilling inventory in an environ- \nment with less competition for leases and small acquisitions. Liquidity was $84 million at \nyear end, with a borrowing base redetermination in 2015 expected to materially increase \ndebt availability if the use of such funds is justified in line with our strategy.", + "page_start": 3, + "page_end": 3, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford \nacreage where we continue to pursue operational and drilling efficiencies, opportunities \nto further improve well economics by improving recoveries and reducing costs. In 2014 \nthis included a switch to pad drilling with zipper fracs and new completion techniques \nthat have provided significant upside in production. \n\n*The Company has a*\n*strong balance sheet to*\n*withstand the current low*\n*oil price environment,*\n*and our sound financial*\n*management strategy*\n*has seen the Company*\n*well supported by*\n*both new and existing*\n*investors in Australia*\n*and internationally.*\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance \nat 7,850 – 8,500 BOEPD, an increase from the previous year of some 13 – 17 percent, \nbut a target that we believe is achievable while maintaining acceptable levels of liquidity \ngiven our demonstrated abilities and growing footprint in the Eagle Ford. \n\nSafety and Environment \nSundance has a strong culture throughout the organisation of ensuring that high standards \nof safety are maintained and that our operations are conducted in an environmentally \nresponsible way. During 2014 our comprehensive safety program was enhanced and \nfurther improvements will be a strong focus throughout 2015. \n\nA strong financial position \nSundance is well placed for future growth in the Eagle Ford. The Company has a strong \nbalance sheet to withstand the current low oil price environment, and our sound financial \nmanagement strategy has seen the Company well supported by both new and existing \ninvestors in Australia and internationally. \n\nWe expect that Sundance will grow organically and also through further leasing or \nbolt-on acquisitions in our core Eagle Ford focus area within our current, conservative \nbalance sheet parameters. \n\nPositive outlook for 2015 \nDespite the current oil pricing scenario, Sundance’s medium-to-long term growth \ntrajectory looks very positive. \n\nWe can demonstrate this through: \n\n• A track record of capital efficient growth \n• A track record of value creation \n• Being a low cost/high margin operator \n• Having top tier Eagle Ford assets with an extensive drilling inventory \n• Having a clean balance sheet \n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, \nand with the increasing interest and support from institutional and retail investors. I believe \nthat Sundance will deliver significant long-term value from our assets for our shareholders. \n\nThank you for your support \nWe have had a busy year at Sundance and I would like to recognise the efforts and valued \ncontribution of the Board of Directors, management team and all staff and contractors of \nthe Company in helping us achieve our strategic goals. I am confident that we have the \nright team and excellent assets in place to execute our clear and focused strategy that we \nexpect to deliver significant value for our shareholders. \n\nOn behalf of the Board and Company, I would like to thank our shareholders for your \nstrong support of the Company throughout the year. We are committed to delivering \nlong-term value for our shareholders and I look forward to reporting over the rest of the \ncoming year on the continued value creation and growth of Sundance. \n\nYours sincerely,", + "page_start": 4, + "page_end": 4, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Opinion \nIn our opinion: \n\na. \nthe financial report of Sundance Energy Australia is in accordance with the*Corporations Act 2001*, \nincluding: \n\ni \ngiving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and \nof its performance for the year ended on that date; and \n\nii complying with Australian Accounting Standards and the*Corporations Regulations 2001*; and \n\nb. \n\nthe financial report also complies with*International Financial Reporting Standards*issued by the IASB \nas disclosed in Note 1. \n\n*Report on the remuneration report*\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 \nDecember 2014. The directors of the company are responsible for the preparation and presentation of the \nRemuneration Report in accordance with section 300A of the*Corporations Act 2001*. Our responsibility is to express \nan opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing \nStandards. \n\nOpinion \nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December \n2014, complies with section 300A of the*Corporations Act 2001*.", + "page_start": 109, + "page_end": 109, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "*Through our emphasis on operating and G&A cost control*\n*initiatives, the Company’s record oil and natural gas sales*\n*translated to best-in-class Adjusted EBITDAX Margin (79*\n*percent) among peers our size and a full 10 absolute percentage*\n*points higher than the average of our entire peer group.*\n\nAs a result of its significant production increase, the Company’s 2014 oil, NGL and natural \ngas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase \ncompared to $85.3 million in 2013. \n\nREVENUE (US$000s) AND PRODUCTION (Boe/d) \n\n10,000 $50,000 \n\n8,000 $40,000 \n\n6,000 $30,000 \n\n4,000 $20,000 \n\n2,000 $10,000 \n\n Q1-13 Q2-13 Q3-13 \n\nQ1-14 \nn REVENUE —— Boe/d \n\nQ4-13 Q2-14 Q3-14 Q4-14 \n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 \nmillion (79 percent of revenue); a 140 percent increase compared to $52.6 million \n(62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth \ncompared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth. \n\nThis Adjusted EBITDAX (generally a good proxy for our \noperating cash flow) increase was primarily the result of \nincreased revenue and the following cost controlled \noperating expenses: \n\nADJUSTED EBITDAX AND MARGIN \n\n$40,000 100% \n\n$35,000 \n80% \n$30,000 \n\n•*Lease operating expenses*increased only slightly (12 percent), \ndespite significant production increases (108 percent). \nAs a result of several changes in its field operations and \neconomies of scale, the Company has realized improvement \nin its lease operating costs per barrel. \n\n$25,000 \n60% \n$20,000 \n40% \n$15,000 \n\n$10,000 \n\n20% \n$5,000 \n\n•*Production taxes*also only increased slightly (11 percent), \ndespite significant revenue increase (87 percent). Through a \nseries of strategic dispositions, the Company has shifted its \nstate production mix from primarily high severance tax rate \njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions \n(states of Texas and Oklahoma). \n\n Q1-13 Q2-13 Q3-13 Q4-13 Q1-14 Q2-14 Q3-14 Q4-14 \n\nn ADJUSTED EBITDAX (US$000s) \n—— ADJUSTED EBITDAX MARGIN (%) \n\n•*General and administrative expenses*remained relatively flat compared to prior year. \nThis is primarily due to the fact that the Company began ramping up staffing in 2013 as \nit expected development growth in late 2013 and 2014.", + "page_start": 7, + "page_end": 7, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "For the year ended 31 December 2014 (to be paid in 2015), the following metrics were adopted as targets: \n\n| Financial Performance Metric | Performance\nTarget | | | |\n|---|---|---|---|---|\n| Financial Performance Metric | Performance Target | | | |\n| | | | Target | |\n| | | | Weight | |\n| Production of oil and natural gas per 1,000 debt adjusted share 4.06 Boe 17.5% | | | | |\n| Cash margin 72.6% 17.5% | | | | |\n| Net asset value per debt-adjusted share 1.02 17.5% | | | | |\n| PV/I (1) 1.25 17.5% | | | | |\n| Health, safety and environmental Qualitative 10.0% | | | | |\n| Assessment of the performance of senior executives and managers Qualitative 20.0% | | | | |\n\n\n(1) \nIncrease in PV10 of proved reserves divided by the capital spent to generate that growth during the period excluding \nacquisitions and dispositions \n\nThe amount of any STI and LTI bonuses relative to the year ended 31 December 2014 will be determined subsequent to the filing \nof this report and included in reported remuneration in next year’s Directors’ Report. \n\n*Long-Term Incentives*\nWe have two active equity incentive plans under the LTI component of the incentive remuneration program. These are the \nSundance Employee Option Plan (\"ESOP\") and the Sundance Energy Australia Limited Restricted Share Units available only to our \nU.S. employees under the Incentive Remuneration Plan (the \"RSU Plan\"). Any grants made to employees that also serve as a \ndirector are subject to shareholder approval prior to issuance. \n\n*ESOP Plan*\nThe ESOP provides for the issuance of stock options at an exercise price determined at the time of the issue by a committee \ndesignated by the board (the \"Plan Committee\"). Options under the ESOP may be granted to eligible employees, as determined \nby the Plan Committee, and typically include our executive officers, directors and key employees. \n\nHistorically, the Plan Committee has granted options in connection with attracting new employees, which grant is made once \nemployment has commenced. It is within the discretion of the Plan Committee, however, to authorize additional option grants \nduring the tenure of employment. Generally, an option vests 20 percent on the 90th day following the grant date, with an \nadditional 20 percent vesting on the first, second, third and fourth anniversaries thereof. Options are valued using the Black- \nScholes methodology and recognized as remuneration in accordance with their vesting conditions. In the event of a voluntary \nwinding up of the Company, unvested stock options vest immediately. We may amend the ESOP or any portion thereof, or waive \nor modify the application of the ESOP rules in relation to a participant, at any time. Certain amendments to the ESOP may require \nthe approval of the option holders. \n\nNo stock options were granted to any officers or directors during fiscal years 2013 or 2014. \n\n*RSU Plan*\nThe RSU Plan provides for the issuance of restricted share units (\"RSUs\") to our U.S. employees. The purpose of issuing RSUs is to \nreward senior executives and employees for achievement of financial and operational performance targets established by our \nboard. The RSU Plan is administered by our board. RSUs may be granted to eligible employees from a bonus pool established at \nthe sole discretion of our board. The bonus pool is subject to board and management review of performance metrics with respect \nto both our and the individual employee's performance over a measured period determined by the Remuneration and \nNominations Committee and the board. The RSUs may be settled in cash or shares at the discretion of our board.", + "page_start": 37, + "page_end": 37, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n**NOTE 20 – OTHER NON-CURRENT ASSETS**\n\n**2014**\n**US$’000** **2013**\n**US$’000** **Year ended 31 December**\n\nEscrow accounts \nOther \n\n 998 \n - \n 998 2,000 \n 19 \n 2,019 Total other non-current assets \n\n**NOTE 21 – TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES**\n\n**2013**\n**US$’000** **Year ended 31 December**\n\nOil and natural gas property and operating related \nAdministrative expenses, including salaries and wages \nTotal trade, other payables and accrued expenses 117,117 \n 2,077 \n 119,194 123,938 \n 5,146 \n 129,084 \n\nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms, \noffset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional \ninformation). The Company’s remaining Bakken assets were sold to this company in July 2014, for approximately \n$14.0 million, including the settlement of the net liability. \n\n**NOTE 22 – CREDIT FACILITIES**\n\n**2014**\n**US$000** **2013**\n**US$000**\n\nSenior Credit Facility \nJunior Credit Facility \nTotal credit facilities \nDeferred financing fees \nTotal credit facilities, net of deferred financing fees \n\n 95,000 \n 35,000 \n130,000 \n (1,195) \n\n 128,805 \n\n 15,000 \n 15,000 \n30,000 \n (859) \n\n 29,141 \n\n**Junior Credit Facility**\n\nIn August 2013, Sundance Energy, Inc. (“Sundance Energy”), a wholly owned subsidiary of the Company, entered \ninto a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the “Junior \nCredit Facility”), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit \nFacility matures in June 2018 and is secured by a second priority lien on substantially all of the Company’s assets. \nUpon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms \nof the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the \nCompany’s borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the \nJunior Credit Facility remains at $35 million.", + "page_start": 87, + "page_end": 87, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "We are targeting positive same store growth in 2014 of up to 2%. Year-over-year occupancy improvements \nand increased rental rates are expected to generate revenue growth. Increasing our leasing staff and \nrefining our marketing and leasing process is proving effective, resulting in improved occupancy levels in \nmany of our core markets, especially in Ontario and New Brunswick. A colder than normal winter this year \n(2014) is translating into increased energy consumption and continued volatility in natural gas prices in \nAtlantic Canada, expected to result in higher than normal heating costs. We continue to invest in energy \nand operational efficiencies which we expect will keep our controllable costs down throughout the year and \npartially offset higher heating costs.", + "page_start": 8, + "page_end": 8, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "***Financial Position***\n\nIn May 2014, the borrowing capacity under our credit facilities increased from an aggregate of $63 million to $135 million. The \nincrease in the borrowing capacity was driven by the significant uplift of the Company’s proved oil and gas reserves as at 31 \nDecember 2013. In conjunction with the increase in the Company’s borrowing capacity, the Company expanded the syndicate \nof banks under the Senior Credit Facility. Bank of America Merrill Lynch and the Bank of Nova Scotia have now joined the bank \ngroup which is led by Wells Fargo. \n\nIn July 2014, the borrowing capacity increased an additional net $10 million, to $145 million, after taking into consideration \nthe removal of proved oil and gas reserves associated with the DJ and Williston Basin dispositions and the development of \nproved oil and gas reserves in the Eagle Ford Formation. \n\nAt 31 December 2014, the Company had $130 million outstanding under our credit facilities and $15 million available under \nour borrowing capacity. Ending cash at 31 December 2014 was $69.2 million. \n\n***Cashflow***\n\nCash provided by operating activities for the year ended 31 December 2014 increased 104.5% to $128.1 million compared to \nthe prior year. This increase was primarily due to receipts from sales increasing $85.7 million, or 101.2%, to $170.4 million, \nwhile keeping payments to suppliers and employees relatively stable with an increase of $8.2 million, or 37.7%, to $30.0 million. \nSee Review of Operations for more information. \n\nCash used in investing activities for the year ended 31 December 2014 increased $158.9 million, or 96.7%, to $323.2 million. \nThis increase is due to successful implementation of the Company’s strategy to develop and grow the reserves from our high \nworking interest, repeatable resource plays, primarily in the Eagle Ford. Due to funding available to the Company through \nasset sales, capital raises and credit facilities, the Company was able to accelerate its 2015 drilling program into 2014. However, \ndue to the reduction in crude oil prices in the fourth quarter of 2014 and continuing into early 2015, the Company will scale \nback its drilling program to concentrate on limited drilling obligations to hold Eagle Ford acreage during the 2015 year. \n\nCash provided by financing activities for the year ended 31 December 2014 increased $123.1 million, or 277.0%, to $167.6 \nmillion. This increase is a result of the increased availability and draws under the Company’s credit facilities and proceeds \nreceived in a private placement of shares. In February 2014, the Company completed a private placement in which we sold \n84.2 million ordinary shares at A$0.95 per share, resulting in net proceeds of approximately $68.4 million. The first tranche of \n63.7 million shares was issued in March 2014 and the second tranche of 20.5 million shares was issued in April 2014. \n\n**Matters Subsequent to the End of the Financial Year**\n\nSubsequent to 31 December 2014, an additional $13.9 million was drawn-down the credit facilities, bringing total outstanding \ndebt to $143.9 million, with undrawn funds of $1.1 million. \n\nIn January 2015, the company acquired three leases totalling approximately 14,180 net acres in the Eagle Ford for \napproximately $13.4 million. \n\n**Future Developments, Prospects and Business Strategies**\n\nThe Group’s business strategies and prospects for growth in future financial years are presently concentrated on growing the \nvalue of the Group’s current resource plays through direct leasing from mineral owners, small acquisitions of producing \nproperties, drilling inventory within the Group’s current balance sheet capabilities, and development of the Group’s current \nacreage. Further information on likely development in the operations of the Group and expected results of operations has not \nbeen included because the Directors believe it would result in unreasonable prejudice to the Group.", + "page_start": 22, + "page_end": 22, + "source_file": "ASX_SEA_2014.pdf" + }, + { + "text": "Because of its relatively low operating costs, \nthe Eagle Ford to remains profitable during \ncurrent oil commodity pricing conditions. \nSundance has quickly transformed the Eagle \nFord position acquired in its merger with \nTexon Petroleum Ltd to its most valuable \nasset in its portfolio through development \nand growing its drilling inventory. \n\n**EAGLE FORD**\nAs at and for the Year Ended 31 December 2014 \n\n1,696,549 \nProduction (boe) \n4,648 \nProduction (BOEPD) \n91% \nLiquids % of sales \n8,177 \nExit Rate (BOEPD) \nD&P Capital Invested \n$ 244,134 \nE&E Capital Invested and Acquisitions $ 59,903 \n77 \nGross producing wells \n53.8 \nNet Producing wells \n19 \nGross Wells in Progress \n10.6 \nNet Wells in Progress \n26,160 \nNet Acres \n\nIn 2014, the Company \nbrought 35 gross (26.1 \nnet) Eagle Ford wells into \nproduction by D&P investments of $244 million. Through $26 \nmillion of direct mineral leases and $36 million of acquisitions \nin 2014, the Company increased its Eagle Ford acreage position \nto 20,742 net acres, which represents 153.7 net undrilled \n3P Reserves locations. \n\nNET EAGLE FORD DRILLING LOCATIONS \n(excluding contingent resources) \n200 5.0 \n\n150 \n\n100 \n\n50 \n\n1P Reserves (mboe) \n3P Reserves (mboe) \n1P Reserves (PV10 ($000s)) \n3P Reserves (PV10 ($000s)) \nNet 1P Reserves Drilling Locations \nNet 3P Reserves Drilling Locations 18,131.9 \n100,404.1 \n$ 449,287.5 \n$ 1,202,313.1 \n42.6 \n153.7 \n\nSince its entrance into the Eagle Ford in March 2013, the Company has: JAN-15 \n\n• increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 \npercent CAGR); \n• increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million \n(an 18x increase)); \n• increased its acreage to approximately 33,000 net acres, primarily in the volatile oil \nand condensate window of the Eagle Ford (includes 14,180 net acres acquired in January \n2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring \nMaverick County); \n• increased its producing well count to 77 \ngross (53.8 net), with an additional 19 gross \n(10.6 net) wells in progress at year-end; \n• increased its undrilled 3P Reserves drilling \nlocations to 153.7 net; which represents a \n4.3 year drilling inventory (assuming two rig \nprogram drilling 36 net wells per year and \n40-80 acre spacing) \n\n**EAGLE FORD CONSTANT CASE RESERVES**\nAs at and for the Year Ended 31 December 2014", + "page_start": 11, + "page_end": 11, + "source_file": "ASX_SEA_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "sg247938.pdf", + "query": "What are the physical requirements for installing the Storwize V7000?", + "target_page": 70, + "target_passage": "You must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics: \u0002 Meets power, cooling, and location requirements of the Storwize V7000 nodes. \u0002 Has two separate power sources. \u0002 Sufficient rack space exists for the installation of controller and disk expansion enclosures. \u0002 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**4.1 Prerequisites**\n\nBefore initializing and setting up the Storwize V7000, ensure that the following prerequisites \nare met: \n\n(cid:2) The installation of physical components is planned to fulfill all requirements and correctly \nexecuted, including: \n\n– Control enclosures are physically installed with the correct cabling. \n\n– The Ethernet and Fibre Channel connectivity are correctly configured. \n\n– Expansion enclosures, if available, are physically installed and attached to the Storwize \nV7000 nodes in the I/O group that is meant to use them. \n\n– The Storwize V7000 control enclosures and optional expansion enclosures are \npowered on. \n\n(cid:2) Your web browser is supported and has the appropriate settings enabled. For more \ninformation about supported browsers and settings, see IBM Knowledge Center. \n\n(cid:2) You have the required information available, including: \n\n– For IPv4 addressing (if used): \n\n(cid:129) Cluster IPv4 address, which is the address that is used for the management of the \nsystem. \n\n(cid:129) Service IPv4 addresses, which are used to access node service interfaces. You \nneed one address for each node. \n\nIPv4 subnet mask for each subnet used. \n\nIPv4 gateway for each subnet used. \n\n– For IPv6 addressing (if used): \n\n(cid:129) Cluster IPv6 address, which is used for the management of the system. \n\n(cid:129) Service IPv6 addresses, which are used to access node service interfaces. You \nneed one address for each node. \n\nIPv6 prefix for each subnet used. \n\nIPv6 gateway. for each subnet used. \n\n– The licenses that enable you to use licensed functions, which include the licenses that \nindicate your entitlement to use licensed functions: \n\n(cid:129) Remote Copy \n(cid:129) External Virtualization \n(cid:129) Real-time Compression \n(cid:129) Transparent Cloud Tiering \n\n– Physical location of the system. \n\n– The name, email address, and phone number of the storage administrator who IBM \ncan contact if necessary. \n\n– The Network Time Protocol (NTP) server IP address (optional, but recommended), \n\nwhich is necessary only if you want to use an NTP service instead of manually entering \ndate and time. \n\n– The Simple Mail Transfer Protocol (SMTP) email server IP address (optional), which is \n\nnecessary only if you want to enable*call home*. \n\n– The IP addresses for Remote Support Proxy Servers (optional), which are necessary", + "page_start": 109, + "page_end": 109, + "source_file": "sg247938.pdf" + }, + { + "text": "When you plan deployment of Storwize V7000, identify networking technologies that you will \nuse. \n\n**Note:**With Spectrum Virtualize V8.1.1.1 and later, RDMA (iSER) is supported by 25 Gb \nEthernet iSCSI adapter cards with V7000 Gen2+ only. For more information, see 3.7.4, \n“iSCSI Extensions for RDMA (iSER)” on page 62. \n\n**3.4 Physical planning**\n\nYou must consider several key factors when you are planning the physical site of a Storwize \nV7000 installation. The physical site must have the following characteristics: \n\n(cid:2) Meets power, cooling, and location requirements of the Storwize V7000 nodes. \n\n(cid:2) Has two separate power sources. \n\n(cid:2) Sufficient rack space exists for the installation of controller and disk expansion enclosures. \n\n(cid:2) Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not \nexceed maximum power rating of the rack. For more information about the power and \nenvironmental requirements, see this website. \n\nYour Storwize V7000 2076-524 and Storwize V7000 2076-624 order includes a printed copy \nof the IBM Storwize V7000 Gen2 and Gen2+ Quick Installation Guide, which also provides \ninformation about environmental and power requirements. \n\n**3.4.1 Cabling**\n\nCreate a cable connection table that follows your environment’s documentation procedure to \ntrack all of the following connections that are required for the setup: \n\n(cid:2) Power \n(cid:2) Ethernet \n(cid:2) SAS \n(cid:2) iSCSI or Fibre Channel over Ethernet (FCoE) connections \n(cid:2) Switch ports (FC, Ethernet, and FCoE) \n\nDistribute your disk expansion enclosures evenly between control enclosures, nodes within \ncontrol enclosures, and SAS channels within nodes. For more information, search for “SAS \ncabling guidelines” at this IBM Knowledge Center page. \n\nWhen planning SAN cabling make sure that your physical topology allows you to observe \nzoning rules and recommendations. \n\nIf the data center provides more than one power source, make sure that you use that capacity \nwhen planning power cabling for your system.", + "page_start": 69, + "page_end": 69, + "source_file": "sg247938.pdf" + }, + { + "text": "**2.8 Useful IBM Storwize V7000 websites**\n\nSee the following IBM Storwize V7000 web pages for more information: \n\n(cid:2) IBM Support page: \n\nhttps://www.ibm.com/support/home/product/5402112/IBM_Storwize_V7000_(2076) \n\n(cid:2) IBM Storwize V7000 Unified and IBM Storwize V7000 Systems: \n\nhttps://www.ibm.com/support/home/product/5421300/IBM_Storwize_V7000_Unified \n\n(cid:2) IBM Storwize V7000 page support \n\nhttp://www-01.ibm.com/support/docview.wss?uid=ssg1S1003741 \n\n(cid:2) Direct attachment of IBM Storwize V7000 \n\nhttps://www-01.ibm.com/support/docview.wss?uid=ssg1S1005776 \n\n(cid:2) IBM Knowledge Center: \n\nhttps://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7 \n000.821.doc/v7000_ichome.html", + "page_start": 63, + "page_end": 63, + "source_file": "sg247938.pdf" + }, + { + "text": "**3.1 General planning rules**\n\n**Important:**At the time of this writing, the statements that are provided in this book are \naccurate but can change. Always verify any statements that are made in this book with the \nIBM Storwize V7000 supported hardware list, device driver, firmware, and recommended \nsoftware levels information that are available at the following websites: \n\n(cid:2) Support Information for Storwize V7000 \n(cid:2) IBM System Storage Interoperation Center (SSIC) \n\nTo maximize the benefit that is realized from the Storwize V7000, pre-installation planning \nmust include several important steps. These steps ensure that the Storwize V7000 provides \nthe best possible performance, reliability, and ease of management for your application \nneeds. The correct configuration also helps minimize downtime by avoiding changes to the \nStorwize V7000 and the storage area network (SAN) environment to meet future growth \nneeds. \n\nThis book is*not*intended to provide in-depth information about the described topics. For an \nenhanced analysis of advanced topics, see IBM System Storage SAN Volume Controller and \nStorwize V7000 Best Practices and Performance Guidelines, SG24-7521. \n\n**3.1.1 Basic planning flow**\n\nThe general rule of planning is to define your goals, and then, plan a solution that can be \nshown to meet these goals. Always remember to verify that each element of your \nconfiguration is supported. \n\nConsider the following points when planning for the Storwize V7000: \n\n(cid:2) Collect and document the number of hosts (application servers) to attach to the Storwize \nV7000. Identify the traffic profile activity (read or write, sequential, or random), and the \nperformance requirements (bandwidth and input/output [I/O] operations per second \n[IOPS]) for each host. \n\n(cid:2) Decide whether you are going to use Storwize V7000 to virtualize external storage. If you \ndo, collect and document the following items: \n\n– Information on the back-end storage that exists in the environment and is intended to \n\nbe virtualized by the Storwize V7000. \n\n– Whether you must configure image mode volumes. If you want to use image mode \nvolumes, decide whether and how you plan to migrate them into managed mode \nvolumes. \n\n– Information about the planned new back-end storage to be virtualized by the Storwize \nV7000. \n\n– The required virtual storage capacity for fully provisioned and space-efficient (SE) \nvolumes. \n\n– The required storage capacity for: \n\n(cid:129) Local mirror copy (volume mirroring) \n(cid:129) Point-in-time copy (IBM FlashCopy) \n(cid:129) Remote copy (Metro Mirror and Global Mirror) \n(cid:129) Compressed volumes \n(cid:129) Encrypted volumes", + "page_start": 65, + "page_end": 65, + "source_file": "sg247938.pdf" + }, + { + "text": "**13.4.4 Updating IBM Storwize V7000 drive code**\n\nAfter completing the Storwize V7000 software update as described in 13.4, “Software update” \non page 687, the firmware of the Storwize V7000 drives also must be updated. The upgrade \ntest utility identified that downlevel drives are in the system, as shown in Figure 13-25. \nHowever, this fact does not stop the system software from being performed. \n\nFigure 13-25 Upgrade test utility drive firmware warning \n\nTo update the IBM Storwize V7000 drive code, complete the following steps: \n\n1. Download the latest Drive firmware package for IBM Storwize V7000 from Fix Central. \n2. On the Storwize V7000 GUI, navigate to**Pools**→**Internal Storage**and select**All**\n**Internal.**", + "page_start": 717, + "page_end": 717, + "source_file": "sg247938.pdf" + }, + { + "text": "**13.4 Software update**\n\nThis section describes the operations to update your Storwize V7000 software to V8.1. \n\nThe format for the software update package name ends in four positive integers that are \nseparated by dots. For example, a software update package might have the following name: \n\nIBM_2145_INSTALL_8.2.1.0 \n\n**13.4.1 Precautions before the update**\n\nThis section describes the precautions that you should take before you attempt an update. \n\n**Important:**Before you attempt any IBM Storwize V7000 code update, read and \nunderstand the Storwize V7000 concurrent compatibility and code cross-reference matrix. \nFor more information, see this website and click**Latest Storwize V7000 code**. \n\nDuring the update, each node in your Storwize V7000 clustered system is automatically shut \ndown and restarted by the update process. Because each node in an I/O Group provides an \nalternative path to volumes, use the Subsystem Device Driver (SDD) to make sure that all I/O \npaths between all hosts and storage area networks (SANs) work. \n\nIf you do not perform this check, certain hosts might lose connectivity to their volumes and \nexperience I/O errors when the Storwize V7000 node that provides that access is shut down \nduring the update process. You can check the I/O paths by using**datapath query**SDD \ncommands. \n\n**13.4.2 IBM Storwize V7000 update test utility**\n\nThe software update test utility is a Storwize V7000 software utility that checks for known \nissues that can cause problems during a Storwize V7000 software update. For more \ninformation about the utility, see this website. \n\nDownload the software update utility from this page where you can also download the \nfirmware. This procedure ensures that you receive the current version of this utility. You can \nuse the**svcupgradetest**utility to check for known issues that might cause problems during a \nsoftware update. \n\nThe software update test utility can be downloaded in advance of the update process. \nAlternately, it can be downloaded and run directly during the software update, as guided by \nthe update wizard. \n\nYou can run the utility multiple times on the same IBM Storwize V7000 system to perform a \nreadiness check-in preparation for a software update. Run this utility for a final time \nimmediately before you apply the software update to ensure that there were no new releases \nof the utility since it was originally downloaded.", + "page_start": 708, + "page_end": 708, + "source_file": "sg247938.pdf" + }, + { + "text": "| (1.5” spin 1.5”<-> 1.9 789 <->1051 | Implementing the IBM Storwize V7000 with SG24-7938-07 IBM Spectrum Virtualize V8.2.1 ISBN 0738457779 | |\n|---|---|---|\n| (1.5” spin 1.5”<-> 1.9 789 <->1051 | Implementing the IBM Storwize V7000 with SG24-7938-07 IBM Spectrum Virtualize V8.2.1 ISBN 0738457779 | |\n| e) 98” pages | | |", + "page_start": 822, + "page_end": 822, + "source_file": "sg247938.pdf" + }, + { + "text": "**Uploading the SSH public key to the IBM Storwize V7000**\nAfter you create your SSH key pair, upload your SSH public key onto the IBM Storwize \nV7000. Complete the following steps: \n\n1. Open the user section in the GUI, as shown in Figure B-5.", + "page_start": 781, + "page_end": 781, + "source_file": "sg247938.pdf" + }, + { + "text": "**5.11.2 Working with enclosures**\n\nThe following section describes how to add or remove expansion enclosure to or from your \nIBM Storwize V7000 system. \n\n**Adding an enclosure**\nAfter the expansion enclosure is properly attached and powered on, complete the following \nsteps to activate it in the system: \n\n1. \n\nIn the System pane that is available from the Monitoring menu, select**SAS Chain View**. \nOnly correctly attached and powered on enclosures appear in the window, as shown in \nFigure 5-88. The new enclosure is showing as unmanaged, which means it is not currently \npart of the system.", + "page_start": 207, + "page_end": 207, + "source_file": "sg247938.pdf" + }, + { + "text": "– Prerequisites: \n\n(cid:129) Storwize V7000 and the external storage system are connected to the same SAN \nfabric. \n\nIf there are VMware ESX host s involved in the data migration, the VMware ESX \nhosts are set to allow volume copies to be recognized. \n\nFor more information about the Storage Migration prerequisites, see 9.1.2, “Prerequisites” \non page 387. \n\nIf all restrictions are satisfied and prerequisites are met, select all of the options and click \n**Next**, as shown in Figure 9-4.", + "page_start": 411, + "page_end": 411, + "source_file": "sg247938.pdf" + } + ] + }, + { + "references": { + "source_file": "sg247938.pdf", + "query": "Is '1oijizer--10108453535318919918883384---jhjjzhiuhzrh--14584joiz///KK ' valid for a pool?", + "target_page": 218, + "target_passage": "Naming rules: When you choose a name for a pool, the following rules apply: \u0002 Names must begin with a letter. \u0002 The first character cannot be numeric. \u0002 The name can be a maximum of 63 characters. \u0002 Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space. \u0002 Names must not begin or end with a space. \u0002 Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC. \u0002 The default object name is valid (object prefix with an integer). \u0002 Objects can be renamed to their current names", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "address=/apps.bs.ibm.com/192.168.11.223 \n###----------------------------ocp-aio-----------------------------------### \n###----------------------------ocp-7nodes--------------------------------### \n# Deployment Node \naddress=/dplnode01.domain.example.com/192.168.11.220 \nptr-record=220.97.108.9.in-addr.arpa,dplnode01.domain.example.com \n# Master-Infra Nodes \naddress=/mstnode01.domain.example.com/192.168.11.202 \nptr-record=202.98.108.9.in-addr.arpa,mstnode01.domain.example.com \naddress=/mstnode02.domain.example.com/192.168.11.203 \nptr-record=203.98.108.9.in-addr.arpa,mstnode02.domain.example.com \naddress=/mstnode03.domain.example.com/192.168.11.204 \nptr-record=204.98.108.9.in-addr.arpa,mstnode03.domain.example.com \n# Worker Nodes \naddress=/wrknode01.domain.example.com/192.168.11.208 \nptr-record=208.98.108.9.in-addr.arpa,wrknode01.domain.example.com \naddress=/wrknode02.domain.example.com/192.168.11.209 \nptr-record=209.98.108.9.in-addr.arpa,wrknode02.domain.example.com \naddress=/wrknode03.domain.example.com/192.168.11.210 \nptr-record=210.98.108.9.in-addr.arpa,wrknode03.domain.example.com \n# Load Balancer Node \naddress=/lbsnode01.domain.example.com/192.168.11.212 \nptr-record=212.98.108.9.in-addr.arpa,lbsnode01.domain.example.com \n# Cluster and wildcard DNS \naddress=/ocp.domain.example.com/192.168.11.212 \naddress=/apps.domain.example.com/192.168.11.212 \n###----------------------------ocp-7nodes--------------------------------### \n**EOF_/etc/dnsmasq.conf**\n###Configure firewallD to allow DNS#### \n**# firewall-cmd --permanent --add-service=rmc**\n**# firewall-cmd --reload**\n###Restart DNS Masqurade service ###### \n**# systemctl restart dnsmasq**\n\n**6.2.2 PowerVC configuration**\n\nThe next steps show how to configure a new user and a project (tenant) in PowerVC to \nseparate OpenShift resources for other resources. This is a logical isolation, and is not \nrequired for installation; therefore, you can use any user or project. For the configuration, you \ncan use any PowerVC interface, although this scenario uses only the CLI interface. \n\nComplete the following steps: \n\n1. Set the access variables: \n\nsource /opt/ibm/powervc/powervcrc \nexport OS_USERNAME=root \nexport OS_PASSWORD=<SECRET> \nexport OS_PROJECT_NAME=<Project Name> #Default is ibm-default \n\n2. Create a project: \n\nopenstack project create --description \"OpenShift Container Platform\" ocp-project \nopenstack project create --description \"OpenShift Container Platform\" ocp-project \n+-------------+----------------------------------+ \n| Field | Value | \n+-------------+----------------------------------+ \n| description | OpenShift Container Platform | \n| domain_id | default |", + "page_start": 118, + "page_end": 118, + "source_file": "sg248459.pdf" + }, + { + "text": "3,THIN_PROVISION_VOL_1,0,io_grp0,online,0,Pool0,100.00GB,striped,,,,,6005076400F58004980000 \n0000000005,0,1,empty,1,no,0,0,Pool0,no,yes,3,THIN_PROVISION_VOL_1, \n6,MIRRORED_SYNC_RATE_16,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000 \n0000000008,0,1,empty,0,no,0,0,Pool0,no,yes,6,MIRRORED_SYNC_RATE_16, \n7,THIN_PROVISION_MIRRORED_VOL,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004 \n9800000000000009,0,1,empty,1,no,0,0,Pool0,no,yes,7,THIN_PROVISION_MIRRORED_VOL, \n8,Tiger,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F580049800000000000010,0,1,e \nmpty,0,no,0,0,Pool0,no,yes,8,Tiger, \n9,UNCOMPRESSED_VOL,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000 \n00011,0,1,empty,0,no,1,0,Pool0,no,yes,9,UNCOMPRESSED_VOL, \n12,vdisk0_restore,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000000000 \n000E,0,1,empty,0,no,0,0,Pool0,no,yes,12,vdisk0_restore, \n13,vdisk0_restore1,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000 \n0000F,0,1,empty,0,no,0,0,Pool0,no,yes,13,vdisk0_restore1, \n\n**7.8.22 Listing storage pools in which a volume has its extents**\n\nUse the**lsvdisk**command to show to which storage pool a specific volume belongs, as \nshown in Example 7-36. \n\nExample 7-36 The lsvdisk command: Storage pool ID and name \n\nIBM_Storwize:ITSO:superuser>lsvdisk 0 \nid 0 \nname A_MIRRORED_VOL_1 \nIO_group_id 0 \nIO_group_name io_grp0 \nstatus online \n**mdisk_grp_id 0**\n**mdisk_grp_name Pool0**\ncapacity 10.00GB \ntype striped \nformatted yes \nformatting no \nmdisk_id \nmdisk_name \nFC_id \nFC_name \nRC_id \nRC_name \nvdisk_UID 6005076400F580049800000000000002 \npreferred_node_id 2 \nfast_write_state empty \ncache readwrite \nudid 4660 \nfc_map_count 0 \nsync_rate 50 \ncopy_count 1 \nse_copy_count 0 \nFile system \nmirror_write_priority latency \nRC_change no \ncompressed_copy_count 0 \naccess_IO_group_count 1 \nlast_access_time \nparent_mdisk_grp_id 0 \nparent_mdisk_grp_name Pool0 \nowner_type none \nowner_id", + "page_start": 333, + "page_end": 333, + "source_file": "sg247938.pdf" + }, + { + "text": "IBM_Storwize:ITSO-V7000:superuser>**lstargetportfc**\nid WWPN WWNN port_id owning_node_id current_node_id nportid host_io_permitted virtualized protocol \n1 500507680140A288 500507680100A288 1 1 1 010A00 yes no scsi \n**2 500507680142A288 500507680100A288 1 1 000000 no yes scsi**\n**3 500507680144A288 500507680100A288 1 1 000000 no yes nvme**\n4 500507680130A288 500507680100A288 2 1 1 010400 yes no scsi \n**5 500507680132A288 500507680100A288 2 1 000000 no yes scsi**\n**6 500507680134A288 500507680100A288 2 1 000000 no yes nvme**\n7 500507680110A288 500507680100A288 3 1 1 010500 yes no scsi \n**8 500507680112A288 500507680100A288 3 1 000000 no yes scsi**\n**9 500507680114A288 500507680100A288 3 1 000000 no yes nvme**\n10 500507680120A288 500507680100A288 4 1 1 010A00 yes no scsi \n**11 500507680122A288 500507680100A288 4 1 000000 no yes scsi**\n**12 500507680124A288 500507680100A288 4 1 000000 no yes nvme**\n49 500507680C110009 500507680C000009 1 2 2 010500 yes no scsi \n**50 500507680C150009 500507680C000009 1 2 000000 no yes scsi**\n**51 500507680C190009 500507680C000009 1 2 000000 no yes nvme**\n52 500507680C120009 500507680C000009 2 2 2 010400 yes no scsi \n**53 500507680C160009 500507680C000009 2 2 000000 no yes scsi**\n**54 500507680C1A0009 500507680C000009 2 2 000000 no yes nvme**\n55 500507680C130009 500507680C000009 3 2 2 010900 yes no scsi \n**56 500507680C170009 500507680C000009 3 2 000000 no yes scsi**\n**57 500507680C1B0009 500507680C000009 3 2 000000 no yes nvme**\n58 500507680C140009 500507680C000009 4 2 2 010900 yes no scsi \n**59 500507680C180009 500507680C000009 4 2 000000 no yes scsi**\n**60 500507680C1C0009 500507680C000009 4 2 000000 no yes nvme**\n\n4. Enable transitional mode for NPIV on the Storwize V7000 system (see Example 8-6). \n\nExample 8-6 NPIV in transitional mode \n\nIBM_Storwize:ITSO-V7000:superuser>**chiogrp -fctargetportmode transitional 0**\nIBM_Storwize:ITSO-V7000:superuser>**lsiogrp 0 |grep fctargetportmode**\nfctargetportmode**transitional**", + "page_start": 345, + "page_end": 345, + "source_file": "sg247938.pdf" + }, + { + "text": "user_public_key = \"ssh-rsa \nAAAAB3NzaC1yc2EAAAABIwAAAQEA09+YMqJ8VHX3HC7qy6HSxs3JjTGKbEgK+CExpf811uxsq+uJYbfXEKH19/NCf/U \nvpkozJBDDXDIxJ4uqOEBWDG4mUuu5U9a4lXgb6qaPYyXwVTygL/IcB0poSGEQQaJzhB05g71uZrya++sG1xHUjSQAQz \nhDuKrs4Bc3gcN4184UR+BX1pVgCls3NRn9hLrfLWS37M/kn+b/n6VMYYVpHsZ2XVydAn2nwuzktaEuWYaY/1cNd4xuu \nyVu08GQOon6t5KQ1EZBheADdSsyamulLqW9z4j6Y1wwDe4GPDc5zIW++ASDAZB0eEfbKGDLVdpFsI5YV8nLV1r/T0Y/ \nFiFZqQ== Bogdan Savu;IBMROO45771;IBMROZZ014E826;J;\" \ndns1 = \"192.168.11.210\" # DNS server 1 \ndns_domain = \"domain.example.com\" \n\n# DNS Domain Name \n\n#Network configuration \n#--------------------------------- \nnet1_name = \"net_ocp_cluster1\" # Network Name \nnet1_vlan_id = \"1\" # VLAN ID \nnet1_subnet = \"192.168.11.0/21\" \nnet1_gateway = \"192.168.11.1\" \nnet1_start = \"192.168.11.223\" \nnet1_end = \"192.168.11.223\" # Network/Mask \n# Gateway \n# First IP from Pool \n# Last IP from Pool \n\n#VM1 configuration (OCP - Master Nodes) \n#--------------------------------- \nvm1_number = \"1\" # Number of VMs \nvm1_memory = \"32\" # Memory GB \nvm1_cpu = \"8\" # Virtual CPU \nvm1_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) \nvm1_name = \"bsocp\" # Hostname prefix \nvm1_first_ip = \"192.168.11.223\" \nvm1_image_name = \"xiv_p9_image_rhel76\" # The image name \nvm1_remote_restart = \"true\" # Enable Auto Remote Restart \nvm1_storage_name = \"xiv_StoragePool\" # Storage Template \nvm1_dockerdisk1 = \"0\" # Docker disk size in GB for ephemeral storage \n\n# Fist IP from a consecutive pool of IPs \n\n#VM2 configuration (OCP - Infra Nodes) \n#--------------------------------- \nvm2_number = \"0\" # Number of VMs \nvm2_memory = \"16\" # Memory GB \nvm2_cpu = \"4\" # Virtual CPU \nvm2_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) \nvm2_name = \"infnode\" # Hostname prefix \nvm2_first_ip = \"192.168.11.205\" \nvm2_image_name = \"xiv_p9_image_rhel76\" # The image name \nvm2_remote_restart = \"true\" # Enable Auto Remote Restart \nvm2_storage_name = \"xiv_StoragePool\" # Storage Template \nvm2_dockerdisk1 = \"68\" # Docker disk size in GB for ephemeral storage \n\n# Fist IP from a consecutive pool of IPs \n\n#VM3 configuration (OCP - Workers(App) Nodes) \n#--------------------------------- \nvm3_number = \"0\" # Number of VMs \nvm3_memory = \"32\" # Memory GB \nvm3_cpu = \"4\" # Virtual CPU \nvm3_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) \nvm3_name = \"appnode\" # Hostname prefix \nvm3_first_ip = \"192.168.11.208\" \nvm3_image_name = \"xiv_p9_image_rhel76\" # The image name \nvm3_remote_restart = \"false\" # Disable Auto Remote Restart \nvm3_storage_name = \"xiv_StoragePool\" # Storage Template \nvm3_dockerdisk1 = \"34\" # Docker disk size in GB for ephemeral storage \n\n# Fist IP from a consecutive pool of IPs", + "page_start": 130, + "page_end": 130, + "source_file": "sg248459.pdf" + }, + { + "text": "52 500507680C120009 500507680C000009 2 2 2 010400 no no scsi \n**53 500507680C160009 500507680C000009 2 2 2 010401 yes yes scsi**\n**54 500507680C1A0009 500507680C000009 2 2 2 010402 yes yes nvme**\n55 500507680C130009 500507680C000009 3 2 2 010900 no no scsi \n**56 500507680C170009 500507680C000009 3 2 2 010902 yes yes scsi**\n**57 500507680C1B0009 500507680C000009 3 2 2 010901 yes yes nvme**\n58 500507680C140009 500507680C000009 4 2 2 010900 no no scsi \n**59 500507680C180009 500507680C000009 4 2 2 010901 yes yes scsi**\n**60 500507680C1C0009 500507680C000009 4 2 2 010902 yes yes nvme**\nIBM_Storwize:ITSO-V7000:superuser> \n\n4. NPIV enablement can be verified by checking the fctargetportmode field, as shown in \nExample 8-4. \n\nExample 8-4 NPIV enablement verification \n\nIBM_Storwize:ITSO-V7000:superuser>lsiogrp 0 \nid 0 \nname io_grp0 \nnode_count 2 \nvdisk_count 2 \nhost_count 2 \nflash_copy_total_memory 20.0MB \nflash_copy_free_memory 20.0MB \nremote_copy_total_memory 20.0MB \nremote_copy_free_memory 20.0MB \nmirroring_total_memory 20.0MB \nmirroring_free_memory 20.0MB \nraid_total_memory 40.0MB \nraid_free_memory 38.8MB \nmaintenance no \ncompression_active yes \naccessible_vdisk_count 2 \ncompression_supported yes \nmax_enclosures 10 \nencryption_supported no \nflash_copy_maximum_memory 552.0MB \nsite_id \nsite_name \n**fctargetportmode enabled**\ncompression_total_memory 2047.9MB \n\nYou can now configure your zones for hosts by using the primary host attach ports (virtual \nWWPNs) of the Storwize V7000 ports, as shown in**bold**in the output of Example 8-3 on \npage 322. \n\n**8.3.3 Enabling NPIV on an existing system**\n\nWhen IBM Spectrum Virtualize systems that are running code earlier than V7.7.1 are \nupgraded to V7.7.1 or later, the NPIV feature is not turned on by default because it might \nrequire changes to host-side zoning. \n\nEnabling NPIV on a system requires that you complete the following steps after you meet the \nprerequisites: \n\n1. Audit your SAN fabric layout and zoning rules because NPIV has stricter requirements. \nEnsure that equivalent ports are on the same fabric and in the same zone. \n\n2. Check the path count between your hosts and the IBM Spectrum Virtualize system to \nensure that the number of paths is half of the usual supported maximum. \n\nFor more information, see IBM Knowledge Center. \n\n3. Run the**lstargetportfc**command to discover the primary host attach WWPNs (virtual \nWWPNs), as shown in**bold**in Example 8-5. \n\nExample 8-5 Using the lstargetportfc command to get primary host WWPNs (virtual WWPNs)", + "page_start": 344, + "page_end": 344, + "source_file": "sg247938.pdf" + }, + { + "text": "*Register*00230000 \n*Convention: R1 points to the Parameter list*00240000 \n*R12 base register 00250000 \n**00260000 \n*Patch Label: PSPACE*00270000 \n**00280000 \n*Input: Parameter list pointed to by Register 1*00290000 \n*Parameter list contains addresses of:*00300000 \n*- message length*00310000 \n*- message text*00320000 \n**00330000 \n*Output: None*00340000 \n**00350000 \n*Return codes:*00360000 \n**00370000 \n*NORMAL: R15 = return code from WTO*00380000 \n**00390000 \n*Exits: Return to caller via BR 14*00400000 \n**00410000 \n*External References:*00420000 \n**00430000 \n*Change Activity: See below*00440000 \n**00450000 \n*Ver Rel Mod Date Description of Change*00460000 \n*__ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____*00470000 \n*0? 0? 00 04/05/00 Release ?.?*00480000 \n**00490000 \n** **** **** **** **** **END OF MODULE SPECIFICATIONS** **** **** **** *****00500000 \nARSLOG csect 00510000 \nARSLOG rmode any 00520000 \nARSLOG amode 31 00530000 \n using*,r15 00540000 \n b pastcopy 00550000 \n dc C'ARSLOG &sysdate' 00560000 \n dc C'5622-662 (C) COPYRIGHT IBM CORP. 2013' 00570000 \n dc C'ALL RIGHTS RESERVED' 00580000 \n dc C'LICENSED MATERIALS-PROPERTY OF IBM' 00590000 \npastcopy ds 0h 00600000 \n stm 14,12,12(r13) 00610001 \n lr r12,r15 00620000 \n lr r2,r1 00630000 \n using plist,r2 00640000 \n drop r15 00650000 \n using ARSLOG,r12 00660000 \n storage OBTAIN,length=workl,loc=ANY,cond=YES 00670000 \n ltr r15,r15 00680000 \n jnz bagit 00690000 \n st r13,4(,r1) 00700000 \n st r1,8(,r13) 00710000 \n lr r13,r1 00720000 \n using workarea,r13 00730000 \n*00740000 \n*Determine the message length 00750005 \n*00760000 \n slr r1,r1 Number of bytes 00770005 \n l r15,msgtxta get starting address 00780005 \nnulloop ds 0h 00790006 \n cli 0(r15),x'00' Is it zero? 00800005 \n je nomore Yes - quit 00810005 \n la r1,1(,r1) Bump count 00820005", + "page_start": 278, + "page_end": 278, + "source_file": "sg246915.pdf" + }, + { + "text": "la r15,1(,r15) bump address 00830005 \n j nulloop And try next 00840005 \nnomore ds 0h 00850005 \n lr r3,r1 Save length of message 00860005 \n mvc msgtxt+2(3),=c'XXX' Set the prefix 00870007 \n la r14,msgtxt+5 Start to place number 00880005 \n l r15,msgnum Get start of message number 00890005 \nnumloop ds 0h 00900005 \n cli 0(r15),x'00' Null? 00910005 \n je nomove 00920005 \n mvc 0(0,r14),0(15) move it 00930005 \n la r14,1(,r14) next destination 00940005 \n la r15,1(,r15) next source 00950005 \n j numloop go do next 00960005 \nnomove ds 0h 00970005 \n l r15,sev Get severity 00980005 \n cli 0(r15),c'1' Is it Alert 00990005 \n jne tryerror No skip 01000005 \n mvi 0(r14),c'E' Set error severity 01010006 \n j donesev 01020005 \ntryerror ds 0h 01030005 \n cli 0(r15),c'2' \"Error\" severity? 01040005 \n jne trywarn No - skip 01050005 \n mvi 0(r14),c'E' Set error 01060005 \n j donesev 01070006 \ntrywarn ds 0h 01080005 \n cli 0(r15),c'3' Is it Warning 01090006 \n jne setinfo 01100005 \n mvi 0(r14),C'W' Set Warning 01110005 \n j donesev 01120005 \nsetinfo ds 0h 01130005 \n mvi 0(r14),c'I' Indicate info 01140005 \ndonesev ds 0h 01150005 \n mvi 1(r14),c' ' Put in blank 01160005 \n la r14,2(,r14) Skip 01170005 \n 01180005 \n c r3,=f'60' More than 60 chars 01190005 \n jnh singlwto No - issue it 01200005 \n lhi r3,60 Only first 60 chars 01210005 \n 01220005 \n*We only need to issue a single WTO 01230005 \n 01240005 \nsinglwto ds 0h 01250005 \n la r4,msgtxt+2 Get start of text 01260005 \n lr r15,r14 Get where we stopped 01270005 \n sr r15,r4 Get how much we've done 01280005 \n ar r15,r3 add length of text 01290005 \n stcm r15,b'0011',msgtxt Set the length 01300005 \n bctr r3,0 subtract 1 01310005 \n l r15,msgtxta Get source address 01320005 \n ex r3,mvcins Move it 01330005 \n 01340000 \n mvc wtoe,wto1 init the execute form 01350007 \n la r3,msgtxt 01360005 \n slr r0,r0 01370000 \n wto text=(r3),mf=(E,wtoe) 01380005 \n j exit exit 01390000 \n 01400000 \n 02250000 \nexit ds 0h 02260000", + "page_start": 279, + "page_end": 279, + "source_file": "sg246915.pdf" + }, + { + "text": "**$**\n\n**724**\n(734) \n(746) **$ 255**\n441 \n364 **$ 386**\n401 \n511 **$ (14)**\n(26) \n- \n\n**$**\n\n**331**\n(5,416) \n(5,490) \n\n**$**\n\n**9,761**\n(2,893) \n9,694 \n\n**$**\n\n**$22,389**\n**$ 22 ,389**\n7,468 \n6,734 \n\n$ \n\n- \n- \n- \n\n$ \n\n**-**\n- \n- **-**\n- \n- **-**\n- \n- \n\n**$**\n\n**-**\n- \n- \n\n**$**", + "page_start": 38, + "page_end": 38, + "source_file": "NASDAQ_SHEN_2003.pdf" + }, + { + "text": "**Naming rules:**When you choose a name for a pool, the following rules apply: \n\n(cid:2) Names must begin with a letter. \n\n(cid:2) The first character cannot be numeric. \n\n(cid:2) The name can be a maximum of 63 characters. \n\n(cid:2) Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), \nunderscore (_), period (.), hyphen (-), and space. \n\n(cid:2) Names must not begin or end with a space. \n\n(cid:2) Object names must be unique within the object type. For example, you can have a \n\nvolume that is named ABC and a storage pool that is calledvolumes that are \ncalledvolumes called ABC. \n\n(cid:2) The default object name is valid (object prefix with an integer). \n\n(cid:2) Objects can be renamed to their current names. \n\nThe new pool is created and is included in the list of storage pools with zero bytes, as shown \nin Figure 6-8. \n\nFigure 6-8 Newly created empty pool \n\nTo perform this task with the CLI, the**mkmdiskgrp**command is used. The only required \nparameter is extent size. It is specified with the**-ext**parameter, which must have one of the \nfollowing values: 16, 32, 64, 128, 256, 512, 1024, 2048, 4096, or 8192 (MB). To create Data \nReduction Pool, specify**-datareduction yes**. In Example 6-2, the command creates DRP \nnamed “Pool2” with no MDisks in it. \n\nExample 6-2 mkmdiskgrp command \n\nIBM_Storwize:ITSOV7K:superuser>mkmdiskgrp -name Pool2 -datareduction yes -ext 8192 \nMDisk Group, id [2], successfully created \n\n**6.1.2 Managed disks in a storage pool**\n\nA storage pool is created as an empty container, with no storage assigned to it. Storage is \nthen added in the form of**MDisks**. An MDisk can be either an array from internal storage (as \nan array of drives) or an LU from an external storage system. The same storage pool can \ninclude both internal and external MDisks. \n\nArrays are assigned to storage pools at creation time. You cannot have an array that does not \nbelong to any storage pool. They cannot be moved between storage pools. It is only possible \nto destroy an array by removing it from a pool and to re-create it with a new pool. \n\nExternal MDisks can exist outside the pool. You can assign them to storage pools and remove \nthem from storage pools. The MDisk object remains on a system, but its state (mode of \noperations) might change.", + "page_start": 217, + "page_end": 217, + "source_file": "sg247938.pdf" + }, + { + "text": "**tar xf ibm-cloud-private-ppc64le-3.2.1.tar.gz -O | sudo docker load**\n22f2e14aaf41: Loading layer [=======================================>] 279.8 MB/279.8 MB \n4153cc3de084: Loading layer [=======================================>] 20.48 kB/20.48 kB \nceaa1e685ae1: Loading layer [=======================================>] 21.49 MB/21.49 MB \ne5c43e70143d: Loading layer [=======================================>] 170.9 MB/170.9 MB \n35f172df1a41: Loading layer [=======================================>] 23.95 MB/23.95 MB \nbde32f0ec81a: Loading layer [=======================================>] 34.3 kB/34.3 kB \naf4acfce5260: Loading layer [=======================================>] 100.7 MB/100.7 MB \n500de4764474: Loading layer [=======================================>] 28.38 MB/28.38 MB \n... \nOutput truncated \n... \n3f2ac47d1346: Loading layer [=======================================>] 611.3 kB/611.3 kB \ne9fd350aaef5: Loading layer [=======================================>] 37.7 MB/37.7 MB \n8b58cfdade26: Loading layer [=======================================>] 5.12 kB/5.12 kB \n2aa89bbaaba4: Loading layer [=======================================>] 31.39 MB/31.39 MB \ndc0532bb043a: Loading layer [=======================================>] 19.74 MB/19.74 MB \n93379faa8e65: Loading layer [=======================================>] 3.072 kB/3.072 kB \nca43800e3ee2: Loading layer [=======================================>] 3.072 kB/3.072 kB \nLoaded image: ibmcom/nginx-ingress-controller-ppc64le:0.23.1 \n\n8. Because of a limitation with OpenShift, to deploy IBM Multicloud Manager on the \n\nOpenShift Master-Infrastructure node, you must label the node as an OpenShift compute \nnode by using the following command: \n\n**oc label node mstnode01.domain.example.com node-role.kubernetes.io/compute=true**\n\n9. Create an installation directory on the boot node: \n\n**mkdir /opt/ibm-multicloud-manager-3.2.1; cd /opt/ibm-multicloud-manager-3.2.1**\n\n10.Extract the cluster directory: \n\n**docker run --rm -v $(pwd):/data:z -e LICENSE=accept --security-opt**\n**label:disable ibmcom/icp-inception-ppc64le:3.2.1-ee cp -r cluster /data**\n\n11.Copy the OpenShift admin.kubeconfig file to the cluster directory. The OpenShift \nadmin.kubeconfig file can be found in the**/etc/origin/master/admin.kubeconfig**\ndirectory: \n\n**cp /etc/origin/master/admin.kubeconfig**\n**/opt/ibm-multicloud-manager-3.2.1/cluster/kubeconfig**\n\n12.Use the power.openshift.config.yaml file to replace the config.yaml for Linux on Power \n(ppc64le) before you deploy the services: \n\n**cd /opt/ibm-multicloud-manager-3.2.1/cluster/**\n**echo y |cp power.openshift.config.yaml config.yaml**\n\n**156** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1", + "page_start": 171, + "page_end": 171, + "source_file": "sg248459.pdf" + } + ] + }, + { + "references": { + "source_file": "news4.pdf", + "query": "I want to start a company that automates kitchen tasks, does that sound like a good idea for 2025?", + "target_page": 1, + "target_passage": "Smart home automation Smart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**The top AI-powered tech trends in 2025**\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From \nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable. \n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and \npersonalization. \n\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological \nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors \n– also known as the brain of the computer – which optimizes performance, enhances security and \nprovides a more personalized experience as they learn from your usage patterns. For consumers, this \nmeans faster, smarter and more secure computing tailored to your individual needs. \n\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a \nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home \nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to \nsecurity and entertainment, making your home smarter and more responsive than ever before. \n\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications \ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and \nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, \nhelping individuals make informed decisions about their well-being. \n\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage \nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud \ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify \ntrends and make more informed financial decisions. \n\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each \nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students \nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative \ntasks and providing insights into student performance, allowing for more focused and effective \nteaching. \n\nLearn more at intel.com/aipc. \n\nwww.newscanada.com \n\nWord Count: 346", + "page_start": 0, + "page_end": 0, + "source_file": "news4.pdf" + }, + { + "text": "| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n| | | | | | | | | | EN | | |\n| | | | | | | | | | | | |\n| + R el ated P o sts + Ter m s o f Use EDITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | + R el ated P o sts + Ter m s o f Use DITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | | | | | | | | | | |\n| | | + R el ated P o sts | | | | | | | | | |\n| | | + Ter m s o f Use | | | | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | | | | | | |", + "page_start": 1, + "page_end": 1, + "source_file": "news4.pdf" + }, + { + "text": "You can handle long-running tasks asynchronously. For example you can implement a queue \n\nusing Amazon SQS to manage order submission on. You can then use Step Functions to manage a \n\nworkflow that updates user information, and inventory counts after every order is processed. Along \nthe way, you will need to log actions, monitor app activity, and trace data flows to debug.", + "page_start": 25, + "page_end": 25, + "source_file": "serverless-core.pdf" + }, + { + "text": "housing for the elderly, expected to be a \nhousing for the elderly, expected to be a \n\nfuture growth area. \nfuture growth area. \n\nW hile c o n t inuing t o t a ilo r bu sine s s \nW hile c o n t inuin g t o t a ilo r b u s in e s s \n\nactivities to the needs of the community at \nactivities to the needs of the community at \n\nlarge and ensuring a friendly banking \nlarge and ensuring a friendly banking \n\nenvironment for our customers, the SMFG \nenvironment for our customers, the SMFG \n\nGroup also plans to support the creation of \nGroup also plans to support the creation of \n\n\n\n\n\n**Roundtable session: SMBC Food and Agricultural Assessment Loan**\n\nA roundtable session with experts held in August 2011 \nconsidered the role of the new SMBC Food and Agricultural \nAssessment Loan in improving the food supply chain that \nlinks food and fishery producers with food processors and \nconsumers. Opinions were also exchanged on what other \nfuture role the bank might assume in this regard, given \nthe current situation and issues facing the food industry \nand agriculture \nin Japan. \n\n**Key comments of participants**\n\n| | For further details, please see our website. |\n|---|---|\n| | For further details, please see our website. |\n\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, \nThe University of Tokyo \n“Eating should be something that generates emotion. New potential exists in the world of cuisine.” \nDaisuke Yamamoto, Vice Senior Consultant, Research Department, \nThe Japan Research Institute, Limited \n“As consumer tastes go through a time of great change, I think it is important to \nprioritize ingredients and the attitude of customers toward eating.” \nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of \nthe Corporate Banking Unit & Middle Market Banking Unit, SMBC \n“An important concept is multilateral dialogue as the number of parties involved in food \nproduction increases throughout the supply chain.” \nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC \n\nThe Minato Bank has created a position \nThe Minato Bank has created a position \n\ntitled “Service Care Manager” at each of \ntitled “Service Care Manager” at each of \n\nits branches, filled by at least one branch \nits branches, filled by at least one branch \n\nmanagerial staffer, as part of measures to \nmanagerial staffer, as part of measures to \n\nmake branch visits more pleasant for \nmake branch visits more pleasant for \n\ncustomers, following earlier nuts-and-bolts \ncustomers, following earlier nuts-and-bolts \n\nimprovements. \nimprovements. \n\nService Care Managers are dedicated to \nService Care Managers are dedicated to \n\nimproving support and services for the \nimproving support and services for the \n\ncustomer at each branch. Their training \ncustomer at each branch. Their training \n\nincludes simulations of the problems faced \nincludes simulations of the problems faced \n\nby persons with disabilities, awareness \nby persons with disabilities, awareness \n\nraising and support methods for the elderly \nraising and support methods for the elderly \n\nand persons with disabilities. \nand persons with disabilities.", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Table 28: Digitalisation and OSH discussed – ESENER 2019279**\n\n\n\nActually, only 24% of surveyed establishments in ESENER 2019 reported discussing about the potential \nimpact of digitalisation on the health and safety of workers. Of those 24% of all surveyed establishments, \n77% discuss the need for continuous training to keep skills updated. The next major topics are prolonged \nsitting (65%) and the request for more flexibility for employees in terms of place of work and working \ntime (63%).280 \n\nSome obvious**side effects**on working conditions require political actions. In response to the rapid \ndevelopment of online platform work in the EU, the European Commission started several activities on \nhow to**protect people working through digital platforms**. The new Strategic Framework on OSH \naims at adapting the OSH directives on Workplace minimum requirements and Digital screen equipment. \n\nThese fast and far-reaching changes by digitalisation have also triggered**ethical concerns**. The High- \nLevel Expert Group of the EU Commission on Ethics adds, referring to the development of AI:*‘In an AI*\n*context, freedom of the individual for instance requires mitigation of (in) direct illegitimate coercion,*\n*threats to mental autonomy and mental health, unjustified surveillance, deception and unfair*\n*manipulation.’*281 In a report from 2022, EU-OSHA highlighted the possible consequences of AI for \nworker management.282 \n\n**Major environmental changes and policies**influence OSH.**The enhanced and accelerated**\n**introduction of environmental technologies is widely supported by national and EU policies.**\n*(Green deal283 and circular economy.*284*)*Consequently, the number of workers in these sectors will \nincrease and impact the working conditions of many workers. Sectors/enterprises dealing with \nsustainable technologies grow fast, for example, decentralised and carbon-free energy production, \ngreen products, waste and recycling, green mobility and transport, and energy saving buildings’ \nrenovation. These ‘green jobs’ have gained a relevant and sometimes essential share in several \neconomic areas.285 \n\nSectors like**construction and crafts**will profit significantly from this development. That would also \nmean that sector-typical OSH risks — accident risks — will ‘return’. Also new risks will emerge, a circular \neconomy approach 286 will pose additional**risks in recycling and waste treatment**, due to more \nhandling of contaminated materials and probable exposure to more chemical contaminants and \ninfectious biological agents. \n\nEU-OSHA summarises:*‘The new technologies or working processes associated with green jobs can*\n*lead to new hazards, which call for new combinations of skills to deal with them: the “old” OSH*\n*knowledge cannot simply be transferred to them. Installing a solar water heater, for example, involves*\n*combining the skills of a roofer, a plumber and an electrician.’*287 \n\nIn addition, many of the new green technologies often require new skills and new processes and might \n**produce unprecedented OSH risks**— for example, fire and explosion from less environmentally \nharmful but less safe chemicals. However, at the same time,**green technologies support risk**\n**reduction at source**, due to principles such as limitation of hazardous chemicals and materials and \n\nEuropean Agency for Safety and Health at Work – EU-OSHA \n106", + "page_start": 105, + "page_end": 105, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + }, + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr \nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC \nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006) \n\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the \n\nland? On the interpretations, illustrations, and implications of artificial intelligence\".*Business*\n*Horizons*.**62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. \n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). \nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736). \n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) \n\nProposal for the modern version: Pennachin & Goertzel (2007) \nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy \n(2007), Beal & Winston (2009) \n5. Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Our Technologies segment has had a strong year, and has set \naggressive goals for both sales and profit growth for 2003. The \ntime is right for these businesses to lead the way to our return \nto profitability — particularly our liquid-crystal display, envi- \nronmental and semiconductor optics businesses. These are \nstrong businesses which continue to set the standard for their \nmarkets and have plenty of growth potential. If the industries \nin which we participate expand as we expect, we have every \nconfidence these businesses will be able to meet their goals. \nWe are also well on our way toward getting our optical fiber \nand cable operations back to profitability as we reduce our \nfixed cost structure. In October, we announced plans to \nclose several of our fiber plants and to streamline our cable Although it has been a very painful process, we have dramat- \nically slowed the rate at which we are consuming cash and \nshort term investments. Much of this, regrettably, was through \na variety of plant closures and the elimination of about 7,100 \njobs, in addition to the 12,000 jobs we eliminated last year. \nAs a result, a major drain on cash has been due to severance", + "page_start": 3, + "page_end": 3, + "source_file": "NYSE_GLW_2002.pdf" + }, + { + "text": "November 2023. \n\n124. \"AI Writing and Content Creation Tools\" (https://mitsloanedtech.mit.edu/ai/tools/writing). MIT \nSloan Teaching & Learning Technologies. Archived (https://web.archive.org/web/202312252 \n32503/https://mitsloanedtech.mit.edu/ai/tools/writing/) from the original on 25 December \n2023. Retrieved 25 December 2023. \n\n125. Marmouyet (2023). \n126. Kobielus (2019). \n127. Thomason, James (21 May 2024). \"Mojo Rising: The resurgence of AI-first programming \n\nlanguages\" (https://venturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-l \nanguages).*VentureBeat*. Archived (https://web.archive.org/web/20240627143853/https://ve \nnturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-languages/) from the \noriginal on 27 June 2024. Retrieved 26 May 2024. \n\n128. Wodecki, Ben (5 May 2023). \"7 AI Programming Languages You Need to Know\" (https://aibu \n\nsiness.com/verticals/7-ai-programming-languages-you-need-to-know).*AI Business*. \nArchived (https://web.archive.org/web/20240725164443/https://aibusiness.com/verticals/7-ai \n-programming-languages-you-need-to-know) from the original on 25 July 2024. Retrieved \n5 October 2024. \n\n129. Plumb, Taryn (18 September 2024). \"Why Jensen Huang and Marc Benioff see 'gigantic' \n\nopportunity for agentic AI\" (https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-s \nee-gigantic-opportunity-for-agentic-ai/).*VentureBeat*. Archived (https://web.archive.org/web/ \n20241005165649/https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-see-gigan \ntic-opportunity-for-agentic-ai/) from the original on 5 October 2024. Retrieved 4 October \n2024. \n\n130. Davenport, T; Kalakota, R (June 2019). \"The potential for artificial intelligence in healthcare\" \n\n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181).*Future Healthc J*.**6**(2): 94–98. \ndoi:10.7861/futurehosp.6-2-94 (https://doi.org/10.7861%2Ffuturehosp.6-2-94). \nPMC 6616181 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181). PMID 31363513 \n(https://pubmed.ncbi.nlm.nih.gov/31363513).", + "page_start": 34, + "page_end": 34, + "source_file": "wikipedia3.pdf" + }, + { + "text": "on the Company’s ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y \ni n t roduced to the market. The Company’s re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e \nmarketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total \nf i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company’s \naccounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. \nTechnological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and \ntesting activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , \nand technical perf o rmance re q u i rements. \n\n**Operating Loss**The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 \nmillion for the year ended December 31, 1999 as a result of the factors discussed above \n\nCorporate Services Segment \n\n**Operating Expenses**Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 \nf rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, \n2000 and 1999 were: \n\n*(in thousands)*\nYears ending December 31, \n2 0 0 0 1 9 9 9 \n\nSalaries and benefits \nSelling, general and administrative \nD e p reciation and amort i z a t i o n \n\n$ \n\n3 , 8 1 3 \n3 , 8 4 1 \n2 0 8 \n\n$ \n\n3 , 3 3 5 \n3 , 2 7 0 \n1 4 5 \n\nTotal direct operating expenses $ 7 , 8 6 2 $ 6 , 7 5 0 \n\nThe Company’s expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these \ni n c reased expenditures. \n\n**Non-Operating Results for the Years Ended December 31, 2000 and 1999**\n\n**Interest Income**I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December \n31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash \nas a result of negative cash flow from operations and capital expenditure s . \n\n**Interest Expense**I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended \nDecember 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange \nrate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the \nC o m p a n y ’s Notes Payable for a full year in 1999 in comparison to 6 months’ accretion in 1998.", + "page_start": 20, + "page_end": 20, + "source_file": "NASDAQ_EEFT_2000.pdf" + }, + { + "text": "workers and those with care duties at home. Digitalisation also offers opportunities for more effective \nOSH training, advanced workplace risk assessment, communication and OSH inspections. \n\n**Digital technologies can worsen the OSH situation at workplaces.**Depending on how technologies \nare designed and implemented, on the organisational context and on the employment status, \ndigitalisation may result in workers being more exposed to OSH risks such as ergonomic and \npsychosocial risks, with an increase in work-related stress, increasing performance pressure and work \ncomplexity, facilitating irregular working hours, reducing social interaction and support at work, blurred \nboundaries between work and private life, and new forms of dislocated work with unclear employment \nstatus. Technical concerns relate to aspects like safe interaction of workers with robots and semi- \nautonomous machines and vehicles. The extensive use of data has the potential to harm privacy \ninterests.**Digitalisation can create abrupt (disruptive) and emerging changes at workplaces**and \nwith that very different challenges for OSH. 275 Eurofound summarised the opportunities and risks of**ICT-**\n**based mobile work**in a table format.276 \n\n**Table 27: Opportunities and risks of ICT-based mobile work – Eurofound**\n\n\n\nEU-OSHA observes particular risks for safety and health in:277 \n\n• \n• \n• platform work with low OSH standards, \n• enhanced and detailed surveillance, \n• permanent availability, and \n• physical inactivity, permanent sitting and focusing on digital equipment. \n\nlow standards of OSH (particularly ergonomic) in mobile and home-based work, \nsafety of robots, cobots and autonomous vehicles, \n\nEU-OSHA included in its ESENER 2019 survey several questions regarding**digitalisation and OSH**in \nenterprises. There is a great diversity when it comes to the types of digital technologies reported by the \nestablishments. PCs at fixed workplaces (86% of surveyed establishments in the EU27) and laptops, \ntablets, smartphones or other mobile devices (77%) are frequently reported across all activity sectors \nand business size classes. Only 6% of surveyed establishments in the EU27 reported using none of the \ndigital technologies.278", + "page_start": 104, + "page_end": 104, + "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" + } + ] + }, + { + "references": { + "source_file": "news4.pdf", + "query": "I want to help my parents who are in residential care, are there any trendy AI-related devices I could help them with? ", + "target_page": 1, + "target_passage": "Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**The top AI-powered tech trends in 2025**\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From \nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable. \n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and \npersonalization. \n\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological \nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors \n– also known as the brain of the computer – which optimizes performance, enhances security and \nprovides a more personalized experience as they learn from your usage patterns. For consumers, this \nmeans faster, smarter and more secure computing tailored to your individual needs. \n\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a \nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home \nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to \nsecurity and entertainment, making your home smarter and more responsive than ever before. \n\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications \ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and \nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, \nhelping individuals make informed decisions about their well-being. \n\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage \nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud \ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify \ntrends and make more informed financial decisions. \n\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each \nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students \nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative \ntasks and providing insights into student performance, allowing for more focused and effective \nteaching. \n\nLearn more at intel.com/aipc. \n\nwww.newscanada.com \n\nWord Count: 346", + "page_start": 0, + "page_end": 0, + "source_file": "news4.pdf" + }, + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr \nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC \nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006) \n\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the \n\nland? On the interpretations, illustrations, and implications of artificial intelligence\".*Business*\n*Horizons*.**62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. \n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). \nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736). \n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) \n\nProposal for the modern version: Pennachin & Goertzel (2007) \nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy \n(2007), Beal & Winston (2009) \n5. Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with \nRLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task \nin simple text.[122][123] \n\nCurrent models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and \nLLaMA.[124] Multimodal GPT models can process different types of data (modalities) such as images, \nvideos, sound, and text.[125] \n\n**Hardware and software**\n\nIn the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific \nenhancements and used with specialized TensorFlow software had replaced previously used central \nprocessing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine \nlearning models' training.[126] Specialized programming languages such as Prolog were used in early AI \nresearch,[127] but general-purpose programming languages like Python have become predominant.[128] \n\nThe transistor density in integrated circuits has been observed to roughly double every 18 months—a \ntrend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it. \nImprovements in GPUs have been even faster.[129] \n\n**Applications**\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including: \nsearch engines (such as Google Search), targeting online advertisements, recommendation systems \n(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense, \nFacebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and \nself-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial \nrecognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used \nby Facebook, Apple's iPhoto and TikTok). 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Similarly to the legal status of companies, it would have conferred rights but also \nresponsibilities.[392] Critics argued in 2018 that granting rights to AI systems would downplay the \nimportance of human rights, and that legislation should focus on user needs rather than speculative \nfuturistic scenarios. They also noted that robots lacked the autonomy to take part to society on their \nown.[393][394] \n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI \nsentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot \nanalogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created \nand carelessly exploited.[390][389] \n\n**Superintelligence and the singularity**\n\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the \nbrightest and most gifted human mind.[379] If research into artificial general intelligence produced \nsufficiently intelligent software, it might be able to reprogram and improve itself. The improved software \nwould be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and \nVernor Vinge called a \"singularity\".[395] \n\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped \ncurve, slowing when they reach the physical limits of what the technology can do.[396] \n\n**Transhumanism**\n\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted \nthat humans and machines may merge in the future into cyborgs that are more capable and powerful than \neither. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert \nEttinger.[397]", + "page_start": 26, + "page_end": 26, + "source_file": "wikipedia3.pdf" + }, + { + "text": "McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for \n\nthe Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w \neb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). \nArchived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. \nhtml) on 26 August 2007. Retrieved 30 August 2007. \n\nMcCarthy, John (2007), \"From Here to Human-Level AI\",*Artificial Intelligence*, p. 171 \nMcCarthy, John (1999),*What is AI?*(http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde \nx.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi \ncial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved \n4 December 2022 \n\nMcCauley, Lee (2007). \"AI armageddon and the three laws of robotics\".*Ethics and Information*\n*Technology*.**9**(2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo \nc/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% \n2Fs10676-007-9138-2). 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Full Employment, Basic Income,*\n*and Economic Democracy*(https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \np. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 \n9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 \n39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), \narchived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper \ns.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023 \nMerkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, \nGraham (eds.).*Search Methodologies: Introductory Tutorials in Optimization and Decision*\n*Support Techniques*. Springer Science & Business Media. ISBN 978-1-4614-6940-7. \nMinsky, Marvin (1967),*Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: \n\nPrentice-Hall \n\nMoravec, Hans (1988).*Mind Children*(https://archive.org/details/mindchildrenfutu00mora). \n\nHarvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 \n0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 \nJuly 2020. Retrieved 18 November 2019. \n\nMorgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new \ns/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a \nnd-anxiety).*The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// \nwww.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une \nmployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved \n13 January 2018. \n\nMüller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among \nExperts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF).*AI Matters*.**1**(1): 9–11. \ndoi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). \nS2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. \narchive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) \nfrom the original on 15 January 2016.", + "page_start": 60, + "page_end": 60, + "source_file": "wikipedia3.pdf" + } + ] + }, + { + "references": { + "source_file": "news4.pdf", + "query": "Is the topic of finance trending among AI topics for 2015 in Canada?", + "target_page": 1, + "target_passage": "Financial services", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "**The top AI-powered tech trends in 2025**\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From \nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable. \n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and \npersonalization. \n\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological \nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors \n– also known as the brain of the computer – which optimizes performance, enhances security and \nprovides a more personalized experience as they learn from your usage patterns. For consumers, this \nmeans faster, smarter and more secure computing tailored to your individual needs. \n\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a \nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home \nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to \nsecurity and entertainment, making your home smarter and more responsive than ever before. \n\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications \ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and \nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, \nhelping individuals make informed decisions about their well-being. \n\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage \nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud \ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify \ntrends and make more informed financial decisions. \n\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each \nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students \nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative \ntasks and providing insights into student performance, allowing for more focused and effective \nteaching. \n\nLearn more at intel.com/aipc. \n\nwww.newscanada.com \n\nWord Count: 346", + "page_start": 0, + "page_end": 0, + "source_file": "news4.pdf" + }, + { + "text": "| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|\n| | | | MENU | SEARCH | ARTICLES | RADIO | VIDEO | EN | | | |\n| | | | | | | | | | EN | | |\n| | | | | | | | | | | | |\n| + R el ated P o sts + Ter m s o f Use EDITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | + R el ated P o sts + Ter m s o f Use DITOR'S PICKS Have your say! Complete our Retrain your way to a new job The top AI-powered tech trends 2025 Media Survey in 2025 | | | | | | | | | | |\n| | | + R el ated P o sts | | | | | | | | | |\n| | | + Ter m s o f Use | | | | | | | | | |\n| News Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved. | | | | | | | | | | | |", + "page_start": 1, + "page_end": 1, + "source_file": "news4.pdf" + }, + { + "text": "160. Alex McFarland:*7 Best AI for Math Tools.*(https://www.unite.ai/best-ai-for-math-tools/) \n\nArchived (https://web.archive.org/web/20240911125615/https://www.unite.ai/best-ai-for-mat \nh-tools/) 11 September 2024 at the Wayback Machine unite.ai. Retrieved 2024-08-07 \n161. Matthew Finio & Amanda Downie: IBM Think 2024 Primer, \"What is Artificial Intelligence (AI) \n\nin Finance?\" 8 Dec. 2023 \n\n162. M. Nicolas, J. Firzli: Pensions Age/European Pensions magazine, \"Artificial Intelligence: Ask \n\nthe Industry\" May June 2024 https://videovoice.org/ai-in-finance-innovation- \nentrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence-act-wont-work-as- \nintended/ Archived (https://web.archive.org/web/20240911125502/https://videovoice.org/ai-i \nn-finance-innovation-entrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence- \nact-wont-work-as-intended/) 11 September 2024 at the Wayback Machine. \n\n163. Congressional Research Service (2019).*Artificial Intelligence and National Security*(https://f \n\nas.org/sgp/crs/natsec/R45178.pdf) (PDF). Washington, DC: Congressional Research \nService.PD-notice \n\n164. Slyusar, Vadym (2019). Artificial intelligence as the basis of future control networks \n\n(Preprint). doi:10.13140/RG.2.2.30247.50087 (https://doi.org/10.13140%2FRG.2.2.30247.5 \n0087). \n\n165. Iraqi, Amjad (3 April 2024). \" 'Lavender': The AI machine directing Israel's bombing spree in \n\nGaza\" (https://www.972mag.com/lavender-ai-israeli-army-gaza/).*+972 Magazine*. Retrieved \n6 April 2024. \n\n166. Davies, Harry; McKernan, Bethan; Sabbagh, Dan (1 December 2023). \" 'The Gospel': how \n\nIsrael uses AI to select bombing targets in Gaza\" (https://www.theguardian.com/world/2023/ \ndec/01/the-gospel-how-israel-uses-ai-to-select-bombing-targets).*The Guardian*. Retrieved \n4 December 2023. \n\ndoch sie sind empfindlich auf Störsender – deshalb sollen sie jetzt autonom operieren\" (http \ns://www.nzz.ch/international/die-ukraine-setzt-auf-drohnen-die-autonom-navigieren-und-toet \nen-koennen-ld.1838731).*Neue Zürcher Zeitung*(in German). Retrieved 10 August 2024. \n168. Newsom, Gavin; Weber, Shirley N. (6 September 2023). \"Executive Order N-12-23\" (https:// \nwww.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-_-GGN-Signed.pdf) (PDF). \nExecutive Department, State of California. Archived (https://web.archive.org/web/202402212 \n22035/https://www.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-_-GGN-Signed.pd \nf) (PDF) from the original on 21 February 2024. Retrieved 7 September 2023. \n169. Pinaya, Walter H. L.; Graham, Mark S.; Kerfoot, Eric; Tudosiu, Petru-Daniel; Dafflon, \n\nJessica; Fernandez, Virginia; Sanchez, Pedro; Wolleb, Julia; da Costa, Pedro F.; Patel, \nAshay (2023). \"Generative AI for Medical Imaging: extending the MONAI Framework\". \narXiv:2307.15208 (https://arxiv.org/abs/2307.15208) [eess.IV (https://arxiv.org/archive/eess.I \nV)]. \n\n170. Griffith, Erin; Metz, Cade (27 January 2023). \"Anthropic Said to Be Closing In on $300 \n\nMillion in New A.I. Funding\" (https://www.nytimes.com/2023/01/27/technology/anthropic-ai-fu \nnding.html).*The New York Times*. Archived (https://web.archive.org/web/20231209074235/h \nttps://www.nytimes.com/2023/01/27/technology/anthropic-ai-funding.html) from the original \non 9 December 2023. Retrieved 14 March 2023. \n\n171. Lanxon, Nate; Bass, Dina; Davalos, Jackie (10 March 2023). \"A Cheat Sheet to AI \n\nBuzzwords and Their Meanings\" (https://news.bloomberglaw.com/tech-and-telecom-law/a-c \nheat-sheet-to-ai-buzzwords-and-their-meanings-quicktake).*Bloomberg News*. Archived (http \ns://web.archive.org/web/20231117140835/https://news.bloomberglaw.com/tech-and-telecom \n-law/a-cheat-sheet-to-ai-buzzwords-and-their-meanings-quicktake) from the original on 17 \nNovember 2023. Retrieved 14 March 2023.", + "page_start": 38, + "page_end": 38, + "source_file": "wikipedia3.pdf" + }, + { + "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent \nmental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt \nthat this approach would be able to imitate all the processes of human cognition, especially perception, \nrobotics, learning and pattern recognition,[335] and began to look into \"sub-symbolic\" approaches.[336] \nRodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that \nmove and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete \nand uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most \nimportant development was the revival of \"connectionism\", including neural network research, by \nGeoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural \nnetworks can recognize handwritten digits, the first of many successful applications of neural \nnetworks.[343] \n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal \nmathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" \nfocus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, \neconomics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely \nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as \nthe AI effect).[345] However, several academic researchers became concerned that AI was no longer \npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they \nfounded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded \ninstitutions by the 2010s.[4] \n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11] \nFor many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both \nhardware improvements (faster computers,[347] graphics processing units, cloud computing[348]) and \naccess to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's \nsuccess led to an enormous increase in interest and funding in AI.[z] The amount of machine learning \nresearch (measured by total publications) increased by 50% in the years 2015–2019.[306] \n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine \nlearning conferences, publications vastly increased, funding became available, and many researchers re- \nfocussed their careers on these issues. The alignment problem became a serious field of academic \nstudy.[283] \n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous \ninterest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program \ntaught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was \nreleased in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT, \nlaunched on November 30, 2022, became the fastest-growing consumer software application in history, \ngaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout \nyear, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI \nboom, where large companies began investing billions of dollars in AI research. According to AI Impacts, \nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", + "page_start": 22, + "page_end": 22, + "source_file": "wikipedia3.pdf" + }, + { + "text": "200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 \n6/big-tech-and-the-pursuit-of-ai-dominance).*The Economist*. 26 March 2023. 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Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to \n\nFeed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s \nays-nuclear-power-an-option-to-feed-data-centers).*Bloomberg*.", + "page_start": 41, + "page_end": 41, + "source_file": "wikipedia3.pdf" + }, + { + "text": "November 2023. \n\n124. \"AI Writing and Content Creation Tools\" (https://mitsloanedtech.mit.edu/ai/tools/writing). MIT \nSloan Teaching & Learning Technologies. Archived (https://web.archive.org/web/202312252 \n32503/https://mitsloanedtech.mit.edu/ai/tools/writing/) from the original on 25 December \n2023. Retrieved 25 December 2023. \n\n125. Marmouyet (2023). \n126. Kobielus (2019). \n127. Thomason, James (21 May 2024). \"Mojo Rising: The resurgence of AI-first programming \n\nlanguages\" (https://venturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-l \nanguages).*VentureBeat*. Archived (https://web.archive.org/web/20240627143853/https://ve \nnturebeat.com/ai/mojo-rising-the-resurgence-of-ai-first-programming-languages/) from the \noriginal on 27 June 2024. Retrieved 26 May 2024. \n\n128. Wodecki, Ben (5 May 2023). \"7 AI Programming Languages You Need to Know\" (https://aibu \n\nsiness.com/verticals/7-ai-programming-languages-you-need-to-know).*AI Business*. \nArchived (https://web.archive.org/web/20240725164443/https://aibusiness.com/verticals/7-ai \n-programming-languages-you-need-to-know) from the original on 25 July 2024. Retrieved \n5 October 2024. \n\n129. Plumb, Taryn (18 September 2024). \"Why Jensen Huang and Marc Benioff see 'gigantic' \n\nopportunity for agentic AI\" (https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-s \nee-gigantic-opportunity-for-agentic-ai/).*VentureBeat*. Archived (https://web.archive.org/web/ \n20241005165649/https://venturebeat.com/ai/why-jensen-huang-and-marc-benioff-see-gigan \ntic-opportunity-for-agentic-ai/) from the original on 5 October 2024. Retrieved 4 October \n2024. \n\n130. Davenport, T; Kalakota, R (June 2019). \"The potential for artificial intelligence in healthcare\" \n\n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181).*Future Healthc J*.**6**(2): 94–98. \ndoi:10.7861/futurehosp.6-2-94 (https://doi.org/10.7861%2Ffuturehosp.6-2-94). \nPMC 6616181 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6616181). PMID 31363513 \n(https://pubmed.ncbi.nlm.nih.gov/31363513).", + "page_start": 34, + "page_end": 34, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**Item 7A. Quantitative and Qualitative Disclosures About Market Risk.**\nDollars in millions \n\n**INTEREST RATE RISK**\nWe are exposed to interest rate risk primarily from changes in short-term interest rates. As of January 31, 2015, we had cash and cash \nequivalents of $827, which generate interest income at variable rates, and gross credit card receivables of $2,284, which generate finance \ncharge income at a combination of fixed and variable rates. Interest rate fluctuations can affect our interest income, credit card revenues and \ninterest expense. See Note 3: Accounts Receivable in Item 8: Financial Statements and Supplementary Data for additional information. \n\nWe use sensitivity analyses to measure and assess our interest rate risk exposure. For purposes of presenting the potential earnings effect \nof a reasonably possible hypothetical change in interest rates from our reporting date, we utilized two sensitivity scenarios: (i) linear growth of \napproximately 225 basis points over the year and (ii) linear decline of approximately 15 basis points over the year, due to the fact that current \ninterest rates are near historically low levels. Other key parameters and assumptions in our sensitivity analyses include the average cash and \ncash equivalents balance, average credit card receivables balance and no new floating rate debt. The first hypothetical scenario would result \nin an approximate $15 increase in future earnings, while the second hypothetical scenario would not have a material effect on future \nearnings. \n\nFor our long-term fixed-rate debt of $3,131, our exposure to interest rate risk is limited to changes in the fair value of our debt. As our debt is \nprimarily fixed-rate, changes in interest rates do not impact our cash flows. However, changes in interest rates increase or decrease the fair \nvalue of our debt, depending on whether market rates are lower or higher than our fixed-rates. As of January 31, 2015, the fair value of our \nfixed-rate debt was $3,693. See Note 8: Debt and Credit Facilities and Note 9: Fair Value Measurements in Item 8: Financial Statements and \nSupplementary Data for additional information. \n\n**FOREIGN CURRENCY EXCHANGE RISK**\nThe majority of our revenues, expenses and capital expenditures are transacted in U.S. Dollars. Our U.S. operation periodically enters into \nmerchandise purchase orders denominated in British Pounds or Euros. From time to time, we may use forward contracts to hedge against \nfluctuations in foreign currency prices. As of January 31, 2015, our outstanding forward contracts did not have a material impact on our \nconsolidated financial statements. \n\nAs of January 31, 2015, we have opened one full-line store in Canada and have announced plans to open five additional full-line stores in \nCanada over the next few years. The functional currency of our Canadian operations is the Canadian Dollar. We translate assets and \nliabilities into U.S. Dollars using the exchange rate in effect at the balance sheet date, while we translate revenues and expenses using a \nweighted-average exchange rate for the period. We record these translation adjustments as a component of accumulated other \ncomprehensive loss on the Consolidated Balance Sheets in Item 8: Financial Statements and Supplementary Data. Our Canadian operations \nenter into merchandise purchase orders denominated in U.S. Dollars for approximately half of its inventory. As sales in Canada are \ndenominated in the Canadian Dollar, gross profit for our Canadian operations can be impacted by foreign currency fluctuations.", + "page_start": 46, + "page_end": 46, + "source_file": "NYSE_JWN_2014.pdf" + }, + { + "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h \nttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF),*Global Catastrophic Risks*, Oxford \nUniversity Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20 \n08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc \ne.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved \n24 September 2021 \n\n**Further reading**\n\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace \n\nAutomation\" (2015) 29(3)*Journal of Economic Perspectives*3. \n\nBerlinski, David (2000).*The Advent of the Algorithm*(https://archive.org/details/adventofalgorith \n0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world \ncat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch \nive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved \n22 August 2020. \n\nBoyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585 \n\n9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024. \n\nCukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\",*Foreign Affairs*, vol. \n98, no. 4 (July/August 2019), pp. 192–198. George Dyson, historian of computing, writes (in \nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable \nwill not be complicated enough to behave intelligently, while any system complicated \nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer \nscientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core, \ndead simple stupid. They work, but they work by brute force.\" (p. 198.) \n\nEvans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/ \n\n10.5209%2Frev_TK.2015.v12.n2.49072).*Teknokultura*.**12**(2). \ndoi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49 \n072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763). \n\nFrank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the \n\n21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli \ngence-can-shape-the-21st-century-global-order).*The Diplomat*. Archived (https://web.archiv \ne.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli \ngence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024. \nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of \ndominance that the rest of the world views with a mixture of awe, envy, and resentment: \nartificial intelligence... From AI models and research to cloud computing and venture capital, \nU.S. companies, universities, and research labs – and their affiliates in allied countries – \nappear to have an enormous lead in both developing cutting-edge AI and commercializing it. \nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the \nworld combined.\" \n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I. \nchatbots to get their facts right — without destroying itself in the process?\"*New York Times*\n*Magazine*(July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia- \nai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime \ns.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback \nMachine", + "page_start": 66, + "page_end": 66, + "source_file": "wikipedia3.pdf" + }, + { + "text": "**References**\n\n1. Russell & Norvig (2021), pp. 1–4. \n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr \nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC \nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006) \n\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the \n\nland? On the interpretations, illustrations, and implications of artificial intelligence\".*Business*\n*Horizons*.**62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. \n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). \nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736). \n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) \n\nProposal for the modern version: Pennachin & Goertzel (2007) \nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy \n(2007), Beal & Winston (2009) \n5. Russell & Norvig (2021, §1.2). \n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC \n\n(1999, pp. 200–201) \nThe proposal: McCarthy et al. (1955) \n\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– \n\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21) \n\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), \n\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative \n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), \nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248) \n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell \n\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, \npp. 189–201) \n\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier \n\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318) \n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), \n\nMcKinsey (2018) \n\n12. Toews (2023). \n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, \n\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & \nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, \nchpt. 7–12)", + "page_start": 30, + "page_end": 30, + "source_file": "wikipedia3.pdf" + }, + { + "text": "(cid:129) using asset allocation and diversification strategies, and \n(cid:129) purchasing annuities from time to time. \nAccrued benefit obligations, December 31 **$ 1,209** $ 1,167 \n\nThe table below shows the effect of the asset ceiling for the years \nended December 31, 2013 and 2012. \n**2013** 2012 \n\n**$**\n**–**\n**–**\n$ \n– \n– \n\nThe funded pension plans are registered with the Office of \nthe \nSuperintendent of Financial Institutions and are subject to the Federal \nPension Benefits Standards Act. The plans are also registered with the \nCanada Revenue Agency and are subject to the Canada Income Tax \nAct. The benefits provided under the plans and the contributions to the \nplans are funded and administered in accordance with all applicable \nlegislation and regulations. \nAsset ceiling, January 1 \nInterest income \nRemeasurements, change in asset ceiling (excluding interest \nincome) recognized in comprehensive income and equity \nEffect of changes in foreign exchange rates \n\nSignificant estimates are involved in determining pension related \nbalances. Actuarial estimates are based on projections of employees’ \ncompensation levels at the time of retirement. Maximum retirement \nbenefits are primarily based on career average earnings, subject to \ncertain adjustments. The most \nrecent actuarial valuations were \ncompleted as at January 1, 2013. \n\nAsset ceiling, December 31 \n\n**(9)**\n**–** – \n– \n\n**$ (9)** $ – \n\nPlan assets are comprised mainly of pooled funds that invest in common \nstocks and bonds that are traded in an active market. The table below \nshows the fair value of the total pension plan assets by major category \nfor the years ended December 31, 2013 and 2012. \n**2013** 2012 \n\nEquity securities \nDebt securities \nOther – cash \n\n**$**\n\n**631**\n**403**\n**3** $ 480 \n348 \n5 \n\nTotal fair value of plan assets **$ 1,037** $ 833", + "page_start": 121, + "page_end": 121, + "source_file": "NYSE_RCI_2013.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_CHK_2010.pdf", + "query": "Is there any chance that my cousin has been granted financial aid from Chesapeak Energy? He's studying at a college in Oklahoma.", + "target_page": 26, + "target_passage": "hat’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "gas and the lines of interested candidates often extend out the door. reducing the country’s dependence on expensive foreign oil. Chesapeake also makes contributions that help improve lives and Educational Impact economies in cities where we operate: $25 million in 2010 alone. For ex- We are also proud to help prepare tomorrow’s leaders today. In 2010 ample, this past year we donated $200,000 to establish the Chesapeake Chesapeake supported universities, schools, academic chairs, scholarships Environmental and Recycling Center at Goodwill Industries of Central and other educational programs with contributions totaling $5.4 million. Oklahoma. The center will provide an additional 80 jobs to disabled Okla- Investing in programs that promote technology and innovation is a homans, as well as help Goodwill recycle 10 million pounds a year, which key to our country’s success. That’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM), a public, tuition-free, residential high Chesapeake’s $25 million school located in Oklahoma City for juniors and seniors with exceptional of charitable giving in 2010 abilities. The extremely competitive school is helping train the next gen- eration of scientists and mathematicians. 15% Community Development We also established the Chesapeake Energy Presidential Scholars Pro- 7% Education gram at the Oklahoma City University Meinders School of Business, making Health and Medical 54% a $5.0 million commitment to be distributed over the next fvie years. The Social Services 24% Chesapeake Scholars Program will provide up to $25,000 per year in tuition |", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "the environment through the greater use of clean-burning natural gas and the lines of interested candidates often extend out the door.\nreducing the country’s dependence on expensive foreign oil.\nChesapeake also makes contributions that help improve lives and Educational Impact\neconomies in cities where we operate: $25 million in 2010 alone. For ex- We are also proud to help prepare tomorrow’s leaders today. In 2010\nample, this past year we donated $200,000 to establish the Chesapeake Chesapeake supported universities, schools, academic chairs, scholarships\nEnvironmental and Recycling Center at Goodwill Industries of Central and other educational programs with contributions totaling $5.4 million.\nOklahoma. The center will provide an additional 80 jobs to disabled Okla- Investing in programs that promote technology and innovation is a\nhomans, as well as help Goodwill recycle 10 million pounds a year, which key to our country’s success. That’s why we gave $1.0 million to establish\nthe Chesapeake Energy dormitory for students at the Oklahoma School for\nScience and Mathematics (OSSM), a public, tuition-free, residential high\nChesapeake’s $25 million school located in Oklahoma City for juniors and seniors with exceptional\nof charitable giving in 2010 abilities. The extremely competitive school is helping train the next gen-\neration of scientists and mathematicians.\n15%\nCommunity Development We also established the Chesapeake Energy Presidential Scholars Pro-\n7%\nEducation gram at the Oklahoma City University Meinders School of Business, making\nHealth and Medical 54% a $5.0 million commitment to be distributed over the next fvie years. The\nSocial Services 24%\nChesapeake Scholars Program will provide up to $25,000 per year in tuition |\n|---|---|", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Doing the right thing \n\nAt Killam we are investing in our communities, as \nwell as our real estate. We believe that giving back \nto the community is an important part of being a \nresponsible corporate citizen. \n\n**Support**\n**the IWK and**\n**Win Free**\n**Rent for a**\n**Year!**\n\n**Supporting Killam Families with**\n**Scholarship program**\nKillam’s Scholarship Program awards three $3,000 \nscholarships to children or grandchildren of Killam \nemployees on an annual basis. After a competitive \napplication process in 2013, Bradley Price, Hayley \nGillis and Georgia Telman were selected for \ndemonstrating an outstanding combination of \nacademic excellence and community involvement. \n\n**Home away from Home**\nOn an annual basis, Killam donates six fully furnished \napartments to hospitals in Halifax, Saint John, \nMoncton, Fredericton and Charlottetown. These \nunits are used by families of patients who need to \ntravel away from home for health care. \n\n**red Cross**\nKillam has partnered with the Red Cross in many \nof its core markets. The Red Cross is on hand to \nhelp when emergencies and disasters impact \ncommunities. Over the last six years, Killam has \nprovided the Red Cross with financial assistance to \nfund their operations. In return, the Red Cross has \nprovided emergency training to Killam staff, helping \nus react effectively to emergencies when required. \n\n\nphoto: wildfl owerphoto.ca \n\nmeet ezekiel and his big sister. \nHe is currently receiving medical \ncare at the iWK. \n\nin support of children like ezekiel, \nwe are having a \n**Caring for Kids Lott ery**\nto raise funds for the iWK. \n\nEach $20 ti cket off ers you \na chance to \n**win free rent for a year!**\nPurchase ti ckets before November \n30. the draw date is monday, \nDecember 2, 2013. \n\nall current residents of \nKillam Properti es in Nova Scoti a \nare eligible to parti cipate. \n\n**Visit**\n**killamforkids.eventbrite.com**\n**or ask your Resident Manager.**\n\nAll proceeds will benefi t the \nIWK Health Centre Foundati on \nand pati ents like Ezekiel. \n\n**Supporting Higher education in**\n**atlantic Canada**\nOn an annual basis, Killam’s board of directors \njoin together to support a common charity or \norganization. During 2013 the board members \ntogether donated $100,000 to establish an \nendowment at Mount Allison University in \nSackville, New Brunswick, providing an annual \nentrance scholarship to the university. Previous \n$100,000 board donations supported the Boys \nand Girls Clubs of Prince Edward Island, the YMCA \nof Greater Halifax/Dartmouth and Saint Mary’s \nUniversity in Halifax. \n\nkillamproperti es.com | tsx: kmp \nLottery License # AGD231844 \n\n**Caring for Kids**\nDuring 2013 Killam organized the Caring for Kids Lottery, a \nfundraiser in support of the IWK Health Centre in Halifax. The IWK \nHealth Centre provides quality medical care to women, children, \nyouth and families in the Maritime provinces. Killam tenants \nsupported the cause through the purchase of lottery tickets for the \nchance to win free rent for a year. All funds raised went directly to \nthe IWK Foundation.", + "page_start": 19, + "page_end": 19, + "source_file": "TSX_KMP_2013.pdf" + }, + { + "text": "**14**| LETTER TO SHAREHOLDERS \n\n*Rig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a*\n*series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.*\n\nI am pleased to report that we have apparently finally convinced \nPresident Barack Obama and Congressional leadership to recognize that \nthe energy path America is on today is completely unsustainable. There \nappears to be growing recognition that it is spectacularly dangerous for \nAmerica to continue importing 9 million barrels of oil per day and exporting more than $1 billion per day in national wealth to oil exporting countries. \nAmerica’s undiminished appetite for foreign oil has created the larg- \nest wealth transfer in the history of the world. The political leadership \nin Washington, D.C., has not seemed overly concerned about this issue \nuntil recently. However, after President Obama’s recent speech calling \n\n(1) \n\n Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling \nand net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to \ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. \n A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated \nin accordance with generally accepted accounting principles. \n• Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage- \n\n(2) \n\nment believes affect the comparability of operating results. \n\n• Operating cash flow is cash provided by operating activities before changes in assets and liabilities. \n• Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management \nbelieves affect the comparability of operating results. \n(3) \n FORTUNE 100 Best Companies to Work For® listed in the magazine’s February 7, 2011 issue.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "to selected students pursuing careers in finance, economics, accounting, \nmarketing, business administration, computer science and information \ntechnology. In addition, scholars will take part in a Chesapeake Presiden- \ntial Leadership Course facilitated by faculty members in coordination with \ndesignated Chesapeake leadership coaches, including a Chesapeake senior \nvice president and OCU alumni. \n\nvolunteer program in which employees roll up their sleeves in the com- \nmunities they call home. \n\nChesapeake’s contributions take many forms: financial and equipment \ndonations, volunteerism and scholarships. Last year, we made numerous \nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and \nsubsidized office space. These contributions provide essential operating \ntools as nonprofit organizations across the nation attempt to serve more \npeople — often with lower budgets — in tough economic times. \n\nFor example, in Louisiana we donated 12 vehicles in 2010, including \none to the Panola College Oil and Natural Gas Technology Program, which \nteaches students about the natural gas industry and provides them with \nhands-on technical training. Across many of the company’s operating \nareas, we’ve donated computers to deserving students, schools and \norganizations through Chesapeake’s Discovering Tomorrow’s Leaders \nprogram. In 2010 the company equipped 14 students with laptops and \ndonated 70 computers to schools or supporting nonprofit organizations. \n\nIn 2007 Chesapeake launched a scholarship program in Texas with an \ninitial $1.25 million contribution, challenging the cities of Fort Worth and Dal- \nlas to match its gift within a year. The cities responded and matched the gift, \nso Chesapeake in 2008 added another $1.25 million to the fund, bringing the \ntotal to $3.75 million. The Chesapeake Scholarship Fund currently funds the \ncost of higher education for 48 minority students. The fund provides each \nstudent $20,000 a year for up to four years at the school of their choice. To \ndate more than $1.0 million has been distributed to deserving local students. \nTo help ensure the training of qualified geologists, engineers, land- \nmen and energy lawyers in the next generation, we award scholarships \nto students pursuing energy-related degrees. We also help mentor them \nthrough Chesapeake’s Peak Program. Junior- and senior-level scholarship \nrecipients are paired with Chesapeake employee mentors who help devel- \nop students’ knowledge and provide career advice. There are currently 25 \nmentors and 40 scholarship recipients participating in the Peak Program. \n\nChesapeake partners with other companies and organizations to meet \nbasic, practical needs in hundreds of communities. An example is our \n\n\n\nOur recruiting team also initiated a strategic military recruitment \neffort during the past two years to hire former military personnel to \nwork in a variety of leadership and crew positions. This effort earned \nChesapeake an honor from G.I. JOBS magazine when we were named a \n2011 Top 100 Military-Friendly Employer. Chesapeake currently employs \n37 men and women who formerly served as junior military officers and \nmore than 100 former servicemen and servicewomen who joined the \ncompany through a program called Troops 2 Roughnecks. \n\nIn addition to our specific scholarship programs, one-time educational \ndonations and recruitment efforts, in 2010 we gave more than $1.8 million \nto fund higher education for nearly 400 other students in 12 states through \nour Chesapeake Scholars program. Chesapeake’s scholarships help recruit \nthe best and brightest students and provide educational opportunities in \ncommunities where we operate. In Oklahoma City, more than 400 em- \nployees volunteer for up to an hour a week on company time at four local \npublic schools. Chesapeake’s program has grown to become the largest \ncorporate mentoring program in Oklahoma.", + "page_start": 26, + "page_end": 26, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "in cash and drilling carries. This was CNOOC’s second investment with \nChesapeake and its second investment in the U.S. onshore E&P industry. \nWe are currently drilling with five rigs in this play and expect to acceler- \nate our drilling to 15 rigs by year-end 2013. We believe our leasehold \nposition could support the drilling of up to 7,600 additional net wells. \n\nthe company. We have acquired approximately 600,000 net leasehold \nacres prospective for these plays and have drilled 75 net wells to date. \nWe are currently using eight rigs and believe our leasehold could sup- \nport the drilling of up to an additional 3,700 net wells. \n\nThe Mississippian fractured carbonate is primarily an oil play and is \nlocated on the Anadarko Basin shelf of northern Oklahoma and southern \nKansas. We have acquired approximately 900,000 net leasehold acres \nprospective for this play and have drilled 40 net wells to date. We are \ncurrently using four rigs and believe our leasehold could support the \ndrilling of up to an additional 6,000 net wells. This is an area where we \nanticipate bringing in a joint venture partner later in 2011 or in early 2012. \n\nCleveland, Tonkawa and Mississippian Plays — These three liquids-rich \nplays of the Anadarko Basin should become significant contributors to \nour growth in the years ahead. The Cleveland and Tonkawa plays are \ntight sandstones located in western Oklahoma and the eastern Texas \nPanhandle, and they provide returns that are some of the very best in \n\nBone Spring, Avalon, Wolfcamp and Wolfberry Plays — These four \nliquids-rich plays of the Permian Basin should also become significant \ncontributors to our growth in the years ahead. To date, we have acquired \napproximately 560,000 net leasehold acres that we believe are prospec- \ntive for these plays and have drilled 155 net wells. We are currently using \neight rigs and believe our leasehold could support the drilling of up to \nan additional 4,400 net wells. \n\n**Fracking Operations Transparency**\n\nNatural gas and oil operations continue to grow and ex- \n\npand across the country as vast new resources are un- \n\nlocked through the process of hydraulic fracturing, or \n\n“fracking,” a proven technology that has been used safely \n\nand successfully in the completion of more than 1 million \n\nU.S. wells since 1949. \n\nUtica Shale — Chesapeake has high hopes for this emerging shale play \nin eastern Ohio, especially because it would become the fourth large \nunconventional play (along with the Haynesville and Bossier shales \nand the Mississippian carbonate) that Chesapeake has discovered. In \naddition, we believe the play will have three distinct components (oil, \n\n\n\nDuring the fracking process, a mixture of approximately \n\n99% water and sand, combined with a small amount of \n\nchemical additives, is pumped at high pressure into a \n\ntargeted formation to create small fissures or fractures in \n\nthe surrounding rock or shale. These fractures are \n\nkept propped open by the sand to allow the natural \n\ngas or oil to freely flow into a wellbore. \n\nIn our continuing efforts to educate the public and \n\nalleviate common misconceptions about hydraulic \n\nfracturing, Chesapeake became one of the first \n\nenergy companies to disclose the additives used \n\nin the process. We are actively participating in a \n\nnational, publicly accessible web-based registry \n\ndeveloped by the Ground Water Protection Council \n\nand the Interstate Oil and Gas Compact Commission, \n\nwith support of the U.S. Department of Energy. The \n\nregistry allows for fracking additives to be reported \n\non a well-by-well basis and offers public access to \n\nthat material on its website. Chesapeake began \n\nloading well completion data onto the registry on \n\nFebruary 15, 2011, for wells where completion reports \n\nhave been filed with the appropriate state agencies. \n\nTo view the listings and learn more about the fracking \n\nprocess, the additives used and measures taken to protect", + "page_start": 12, + "page_end": 12, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "(cid:3)**PLANCO organized some 5,000**\n**instructional seminars in 2001.**\n**Brian Taggart, regional marketing**\n**director, center, educates banks’**\n**customer service specialists and**\n**branch-based advisors about The**\n\n**Hartford’s variable annuities and**\n**mutual funds. The sessions give**\n**them the knowledge and confi-**\n**dence to sell The Hartford’s prod-**\n**ucts or refer potential customers**\n**to banks’ financial advisors.**\n\n(cid:5) H**usband-and-wife team Mike**\n**and Debbie Brown, senior vice**\n**president and vice president of**\n**UBS PaineWebber in Chattanooga,**\n**Tenn., left, like to cultivate relation-**\n**ships with investors such as Mac**\n\n**and Teresa Dean. One thing that**\n**strengthens their bonds is that**\n**the Browns don’t ask clients to**\n**do anything they wouldn’t do.**\n**“My own family’s money is with**\n\n**The Hartford,” Mike Brown says.**\n**The Browns share equally close**\n**relationships with the PLANCO**\n**wholesalers who support them.**", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_HIG_2001.pdf" + }, + { + "text": "**6**| LETTER TO SHAREHOLDERS \n\nvs. an asset gatherer — namely, lower debt and higher returns on capi- \ntal. The market has received this plan with favor to date as our stock \nprice is already up 30% in the first quarter of 2011. In addition, having \nrecently closed the sale of our Fayetteville Shale assets to BHP Billiton \nand recently initiated tender offers for repayment of at least $2.0 billion \nof our long-term debt, we are already close to accomplishing the 25% \nlong-term debt reduction portion of our 25/25 Plan. Now we will focus \non delivering the other part of the equation, 25% growth in production \nby year-end 2012. \n\nfactories can run in harvest mode for decades to come, which hopefully \ncan lead to a $100 stock price by year-end 2015. Again, this would be a \nvery considerable achievement, but your management team enjoys big \nchallenges and we look forward to discussing it further with you in the \nquarters ahead. \n\n**Great Assets = A Great Future**\nThe very significant upward trajectory of value creation that Chesapeake \nis on today is primarily driven by the quality of our assets, which feature \ndominant positions in 16 of the 20 most important major unconvention- \nal natural gas and liquids plays in the U.S. — the Barnett, Haynesville, \nBossier, Marcellus, Eagle Ford, Pearsall, Niobrara and Utica shales \nand the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, \nAvalon, Wolfcamp and Wolfberry tight sands and fractured carbonates. \nHaving only missed the Bakken Shale play in the Williston Basin, having \npassed on the Cana Shale play in Oklahoma and having sold out of \nthe Woodford and Fayetteville shale plays in Oklahoma and Arkansas \n(for overall value creation of $5.4 billion), Chesapeake’s unrivaled posi- \ntion in the 16 other major U.S. unconventional plays is remarkable and \nunprecedented and should form the foundation of further substantial \nvalue creation for Chesapeake’s shareholders for decades to come. \n\nBeyond the next two years, there will be many other benefits of the \nthree-way transition we began in 2010. In fact, we are increasingly con- \nfident that we can double our cash flow and net income by year-end \n2015. By accomplishing these goals and also having our historic trading \nmultiples expand a bit, we are hopeful that we can achieve a $100 stock \nprice by year-end 2015, perhaps creating the need for a “100/15” plan in \nthe process! Clearly it would be an ambitious goal, and to achieve it we \nwill need the world’s economy to continue growing, China and other \nemerging economies to continue their rapidly growing thirst for oil and \nnatural gas, our new plays to meet expectations, oil prices to remain \nstrong and natural gas prices not to weaken from where they are today. \nHowever, Chesapeake’s growth from here on will be very mechanical \nwith our “factories” (meaning both our individual wells and our large \nplays) needing only four inputs for success: land, science, people and \ncapital. We now have gathered enough of these four inputs so that our \n\nThe gathering of these assets has been hard work for our employ- \nees and management team, and during 2010 it stretched our balance \nsheet and tested the patience of some of our shareholders. What is \nclear now, however, is that we have created a tremen- \ndous storehouse of value and an abundance of oppor- \ntunities for bountiful harvests for years to come for our \nshareholders. \n\n\n\nGiven the importance of these 16 unconventional \nplays, I have provided below a brief summary of our posi- \ntion in each of them:", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "*Putting food on the table — Employees volunteer at the Regional Food Bank*\n*of Oklahoma as part of Operation Blue.*\n\nsponsorship of the annual Day of Caring at the Ganus Center of Harding \nUniversity in White County, Arkansas. During the event, approximately \n1,200 uninsured or underinsured residents received a day of free medical, \ndental and eye screenings. \n\nTo help cultivate an appreciation for the great outdoors, in 2010 \nChesapeake provided $25,000 to REAL School Gardens, a Fort Worth- \nbased organization that establishes gardens at approximately 70 lower \nincome elementary schools in North Texas. At I.M. Terrell Elementary \nSchool, students, parents, teachers and volunteers from Chesapeake and \nother groups worked together to prepare vegetable gardens and flower \nbeds. In addition to teamwork skills and gardening, students learned \nabout nutrition and took home food from the garden’s bounty. \n\n**Community Impact**\nChesapeake employees have been enriching their hometowns as volun- \nteers for many years. We formalized those efforts in 2009 by establishing \nan official employee volunteer program, the H.E.L.P. (Helping Energize \nLocal Progress) Initiative, wherein employees are invited to volunteer \neach month for a variety of organizations from food pantries to animal \nshelters. Through that program, employees donated more than 26,000 \nhours to their communities in 2009. \n\nWe supported servicemen and servicewomen by partnering with the \nShreveport Chapter of Operation Support Our Troops, Inc. Our contribution \nhelped offset the postage to send more than 100 care packages to troops \noverseas. The shipment was the largest in the organization’s history and \nincluded Christmas cards, games and nonperishable food items. \n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a \nhigher level through the launch of Operation Blue. From Memorial Day \nthrough Labor Day, each employee was given four hours of company time \nto complete the volunteer project of their choice. Our employees eagerly \naccepted the challenge, and in three months more than 4,900 employ- \nees donated 30,900 hours of service to 519 organizations in more than \n96 communities across the country. Operation Blue is now an annual By investing in the communities where we operate and the people \nwhose lives we touch, we ensure a stronger today and a more hope- \nful tomorrow.", + "page_start": 26, + "page_end": 26, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "***Financial Position***\n\nIn May 2014, the borrowing capacity under our credit facilities increased from an aggregate of $63 million to $135 million. The \nincrease in the borrowing capacity was driven by the significant uplift of the Company’s proved oil and gas reserves as at 31 \nDecember 2013. In conjunction with the increase in the Company’s borrowing capacity, the Company expanded the syndicate \nof banks under the Senior Credit Facility. Bank of America Merrill Lynch and the Bank of Nova Scotia have now joined the bank \ngroup which is led by Wells Fargo. \n\nIn July 2014, the borrowing capacity increased an additional net $10 million, to $145 million, after taking into consideration \nthe removal of proved oil and gas reserves associated with the DJ and Williston Basin dispositions and the development of \nproved oil and gas reserves in the Eagle Ford Formation. \n\nAt 31 December 2014, the Company had $130 million outstanding under our credit facilities and $15 million available under \nour borrowing capacity. Ending cash at 31 December 2014 was $69.2 million. \n\n***Cashflow***\n\nCash provided by operating activities for the year ended 31 December 2014 increased 104.5% to $128.1 million compared to \nthe prior year. This increase was primarily due to receipts from sales increasing $85.7 million, or 101.2%, to $170.4 million, \nwhile keeping payments to suppliers and employees relatively stable with an increase of $8.2 million, or 37.7%, to $30.0 million. \nSee Review of Operations for more information. \n\nCash used in investing activities for the year ended 31 December 2014 increased $158.9 million, or 96.7%, to $323.2 million. \nThis increase is due to successful implementation of the Company’s strategy to develop and grow the reserves from our high \nworking interest, repeatable resource plays, primarily in the Eagle Ford. Due to funding available to the Company through \nasset sales, capital raises and credit facilities, the Company was able to accelerate its 2015 drilling program into 2014. However, \ndue to the reduction in crude oil prices in the fourth quarter of 2014 and continuing into early 2015, the Company will scale \nback its drilling program to concentrate on limited drilling obligations to hold Eagle Ford acreage during the 2015 year. \n\nCash provided by financing activities for the year ended 31 December 2014 increased $123.1 million, or 277.0%, to $167.6 \nmillion. This increase is a result of the increased availability and draws under the Company’s credit facilities and proceeds \nreceived in a private placement of shares. In February 2014, the Company completed a private placement in which we sold \n84.2 million ordinary shares at A$0.95 per share, resulting in net proceeds of approximately $68.4 million. The first tranche of \n63.7 million shares was issued in March 2014 and the second tranche of 20.5 million shares was issued in April 2014. \n\n**Matters Subsequent to the End of the Financial Year**\n\nSubsequent to 31 December 2014, an additional $13.9 million was drawn-down the credit facilities, bringing total outstanding \ndebt to $143.9 million, with undrawn funds of $1.1 million. \n\nIn January 2015, the company acquired three leases totalling approximately 14,180 net acres in the Eagle Ford for \napproximately $13.4 million. \n\n**Future Developments, Prospects and Business Strategies**\n\nThe Group’s business strategies and prospects for growth in future financial years are presently concentrated on growing the \nvalue of the Group’s current resource plays through direct leasing from mineral owners, small acquisitions of producing \nproperties, drilling inventory within the Group’s current balance sheet capabilities, and development of the Group’s current \nacreage. Further information on likely development in the operations of the Group and expected results of operations has not \nbeen included because the Directors believe it would result in unreasonable prejudice to the Group.", + "page_start": 22, + "page_end": 22, + "source_file": "ASX_SEA_2014.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_SMFG_2011.pdf", + "query": "Has the Sumitomo Mitsui Financial Group offered help to the elderly?", + "target_page": 6, + "target_passage": "Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycleframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a soundplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives", + "chunk_present": { + "presence": false, + "index": null + } + }, + "top_chunk": [ + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n\n\nSpecific Examples of CSR Activities \n\n**Together with Our Employees**\n\n**We are developing human resources that can take on global roles,**\n**and we are creating globalized working environments**\n\nprocess of “in-house internationalization.” \nprocess of “in-house internationalization.” \n\n**Preparing human resources**\n**to take on global roles**\n\n**Creating support tools**\n**for developing the role of**\n**female employees**\n\nUnder our “global course” program, newly \nUnder our “global course” program, newly \n\nhired sogoshoku \nhired (management-track) staff \nsogoshoku (management-track) staff \n\nare sent overseas after basic training. We \nare sent overseas after basic training. We \n\nFaced with changing markets and rising \nFaced with changing markets and rising have also expanded human resource \nhave also expanded human resource \n**“My Story”**\ncosts, many Japanese companies are \ncosts, many Japanese companies are training programs in English and Chinese \ntraining programs in English and Chinese \n\nmoving their operations overseas. Many \nmoving their operations overseas. Many and at overseas units. \nand at overseas units. \n\nlarge companies already have gone global \nlarge companies already have gone global Improvement of language skills in particular \nImprovement of language skills in particular \n\nin terms of production and marketing bases, \nin terms of production and marketing bases, is s ome t hing t ha t r equir e s ongoing \nis s ome t hing t hat requir es ongoing \n\nbalance between work and care needs. \nbalance between work and care needs. \n\n**Better support for carers:**\n**Workplace measures to**\n**deal with the rising old-age**\n**dependency ratio**\n\nThe improvements have three aspects: \nThe improvements have three aspects: \n\n(1) Care-leave time has been extended to \n(1) Care-leave time has been extended to \n\none year; (2) the time frame during which \none year; (2) the time frame during which \n\nstaggered and shortened working hours \nstaggered and shortened working hours \n\nfor care-giving are allowed has been \nfor care-giving are allowed has been \n\nIn November 2010, the bank expanded its \nIn November 2010, the bank expanded its extended to three years; and (3) greater \nextended to three years; and (3) greater \n\nemployee carer support program. \nemployee carer support program. flexibility has been introduced in reduction \nflexibility has been introduced in reduction \n\nEven now, much remains to be done to \nEven now, much remains to be done to of working hours for care purposes. \nof working hours for care purposes. \n\ndevelop public suppor t mechanisms, \ndevelop public suppor t mechanisms, \n\nat overseas units and for regular employees \nat overseas units and for regular employees \n\nin Japan. All of these courses are in English \nin Japan. All of these courses are in English \n\nand feature discussions and presentations \nand feature discussions and presentations \n\non resolution of issues faced by global \non resolution of issues faced by global \n\ncompanies. Through such lively exchanges, \ncompanies. Through such lively exchanges, \n\nthe aim is to develop the ability to deepen \nthe aim is to develop the ability to deepen \n\ncross-cultural communication and cultivate \ncross-cultural communication and cultivate \n\na global outlook and mentality. \na global outlook and mentality. \n\nAt the bank, we will continue measures to \nAt the bank, we will continue measures to \n\npromote globalization going forward, and \npromote globalization going forward, and \n\ncreate systems that can provide higher \ncreate systems that can provide higher \n\nquality support to our customers. \nquality support to our customers. \n\nWe have also established the SMBC Care \nWe have also established the SMBC Care \n\nConsultation Desk as a convenient general \nConsultation Desk as a convenient general \n\nservice for employees and their family \nservice for employees and their family", + "page_start": 10, + "page_end": 10, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "housing for the elderly, expected to be a \nhousing for the elderly, expected to be a \n\nfuture growth area. \nfuture growth area. \n\nW hile c o n t inuing t o t a ilo r bu sine s s \nW hile c o n t inuin g t o t a ilo r b u s in e s s \n\nactivities to the needs of the community at \nactivities to the needs of the community at \n\nlarge and ensuring a friendly banking \nlarge and ensuring a friendly banking \n\nenvironment for our customers, the SMFG \nenvironment for our customers, the SMFG \n\nGroup also plans to support the creation of \nGroup also plans to support the creation of \n\n\n\n\n\n**Roundtable session: SMBC Food and Agricultural Assessment Loan**\n\nA roundtable session with experts held in August 2011 \nconsidered the role of the new SMBC Food and Agricultural \nAssessment Loan in improving the food supply chain that \nlinks food and fishery producers with food processors and \nconsumers. Opinions were also exchanged on what other \nfuture role the bank might assume in this regard, given \nthe current situation and issues facing the food industry \nand agriculture \nin Japan. \n\n**Key comments of participants**\n\n| | For further details, please see our website. |\n|---|---|\n| | For further details, please see our website. |\n\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, \nThe University of Tokyo \n“Eating should be something that generates emotion. New potential exists in the world of cuisine.” \nDaisuke Yamamoto, Vice Senior Consultant, Research Department, \nThe Japan Research Institute, Limited \n“As consumer tastes go through a time of great change, I think it is important to \nprioritize ingredients and the attitude of customers toward eating.” \nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of \nthe Corporate Banking Unit & Middle Market Banking Unit, SMBC \n“An important concept is multilateral dialogue as the number of parties involved in food \nproduction increases throughout the supply chain.” \nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC \n\nThe Minato Bank has created a position \nThe Minato Bank has created a position \n\ntitled “Service Care Manager” at each of \ntitled “Service Care Manager” at each of \n\nits branches, filled by at least one branch \nits branches, filled by at least one branch \n\nmanagerial staffer, as part of measures to \nmanagerial staffer, as part of measures to \n\nmake branch visits more pleasant for \nmake branch visits more pleasant for \n\ncustomers, following earlier nuts-and-bolts \ncustomers, following earlier nuts-and-bolts \n\nimprovements. \nimprovements. \n\nService Care Managers are dedicated to \nService Care Managers are dedicated to \n\nimproving support and services for the \nimproving support and services for the \n\ncustomer at each branch. Their training \ncustomer at each branch. Their training \n\nincludes simulations of the problems faced \nincludes simulations of the problems faced \n\nby persons with disabilities, awareness \nby persons with disabilities, awareness \n\nraising and support methods for the elderly \nraising and support methods for the elderly \n\nand persons with disabilities. \nand persons with disabilities.", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**Corporate Outline (as of September 30, 2011)** **Editorial Policy**\n\nCompany Name Sumitomo Mitsui Financial Group, Inc. This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group ：： \n\nBusiness Description Management of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \n： is fulfilling as we work to create a sustainable society. \n\nnon-bank subsidiaries, as well as the performance of ancillary functions \nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \n\nEstablished December 2, 2002 \n： \nthe essence of business itself, and our initiatives act upon this. \n\nHead Office 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan \n： \nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nChairman of the Board Masayuki Oku \n： \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \nPresident Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) \n： \n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR \nCapital ¥2,337.8 billion \n： \nactivities and statistical data omitted in the CSR Report 2011 (digest version). \nStock Exchange Listings Tokyo Stock Exchange (First Section) \n： \nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nOsaka Securities Exchange (First Section) \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nNagoya Stock Exchange (First Section) \nour CSR and other activities in greater detail. \nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. \n\nFrom the current fiscal year, we are including third-party opinions in the website version. \n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nDaiwa SB Investments \nDaiwa SB Investments \n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\nSumitomo Mitsui Auto Service \nSumitomo Mitsui Auto Service \n\n**Scope of this Report**\n\n(cid:129) Sumitomo Mitsui Financial Group, Inc. \n\n(cid:129) Sumitomo Mitsui Banking Corporation \n\n(cid:129) SMFG Card & Credit, Inc. \n\n(cid:129) Sumitomo Mitsui Card Company, Limited \n\n(cid:129) Cedyna Financial Corporation \n\n(cid:129) Sumitomo Mitsui Finance and Leasing Co., Ltd. \n\n(cid:129) The Japan Research Institute, Limited \n\n(cid:129) SMBC Friend Securities Co., Ltd. \n\n(cid:129) SMBC Nikko Securities Inc. \n\n(cid:129) THE MINATO BANK, LTD. \n\n(cid:129) Kansai Urban Banking Corporation \n\n(cid:129) Other Group companies \n\nCompany name abbreviations and other special terminology \n\nThroughout this report,**“Sumitomo Mitsui Financial Group”**or**“SMFG”**refers to the holding company alone.**“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates. \n\n\n\n**Reference guidelines**\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) \n\n*Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide. \n\n**CSR disclosure**\n**through**\n**specific examples**\n\n**CSR report 2011 (digest version)**\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, \nCovers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examples \ncentered on specific examples \n\n**CSR report 2011**\n**(digest version with examples of activities and**\n**statistical performance, online PDF file)**", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\n**Keeping**\n**our shareholders**\n**informed**\n\nSpecific Examples of CSR Activities \n\n**Together with Our Shareholders**\n**and Markets**\n\nWebsite \n\nAnnual report \n\n**Contributing to the development of sounder financial markets**\n\nSRI Indexes on which SMFG is listed Examples of Group disclosure activities \n\nQuarterly and interim financial reports, \nQuarterly and interim financial reports, \n\nresults announcements, securities \nresults announcements, securities \n\nreports, legal disclosure statements, \nreports, legal disclosure statements, \n\nregular publications, etc. \nregular publications, etc. \n\nWe believe that the SMFG Group can contribute \nWe believe that the SMFG Group can contribute \nAnnual and interim reports (in Japanese \nAnnual and interim reports (in Japanese \nfurther to the creation of a sustainable society \nfurther to the creation of a sustainable society \nand English) \nand English) \n\n\n\nBased on this approach, SMFG goes \nBased on this approach, SMFG goes \n\n**We aim to further**\n**strengthen communication**\n**with our shareholders**\n**and investors**\n\nbeyond legal requirements in enriching its \nbeyond legal requirements in enriching its \n\ndisclosure of information on management \ndisclosure of information on management \n\npolicy and operational strategy. These \npolicy and operational strategy. These \n\ninitiatives have won the support of many \ninitiatives have won the support of many \n\nmarket participants. We were selected as \nmarket participants. We were selected as \n\nSMFG is committed to ensuring financial \nSMFG is committed to ensuring financial a winner of the Awards for Excellence in \na winner of the Awards for Excellence in \n\nsoundness through appropriate policy-making \nsoundness through appropriate policy-making Corporate Disclosure for fiscal 2011 by The \nCorporate Disclosure for fiscal 2011 by The \n\nand business operations. At the same time, \nand business operations. At the same time, Securities Analysts Association of Japan. \nSecurities Analysts Association of Japan. \n\nwe disclose corporate information in a \nwe disclose corporate information in a \n\ntimely and precise way to shareholders and \ntimely and precise way to shareholders and \n\ncompanies’ corporate social responsibility \ncompanies’ corporate social responsibility \n\n**Together with our investors:**\n**Creating a platform for**\n**social contribution through**\n**the financial markets**\n\nactivities, and uses the information it gathers \nactivities, and uses the information it gathers \n\nto create a basic file on companies managing \nto create a basic file on companies managing \n\nsocially responsible investment funds*3*3. \nsocially responsible investment fund \n\n**SMFG has listed**\n**its shares on SRI indexes**\n\nthrough its activities in financial markets. \nthrough its activities in financial markets. \n\nFor example, SMBC Friend Securities markets \nFor example, SMBC Friend Securities markets SRI indexes are for socially responsible \nSRI indexes are for socially responsible \n\n while \n“Environmental Sustainability Bond”*1*1 while \n“Environmental Sustainability Bond” investments in which major investment \ninvestments in which major investment \n\nSMBC Nikko Securities markets “WB Green \nSMBC Nikko Securities markets “WB Green decisions are based on environmental and \ndecisions are based on environmental and \n\n. These are bonds \nBonds (Green Bonds)”*2*2. These are bonds \nBonds (Green Bonds)” social factors as well as the target company’s s \nsocial factors as well as the target company \n\n\n\n\n\nmarkets. We believe full disclosure not only \nmarkets. We believe full disclosure not only \n\nhelps foster a more correct understanding \nhelps foster a more correct understanding \n\nand evaluation of the Group, but also \nand evaluation of the Group, but also \n\ncontributes to the development of sounder \ncontributes to the development of sounder", + "page_start": 9, + "page_end": 9, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report \n\nSpecific Examples of CSR Activities \n\n**New queue-number display system**\n**installed at bank counters**\n\n**Together with Our Customers**\n\nColors and special designs are used to make \n\nqueue-number displays more visible to all customers \n\n(The Minato Bank) \n\n\n\n**We work as a team to improve customer satisfaction and product quality, and, while supporting the customer,**\n**contribute to the sustainable development of society as a whole.**\n\n\n\n\n\n\n\n\n\nA further measure is installation of handheld \nA further measure is installation of handheld \n\n**Making banking**\n**a more pleasant experience**\n**for all customers**\n\nhearing support devices at all branches \nhearing support devices at all branches \n\n(except housing loan promotion offices), to \n(except housing loan promotion offices), to \n\nallay the concerns of hearing-impaired \nallay the concerns of hearing-impaired \n\ncustomers who find it difficult to converse \ncustomers who find it difficult to converse \n\nWith the old-age dependency ratio soaring, \nWith the old-age dependency ratio soaring, and follow spoken instructions. By using the \nand follow spoken instructions. By using the \n\nthe SMFG Group aims to provide friendly, \nthe SMFG Group aims to provide friendly, devices as communication tools, bank \ndevices as communication tools, bank \n\neasy-to-use banking services for all its \neasy-to-use banking services for all its employees can respect customer privacy \nemployees can respect customer privacy \n\nand do not have to talk loudly. \nand do not have to talk loudly. \n\ncustomers. \ncustomers. \nSome Group companies are likewise making \nSome Group companies are likewise making Further measures include posting of “green \nFurther measures include posting of “green \n\ntheir facilities barrier-free at bank branches \ntheir facilities barrier-free at bank branches \n\n\n\nThe SMBC Food and Agricultural Assessment \nThe SMBC Food and Agricultural Assessment \n\nLoan comes with conditions, depending on \nLoan comes with conditions, depending on \n\nthe results of an evaluation of food-producers’ \nthe results of an evaluation of food-producers’ \n\nprogress in areas such as food safety and \nprogress in areas such as food safety and \n\nenvironment-friendliness, healthiness and \nenvironment-friendliness, healthiness and \n\nnutritional value, and efficiency of distribution. \nnutritional value, and efficiency of distribution. \n\nThe Japan Research Institute researches \nThe Japan Research Institute researches \n\nm e a s u r e s i n t h e \nm e a s u r e s i n t h e \n\nTelephone handset-type ATM \n (The Minato Bank) of food and \na r e a s of food and \na r e a s \n\nfarming being taken \nfarming being taken \n\nby the loan applicant, \nby the loan applicant, \n\n**Preparing our businesses**\n**for a higher old-age**\n**dependency ratio**\n\nand drafts a simple \nand drafts a simple \n\n“diagnosis” stating \n“diagnosis” stating \n\nwhether there is room \nwhether there is room \n\nfor future improvement. Ernst & Young \nfor future improvement. Ernst & Young \n\nShinNihon LLC provides expert opinions on \nShinNihon LLC provides expert opinions on \n\near” logos at branches to reassure customers \near” logos at branches to reassure customers \n\nBut in recent years, consumers have come to \nBut in recent years, consumers have come to that the bank has facilities for conversing \nthat the bank has facilities for conversing \n\n**The financial sector’s role in**\n**improving the nation’s diet and**\n**in strengthening the agricultural**\n**and fisheries sectors**\n\nplace more priority on factors other than \nplace more priority on factors other than writing. All branches are being equipped \nin in writing. All branches are being equipped \n\nvolume and price, such as food safety and \nvolume and price, such as food safety and with white boards and special message \nwith white boards and special message", + "page_start": 7, + "page_end": 7, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "As one of Japa \ns leading financial services groups, \nAs one of Japan’s leading financial services groups, \nthe SMFG Group is taking the lead in aggressively addressing the four priority issues \nthe SMFG Group is taking the lead in aggressively addressing the four priority issues \nwe have identified as significantly impacting the nation. \nwe have identified as significantly impacting the nation. \n**Priority Issues for Us**\n\n\n\n**Ensuring peace of mind for the future**\n\n**Shrinking and aging population**\n\n\n\n**Measures for Japan’s regeneration**\n\n**Reconstruction**\n**after the earthquake**\n**and tsunami**\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create \nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create \n\nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle \nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle \n\nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound \nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power \nThe March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power \n\nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives. \nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives. generation capacity and severed manufacturing supply chains across the nation. This was in addition \ngeneration capacity and severed manufacturing supply chains across the nation. This was in addition \n\nto the severe damage sustained by agriculture and fisheries in the Northeast. \nto the severe damage sustained by agriculture and fisheries in the Northeast. *Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011) \n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as \nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as \n\n**Further measures needed**\na leading financial services group, we are committing our full range of resources to dealing with the \na leading financial services group, we are committing our full range of resources to dealing with the \n\nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders \nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders \n\nincluding enterprises, local governments and non-profit organizations. \nincluding enterprises, local governments and non-profit organizations. \n\n\n**Further measures needed**\n\n\n\nSupport businesses involved in health, medical and \nSupport businesses involved in health, medical and ● \n\nnursing care \nnursing care \n\nExpand range of financial products and services for the \nExpand range of financial products and services for the ● \n\nelderly (planning for asset management for old age) \nelderly (planning for asset management for old age) \n\nFoster a better work-life balance \nFoster a better work-life balance ● \n\n\n\nWide-ranging financial support for the reconstruction of infrastructure \nWide-ranging financial support for the reconstruction of infrastructure ● \n\nOngoing disaster recovery activities by employee volunteers \nOngoing disaster recovery activities by employee volunteers ● \n\nComprehensive support for industrial recovery in partnership with local governments and \nComprehensive support for industrial recovery in partnership with local governments and ● \n\nfinancial institutions in the disaster-affected areas \nfinancial institutions in the disaster-affected areas", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "companies would do better and \ncompanies would do better and business in the Tohoku region, including \nbusiness in the Tohoku region, including \n\nthe whole country would benefit. \nthe whole country would benefit. business matching with parties outside \nbusiness matching with parties outside \n\ns words, \nReturning to Mr. Ando’s words, \nReturning to Mr. Ando the region. In addition, we have a range of \nthe region. In addition, we have a range of \n\na n d h i s c o m m e n t s a b o u t \na n d h i s c o m m e n t s a b o u t support activities in partnership with the Miyagi \nsupport activities in partnership with the Miyagi \n\nclinging to the status quo, more \nclinging to the status quo, more prefectural government and The 77 Bank, \nprefectural government and The 77 Bank, \n\npeople now think, “Oh, well, my \npeople now think, “Oh, well, my Ltd., which is based in Miyagi. \nLtd., which is based in Miyagi. \n\n**Miyata**: In the same way, other SMFG \n: In the same way, other SMFG life is fairly comfortable and \nlife is fairly comfortable and \n\n\n\nCommitment from the Top \n\nTakeshi Kunibe \n**A Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata**\n\nPresident and CEO \nSumitomo Mitsui Banking Corporation \n\n**What can we do now to spur**\n**the reconstruction and revitalization**\n**of Japan, and help**\n**resolve global issues?**\nuntil the country became an economic \nuntil the country became an economic \n\nthat’s enough for me.” This sense \nthat’s enough for me.” This sense Group companies have been sending out \nGroup companies have been sending out \n\nof stagnation, or resignation, \nof stagnation, or resignation, volunteers, and providing donations not only \nvolunteers, and providing donations not only \n\nthat people feel in their lives has spread \nthat people feel in their lives has spread as a company, but also through individual \nas a company, but also through individual \n\njuggernaut. However, in the early 1970s, \njuggernaut. However, in the early 1970s, throughout Japan. But when the disaster \nthroughout Japan. But when the disaster employees. SMBC was at the heart of all these \nemployees. SMBC was at the heart of all these \n\npeople became complacent about their \npeople became complacent about their struck, people again came together and \nstruck, people again came together and activities, and this was a good opportunity \nactivities, and this was a good opportunity \n\naffluence, and stopped working hard and \naffluence, and stopped working hard and worked together in the recovery effort. I \nworked together in the recovery effort. I \n\n*Uplifting the nation’s spirits*\n*Uplifting the nation’s spirits*\n\nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) \nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) \n\nafter the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates \nafter the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates \n\nand increasing numbers of the aged. \nand increasing numbers of the aged. \n\nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. \nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. \n\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society \nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society \n\nfor us to appreciate anew how our business \nfor us to appreciate anew how our business", + "page_start": 2, + "page_end": 2, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "financial institutions in the disaster-affected areas \nfinancial institutions in the disaster-affected areas \n\n\n\n\n\n\n\n\n\n\nAnd today \nAnd today Besshi copper mine in the Meiji era \nBesshi copper mine in the Meiji era \n\nMitsui Charity Hospital at its establishment \nMitsui Charity Hospital at its establishment \n\n\n\n**Creating systems for sustainability**\n\n**Environmental measures**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \nThe SMFG Group has positioned environmental businesses as an area where it can most effectively \n\nleverage its role as a leading financial services group. This is a priority field for the future. \nleverage its role as a leading financial services group. This is a priority field for the future. \n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but \n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \n\ntechnological breakthroughs, with a particular focus on the Asian region. \ntechnological breakthroughs, with a particular focus on the Asian region. \n\n\n\n**Further measures needed**\n\n\n\n\n\n**Symbiosis and diversity**\n\n**Global challenges**\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory \noperations both in Japan and overseas. Initiatives include aggressive development of advisory \n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \n\nas well as contributions to the international community and the environmental business, chiefly \nas well as contributions to the international community and the environmental business, chiefly \n\nthrough branches and representative offices overseas. \nthrough branches and representative offices overseas. \n\nWe will continue to discuss and review various approaches to issues facing the international \nWe will continue to discuss and review various approaches to issues facing the international \n\ncommunity so as to build up trust internationally as a global player. \ncommunity so as to build up trust internationally as a global player. \n\n**Further measures needed**\n\nShare expertise in corporate social responsibility \nShare expertise in corporate social responsibility ● \n\nwith the international community \nwith the international community \n\nImprove financial services in preparation for the \nImprove financial services in preparation for the ● \n\nglobalization of operations in Japan (multilingual \nglobalization of operations in Japan (multilingual \n\nsupport) \nsupport) \n\nPromote diversity \nPromote diversity ● \n\nIn the past, the Sumitomo Group \nIn the past, the Sumitomo Group undertook large-scale afforestation \nundertook large-scale afforestation \n\nprograms to solve the problem of \nprograms to solve the problem of pollution around the Besshi copper \npollution around the Besshi copper \n\nmine, while the Mitsui Group set up \nmine, while the Mitsui Group set up the Mitsui Memorial Hospital to \nthe Mitsui Memorial Hospital to \n\ngive the poorest in society access to \ngive the poorest in society access to basic medical care. Based on this \nbasic medical care. Based on this", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report\nDigest version |\n|---|---|---|\n| www.smfg.co.jp/english | | Sumitomo Mitsui Financial Group CSR Report Digest version |\n| | | |", + "page_start": 0, + "page_end": 0, + "source_file": "NYSE_SMFG_2011.pdf" + }, + { + "text": "**INDE X**\ncondolences to all those who have suffered and \nFirst, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and \nFirst, I would like to extend our deepest sympathies and heartfelt \n\nthe devastating earthquake and tsunami \nto the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami \nto the families and friends of those who tragically lost their lives in \n**Foreword**\n**1**\n\n**Commitment from the Top**\nearly recovery of the affected people and areas. \nthat struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. \nthat struck northeastern Japan on March 11, 2011. We pray for the \n**3**\n\n**A Conversation with Tadao Ando,**\n**Takeshi Kunibe and Koichi Miyata**\nleveraging our group-wide capabilities, \nSMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, \nSMFG is dedicated to seamlessly responding to clients’ needs by \n\n**What can we do now to spur the**\n**reconstruction and revitalization of Japan,**\n**and help resolve global issues?**\nemployee and the overall group are capable of \noffering optimal products and services, and ensuring that every employee and the overall group are capable of \noffering optimal products and services, and ensuring that every \n\n\n\n\n\nthrough these measures, \nresponding to the challenges of globalization. I believe that through these measures, \nresponding to the challenges of globalization. I believe that \n\n**Measures to Support Reconstruction**\n**after the March 11**\n**Earthquake and Tsunami**\n**President**\n**Sumitomo Mitsui Financial Group, Inc.**\nand society, and ourselves grow in partnership with them. \nwe will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. \nwe will contribute to the growth and development of our clients \n**8**\n\n**Koichi Miyata**\nfinancial services group \nThrough our basic policy of becoming “a globally competitive financial services group \nThrough our basic policy of becoming “a globally competitive \n**Priority Issues for Us**\n**9**\n\nby maximizing our core strengths of \nwith the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of \nwith the highest trust of our clients, society and other stakeholders” \n**11** **Our Mission and CSR at SMFG**\n\nwill continue to stay ahead of the times, \n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, \n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we \n\n\n\n**13**\n\n**25**\n\n〈**Specific Examples of CSR Activities**〉 \n\n**Together with Our Customers**\n\n**Together with Our Shareholders**\n**and Markets**\n\n**Together with Our Employees**\n\n**Environmental Activities**\n\n**Social Contribution Activities**\n\n**Corporate Outline/Editorial Policy**\n\n\n\n**29**\n\n\n\nToday, Tomorrow and Beyond \n\n**CSR REPORT 2011**02", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_SMFG_2011.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_CHK_2010.pdf", + "query": "Does Chesapeake Energy have a project to reduce excessive water use?", + "target_page": 28, + "target_passage": "Created to meet the challenge of reducing our water usage, Chesapeake’s Aqua Renew® program uses state-of-the-art technology to recycle pro- duced water.", + "chunk_present": { + "presence": true, + "index": 0 + } + }, + "top_chunk": [ + { + "text": "As we explore for and produce clean, affordable, abundant, American \nnatural gas, we provide an important solution to our nation’s energy \nchallenges and its quest for energy independence. With at least a 200- \nyear supply of natural gas located right here in the U.S., this versatile \nfuel can be used to not only heat homes, create electricity and meet \nAmerica’s transportation needs, but also to fuel the country’s future \nby creating jobs and stimulating local and national economies through \ninvestment and taxes. \n\nenergy development should be as small and temporary as possible. \nThese practices are continually evolving and further improving as \nChesapeake and the industry develop new innovative techniques and \napproaches to business. \n\nIn addition to our BMPs, Chesapeake has also initiated several \ninnovative internal programs focused on water recycling and greener \nhydraulic fracturing processes. \n\n***Aqua Renew*®**\nCreated to meet the challenge of reducing our water usage, Chesapeake’s \n*Aqua Renew*® program uses state-of-the-art technology to recycle pro- \nduced water. Since the \ncompany’s preliminary \nreclamation project \nin \n2006, our focus on water reuse and conservation has become a company- \nwide endeavor, stretching from the Barnett Shale of North Texas to the \nMarcellus Shale of northern Pennsylvania. \n\n**Environmentally Friendly Operations**\nAt Chesapeake, we realize that the way a great product is produced is \nas important as the product itself. For example, we have helped pioneer \nthe use of multiwell padsites to drill up to 16 wells from a single loca- \ntion, greatly reducing our land and road use and overall environmental \nfootprint. We use the latest horizontal and directional drilling technology \nto place wells at a safe distance from homes, schools and businesses. In \naddition, we build and maintain access roads and work to eliminate soil \nerosion near our sites, as well as restore local vegetation. \n\nThe*Aqua Renew*program has yet to find a limit to how much \nrecycled water could be used without compromising well production. \nIn fact, our Marcellus Shale operations are treating and recycling virtu- \nally 100% of produced water (more than 10 million gallons per month) \nfor reuse in our hydraulic fracturing operations. Properly conducted \nmodern fracking is a highly engineered, controlled, sophisticated and \nsafe procedure. \n\nWe implement advanced, modern protective measures known as Best \nManagement Practices (BMPs) to help ensure energy development is con- \nducted in an environmentally responsible manner. Procedures are imple- \nmented throughout our operations to protect freshwater aquifers and \nreduce environmental impacts. BMPs protect wildlife, air quality, water and \nlandscapes as we work to develop vitally needed domestic energy sources. \nImplemented throughout the entire life cycle of a well, BMPs can be \nas simple as strategically placing a berm, or land barrier, on locations \nto control surface water runoff. Others involve cutting-edge operational \ntechnologies such as utilizing the most advanced techniques offered in \ndrilling fluids, well casing and cement design. Regardless of complex- \nity, all BMPs are based on the idea that the environmental footprint of \n\nWith such large volumes of recycled water, the company is see- \ning more than just environmental advantages. We estimate that this \n\n*Green operations — Chesapeake’s Best Management Practices ensure our*\n*operations are as environmentally friendly as possible, while protecting*\n*our employees, neighbors and the areas where we operate.*", + "page_start": 27, + "page_end": 27, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**CORPORATE PROFILE**\n\nChesapeake Energy Corporation is the second-largest producer of \nnatural gas, a Top 15 producer of oil and natural gas liquids and \nthe most active driller of new wells in the U.S. \nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing \n\nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in \n\nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite \n\nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, \n\nNiobrara and Utica unconventional liquids-rich plays. \n\nThe company has also vertically integrated its oper- \n\nations and owns substantial midstream, compression, \n\ndrilling and oilfield service assets. Chesapeake’s stock \n\nis listed on the New York Stock Exchange under \n\nthe symbol CHK. Further information is available at \n\n**www.chk.com**where Chesapeake routinely posts \n\nannouncements, updates, events, investor informa- \n\ntion, presentations and press releases. \n\n\n\n**ON THE COVER**\n*Moving west, a Chesapeake rig*\n*drills toward the Niobrara Shale*\n*in the Powder River Basin of*\n*southeastern Wyoming, one of*\n*several new liquids-rich plays*\n*that are enabling the company*\n*to increase its profitability and*\n*return on capital.*", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Chesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has \nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays \nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica \nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise \ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of \nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of \ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays. \n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion \ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end \n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the \nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling \nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position \nin our key operating areas. \n\n\n\nRockies \n\n**8**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**What advantages does CHK’s unique vertical integration strategy provide?**\nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop \naggressively over the next two decades. As a result, we know that our company will consistently utilize a tremen- \ndous (and growing) amount of oilfield services for this resource development. This high level of planned drilling \nactivity will create value for the provider of oilfield services, and Chesapeake’s strategy is to capture a portion \nof this value for our shareholders rather than transfer it to third-party vendors whose interests and investments \nare not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water manage- \nment equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and \nfracture stimulation equipment. Chesapeake’s activities require a high level of planning and project coordination \nthat is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach \ncreates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, \nincreased safety and better coordinated logistics. In addition, Chesapeake’s control of a large portion of the oilfield \nservice equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply \nput, faster development of resources maximizes the present value of leasehold. This has been a key advantage for \nJeff Fisher \nSenior Vice President – Production \n\nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures.", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**What innovations and advancements have led to CHK’s ability to produce liquids from**\n**shales and other tight reservoirs?**\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed \nexpertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of \nhorizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that \nwere previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight \nreservoirs has come from the company’s ability to extend the technological advances gained in the development of \ntight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich \nplay discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have ben- \nefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well \nas an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to \nbetter identify formations most likely to generate liquids-rich production, including more than a dozen new plays for \nthe company. We have subsequently improved the success of our liquids-rich plays through the use of optimal well- \nbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized \nfracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume \nin low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have \nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry’s most advanced shale core laboratory. \n\nSteve Dixon \nExecutive Vice President – \nOperations and Geosciences and \nChief Operating Officer \n\n\n\n**It is often said that the energy industry has an aging work force that is fast approaching**\n**retirement age. How is Chesapeake addressing this?**\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down- \nturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong compe- \ntition from other industries lured away many of the best and brightest science and technology graduates, and today \nmany experienced professionals who stayed in the industry through the downturn are approaching retirement age. \nAs a result, one of our industry’s greatest challenges over the past 10 years has been to develop a new generation \nof natural gas and oil professionals who have the knowledge and experience required to meet the nation’s growing \nenergy needs. \n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting \nand training a new generation of energy professionals would impact the company’s future success and its ability to \ncompete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs \nand decided to create a world-class college recruiting and intern program to recruit the most promising industry \ntalent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go \non to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive \nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads \nand career counselors at the more than 31 universities where we actively recruit. \n\nMartha Burger \nSenior Vice President – \nHuman and Corporate Resources", + "page_start": 21, + "page_end": 21, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**12**| LETTER TO SHAREHOLDERS \n\nwet natural gas and dry natural gas), similar to the components of the \nEagle Ford Shale. We have made a large commitment to this play and \nhave acquired approximately 1.2 million net leasehold acres and expect \nto increase this total to as much as 1.5 million net leasehold acres in the \ncoming months. We are currently using three rigs to evaluate the play \nand believe our leasehold could support the drilling of up to 12,000 net \nwells. This is an area where we anticipate bringing in a joint venture \npartner late in 2011 or early in 2012. \n\natmosphere of vitality and energy at Chesapeake, important ingredi- \nents of our distinctive culture. These attributes, along with a vibrant \nand attractive corporate headquarters campus, low levels of bureau- \ncracy, great assets and a well-executed corporate strategy combine to \ncreate our culture of success and innovation. \n\nThis has generated extremely positive external feedback as \nChesapeake was recently recognized for the fourth consecutive year \nas one of the FORTUNE 100 Best Companies to Work For®(3) in the U.S. \nIn fact, we moved up to #32 overall and #1 in our industry — we are \nvery proud of having created and sustained what is now considered \nthe best place to work in all of the U.S. energy production industry. \n\n**Our People**\nGreat assets cannot exist without great people, so we take great pride \nin hiring, training, motivating, rewarding and retaining what we regard \n\nIn addition, we were honored in December 2010 at the 12th Annual \nPlatts Global Energy Awards as finalists for CEO of the Year, Community \n\nFrom our beginning 22 years ago with 10 \n\nemployees in Oklahoma City to employing \n\nmore than 10,000 people across 15 states \n\ntoday, Chesapeake has always focused on \n\nbuilding first-class human resources within \n\na distinctive corporate culture. \n\n\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer \nof the Year and the Industry Leadership Award. Chesapeake was one \nof only two companies selected as a finalist in five or more categories. \nThe company was also honored in 2010 with a Certificate of Recognition \nfor our military reserve recruiting efforts, named a 2010 Best Diversity \nCompany by Engineering & Information Technology Magazine and rec- \nognized for Best Investor Relations in Energy Sector and Best Investor \nRelations Website at the 2010 IR Magazine U.S. Awards. \n\nas the best employees in the industry. From our beginning 22 years ago \nwith 10 employees in Oklahoma City to employing more than 10,000 \npeople across 15 states today, Chesapeake has always focused on build- \ning first-class human resources within a distinctive corporate culture. Talk \nto Chesapeake employees and you will note genuine pride and great \nenthusiasm about the company and the critical role that we play in deliv- \nering increasing quantities of clean and affordable American natural gas \nand valuable and reliable liquids to energy consumers across the country. \nChesapeake employees are distinctive in other ways as well. They \nare much younger than the industry average, with half of our almost \n4,000 Oklahoma City-based headquarters employees 33 years old \nor younger. Their enthusiasm and willingness to learn create an \n\n**Recent Events and a Better Way Forward**\nYou may be aware that I have been outspoken in attempting to persuade \nour country’s political leadership to recognize that the discovery of vast \nresources of unconventional natural gas and oil in the U.S. is a complete \ngame changer for our country from an economic, national security and \nenvironmental perspective. After two years of my best efforts and the \nefforts of many others in the industry, most notably T. Boone Pickens,", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Rockies Chesapeake is the second-largest leasehold owner in the Niobrara Shale, \nFrontier and Codell plays in the Powder River and Denver Julesburg (DJ) basins of Wyoming \n\n**8**\nand Colorado. In February 2011, Chesapeake completed a $1.3 billion joint venture agreement with \nCNOOC, whereby CNOOC acquired a 33.3% interest in Chesapeake’s approximately 800,000 net \nleasehold acres in the Powder River and DJ basins. CNOOC paid Chesapeake approximately $570 million \nin cash at closing and will pay an additional $697 million in carries by funding 66.7% of Chesapeake’s \n\nshare of drilling and completion expenditures, which \nChesapeake expects to occur by year-end 2014. We plan \nto utilize an average of approximately 11 rigs in 2011 to \ndevelop our current 535,000 net leasehold acres with \nour partner and estimate that we could drill up to 7,600 net wells. \nNote: Figures do not add to company totals. \n*\n**% of company total \n***Bossier Shale acreage overlaps with \n\nCompared to last year \n\nHaynesville Shale acreage \nNM Not meaningful", + "page_start": 20, + "page_end": 20, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "the environment through the greater use of clean-burning natural gas and the lines of interested candidates often extend out the door.\nreducing the country’s dependence on expensive foreign oil.\nChesapeake also makes contributions that help improve lives and Educational Impact\neconomies in cities where we operate: $25 million in 2010 alone. For ex- We are also proud to help prepare tomorrow’s leaders today. In 2010\nample, this past year we donated $200,000 to establish the Chesapeake Chesapeake supported universities, schools, academic chairs, scholarships\nEnvironmental and Recycling Center at Goodwill Industries of Central and other educational programs with contributions totaling $5.4 million.\nOklahoma. The center will provide an additional 80 jobs to disabled Okla- Investing in programs that promote technology and innovation is a\nhomans, as well as help Goodwill recycle 10 million pounds a year, which key to our country’s success. That’s why we gave $1.0 million to establish\nthe Chesapeake Energy dormitory for students at the Oklahoma School for\nScience and Mathematics (OSSM), a public, tuition-free, residential high\nChesapeake’s $25 million school located in Oklahoma City for juniors and seniors with exceptional\nof charitable giving in 2010 abilities. The extremely competitive school is helping train the next gen-\neration of scientists and mathematicians.\n15%\nCommunity Development We also established the Chesapeake Energy Presidential Scholars Pro-\n7%\nEducation gram at the Oklahoma City University Meinders School of Business, making\nHealth and Medical 54% a $5.0 million commitment to be distributed over the next fvie years. The\nSocial Services 24%\nChesapeake Scholars Program will provide up to $25,000 per year in tuition |\n|---|---|", + "page_start": 25, + "page_end": 25, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Chesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures. \n\n\n\n**Will U.S. natural gas prices reconnect with world natural gas prices?**\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, \ndiesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. \nmarket relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This \nsurplus has been principally caused by high levels of drilling activity as producers focused on holding by produc- \ntion (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented \nU.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will \nlargely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to \nreconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices. \nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied \nnatural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital \nand ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are \nworking to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to \npremium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be \naided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the \ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it \nbe compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) \nnatural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural \ngas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural \ngas is clean, affordable, abundant and American. Why*shouldn’t*it trade at a BTU premium in the years ahead? \n\nJeff Mobley \nSenior Vice President – \nInvestor Relations and Research \n\n**Why is an investment grade rating on its debt securities important to CHK?**\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt \nsecurities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company’s \nborrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. \nHigher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in \norder to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts \nto sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance \nChesapeake’s ability to further attract world-class energy companies to participate in our joint venture projects, \nwhich profitably monetize a portion of our leasehold investments and also accelerate the development of our \nresource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest- \nment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**Strong Partners**\nOver the past few years, in addition to gathering the industry’s best \nassets, Chesapeake has also built the industry’s finest collection of global \nenergy partners and energy stock investors. We have now entered into \ntransactions with PXP, BP, Statoil, Total, CNOOC and BHP Billiton. Collec- \ntively, we have sold these companies certain assets for total consider- \nation of $20.5 billion in the form of cash and drilling and completion \ncarries for which our net cost was only $6.1 billion resulting in overall \nvalue creation of $14.4 billion. While these transactions have been very \n\nhappen to manage some of the world’s largest pools of capital and have \na very long-term investment horizon. Their support is an important \nvalidation of our strategy. \n\n**Short-Term Pain for Long-Term Gain**\nDespite this all-star lineup of global partners and investors, some other \ninvestors have not yet fully recognized the benefits of our industry \nleadership in acquiring unconventional natural gas and liquids assets. \nWhether it was our leveraged balance sheet during recent tough reces- \nsionary times, our heavy focus on natural gas during a time of persistent \nmarket pessimism about natural gas prices or our large capital invest- \nments in undeveloped liquids-rich leasehold undertaken to enable \nChesapeake to remain an industry leader in the years ahead, it is clear \n\n\n\nrewarding to our buyers, they have been truly outstanding for Chesapeake, \nproviding us an attractive source of capital, a reduction of risk, a quick \nrecovery of our leasehold investment in new plays and a much greater \nability to capture a large resource base with decades of highly profitable \ndrilling opportunities. \n\nthat we were less popular in the stock market in 2010 than we were in \n2009, when our stock price increased by 60%. \n\nWe anticipated that some market unpopularity in 2010 would \nlikely be the price we would pay as we positioned Chesapeake to be \nthe leader not only in unconventional U.S. natural gas, but also in \nunconventional U.S. liquids. However, now that we have largely com- \npleted the investments needed to accomplish this transition to a port- \nfolio balanced with liquids, the rebound in our stock price could be sharp \nas investors begin to focus more clearly on Chesapeake’s three-way \ntransition from an asset gatherer to an asset harvester, from less natural \ngas exposure to more liquids exposure and from a leveraged balance \nsheet to one worthy of an investment grade rating. \n\nIn addition, we are the only U.S. E&P company that has attracted \nto its stock ownership roster some of the world’s leading government- \nsponsored investors: Temasek Holdings (Singapore), China Investment \nCorporation, Korea Investment Corporation and Abu Dhabi Investment \nAuthority. Along with our largest shareholder, Memphis, Tennessee- \nbased Southeastern Asset Management (12%), these shareholders are \nsome of the world’s largest and most astute investors, and who also \n\nAccordingly, in early January 2011, we announced our “25/25 Plan,” \na two-year plan designed to reduce our long-term debt by 25% while \nstill growing the company’s production by 25%. We designed this plan \nto articulate very clearly the benefits of becoming an asset harvester", + "page_start": 6, + "page_end": 6, + "source_file": "NYSE_CHK_2010.pdf" + } + ] + }, + { + "references": { + "source_file": "NYSE_CHK_2010.pdf", + "query": "Has the CEO of Chesapeake Energy met with the US President about America's energy production?", + "target_page": 16, + "target_passage": "I am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable.", + "chunk_present": { + "presence": true, + "index": 3 + } + }, + "top_chunk": [ + { + "text": "for a new energy future with greater natural gas usage and increased \ndomestic oil production as two of its primary attributes, it is encouraging \nto see our political leadership finally grasp that natural gas stands alone \nas the only affordable, scalable and immediately available alternative to \nforeign oil and that U.S. oil production can be increased significantly in \nthe years ahead. \n\nThe combination of these vast new discoveries of unconventional \nnatural gas and liquids provides America with a unique future path- \nway toward greater energy independence, an industrial renaissance, \neconomic rejuvenation and greater national security. I remain fully con- \nfident that the marketplace understands this and that over time the U.S. \nwill more fully embrace and utilize clean, affordable, abundant American \nnatural gas and increased domestic oil production as the best alterna- \ntives to burning environmentally challenged coal and expensive and \ndangerous foreign oil. \n\nThe events of the past few months have unmistakably driven home \nthe fact that it is insanity to rely on the Middle East to provide our econ- \nomy’s lifeline of oil. This should be especially obvious when one realizes \nthat during the next 10 years, America will likely export at least another \n$4 trillion in national wealth to oil exporters around the world. Clearly, \nour country must demand from its leaders a new and more sustainable \nenergy future. \n\nThere is now a clear road ahead toward a more sustainable, afford- \nable, dynamic and independent future if America embraces the remark- \nable gift of energy abundance that Chesapeake has helped discover in \nthe U.S. You have my commitment, and the commitment of more than \n\n\n\n\n\n10,000 other Chesapeake employees, that every day we are working \nhard to create shareholder value and a better future for our communi- \nties, our states and our country through the continued discovery and \ndevelopment of unconventional natural gas and liquids. \n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power*\n*telemetry systems that provide pumpers with real-time information on oil and water*\n*tank levels to alarm them when levels near capacity, preventing tank spills.*\n\nThe good news, however, is that America can now secure a new \nenergy future thanks to Chesapeake and a handful of other leading U.S. \nE&P companies that have reinvented the process of finding natural gas \nand oil during the past five years. In doing so, we have discovered twice \nthe resources of natural gas in the U.S. that Saudi Arabia possesses in oil. \nFurthermore, these same few companies that led the unconventional \nnatural gas revolution have in just the past two years also reinvented \nthe way in which we can find large new oil resources onshore in the U.S. \nIn fact, I believe the U.S. can possibly increase its production of oil from \nthe current 5.8 million barrels per day by 30–50% during the next 5–10 \nyears, thereby potentially reaching the President’s 2025 goal of reducing \nforeign oil imports by 33%, 5–10 years earlier than hoped. \n\nBest regards,", + "page_start": 16, + "page_end": 16, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**CORPORATE PROFILE**\n\nChesapeake Energy Corporation is the second-largest producer of \nnatural gas, a Top 15 producer of oil and natural gas liquids and \nthe most active driller of new wells in the U.S. \nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing \n\nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in \n\nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite \n\nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, \n\nNiobrara and Utica unconventional liquids-rich plays. \n\nThe company has also vertically integrated its oper- \n\nations and owns substantial midstream, compression, \n\ndrilling and oilfield service assets. Chesapeake’s stock \n\nis listed on the New York Stock Exchange under \n\nthe symbol CHK. Further information is available at \n\n**www.chk.com**where Chesapeake routinely posts \n\nannouncements, updates, events, investor informa- \n\ntion, presentations and press releases. \n\n\n\n**ON THE COVER**\n*Moving west, a Chesapeake rig*\n*drills toward the Niobrara Shale*\n*in the Powder River Basin of*\n*southeastern Wyoming, one of*\n*several new liquids-rich plays*\n*that are enabling the company*\n*to increase its profitability and*\n*return on capital.*", + "page_start": 1, + "page_end": 1, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "As we explore for and produce clean, affordable, abundant, American \nnatural gas, we provide an important solution to our nation’s energy \nchallenges and its quest for energy independence. With at least a 200- \nyear supply of natural gas located right here in the U.S., this versatile \nfuel can be used to not only heat homes, create electricity and meet \nAmerica’s transportation needs, but also to fuel the country’s future \nby creating jobs and stimulating local and national economies through \ninvestment and taxes. \n\nenergy development should be as small and temporary as possible. \nThese practices are continually evolving and further improving as \nChesapeake and the industry develop new innovative techniques and \napproaches to business. \n\nIn addition to our BMPs, Chesapeake has also initiated several \ninnovative internal programs focused on water recycling and greener \nhydraulic fracturing processes. \n\n***Aqua Renew*®**\nCreated to meet the challenge of reducing our water usage, Chesapeake’s \n*Aqua Renew*® program uses state-of-the-art technology to recycle pro- \nduced water. Since the \ncompany’s preliminary \nreclamation project \nin \n2006, our focus on water reuse and conservation has become a company- \nwide endeavor, stretching from the Barnett Shale of North Texas to the \nMarcellus Shale of northern Pennsylvania. \n\n**Environmentally Friendly Operations**\nAt Chesapeake, we realize that the way a great product is produced is \nas important as the product itself. For example, we have helped pioneer \nthe use of multiwell padsites to drill up to 16 wells from a single loca- \ntion, greatly reducing our land and road use and overall environmental \nfootprint. We use the latest horizontal and directional drilling technology \nto place wells at a safe distance from homes, schools and businesses. In \naddition, we build and maintain access roads and work to eliminate soil \nerosion near our sites, as well as restore local vegetation. \n\nThe*Aqua Renew*program has yet to find a limit to how much \nrecycled water could be used without compromising well production. \nIn fact, our Marcellus Shale operations are treating and recycling virtu- \nally 100% of produced water (more than 10 million gallons per month) \nfor reuse in our hydraulic fracturing operations. Properly conducted \nmodern fracking is a highly engineered, controlled, sophisticated and \nsafe procedure. \n\nWe implement advanced, modern protective measures known as Best \nManagement Practices (BMPs) to help ensure energy development is con- \nducted in an environmentally responsible manner. Procedures are imple- \nmented throughout our operations to protect freshwater aquifers and \nreduce environmental impacts. BMPs protect wildlife, air quality, water and \nlandscapes as we work to develop vitally needed domestic energy sources. \nImplemented throughout the entire life cycle of a well, BMPs can be \nas simple as strategically placing a berm, or land barrier, on locations \nto control surface water runoff. Others involve cutting-edge operational \ntechnologies such as utilizing the most advanced techniques offered in \ndrilling fluids, well casing and cement design. Regardless of complex- \nity, all BMPs are based on the idea that the environmental footprint of \n\nWith such large volumes of recycled water, the company is see- \ning more than just environmental advantages. We estimate that this \n\n*Green operations — Chesapeake’s Best Management Practices ensure our*\n*operations are as environmentally friendly as possible, while protecting*\n*our employees, neighbors and the areas where we operate.*", + "page_start": 27, + "page_end": 27, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**14**| LETTER TO SHAREHOLDERS \n\n*Rig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a*\n*series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.*\n\nI am pleased to report that we have apparently finally convinced \nPresident Barack Obama and Congressional leadership to recognize that \nthe energy path America is on today is completely unsustainable. There \nappears to be growing recognition that it is spectacularly dangerous for \nAmerica to continue importing 9 million barrels of oil per day and exporting more than $1 billion per day in national wealth to oil exporting countries. \nAmerica’s undiminished appetite for foreign oil has created the larg- \nest wealth transfer in the history of the world. The political leadership \nin Washington, D.C., has not seemed overly concerned about this issue \nuntil recently. However, after President Obama’s recent speech calling \n\n(1) \n\n Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling \nand net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to \ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. \n A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated \nin accordance with generally accepted accounting principles. \n• Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage- \n\n(2) \n\nment believes affect the comparability of operating results. \n\n• Operating cash flow is cash provided by operating activities before changes in assets and liabilities. \n• Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management \nbelieves affect the comparability of operating results. \n(3) \n FORTUNE 100 Best Companies to Work For® listed in the magazine’s February 7, 2011 issue.", + "page_start": 15, + "page_end": 15, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**30**| EMPLOYEES \n\nFROM PENNSYLVANIA TO NEW MEXICO, \nWE THANK EVERY MEMBER \nOF TEAM CHESAPEAKE » \n\nWe would like to thank each of Chesapeake’s 10,021 employees who brought a unique combination of experience, talent and \npositive attitude to the company in 2010. Last year the company was honored for the fourth consecutive year with inclusion \nin the FORTUNE 100 Best Companies to Work For® list at #32, the highest-ranking company in the energy production industry. \n\nBrent Scruggs \nVance Shires \nStuart Skelton \nDavid W. Smith \nCatherine Stairs \nJerry Townley \nNick Wavers \nBrenda Wheeler \nBob Whitman \nDavid Whitten \nBrent Williams \nBob Woodside \n\n**1989 (3)**\nKinney Louthan \nAubrey McClendon \nPatsy Watters \n\n**1990 (3)**\nKevin Decker \nDavid Higgins \nCindi Williams \n\n**1991 (4)**\nSteve Dixon \nMarilyn Pollard \nPatti Schlegel \nJulie Washam \n\n**1992 (2)**\nTom Price \nMelanie Weaver \n\n**1993 (5)**\nRalph Ball \nDavid Desalvo \nMike Johnson \nRandy Pierce \nDave Wittman \n\nJohn Qualls \nPat Rolla \nHank Scheel \nCharles W. Scholz \nStan Stinnett \nBrenda Stremble \nGreg Weinschenk \nBrian Winter \nJolene Schur \nCarolyn Simmons \nApril Smith \nWilma Smith \nFrank Unsicker \nIvajean Wallace \nCraig White \nDori Williams \nCurtis Williford \n\n**1996 (29)**\nHeather Anderson \nJamie Carter \nJasen Davis \nGeorge Denny \nTim Denny \nGary Dunlap \nLaurie Eck \nJan Fair \nBarbara Frailey \nLinda Gardner \nCharlene Glover \nRandy Goben \nJim Gomez \nMelissa Gruenewald \nDoug W. Johnson \nJim Johnson \nTaylor Kemp \nMike Lebsack \nSteve Lepretre \nLarry Lunardi \nJohn Marks \nSandi Michalicka \nLiz Muskrat \nAngela Ports \nTommy Putz \nBryan Sagebiel \nKurt Schrantz \nPhyllis Trammell \nAllan Waldroup \n\n**1994 (16)**\nBarbara Bale \nMartha Burger \nMichael Coles \nTraci Cook \nRon Goff \nGreg Knight \nDan LeDonne \nRich McClanahan \nSteve W. Miller \nTommy Morphew \nPat Pope \nDanny Rutledge \nStephanie Shedden \nRonnie Ward \nShelly White \nGerald Zgabay \n\n**1995 (26)**\nRichey Albright \nPaula Asher \nEric Ashmore \nRandy Borlaug \nShelli Butler \nMelissa Chambers \nDale Cook \nTed Davis \nMandy Duane \nSteve Gaskins \nJennifer Grigsby \nGayle Harris \nHenry Hood \nLorrie Jacobs \nBarry Langham \nCindy LeBlanc \nLeland Murray \nFred Portillo \n\n**1997 (32)**\nLinda Allen \nKarla Allford \nSara Caldwell \nSteve Cody \nKristine Conway \nRandy Cornelsen \nMichelle Cullen \nBruce Dixon \nGreg Drwenski \nMark B. Evans \nJoy Franklin \nRob Gilkes \nShane Hamilton \nMichael Horn \nEric Hughes \nDavid B. Jones \nMike Ludlow \nSarah Lumen \nLauren Matlock \nSam McCaskill \nBob Neely \nBob Pope \nErick Porter \n\n**1998 (62)**\nStephen Adams \nCrae Barr \nFrancy Beesley \nJoel Bennett \nLeonard Berry Jr. \nSusan Bradford \nMark Brown \nRandy Brown \nLori Budde \nTerry Caldwell \nBob Campbell \nTed Campbell \nSherri Childers \nTana Clark \nJennifer Copeland \nDavid Craycraft \nIris Drake \nMac Drake \nGary Egger \nSteve Emick \nDan Estes \nDennis Frick \nStacy Gilbert \nJim Gowens \nKelsey Hammit \nTresa Hammond \nJeff L. Harris \nDebbie Hulett \nJulie Ingram \nTammy Kelln \nRose Kim \nSteve King \nMike Lancaster \nChris H. Lee \nCarrie Lewis-Crawford \nCraig Madsen \nJohn Marshall \nKim Massey \nAllen May \nDennis McGee \nAllen A. Miller \nBill Miller \nCarey Milligan \nDavid Mobley \nWesley Myers \nBud Neff Jr. \nKathy Nowlin \nDon Pannell \nMichael Park \nMandy Pena \nMatt Rockers \nKelly Ruminer \nGreg Small \n\n**1999 (22)**\nJonathan Ball \nMel Barker \nSue Black \nDory Douglas \nMark Edge \nJenny Ferguson \nJeanie Fuller \nSusan Green \nYamei Hou \nDoug Jacobson \nJim Kelley \nLynn Looper \nDea Mengers \nMichael Miller \nTammy Nguyen \nLaCosta Rawls \nLarry Shipley \nMichelle Smith \nConnie Turner \nCourtney Tyson \nTonya Vallerand \nTobin Yocham", + "page_start": 31, + "page_end": 31, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**12**| LETTER TO SHAREHOLDERS \n\nwet natural gas and dry natural gas), similar to the components of the \nEagle Ford Shale. We have made a large commitment to this play and \nhave acquired approximately 1.2 million net leasehold acres and expect \nto increase this total to as much as 1.5 million net leasehold acres in the \ncoming months. We are currently using three rigs to evaluate the play \nand believe our leasehold could support the drilling of up to 12,000 net \nwells. This is an area where we anticipate bringing in a joint venture \npartner late in 2011 or early in 2012. \n\natmosphere of vitality and energy at Chesapeake, important ingredi- \nents of our distinctive culture. These attributes, along with a vibrant \nand attractive corporate headquarters campus, low levels of bureau- \ncracy, great assets and a well-executed corporate strategy combine to \ncreate our culture of success and innovation. \n\nThis has generated extremely positive external feedback as \nChesapeake was recently recognized for the fourth consecutive year \nas one of the FORTUNE 100 Best Companies to Work For®(3) in the U.S. \nIn fact, we moved up to #32 overall and #1 in our industry — we are \nvery proud of having created and sustained what is now considered \nthe best place to work in all of the U.S. energy production industry. \n\n**Our People**\nGreat assets cannot exist without great people, so we take great pride \nin hiring, training, motivating, rewarding and retaining what we regard \n\nIn addition, we were honored in December 2010 at the 12th Annual \nPlatts Global Energy Awards as finalists for CEO of the Year, Community \n\nFrom our beginning 22 years ago with 10 \n\nemployees in Oklahoma City to employing \n\nmore than 10,000 people across 15 states \n\ntoday, Chesapeake has always focused on \n\nbuilding first-class human resources within \n\na distinctive corporate culture. \n\n\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer \nof the Year and the Industry Leadership Award. Chesapeake was one \nof only two companies selected as a finalist in five or more categories. \nThe company was also honored in 2010 with a Certificate of Recognition \nfor our military reserve recruiting efforts, named a 2010 Best Diversity \nCompany by Engineering & Information Technology Magazine and rec- \nognized for Best Investor Relations in Energy Sector and Best Investor \nRelations Website at the 2010 IR Magazine U.S. Awards. \n\nas the best employees in the industry. From our beginning 22 years ago \nwith 10 employees in Oklahoma City to employing more than 10,000 \npeople across 15 states today, Chesapeake has always focused on build- \ning first-class human resources within a distinctive corporate culture. Talk \nto Chesapeake employees and you will note genuine pride and great \nenthusiasm about the company and the critical role that we play in deliv- \nering increasing quantities of clean and affordable American natural gas \nand valuable and reliable liquids to energy consumers across the country. \nChesapeake employees are distinctive in other ways as well. They \nare much younger than the industry average, with half of our almost \n4,000 Oklahoma City-based headquarters employees 33 years old \nor younger. Their enthusiasm and willingness to learn create an \n\n**Recent Events and a Better Way Forward**\nYou may be aware that I have been outspoken in attempting to persuade \nour country’s political leadership to recognize that the discovery of vast \nresources of unconventional natural gas and oil in the U.S. is a complete \ngame changer for our country from an economic, national security and \nenvironmental perspective. After two years of my best efforts and the \nefforts of many others in the industry, most notably T. Boone Pickens,", + "page_start": 13, + "page_end": 13, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**What innovations and advancements have led to CHK’s ability to produce liquids from**\n**shales and other tight reservoirs?**\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed \nexpertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of \nhorizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that \nwere previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight \nreservoirs has come from the company’s ability to extend the technological advances gained in the development of \ntight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich \nplay discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have ben- \nefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well \nas an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to \nbetter identify formations most likely to generate liquids-rich production, including more than a dozen new plays for \nthe company. We have subsequently improved the success of our liquids-rich plays through the use of optimal well- \nbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized \nfracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume \nin low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have \nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry’s most advanced shale core laboratory. \n\nSteve Dixon \nExecutive Vice President – \nOperations and Geosciences and \nChief Operating Officer \n\n\n\n**It is often said that the energy industry has an aging work force that is fast approaching**\n**retirement age. How is Chesapeake addressing this?**\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down- \nturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong compe- \ntition from other industries lured away many of the best and brightest science and technology graduates, and today \nmany experienced professionals who stayed in the industry through the downturn are approaching retirement age. \nAs a result, one of our industry’s greatest challenges over the past 10 years has been to develop a new generation \nof natural gas and oil professionals who have the knowledge and experience required to meet the nation’s growing \nenergy needs. \n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting \nand training a new generation of energy professionals would impact the company’s future success and its ability to \ncompete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs \nand decided to create a world-class college recruiting and intern program to recruit the most promising industry \ntalent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go \non to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive \nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads \nand career counselors at the more than 31 universities where we actively recruit. \n\nMartha Burger \nSenior Vice President – \nHuman and Corporate Resources", + "page_start": 21, + "page_end": 21, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Chesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has \nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays \nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica \nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise \ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of \nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of \ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays. \n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion \ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end \n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the \nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling \nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position \nin our key operating areas. \n\n\n\nRockies \n\n**8**", + "page_start": 17, + "page_end": 17, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "Chesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures. \n\n\n\n**Will U.S. natural gas prices reconnect with world natural gas prices?**\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, \ndiesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. \nmarket relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This \nsurplus has been principally caused by high levels of drilling activity as producers focused on holding by produc- \ntion (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented \nU.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will \nlargely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to \nreconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices. \nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied \nnatural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital \nand ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are \nworking to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to \npremium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be \naided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the \ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it \nbe compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) \nnatural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural \ngas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural \ngas is clean, affordable, abundant and American. Why*shouldn’t*it trade at a BTU premium in the years ahead? \n\nJeff Mobley \nSenior Vice President – \nInvestor Relations and Research \n\n**Why is an investment grade rating on its debt securities important to CHK?**\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt \nsecurities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company’s \nborrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. \nHigher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in \norder to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts \nto sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance \nChesapeake’s ability to further attract world-class energy companies to participate in our joint venture projects, \nwhich profitably monetize a portion of our leasehold investments and also accelerate the development of our \nresource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest- \nment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", + "page_start": 22, + "page_end": 22, + "source_file": "NYSE_CHK_2010.pdf" + }, + { + "text": "**4**| LETTER TO SHAREHOLDERS \n\nDEAR FELLOW \nSHAREHOLDERS » \n\n2010 was a very important year of transition and achievement for Chesapeake, a year in which we \n\ninitiated three very important strategic shifts: from asset gathering to asset harvesting, from focusing \n\nexclusively on natural gas to a balanced focus on natural gas and liquids and from having a leveraged \n\nbalance sheet to one worthy of an investment grade rating. \n\n\n\n2010 also marked a truly transformative year for our industry. We and \na handful of our peers enhanced our capabilities to find and produce sig- \nnificant new resources of oil and natural gas liquids (collectively, “liquids”) in \nunconventional formations. Chesapeake and these other companies combined \ncreativity, innovation and technology to reinvent the way that our industry \nexplores for and produces natural gas and liquids. \n\nFurthermore, 2010 was the year when global energy companies more \nfully recognized the importance of these developments and the tremendous \nopportunities that have emerged in the U.S. Through a wide variety of trans- \nactions, including several led by Chesapeake, the global energy industry made \nit clear that the assets owned by Chesapeake and some of its peers are the most \nattractive in the world. This realization has already increased the value of high- \nquality unconventional assets in the U.S. and, in time, should lead to higher \nstock prices for the leading U.S. onshore E&P companies, especially Chesapeake. Simply put, the global energy \nindustry is beating a path to our door, and we are welcoming it with open arms. \n\nBefore we move ahead, I want to emphasize that even though 2010 was a year of transition and achievement, \nour stock price was essentially unchanged. Nevertheless, it was still a very strong year for the company operation- \nally and financially. Here are the year’s highlights for your review: \n\n*Home to three distinct forms*\n*of hydrocarbons: dry natural*\n*gas, natural gas liquids and*\n*oil, the Eagle Ford Shale*\n*in South Texas epitomizes*\n*Chesapeake’s shift to a bal-*\n*anced focus on natural gas*\n*and liquids.*\n\n>> Average daily natural gas and oil production increased 14% from 2.5 billion cubic feet of natural gas \n\nequivalent (bcfe) in 2009 to 2.8 bcfe in 2010; \n\n>> Proved natural gas and oil reserves increased 20% in 2010, from 14.3 trillion cubic feet of natural gas \n\nequivalent (tcfe) to 17.1 tcfe; \n\n>> Reserve replacement for 2010 reached 375% at a drilling, completion and net acquisition cost of only \n\n$0.76 per thousand cubic feet of natural gas equivalent (mcfe)(1); \n\n>> Realized hedging gains were $2.1 billion; \n\n>> Revenues increased 22% to $9.4 billion; \n\n>> Adjusted ebitda(2) increased 15% to $5.1 billion; \n\n>> Operating cash flow(2) increased 5% to $4.5 billion; and \n\n>> Adjusted earnings per fully diluted share(2) increased 16% to $2.95.", + "page_start": 5, + "page_end": 5, + "source_file": "NYSE_CHK_2010.pdf" + } + ] + } + ] +] \ No newline at end of file